90117 C.M.S. — Rules & Legislation Committee, January 25, 2024

APPROVED AS TO FORM AND LEGALITY
d.AA(M

CITY ATTORNEY'S OFFICE

EXHIBIT BAS AMENDED BY THE CITY COUNCIL
AT THE FEBRUARY 20, 2024 COUNCIL MEETING

OAKLAND CITY COUNCIL
90·11,.\ RESOLUTION NO. C.M.S.---------
RESOLUTION 1) APPROVING A RECORDS AND INFORMATION
MANAGEMENT POLICY AND A RECORDS RETENTION SCHEDULE;
2) AUTHORIZING THE DESTRUCTION OF RECORDINGS OF

ROUTINE VIDEO MONITORING PURSUANT TO GOVERNMENT
CODE 34090.6(A) AFTER ONE YEAR; 3) AUTHORIZING THE CITY

CLERK TO REVIEW AND APPROVE REQUESTS FOR THE DELETION
AND/OR DESTRUCTION OF ANY CITY RECORDS; AND 4)

AUTHORIZING THE CITY CLERK TO REVIEW THE RETENTION

PERIODS IN THE RECORDS RETENTION SCHEDULE ON A PERIODIC BASIS
WHEREAS, on September 24, 1991, the City Council passed Ordinance No. 11370, which established a citywide records management program; and
WHEREAS, on February 25, 2003, the City Council passed Resolution No. 77659 C.M.S., which, among other things, approved the implementation of a citywide records management program and a records retention schedule; and
WHEREAS, Administrative Instruction 114 (last updated February 14, 2008) provides that"[ e ]ach retention schedule shall be submitted as a Resolution to the City Council for approval"; and
WHEREAS, on May 2, 2023, the City Council passed Resolution No. 89700 C.M.S. authorizing the City Clerk to retain a consultant to prepare a new records retention policy that updates and replaces the existing policy, which was last updated in 2003; and WHEREAS, the Records and Information Management Policy (Exhibit A) provides direction to staff on the rules for managing records of the City of Oakland; and WHEREAS, the Records Retention Schedule (Exhibit B) identifies categories of records created or received by City departments and establishes retention periods for those records consistent with federal, state and local law and policy, and was prepared with input from and in consultation with City departments; and

EXHIBIT A
CITY OF OAKLAND
RECORDS AND INFORMATION MANAGEMENT POLICY

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1. Purpose
This Policy serves as the highest level of governance for City of Oakland (the “City”) records and informaƟon. This Records and InformaƟon Management (RIM) Policy idenƟﬁes and states the requirements and rules the City will follow in managing its paper and electronic records and informaƟon in compliance with laws and regulaƟons. The rules apply to the content of the record, not to the tools or media used to create or transmit the record or informaƟon.

It is the responsibility of every elected or appointed oﬃcial, employee and contractor to comply with the rules and requirements of this Policy.

2. Policy Statements
a. Ownership
Records and informaƟon created or received in the conduct of the City’s business are the exclusive property of the City and are subject to the rules and requirements of this Policy and the Records RetenƟon Schedule.

b. ClassiﬁcaƟon and Format
Records and informaƟon, both in paper and in any electronic format, are to be created, stored and managed with appropriate classiﬁcaƟon and indexing that enables eﬃcient and shared access, appropriate applicaƟon of retenƟon and secured protecƟon.

Records and informaƟon determined to be conﬁdenƟal or restricted must be secured and access controlled.

c. RetenƟon
Records are to be retained in accordance with the approved Records RetenƟon Schedule. When records have completed or passed their retenƟon period, regardless of format, they are to be deleted or destroyed in compliance with the City’s procedures.

Prior to destrucƟon or deleƟon of any City records, even in compliance with the RetenƟon Schedule, such records must be reviewed by the Oﬃce of the City AƩorney and Oﬃce of the City Clerk.

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RetenƟon periods and categories are to be reviewed on a rouƟne basis that allows for changes due to regulatory changes or by advice of the Oﬃce of the City AƩorney.

d. Storage
Paper records no longer considered acƟve may be transferred to a designated oﬀsite repository to fulﬁll retenƟon requirements. Electronic records no longer considered acƟve may be transferred to an approved oﬄine repository to fulﬁll retenƟon requirements, but records transferred to an oﬄine or oﬀsite repository shall remain accessible by City employees for business needs.

Records owned by the City shall not be stored on personal devices or in any unauthorized locaƟon.

e. Electronic CommunicaƟons
Unless otherwise required by contract or law, including data privacy laws, electronic communicaƟon, including emails, email threads, text messaging, instant messaging, social media and any other form of electronic communicaƟon that may be used to conduct the City’s business, are subject to this Policy and are the exclusive property of the City.

Emails sent or received for the purpose of City business are considered the City’s property and must be maintained in City systems and in compliance with this Policy and the Records RetenƟon Schedule.

Instant messaging such as text messages are to be limited to brief communicaƟons to establish contact, idenƟfy locaƟon or conﬁrm appointments. Text messages should not be used to create and communicate direcƟves, conduct City business or send ﬁles.

Social media should be used exclusively for the distribuƟon of City informaƟon. No original documents are to be created within social media but may be aƩached to the original communicaƟon and shall be limited to announcements.

Electronic CommunicaƟon systems are intended to be a medium of delivery of communicaƟon and not as a repository for records. Although Electronic CommunicaƟons may seem to be less formal than other wriƩen communicaƟon, the same deﬁniƟon of a Record applies, as do the rules for storage and retenƟon.

Electronic CommunicaƟons that meet the deﬁniƟon of a record are to be stored in an oﬃcial City repository.

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f. Records of ExiƟng Elected or Appointed Oﬃcials, Employees and Contractors When an employee or a contractor separates from the City, the supervisor or manager of that employee or contractor is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting employee or contractor.

When an elected or appointed official separates from the City, the City Clerk is responsible for complying with the requirements of this Policy and any supporting procedures for obtaining and retaining the records and information of the exiting official.

g. Legal Holds and Suspending RetenƟon Requirements
Records and informaƟon relevant to liƟgaƟon and subject to a Legal Hold are to be retained and preserved unƟl further noƟce from the City AƩorney’s Oﬃce regardless of the retenƟon period set forth in the Records RetenƟon Schedule.

Records and informaƟon subject to a Legal Hold that are no longer required for day‐to‐day business operaƟons may be transferred to an approved oﬀsite repository in coordinaƟon with the City Clerk’s Department.

h. InformaƟon ProtecƟon
Disaster recovery backup media are exact copies of an operaƟng system, associated applicaƟons, and data created for the sole purpose of recovering data in the event of a disaster or business disrupƟon and are not subject to the requirements of the Records RetenƟon Schedule. Backups serve as a level of protecƟon for electronic systems, and the data stored on those systems are not subject to any retenƟon requirements.

3. Key DeﬁniƟons – other deﬁniƟons are included in AƩachment C a. Convenience InformaƟon
Not all informaƟon or data is a record. Some informaƟon is collected or created in order to complete a task or enable the creaƟon of a record, but the City has no obligaƟon to retain it. This type of informaƟon is considered Convenience InformaƟon as it is only created or received for the convenience of the employees.

Examples of types of Convenience InformaƟon may be found in AƩachment B.

b. Record
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Records are either deﬁned speciﬁcally by laws or regulaƟons or, in the absence of speciﬁc deﬁniƟons, a record is the document or informaƟon generated as the ﬁnal output of a business process or business decision.

c. Records RetenƟon Schedule
The Records RetenƟon Schedule is the governance document that describes the categories or types of City records and the required retenƟon period that these are to be retained. Records should be retained for the length of Ɵme prescribed in the Records RetenƟon Schedule.

4. Controls
The management of each department is responsible for managing and controlling their records and informaƟon in accordance with this Policy and the Records RetenƟon Schedule. It is the department management’s responsibility to ensure that there are adequate procedures that enable employees to comply with this Policy and the Records RetenƟon Schedule.

Only authorized users should have access to a department’s records and informaƟon.

5. Periodic Review
Oﬃce of the City Auditor may periodically conduct an independent review of a department’s procedures to determine if they are in compliance with this Policy.

6. Revision History
Revision History
Version Date DescripƟon of Changes Revised By

7. AƩachments
a. AƩachment A – Examples of Convenience InformaƟon
b. AƩachment B – Glossary of Terms
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ATTACHMENT A
EXAMPLES OF CONVENIENCE INFORMATION

 IdenƟcal copies of documents
 Extra copies of printed or processed materials kept only for convenience or reference (e.g. copy of expense reports by the individual once it has been paid)  Miscellaneous noƟces of employee meeƟngs, holidays, and other reference materials  Templates and Blank Forms used to create a document or record  System backups – taken for the sole purpose of informaƟon protecƟon and restoraƟon in the event of a business disrupƟon
 Notes, working papers, or draŌs created or used in the preparaƟon of a record  Catalogs, trade journals, and other outside publicaƟons or papers received from external companies or bodies that are used as reference
 Materials used for informaƟon gathering purposes – stock of publicaƟons, supporƟng documentaƟon not used in the ﬁnal report or record

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ATTACHMENT B
GLOSSARY OF TERMS
RIM Program Glossary Created: 2024
Revised:

This Records and Information Management (RIM) Program Glossary provides a comprehensive and standardized list of terms and acronyms along with their definitions that are used by the City of Oakland. This Glossary is designed to eliminate the need to include terms and definitions within the body of the Policies or Procedures. This Glossary provides a standard lexicon consistent with industry standards (ARMA, ANSI, and Sedona Conference).

Term Definition Reference
Access The right, opportunity, or means of finding, using, or retrieving information. ARMA/ANSI ACT Active. Retain the record or information while the document is active, in force or in use. Once the document is no longer active then the retention period starts and is calculated.

City
Active Records A record needed to perform current operations, subject to frequent use, and usually located near the user.

ARMA/ANSI
ANSI American National Standards Institute, a non-profit organization that administers and coordinates the U.S. voluntary standardization and conformity assessment system.

ARMA/ANSI
Archival Data Records and information the City retains for long-term storage and record keeping purposes, but which is not immediately accessible. Archival data may be written to removable media or may be maintained on a system component.

Sedona
Conference
Archive A designated location where records and information that are required to be retained or preserved for extended periods of time are stored. An archive is a separate location from any ongoing business activity.

ARMA/ANSI
ARMA Association of Records Managers and Admi nistrators, the professional organization for Records and Information Management.

ARMA

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Term Definition Reference
Audit An independent review and examination of records and activities to test for compliance with established policies or standards, often with recommendations for changes in controls or procedures.

To conduct an independent review and examination of system records and activities to test the adequacy and effectiveness of the records and information management procedures, to ensure compliance with established policy and operational procedures, and to recommend any necessary changes.

ARMA/ANSI Backup A copy of electronic information created as a precaution in case the original is lost or destroyed.

ARMA/ANSI
Backup Data An exact copy of electronically stored information (ESI) that serves as a source for recovery in the event of a system problem or disaster. Backup Data is generally stored separately from active data on portable media. Backup Data is distinct from Archives.

See "Disaster Recovery Backup Tapes."
Sedona Conference
Change Request A formal request for a change to be made to RIM Policy or the Retention Schedule.

The request is submitted to the Compliance Department with a justification and details of the change.

City
Classification The systematic identification and arrang ement of records into categories according to logically structured conventions, methods, and procedural rules including an index of the metadata.

ARMA/ANSI
Confidentiality/Sensitivity A classificati on of records that contain information, the disclosure of which would harm the privacy of individuals or the security of the City.

ARMA/ANSI
Control A means of managing risk or ensuring that a business objective is achieved. Example of Controls include Policies, Procedures, roles, passwords, signature authorization, etc.

City

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Term Definition Reference
Convenience Information Information received or cr eated that has no business value and is not a Record.

Convenience information will not further the City's business and does not have to adhere to any defined Retention Period provided it is not subject to a Legal Hold.

Examples of Convenience Information includes the following items: Catalogs and Trade Journals, Duplicate Copies, Extra Copies, Personal Documents, Personal Working Files and Notes, Reference Materials, Templates and Transitory Correspondence.

City
CY Current Year. Indicates the year in whic h the record or information was created or received.

City
Deletion The process whereby data is removed from active files and other data storage structures on computers and rendered inaccessible except through the use of special data recovery tools designed to recover deleted data.

ARMA/ANSI
Destruction The definitive obliteration of records or information beyond any possible reconstitution. ARMA/ANSI Disaster Recovery Plan A plan to restore a system after a catastrophic loss. City Discovery The process of identifying, locating, securing, and producing information and materials for the purpose of obtaining evidence for utilization in the legal process. It is also used to describe the process of reviewing all materials that may be potentially relevant.

Sedona Conference
Disposition A final administrative action taken with regard to records, including destruction, transfer to another entity, or permanent preservation.

Sedona Conference
Document Any recorded or stored information in whatever format or type. This includes both physical and electronic formats such as, but not limited to, paper documents; forms; reports; manuals; correspondence; notes; computer files such as spreadsheets, databases, word-processed documents, email messages, web-based content, and any electronic communications; and media, such as videotape, audiotape, microfilm or photographs in any format.

City

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Term Definition Reference
Draft Records A preliminary version of a record before it has been completed, finalized, accepted, validated or filed. Such records include working files and notes.

Sedona Conference
Electronic Content Management
System (ECM)
A system consisting of software, hardware, policies and processes to automate the preparation, organization, tracking, distribution and retention of electronic documents.

ARMA/ANSI
Electronic Record Any Record stored on or by a machine or electronic device or containing machine- sensible or machine-readable information.

City
Email The transmission of messages, thei r metadata, and possible attachments over communication networks.

ARMA/ANSI
ESI Electronically Stored Information Sedona Conference Event-Based Disposition A concept wherein once a register ed event occurs, the disposition schedule starts. ARMA/ANSI File A group of documents in any format or media related by subject, activity or transaction, often handled as a unit.

ARMA/ANSI
File Plan A classification scheme describing different types of files maintained in an office, how they are identified, where they should be stored, how they should be indexed for retrieval, and a reference to the approved disposition for each file.

ARMA/ANSI
Filename The name given to a group or series of related documents contained in a file folder. A specific electronic document or record name.

ARMA/ANSI
Format (noun) The internal structure of a file, which defines the way it is stored and used. Sedona Conference Format (verb) To make a drive ready for first use. Sedona Conference

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Term Definition Reference
Historical Records Records and/or information that possess a value in documenting the history of the organization and are thus worthy of permanent preservation.

ARMA/ANSI
Inactive Record Any Record related to closed, completed, or concluded activities. Inactive Records are no longer routinely referenced but must be retained in order to fulfill legal or retention requirements.

City
Indexing The act of specifying the predetermine d metadata such as topic, name, number or caption under which a document is to be filed.

ARMA/ANSI
Information Data that has been given value through analysis, interpretation, or compilation in a meaningful form.

ARMA/ANSI
Information Classification (ARMA) A logical and system atic arrangement for indexing records and information into subject groups or categories based on some defined scheme of natural relationships for identification and protection.

(Sedona Conference) The logical structures and software routines used to control access to records and information as well as the overall structure in which the files are named, stored, and organized.

ARMA/Sedona
Conference
Instant Messaging (IM) Real-time communications us ing software or electronic devices allowing communication while both parties are "on-line."
City
Legacy Data Legacy Data is ESI in which an organization may have invested significant resources but has been created or stored by the use of software and/or hardware that has become obsolete or replaced.

Sedona Conference
Legal Hold (a/k/a "Litigation Hold") An obligation statement the City uses to preserve forms of relevant information as a result of current or anticipated litigation, audit, governmental investigation or other such matters.

Sedona Conference

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Term Definition Reference
Legal Hold Notice A communication issued by the Office of the General Counsel as a result of current or anticipated litigation, audit, governmental investigation or other such matter that directs impacted City Personnel to preserve any Documents that may be relevant to the matter.

Sedona Conference
Lifecycle The distinct phases of a record or information's existence, from creation to final disposition.

ARMA/ANSI
Metadata Data that is typically stored electronicall y that describes characteristics of electronic information, found in different places in different forms. Metadata can be supplied by the application, users, or the file system. Metadata can describe how, when and by whom information was collected, created, accessed, modified and how it is formatted.

It can be altered intentionally or inadvertently.

Sedona Conference
Native Format The associated file structure of el ectronic documents defined by the original creating application. The file structure is referred to as the "native format" of the document.

Sedona Conference
Offsite Storage A potentially secure location, remote fr om the primary location at which inactive or vital records and information are stored.

ARMA/ANSI
Onsite Storage Storage of records and informatio n on the premises of the organization. ARMA/ANSI Policy A high-level set of rules, containing a set of principles, embracing the general goals of the organization, used to base decisions. Procedures are the document to implement the Policy for each department.

City
Preservation (Operations) Process and work involved in ensuring the technical and intellectual survival of authentic records through time.

ARMA/ANSI
Preservation (Discovery) The process of ensuring retention and protection from destruction or deletion of all potentially relevant evidence, including electronic metadata.

Sedona Conference
Record Records are either defined specifically in applicable statutes, Municipal Code, City business practices, or, in the absence of specific practices, a Record is the document or information generated as the final output of a business process or business decision.

City

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Term Definition Reference
Records Owner The subject matter expert on the contents of the record and is responsible for the lifecycle management of the record.

ARMA/ANSI
Records and Information
Management
The field of Records and Information Management is responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing, and maintaining evidence of and information about business activities an organization.

ARMA/ANSI
Records Management Program A comprehensive strategy and plan with a set of requirements for the systematic control of the creation, use, maintenance and disposition of records and information regardless of media.

Sedona Conference
Records Retention Schedule A comprehensive list of Records, indicating for each the length of time each Record is to be maintained.

ARMA/ANSI
Remote Access The ability to access and use digital information from a location off-site from where the information is physically located.

Sedona Conference
Restricted Access A limitation on access to records and information of a specific type imposed by general or specific requirements.

ARMA/ANSI
Retention Period The length of time a record or information is to be kept meeting administrative, fiscal, legal or historical requirements.

ARMA/ANSI
Retire Withdraw an Application, IT service, et c. from use in the live environment. Also known as Decommissioning.

City
Sedona Conference The Sedona Conference is a nonpartisan, nonprofit 501(c)(3) research and educational institute dedicated to the advanced study of law and policy in the areas of antitrust law, complex litigation, intellectual property rights, and data security and privacy law.

Sedona Conference
Spoliation The destruction/deletion of records or properties, such as metadata, that may be relevant to ongoing or anticipated litigation, government investigation or audit.

Sedona Conference

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Term Definition Reference
Standard Procedures Written procedures prescribing and describing the steps to be taken in normal and defined conditions which are necessary to assure control of production and processes.

City
Statute of Limitation The period of time in which legal action may be taken as defined by law. ARMA/ANSI Structured Data Data stored in a structured forma t, such as databases or data sets. Sedona Conference SUP Until Superseded. Retain the record or info rmation until a new or later version replaces the record or information.

City
Template A Template is a structure or framework for a document. It can be guidance or required.

City
Text Message Electronic messages sent via devices such as mobile phones that are transmitted via a commercial service provider.

City
Trigger Events Activities that once they occur initiate the start of the retention period identified in the Records Retention Schedule.

City
Unstructured Data Masses of data which either do not have a data structure or have a data structure not easily readable by machine.

Sedona Conference
Vital Record Any Record that is fundamental to the functioning of an organization and necessary to continue operations without delay under abnormal conditions.

City

EXHIBIT B

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments 001 Accounts Payable and Receivable
Records and information related to the accounting of monies paid by or received by the City, including payment for financial obligation.

Aging Reports
Cash Records (cash count reports, cash flow book information, cash disbursement, cash register receipts, cash receipts ) Check Listing
Credit Memos
Collections
Donations
Employee Expense Reports, Reimbursements
Fees Paid
Fees Received
Form 1099
Form W-9
Invoices and Vouchers
Purchasing Cards Expense Reconciliation/Allocations
Reconciliations
Refunds
Taxes Paid
Tax Revenue Received
Tuition Reimbursements
Utility Billing (registers, adjustments, deposit reports, payment stubs )
All Departments 10Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 29 CFR 97.42 - (3Y)
US - 29 CFR 516.5 - (3Y)
US - 48 CFR 4.705-1 - (4Y; 2Y)
002 Agreements, Contracts and Leases - Goods and Services Executed agreements, contracts, leases (which includes any type of contract, such as an agreement, franchise, or purchase order) and associated anc illary documents, between the City and other parties. Examples include:
- Collective Bargaining Agreements
- Contractor Agreements
- Equipment Agreements
- Franchise Agreements
- Licensing Agreements
- Maintenance Agreements
- Memoranda of Agreement (MOA)
- Memoranda of Understanding (MOU)
- Professional Services Agreements
- Service Contracts
Addendums and Amendments
Attachments / Exhibits
Certificates of Insurance
Concessions
Contractor Agreements (updated annually, semi-annually) Disclosures
Equipment Agreements
Family Resources & Referral Agreements (annually)
Instructor Agreements
Letters of Understanding
Maintenance Agreements
Memoranda of Agreement (MOAs )
Memoranda of Understanding (MOUs ) - other than labor MOUs Professional Services Agreements
Purchase Orders
Statements of Work ( SOWs )
Warranties
All Departments While Active+4Y CA - CCP 337 - (4Y)
CA - CCP 337.1 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 29 CFR 516.5 - (3Y)
US - 48 CFR 4.703 - (AC3Y)
US - 48 CFR 4.705-1 - (4Y)
US - 49 CFR 107.504 - (AC+2Y)
003 Community Outreach, Media and Public Relations
Records and information regarding external-facing communications, advertising and press relations materials, including documentation of outreach activities/events held in cooperation or for the benefit of the local community.

Brochures, Flyers
City FAQs
Mailers
Marketing Plans
Media Packets, Releases, Kits
PowerPoint Presentations for Council Members
Public / Media Inquiries
Public Outreach / Education
Publications Produced by the City (n ewsletter, visitors guide ) Publicity Files
Seasonal Brochures
Social Media Documentation
Special Events
Surveys
Waivers of Liability
All Departments 4Y CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)
004 Department Administration
General internal administrative records of City departments, including:
- Documentation of department internal activities
- Routine department reports
- Information captured on a log or a list
- Correspondence, memos, notes and emails that do not require acknowledgment and do not pertain to another category
- Department projects
Certificate of Life Attestations
Constituent Correspondence
Department Administrative Documents (calendars, committees, goals, objectives, meeting agendas, meeting minutes, meeting tapes/recording, plans )
Department Generated Routine Studies / Reports
Employee Communication Letters (announcements, new
programs, notices )
In-House Committees / Employee Committees
Log Books and Lists
Recorded Messages for Non-English Speakers
Routine Correspondence
Shipping and Receiving Records
Unsuccessful Grant Funding Applications
All Departments 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Oakland Municipal Code 2.30.080 - (MAINT)

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CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 005 External Audits
Records and information related to audits and administration of auditing activities, including reviewing and documenting operational, compliance, or financial information created as a part of an audit done by a third party.

Annual Audit Reports
Audit Files, Plans
Auditors Reports
Management Responses
Recommendations
Remediation Plans / Results
All Departments except Police and
Community Police Review Agency
Closed+6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
006 Grants Administration of Grants Issued To and Given by the City Documents the application, evaluation, awardi ng, administration, monitoring, reporting, and status of grants and other funding sources in which the City receives or gives monies, as well as when the City serves only as pass-through for grant funds. Includes:
- Federal grants
- Local grants
- State grants
- Combined Federal, State, and Local grants
- Regional grants and funding sources
- Grant Funds awarded by the City
Applications (including project proposals )
Award Notification
Grant Administration
Grant Evaluations
Program Rules, Regulations, Procedures
Property Taxes Funding
Reports to Funding Agencies
All Departments Closed*+5Y CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
US - 29 CFR 97.42 - (3Y)
Closed* = Closeout of Grant, Plus All Final Audit
Reports Completed; if grant is in perpetuity, it never
closes; or, retain per contract stipulation, whichever is longer.

Unsuccessful applications are retained for 2 years.

NOTE: If a grant requires longer retention, its specific requirements will take precedence.
007 Historical Documents, Events, and Collections
Records and information documenting the history and significant milestones of the City as determined by the City Manager or City Clerk
Biographies of City Officials
Census Information
City Seal and Logo
City Incorporation
City Publications
Demographics
Elections (historic, significant )
Executive, City Official Communications, Speeches, Videos Historic Districts
Historical Events, Artifacts, Architecture, Designations, Projects Memorial Programs
Picture Collections
Publicity Photographs
Registered Logos
Significant News Clippings, Releases
Sister City Program(s)
All Departments Permanent* CA - GOV 34090 - (2Y)
*The decision about what is historical is up to the City to decide.
008 Permits Issued
Documentation of permits issued by the City for the use of City property and fac ilities or for special activities within the City limits and are not long-term permits. - Alarms
- Block Parties
- Concealed Weapons
- Filming Permits
- Fire Code Permits
- Special Events
- Street Permits
- Tent Permits
- Transportation Permits (oversize, overweight)
- Tree Removals
Applications
Backup Documentation
Fingerprints
Renewals
All Departments While Active+4Y* CA - CCP 337 (4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Oakland Municipal Code 12.36.090 - (PR)
* Exception: Permits for removal of City Protected trees will be maintained in a permanent file
009(a) Policies, Procedures and Work Instructions
Documentation of Council policies and administrative documentation of City policies, procedures, and work instructions for all departments.

Directives
General Orders
Guidelines
Handbooks
Instructions
Manuals
Policies
Procedures
Retention Schedule
Standards
Work Instructions
All Departments except Police Superseded+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)

Page 2 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 009(b) Policies, Procedures and Work Instructions
Documentation of Council policies and administrative documentation of City policies, procedures, and work instructions for all departments.

Directives
General Orders
Guidelines
Handbooks
Standards
Police 20 Years* CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
*As required by Office of the City Attorney
010 Procurement - Agreements and Contracts Not Awarded
Records and information utilized in solicitation of goods and services where the purchase order, contract or agreement was not awarded.

Bids, Exhibits (unaccepted, rejected, not awarded)
Price Lists
Quotations
Requisitions
Requests for Information (RFI)
Requests for Proposal (RFP )
Requests for Quote (RFQ )
Scorecards
Specifications
All Departments Closed+4Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
011 Public Notices
Records documenting compliance with laws requiring public notice of government activities, excluding agendas and legislative body-related documents. Subjects may include assessments, elections, land use changes, public meetings and hearings, sale of property, and others.

Affidavits of Mailing
Affidavits of Posting
Affidavits of Publication/Legal Notices
Maddy Act Lists and Notices
Public Hearing Notices
Public Meeting Notices
Vacancy Notices
All Departments 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
012 Service Requests, Issues, and Complaints
Documentation regarding complaints and requests for service received by City departments.

Complaints and Inquiries
Follow-up Investigations
Issues Log
OAK311 Work Requests
Trouble Reports
Work Orders
All Departments except Police and
Community Police Review Agency
2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
013 Strategic Planning
Records and information relating to financial planning.

Business Plans
Consolidated Action Plans
Financial Plans
Forecasts
Strategic Plans
All Departments 2Y CA - GOV 34090 - (2Y)
014(a) Training Materials, Courses, Scheduling
Documentation regarding the content of courses and schedules for training offered to employees, officials and volunteers, including:
- Ethics
- Fire Extinguisher
- First Aid/CPR
- Privacy
- Safety
- Specialized Equipment
- Records and Information Management
- Sexual Harassment
- Agenda Training
AB1234
Attendance Lists
Employee Development
Employee Training Files
Presentation Materials
PowerPoint Slide Decks
Rosters
Sign-in Sheets
Testing
Training Bulletins
All Departments except Police Current Year+5Y CA - 8 CCR 3203 - (1Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12950.1 - (2Y)
CA - GOV 34090 - (2Y)
CA - GOV 53235.2(b) - (5Y)
CA - GOV 53237.2(b) - (5Y)
US - 29 CFR 1602.14 - (AC+1Y)
014(b) Training Materials, Courses, Scheduling
Documentation regarding the content of courses and schedules for training offered to police officers including:
- Ethics
- First Aid/CPR
- Privacy
- Safety
- Specialized Equipment
- Records and Information Management
- Sexual Harassment
- Weapons Training
Attendance Lists Police 20 Years* CA - 8 CCR 3203 - (1Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12950.1 - (2Y)
CA - GOV 34090 - (2Y)
CA - GOV 53235.2(b) - (5Y)
CA - GOV 53237.2(b) - (5Y)
US - 29 CFR 1602.14 - (AC+1Y)
*As required by Office of City Attorney
015 Volunteer Management
Records and information regarding the onboarding and management of departmental volunteer staffing.

Employee Development All Departments 2Y CA - GOV 34090 - (2Y)

Page 3 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 016 Legislative Administrative Records
Administrative documents associated with meetings and activities of the City's legislative bodies, as well as documentation of non-legislative commissions, committees and task forces.

Employee Training Files All Departments 5Y CA - CCP 337 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Oakland Municipal Code - 3.20.080 - (5Y)
017 Animal Care - Care and Service of Animals
Records that document the care, feeding, adopt ion, fostering or destruction of animals under the care of the City's Animal Care Fac ility.

Presentation Materials Animal Services 4Y CA - CCP 340(c) - (LA1Y) CA - CCP 337 - (LA4Y)
CA - FAC 32003 - (3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 122331 - (MAINT)
CA - PEN 597.1
(d) - (3Y)
018 Children's Accountability Oversight
Records and information regarding the services of the Children's Accountab ility Initiatives that are created by the Children's Accountability Officer.

PowerPoint Slide Decks City Administrator While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
019 City Administrator Project Administration
Records and information received or created for implementing and/or monitoring the implementation of a project. When a project becomes a part of the normal operations, the records belong to the operations.

Types of Special Projects:
- ADA Projects
- Lead Settlement
- Transformative Climate Communities (TCC) Grant Oversight - Sugar Sweetened Beverage Distribution Tax (SSBT)
- ECAP/Sustainability
Rosters City Administrator Closed+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
020 Organization Charts
Documents that depict the departmental and reporting structure of the City government.

Sign-in Sheets City Administrator While Active+6Y CA - GOV 34090 - (2Y) 021 Legislative Records - Audio/Video Records
Audio and video recordings of City Council, Commissions, Boards, City Committees and Redevelopment Successor Agency and their governing boards.

Testing City Administrator
City Clerk
4Y
Permanent CA - GOV 34090.7 - (90D)
CA GOV 54953.5(b) - (30D)
Oakland Municipal Code 2.20.160(B) - (4Y)
022 Legislative and Advisory Body Records
Records of all action taken by City legislative and advisory bodies, including City Council, Oversight Board, Successor Agency, Redevelopment Agency, Planning Commission, City Boards and Commissions, Task Forces, Committees, and Subcommittees taken during public and closed session meetings and are subject to the rules of the Brown Act.

Training Bulletins City Administrator
City Clerk
Public Ethics Commission
Permanent CA - GOV 34090(e) - (PR)

Page 4 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 023 Business Licenses and Permits
Records and information documenting the issuance of City business licenses and business permits. Includes, but is not limited to, permits for the following types of businesses:
- Airports
- Auctions and auctioneers
- Bingo
- Business Tax Certificates
- Cabarets
- Cannabis sales
- Carnivals
- Dance halls
- Firearms dealers
- Massage establishments and massage therapists
- Miniature golf courses
- Pawnbrokers and second-hand sellers
- Poolrooms, bowling alleys and skating rinks
- Private patrol services
- Taxis and other for-hire vehicles (cabs, drivers)
- Theaters
- Tow trucks
Annual Business Tax Certificates
Applications*
BusinessTax (applications, fees, financial history, reports ) Special Licenses (pesticides, applicators, painting )
City Administrator
Finance
While Active+6Y* CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Oakland Municipal Code 5.66.060 - (PR)*
Oakland Municipal Code 5.02.030 - (PR)*
* Exception: Acknowledged versions of applications are
retained permanently by City Administrator
024 Business Continuity Records - Facilities and Emergency Operations All documentation for dealing with preparation for and responses to emergencies, disasters and/or system failures in the City. Includes the Emergency Operations Center.

Business Continuity Plans
Damage Assessment
Disaster Recovery Plan and Case History Plan
Emergency Contact Lists, Employee Lists, Roster of Workers Emergency Evacuation Procedures
Emergency Operations Center
Emergency Operations Plan
Emergency Preparedness
Emergency Response
Evacuation Plans
Fire Prevention Plan
Telephone Trees
Volunteer Lists
City Administrator
Fire
Police
While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
025 Legal Advice and Opinions
Memoranda containing legal advice prepared by the City Attorney.

Legal Memorandum
Attorney Opinions
City Attorney While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
026 Public Information Requests
Records requested by the public, required for provision to the public, and related inquiries.

Collection Lists
Formal Public Records Requests
Inquiries
Pitchess Motion Requests
Public Records Requests
Subpoenas for Records
City Attorney 2Y CA - GOV 34090 - (2Y)
027 Routine Litigation and Third Party Claims
Records generated for or related to routine cases or action before a judicial, arbitral, or administrative officer or body.

Claims
Complaints
Court Orders
Discovery
Exhibits
Judgments
Pleadings
Related Correspondence
Settlement Agreements
Subpoenas (for civil subpoenas and criminal subpoenas ) Third Party Claims
City Attorney Final Resolution+10Y CA - 2 CCR 11013 - (FR+2Y) CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 911.2 - (LA6M; LA1Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 5410 - (LA5Y)
CA - RTC 19704 - (LA6Y)
CA - UIC 1132 - (LA3Y)
US - 26 USC 6531 - (LA6Y)
US - 26 USC 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
US - 29 USC 626(d) - (LA300D)
US - 42 USC 2000e-5(e) - (LA180D)
US - 42 USC 2000e-5(f) - (LA180D)
028 Settlement Agreements
Records and information regarding the final settlement in an action between the City and another party.

Agreement
Court Rulings/Decisions
City Attorney Permanent CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)

Page 5 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 029 Significant/Notable Litigation
Records generated for or related to significant cases or action before a judicial, arbitral, or administrative officer or body.

Claims
Complaints
Court Orders
Discovery
Exhibits
Judgments
Pleadings
Related Correspondence
Settlement Agreements
Subpoenas (for civil subpoenas and criminal subpoenas ) Third Party Claims
City Attorney Permanent CA - 2 CCR 11013 - (FR+2Y)
CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 911.2 - (LA6M; LA1Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 5410 - (LA5Y)
CA - RTC 19704 - (LA6Y)
CA - UIC 1132 - (LA3Y)
US - 26 USC 6531 - (LA6Y)
US - 26 USC 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
US - 29 USC 626(d) - (LA300D)
US - 42 USC 2000e-5(e) - (LA180D)
US - 42 USC 2000e-5(f) - (LA180D)
030 Property Claims by the City
Records detailing claims lodged by the City for damages to City property.

Accident/Incident Reports
Actuarial Reports
Annual Audit of Open Claims
Appraisals
Claims By the City
Closing Letters
Damage Estimate Reports
Supporting Documentation
Insurance Claims, Appraisals, Reports
Investigations
City Attorney
Human Resources
Final Resolution+4Y CA - CCP 337 - (LA4Y)
CA - CCP 338.1 - (LA4Y)
CA - GOV 34090 - (2Y)
031 Audits, Official - Internal and Administration
Records and information related to internal performance audits and administration of auditing activities, including reviewing and documenting operational, compliance, or financial information created as a part of an audit.

Annual Audit Reports
Audit Files, Plans
Audit Schedules
Audit Workpapers
Auditors Reports
Improvement Plans
Investigations, Workpapers
Management Responses
Observations
Recommendations
Remediation Plans / Results
Responses
City Auditor Audit Closure+6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
US - 2 CFR 200.517 - (AC+3Y)
US - 26 USC 6531 - (LA6Y)
032 Election Records - Administrative Files
Documentation of the administration of City elections as well as the submission and processing of initiatives, referenda, recalls, or ballot measures, excluding petitions.

Ballot Measure (arguments for/against, full text, rebuttals, impartial analyses )
City Attorney Opinion
Election Correspondence
Election Results
Research Notes
City Clerk 4Y CA - GOV 34090 - (2Y)
CA - GOV 81009 (f) (g) - (4Y), (2Y)
033 Election Records - Initiative, Recall, or Referendum Petitions Petitions for initiative, referendum, or recall, whether successful or not.

Petitions (initiatives, recall or referendum ) City Clerk 8M CA - ELEC 17200 - (8 Months) CA - ELEC 17400 - (8 Months)
034 FPPC Forms - Mandated Reporting
Forms mandated by state law related to related to receipt and redistribution of gifts and honoraria, ceremonial roles, and holding of multiple positions for certain employees, elected or appointed officials, or consultants.

Form 801
Form 802
Form 803
Form 804
Form 805
Form 806
City Clerk 7Y CA - GOV 34090 - (2Y)
CA - GOV 81009(e) - (7Y)
035 FPPC Forms - Statements of Economic Interest
Statements of economic interest mandated by st ate law for certain employees, elected or appointed officials, or consultants.

Form 700 City Clerk Term*+7Y CA - GOV 34090 - (2Y)
CA - GOV 81009 (e ) - (7Y)
*Term = Term of Office, Term of Service or Termination
of Employment
036 Records, Information Management
Documentation of the compliance with Records and Information Management policy and procedures.

Certificates of Destruction
Inactive Records Storage Information
Lists of Stored / Destroyed Records
Records Transfers (to storage, to other depts. )
City Clerk 10Y CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)

Page 6 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 037 Public Meeting Speaker Requests
Cards or similar records submitted by public attendees at City Council and Commission sessions who wish to speak during the session.

Speaker Requests City Clerk 6 Months
038 Final Budget
Records and information relating to final approved City budgets.

Final Budget Document
Gann Limit Annual Review
City Clerk
Finance
2 years CA - GOV 34090 - (2Y)
039 Election Records - Candidates Not Elected
Campaign statements and election documentati on for candidates who are not elected.

Campaign Statements
Nomination Papers
City Clerk
Public Ethics Commission
5Y CA - ELEC 17100(a) - (T+4Y)
CA - GOV 81009(b) - (5Y)
CA - GOV 84616(b) - (4Y)
040 Election Records - Committee Campaign Forms
Campaign statements for Political Action Committees, General Purpose Committees and all other FPPC campaign reports, Oakland-specific campaign reports, public financing reports and forms, and other statements not specified in Record #'s 034 & 035.

FPPC Series 400 Forms
OCRA Forms
Public Financing Vouchers
Public Financing Reimbursement Claims
City Clerk
Public Ethics Commission
7Y CA - GOV 81009(e) - (7Y)
041 Election Records - Officeholders, Candidates Elected, and Supporting Committees Campaign statements and election documentati on for candidates who are elected or appointed to City offices, their controlled and supporting committees, and officeholders.

Campaign Statements (candidates, candidate-controlled
committees, primarily-formed committees in support,
officeholders )
Nomination Papers
City Clerk
Public Ethics Commission
Permanent CA - ELEC 17100(a) - (T+4Y)
CA - GOV 81009(b) - (PR)
042 Elected Officials Administrative Records
Records and information regarding administration of the activities and work of the Oakland City Council and other elected City officials.

Chron Files
Constituent Correspondence
Presentations
Projects
Social Media Postings
Special Events
Travel Schedules
City Council Office 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
043 Economic Development Programs and Services
Records and information documenting the City's economic development programs and redevelopment successor programs including marketing, events and customer relationships management.

Adult and Youth Training Program Documents
Business Incentive Programs (grants, funding )
Business Recruitment Programs
Climate Action Plan
Community Activities
Demographics
Economic Development Programs
Economic Development Strategy
Emergency Funding
Job Connect and Listings
Job Fairs and Recruitment
Marketing (website)
On-the-Job Training for Adults and Youth
Outreach
Signage and Facade Program
Workforce Investment Grant Agreements
Workforce Statistics and Data
City Council Office
Economic & Workforce Development
While Active+4Y CA - CCP 337 - (LA4)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502 - (CL+4Y)
044 Redevelopment/Successor Agency Official Reports
Official reports issued by the former Oakland Redevelopment Agency or the Successor agency to the Oakland Redevelopment Agency.

Administrative Budgets
Annual Report to State
Bond Expenditure Agreement
Bond Spending Plan, Amendments
Compensation Agreements with Taxing Entities
Due Diligence Reviews
Enforceable Obligation Payment Schedule (EOPS)
Excess Bond Proceeds
Housing Asset Inventories
ORSA Formation Documents
Oversight Board Formation Documentation
Prior Period Adjustment Records
Recognized Obligation Payment Schedule (ROPS)
Reports
Resolutions
State Controllers Report
State Department of Finance Determination Letter
Statement of Indebtedness
Successor Agency Property Management Plans
City Council Office
Economic & Workforce Development
Finance Department
Bond Payoff+2Y CA - GOV 34090 - (2Y)
CA - HSC 34177(n) - (1Y)
US - 24 CFR 570.502 - (CL+4Y)

Page 7 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 045 Police Review Activity Reporting
Records and information documenting the disclosures, reporting and investigations of the Community Police Review Agency.

Annual Report
Disclosures
Special Projects
Statistical Reports
Community Police Review Agency While Active+20Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 832.5(b) - (5Y, where there is not a sustained finding of misconduct)
CA - PEN 832.5(b) - (15Y, where there is a sustained
finding of misconduct)
046 Complaints, Internal Investigations - No Sustained Finding of Misconduct Documentation of complaints received, formal inquiries, and investigations, including those by Internal Affairs, involving Police department employees (excludes officer involved shootings) where this is no sustained finding of misconduct.

Internal Investigations - Citizen Complaints
Internal Investigations - Departmental Complaints and Informal Complaints
Community Police Review Agency
Police
While Active+20Y CA - EVID 1045 - (AC+5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (5Y, where there is not a sustained finding of misconduct)
CA - VEH 2547 - (3Y)
047 Complaints, Internal Investigations - Sustained Finding of Misconduct Documentation of complaints received, formal inquiries, and investigations, including those by Internal Affairs, involving Police department employees (excludes officer involved shootings) where this is a sustained finding of misconduct.

Internal Investigations - Citizen Complaints
Internal Investigations - Departmental Complaints and Informal Complaints
Community Police Review Agency
Police
While Active+20Y CA - EVID 1045 - (AC+5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (15Y, where there is a sustained
finding of misconduct)
CA - VEH 2547 - (3Y)
048 Cultural Development Program Funding
Documents and funding related to the programs, awards and activities for the benefit of local nonprofit arts and cultural organizations.

Applications
Art Loans and Submittals
Awards
Community Garden
Events and Programs
Economic & Workforce Development 6Y CA - CCP 337 - (LA4Y) CA - CCP 338(c)(3)(A) - (LA6Y)
CA - GOV 34090 - (2Y)
049 Agreements, Contracts and Leases - Construction, Infrastructure, and Real Property Executed agreements and contracts for acquisition of, modifications to, or disposal of real property, including construction services, as well as associated anc illary documents, between the City and other parties. Examples include:
- Acquisition Agreements
- Contractor Construction Agreements
- Professional Services Agreements
- Property Improvement Contracts
- Personal Property Sales Agreements
- Subdivision Improvement Agreements (SIAs)
Addendums and Amendments
Attachments / Exhibits
Awarded Bids
Performance Bonds
Certificates of Insurance
Disclosures
Letters of Intent
Private Land Development Bond
Purchase Orders
Specifications
Statements of Work ( SOWs )
Storm Water Maintenance Agreements (SWMAs)
Supplemental Subdivision Improvement Agreements (SSIAs) Warranties
Wastewater Agreements
Economic & Workforce Development
Housing & Community Development
Public Works
Permanent CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090(a) - (PR)
US - 2 CFR 200.334 - (CL+3Y)
US - 29 CFR 516.5 - (3Y)
US - 48 CFR 4.705-1 - (4Y)
050 Civil Rights and Employment Investigations
Records and information documenting complaints, investigations, mediation, and counseling regarding civil rights and employment violations. Includes:
- Civil Rights Violations
- Discrimination and Harassment
- Sexual Harassment
- EEOC Complaints
Closure Letters
Coaching and Counseling Records
Complaints
Compliance Audits
Mediation Records
Reports
Training Records
Employment Investigations & Civil
Rights Compliance
Final Resolution+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12965 - (LA1Y; LA2Y)
CA - GOV 34090 - (2Y)
051 Bank Account Information
Records and information related to banking authorities, activities, transactions and correspondence. This category includes reconc iliations.

Bank Account Administration
Bank Statements (all agencies )
Check Copies
Checks, Canceled
Check Registers, Journals
Corrections / Returns / Adjustments
Credit Card Merchant Activity Statements
Deposit Permits, Deposits
Electronic Banking Transactions
Reconciliations
Signature Cards
Transfers
Treasurer Receipts
Finance 20Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 48 CFR 4.705-1 - (4Y)

Page 8 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 052 Debt Administration
Records and information relating to City financing and debt activities.

Amortization Schedules
Arbitrage Reports
Bond Documents and Reports (continuing disclosures, bond rating reports, official statements, transcripts, requisitions ) Bond RFP/RFQ
Loans/Master Leases (debt state loans )
Payment History/Schedules/Trustee statements
Finance Maturity*+10Y CA - CCP 336a - (LA6Y)
CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
* Maturity includes cancellation and redemption
053 Financial Reporting - Annual, Periodic
Annual and periodic financial reports, whether required by regulations or generated to track financial transactions and achievements by the City.

ACFR Workpapers
Payroll Reports (HRA, RMT, ICMA 457 accounts, Nationwide, deferred compensation)
Revenue/Expenditures Reports
Treasurer's Report
Workers Compensation Reports
Finance 10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
US - 26 USC 6531 - (LA6Y)
054 Financial Reporting - Official
Official financial reports of the City.

Annual Report of Financial Transactions To State
Annual State Controller Filings
Audited Financial Statements
CalPERS Reports and Retirement Plans
State Controller's Report
U.S. Equal Employment Opportunity Commission (EEOC)
Reports
Finance 10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
US - 26 USC 6531 - (LA6Y)
055 Fixed Assets
Records and information related to the ownership, transfer, acquisition, disposition, capital leased, or improvement of fixed assets owned by or used by the City.

Acquisitions
Amortization
Asset Retirement Records
Capital Asset Records
Capital Improvements
Depreciation Schedules
Dispositions
Equipment Rental/Usage Reports
Fixed Asset Ledger
Fixed Asset Reports
Fixed/Capital Asset Accounting
Possessory Interest
Valuation Information
Finance Life*+10Y CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 USC 6531 - (LA6Y)
* Life of Asset
056 General Ledger, Journal Entries, Budget Adjustments Records and information related to the transfer of charges between accounts and summaries of account information, including year end summaries of general ledger transactions.

Account Ledgers
Balance Sheets
Budget Adjustments
Cash Journal Entries
Chart of Accounts
Downloads / Data Exports
Expenditure Reports
General Ledger
Journal Entries and Backup Documentation
Revenue
Sub-Ledgers
Summary Reports
Trial Balance
Year-End / Account Detail History Report
Finance 10Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 26 USC 6531 - (LA6Y)
057 Investments and Treasury
Records and information relating to City investment activities.

Certificates of Deposit (CDs )
Financial Investment Planning
Investment Reporting and Portfolio Management
Investment Reports
Local Agency Investment Fund (LAIF )
Quarterly Investment Report
Security Instruments
Third Party Trustee Account Statements
Finance Maturity*+6Y CA - CCP 336 - (LA5Y)
CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
* Maturity includes cancellation and redemption

Page 9 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

Bids
Bonds
Change Orders
Compliance with City Purchasing Requirements
Evaluation Sheets
Exhibits
Notices of Intent (to award, to bid )
Price Lists
Proof of Insurance Certificates
Proposals
Purchase Orders
Quotations
Receiving Reports
Requisitions
Requests for Proposal (RFP)
Requests for Qualifications (RFQ)
Specifications
Finance Closed+4 CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 29 CFR 516.5 - (3Y)
US - 48 CFR 4.703 - (AC3Y)
US - 48 CFR 4.705-1 - (4Y)
US - 49 CFR 107.504 - (AC+2Y)
Oakland Municipal Code 2.23.050 - (MAINT)
060 Unclaimed Funds
Records and information pertaining to unc laimed or outstanding checks not cashed by recipient.

Uncashed Checks
Unclaimed Funds
Finance 10Y CA - CCP 1513 - (3Y)
CA - GOV 34090 - (2Y)
US - Uniform Unclaimed Property Act (2016), Section
404 - (10Y)
061 Funding Districts
Records and information documenting the form ation and operations of the City's funding districts, including those for:
- Business Improvement Districts (BIDS)
- Fire Prevention
- Infrastructure Finance Districts (IFDS, EIFDS)
- Maintenance
- Transit
- Street Lighting
- Landscaping
- Open Space
- Mello Roos
- Parking
Continuing Disclosures
Debt Reporting
District Formation Documents
Finance
Public Works
Permanent CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090(a) - (PR)
CA - GOV 60201 - (PR)
062 Budget and Financial Planning
Records and information regarding the development of District, agency, assessment district, special district, council, commission or departmental budgets and plans.

Budget Planning Documents
Capital Improvement Program Budget (back-up data, final budget document, reports)
Five-Year Plans
Program / Initiative Plans
Revenue/Expenditure Reports
Trial Balance/Balance Sheets (Finals)
Finance 6Y CA - GOV 34090 - (2Y)

Page 10 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 063 Fire Academy and Volunteers
Records and information documenting the activities of the City-run Fire academy and any volunteer programs.

Applications
Course Syllabus
Reports
Testing Materials
Fire 4Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - State Fire Training Procedures Manual 5.1.11(A) -
(4Y)
CA - State Fire Training Procedures Manual 5.1.11(B) -
(4Y)
064 Fire Investigations
Records and information associated with arson investigations.

Evidence Files
Fire Origin and Cause Investigation Reports
Investigations
Photographs
Fire Permanent CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - PEN 800 - (LA6Y)
CA - PEN 801 - (LA3Y)
065 Fire Prevention Inspections and Programs
Records and information associated with the Fire Department programs and inspections of facilities and undeveloped parcels for vegetation management..

Commercial Facility Files
Fire Education
Inspection Reports
Lien and Cost Recovery Information
Residential or Lot Files
Fire Life*+5Y CA - California Fire Code, 104.6 - (5Y or Life of Structure or Activity, whichever is longer)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
* Life of Structure or Activity
066 Station Activity Records
Records and information created and maintained by the department for activities at the fire station.

Equipment and station maintenance logs
Fire Incident Logs
Station Logs
Fire 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
067 Incident Reports
Records and information associated with department responses to fires and emergency incidents, including medical emergencies.

Death Declarations
Emergency Medical Services Forms
Emergency Services
False Alarm Reports
Hazardous Waste Sp ills
Incident Reports
Investigation Reports
Mandated Reporting: Child Abuse, Elder Abuse
Patient Care Reports (PCRs )*/Refusal of Treatment/Release of Liability Forms
Strike Team Records
Suspicious Activity Reports (SARs )
Fire
Police
7Y CA - California Fire Code, 104.6 - (5Y)
CA - 13 CCR 1100.7 - (3Y)
CA - 22 CCR 100170 (MAINT)
CA - 22 CCR 100171(e) - (MAINT)
CA - CCP 340.5 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 11191 - (3Y)
* PCRs for minors must be retained for AC+7Y or until
the minor reaches the Age of Majority Status (18Y),
whichever is longer.
068 Application, System Development and Maintenance
Technical documentation related to development and management of City technology processes, applications, or systems, as well as conversions, changes or modifications to existing applications or systems.

Business, Functional Requirements
Change Requests
Data Element Attribute Reports
Data Migration Documentation
Database Dictionary / Schema
End User Documentation, User Manuals
Hardware Configurations
Intranet
Joint Dispatch Center
Network Circuits Inventories
Network/Equipment Control Support Documentation
Police and Fire Dispatch
Source Code
System Documentation (codebooks, record layouts, reference guides, schematics, specifications )
System, Application Maintenance Documentation
(hardware/operating system requirements, monitoring logs, operating manuals )
Telecommunications System (telephones, voicemail )
Websites
Fire
Police
Information Technology
Life*+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
*Life of Application.
069 Fire Equipment
Records and information associated with fire protection and emergency response equipment.

Apparatus and Maintenance Records
Certification Binder
Equipment Checks
Inventories (apparatus, equipment, fixture )
Fire
Public Works
Life*+2Y CA - 8 CCR 3203(b)(1) - (1Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1910.157 (Life of extinguisher)
* Life of Equipment

Page 11 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 070 Hazardous Waste, Monitoring and Remediation
Planning, monitoring and contingency/emergency action plans for hazardous waste, emergency and spill response, natural and exposure emergencies, notifications and response; environmental action plans and supporting documentation; hazardous communications plans, including labeling, MSDS controls, training programs and procedures.

Emergency Response Programs
Employee Hazardous Chemical Exposure
Hazardous Material Incident Reports
Hazardous Substances Shipping Manifests
Hazardous Waste
Material Safety Data Sheets (MSDS )
Proposition 65 Monitoring
Site Mitigation
Toxic Substance Inventory
Fire
Public Works
While Active+30Y CA - 8 CCR 3204(d) - (CL+30Y)
CA - 22 CCR 66262.40 - (3Y)
CA - 22 CCR 66263.22 - (3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25160.8(c)(3)(D) - (AC+3Y)
US - 29 CFR 1910.1020 - (CL+30Y)
071 Fire and Police Routine Dispatch Telephone and Radio Communications Records Routine daily recording of telephone communications and all radio communications relating to the operations of the department.

Audio Telephone Recordings
Audio Radio Recordings
911 Call Recordings Logs
Dispatch Activity Logs
Fire
Police
100D* CA - GOV 34090.6 - (Routine Audio: 100D)
* Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims or any
pending litigation, they shall be preserved for 100 days after the conclusion of the court action.
072 Community Development Block Grant Project Files
Records and information of CDBG projects.

Applications
Awards
CDBG District Documents
CDBG Grant Agreements
Project Files
Housing & Community Development Closed+5Y CA - GOV 8546.7 - (CL+3Y) CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7) - (CL+4Y)
073 Housing Assistance Programs
Records and information regarding programs that provide housing and/or housing assistance to those in need including:
- Access improvement program (AIP)
- Covid relief financial assistance
- Displaced tenant relocation
- Emergency home repair program (EHRP)
- Emergency rental assistance
- Eviction moratorium (and phase-out)
- Home maintenance & improvement program (HMIP)
- Lead-safe improvement program (LSIP)
- PHA Housing Choice Voucher Program
- Rental adjustment program (RAP)
Applications
Citizen Participation Plans
Complaints
Fee Schedules
Public Hearing Records (Petitions, Responses, Decisions) Shelter Records
Housing & Community Development Closed+5Y CA - 25 CCR 7721 - (MAINT) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 5.514 - (5Y)
US - 24 CFR 91.105(h) - (5Y)
US - 24 CFR 92.508 - (CL+5Y)
US - 24 CFR 570.490(d) - (CL+3Y)
US - 24 CFR 570.502(a)(7) - (CL+4Y)
US - 24 CFR 884.214 - (3Y)
US - 24 CFR 908.101 - (3Y)
US - 24 CFR 982.158 - (AC+3Y)
US - 29 CFR 97.42 - (3Y)
074 Housing Financing Files
Records and information regarding programs that provide assistance to home purchasers and home owners, including:
- Accessory dwelling unit loan program (ADULP)
- Acquisition Conversion to Affordable Housing (ACAH)
- Affordable housing new construction loan program
- Homebuyer mortgage assistance program (MAP)
- Homeless Assistance - Homekey Program
- Pre-development loan program
- Residential rehabilitation loans
Affordability Agreements
Applications
Commitment Letters
Deeds of Trust
Escrow Instructions
Estoppel Certificates
Grant Agreements
Intercreditor Agreements
Lender Title Insurance Policies
Loan Agreements
Measure KK Implementation Records
Measure U Implementation Records
Monitoring Files
Notices of Funding Availability (NOFAs)
Promissory Notes
Regulatory Agreements
Settlement Statements
Subordination Agreements
Title Reports
Underwriting Guidelines
Housing & Community Development Closed*+5Y CA - 25 CCR 7721 - (MAINT) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 5.514 - (5Y)
US - 24 CFR 92.508 - (CL+5Y)
US - 24 CFR 908.101 - (AC+3Y)
US - 29 CFR 97.42 - (3Y)
* Closes when Loan is Fully Paid

Page 12 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

Acquisitions
Appraisals
Attachments
Buildings
Capital Improvements
Disposition and Development Agreements (DDAs)
Easements
Escrow Instructions
Exclusive Negotiating Agreements (ENAs)
Grannt Deeds
Ground Leases
Housing Authority Owned Properties
Lease Disposition and Development Agreements (LDDAs)
Leases
Letters of Intent
Letters of Interest
License Agreements
Possessory Interest
Purchase and Sales Agreements
Real Estate Property Agreements
Right of Way
Subdivision Improvement Agreements (SIAs)
Term Sheets
Title Insurance Policies
Valuation Information
Housing & Community Development
EWD Real Estate Division
Permanent CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090(a) - (PR)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
076 Benefit Plans and Programs
Benefit Plans established to provide employee benefits and associated administrative documents.

COBRA Rates, Records, Histories
Employee Benefit Plans (e.g. medical, dental, vision, EAP, FMLA, etc. )
Group Insurance Cost Data
Retirement Plans
Summary Plan Descriptions
Human Resources Life*+6Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1627.3(b)(2) - (T+1Y)
US - 29 CFR 4007.10(a)(1) - (6Y)
US - 29 CFR 4041.5 - (LI*+6Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
*Life of Plan or Benefit
077 Employee Benefit Files
Employee election (selection), enrollment or termination forms and related correspondence, including transmissions to carriers of additions, changes, claims and deletions (includes employee medical records subject to HIPAA requirements).

Benefits Files, Enrollments, Appeals
Beneficiary Designations
Death Claims, Life Event Documents
Disability Claims
Employment Status Changes (authorizations, terminations, confirmations, status changes, coverage changes )
Flexible Spending Enrollment
Life Insurance Notification Letters/EOI
Premium Information
Required Benefits Reporting
Retirement
Supplemental Forms
Human Resources While Active+6Y CA - 22 CCR 1085-2 - (CU+4Y) CA - GOV 12946 - (AC+4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1602.31 - (AC+2Y)
US - 29 CFR 1602.32 - (3Y)
US - 29 CFR 4007.10 - (6Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
078 Labor Relations Grievances
Documentation related to labor grievances filed under current collective bargaining agreements.

Grievance Files/Commission Hearing
Grievance/Hearing Logs
Union Grievances
Human Resources Final Resolution+4Y CA - CCP 337 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 12965 - (LA2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 29 CFR 1602.31 - (CL+2Y)
US - 29 USC 255 - (LA2Y)
079 Labor Relations Negotiations
Documentation related to the negotiations between labor unions for collective bargaining purposes.

Confidential Memos
Costing
Ground Rules
Handouts
Information Requests
Miscellaneous Information
Notes
Proposals - City
Proposals - Union
Human Resources While Active+20Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 29 CFR 516.5 - (3Y)

Page 13 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 080 Regulatory Reporting for Human Resources
Official non-financial Human Resources reports issued by City organizations to comply with regulatory requirements.

Annual Asbestos Notification
EEO-4 Reports
IRS Form 1095-C
Labor Reports
OSHA 300 Reports
Human Resources 5Y CA - 2 CCR 11013(c)(1) - (2Y)
CA - 8 CCR 14300.33(a) - (CU+5Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 29 CFR 405.9 - (5Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1904.33 - (5Y)
081 Risk Management Insurance Coverage
Records detailing the City's general coverage against property damage and liab ility, including renewal submission information, insurance quotes, & broker correspondence.

Binding Information
Broker Correspondence
California Joint Powers Insurance Authority ( CJPIA )
Certificates of Insurance
Completed Applications
Excess Insurance Authority (EIA)
Flood Insurance
Insurance Policies
Insurance Quotes
Insurance Submissions
Liability Insurance
Renewal Strategy
Human Resources While Active+4Y CA - 22 CCR 3267-2 - (MAINT) CA - CCP 337 - (LA4Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
082 Salary, Compensation
Documentation of job classification compensation.

Classification Studies
Compensation Plans, Planning, Analysis
Cost of Living Adjustments
Job Descriptions
Salary Range History
Salary Surveys
Human Resources 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (2Y)
083 Work Authorizations and Supporting Documentation
Employment eligibility verification forms collected for active employees and supporting documentation regarding immigration status.

I-9 Documents and copies of associated documents
Immigration Supporting Documentation
Human Resources Termination+3Y CA - GOV 34090 - (2Y)
US - 20 CFR 655.760 Subpart H - (T+1Y)
US - 8 CFR 274a.2 - (3Y or T+1Y, whichever is longer)
084 Staffing and Recruitment
Records and information related to recruitment of qualified persons for full pa-time, part- time and seasonal paid positions with the City:
- applications and related records of candidates interviewed but not hired or accepted - applications received but not acted upon.

Applications, CVs, Resumes (rejected, unsolicited )
Applicant Tracking Records (hired, rejected )
Background Checks, Investigations - candidates not
hired/accepted
Civil Service Examination Results and Rankings
Drug Testing, Pre-Hire Screening - candidates not hired/accepted Interview Notes
Job Descriptions and Specifications
Job Postings, Announcements
Job Requisition Requests
Recruitment of Commission/Committee Candidates
Temporary Intern Staffing
Test Results (non-hires )
Test and Examination Materials
Human Resources
Fire
Police
4Y CA - 2 CCR 11013(c)(2) - (2Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 (2Y)
US - 29 CFR 1607.4 - (MAINT)
US - 29 CFR 1627.3(b)(1) - (1Y)
US - 41 CFR 60-741.44(f)(4) - (3Y)
US - 41 CFR 60-741.44(k) - (3Y)
085(a) Background Checks - Personnel Not Hired
All documentation related to background checks for Applicants and unpaid volunteers that were not hired.

LiveScan Forms Human Resources 4Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
NOTE: Background checks for personnel hired are part
of the personnel file.
085(b) Background Checks - Personnel Not Hired
All documentation related to background checks for Applicants and unpaid volunteers that were not hired.

LiveScan Forms Police 20Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
NOTE: Background checks for personnel hired are part
of the personnel file.
*As required by Office of City Attorney

Page 14 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 086(a) Personnel Files
All documents related to paid employees (full and part-time), seasonal workers, and interns including but not limited to:
- selection/hiring
- assignments
- promotion
- demotion
- transfer
- layoff / recall / out-placement
- termination / discharge / resignation
- pay rates / other terms of compensation
- individual's training records
Applications, Applicant Reference Verifications
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations, LiveScan Forms -
candidates hired
Complaints and Disciplinary Actions
Drivers License Data
Employee Policy Acknowledgements
Individual Employee Agreements, Contracts (copies )
Individual Education, Development, Training Records
Investigations
Job Offer Letters
Leave of Absence Documentation, FMLA
Oaths of Office
Performance Evaluations, Reviews or PIPs
Recognition
Human Resources Except Police Termination+5Y CA - 2 CCR 11013 - (AC+2) CA - 8 CCR 11040(7) - (3Y)
CA - 22 CCR 1085-2 - (CU+4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 3105(f) - (T+5Y)
CA - GOV 12946 - (4Y; T+4Y)
CA - GOV 12950.1 - (2Y)
CA - GOV 34090 - (2Y)
CA - GOV 53235.2(b) - (5Y)
CA - GOV 53237.2(b) - (5Y)
CA - LAB 432.3 - (TE+3Y)
CA - LAB 1198.5(c)(1) - (T+3Y)
CA - LAB 2810.8 - (T+3Y)
CA - VEH 1808.1(c) - (1Y)
US - 29 CFR 825.500(b) - (3Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1602.31 - (T+2Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
US - 41 CFR 60-1.12 (a) - (2Y)
US - 41 CFR 60-741.80 - (2Y)
US - 49 CFR 40.333 - (5Y)
US - 49 CFR 382.401(b)(1) - (1Y, if negative; 5Y if
positive)
086(b) Personnel Files
All documents related to paid employees (full and part-time), seasonal workers, and interns including but not limited to:
- selection/hiring
- assignments
- promotion
- demotion
- transfer
- layoff / recall / out-placement
- termination / discharge / resignation
- pay rates / other terms of compensation
- individual's training records
Applications, Applicant Reference Verifications
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations, LiveScan Forms -
candidates hired
Complaints and Disciplinary Actions
Drivers License Data
Employee Policy Acknowledgements
Individual Employee Agreements, Contracts (copies )
Individual Education, Development, Training Records
Investigations
Job Offer Letters
Leave of Absence Documentation, FMLA
Oaths of Office
Performance Evaluations, Reviews or PIPs
Recognition
Police Termination+20Y* CA - 2 CCR 11013 - (AC+2)
CA - 8 CCR 11040(7) - (3Y)
CA - 22 CCR 1085-2 - (CU+4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 3105(f) - (T+5Y)
CA - GOV 12946 - (4Y; T+4Y)
CA - GOV 12950.1 - (2Y)
CA - GOV 34090 - (2Y)
CA - GOV 53235.2(b) - (5Y)
CA - GOV 53237.2(b) - (5Y)
CA - LAB 432.3 - (TE+3Y)
CA - LAB 1198.5(c)(1) - (T+3Y)
CA - LAB 2810.8 - (T+3Y)
CA - VEH 1808.1(c) - (1Y)
US - 29 CFR 825.500(b) - (3Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1602.31 - (T+2Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
US - 41 CFR 60-1.12 (a) - (2Y)
US - 41 CFR 60-741.80 - (2Y)
US - 49 CFR 40.333 - (5Y)
US - 49 CFR 382.401(b)(1) - (1Y, if negative; 5Y if
positive)
*As required by Office of the City Attorney
087 Employee Hazardous Exposure and Worker Compensation Records Documents pertaining to work-related injuries and related medical records of City employees, including exposure to hazardous substances and chemicals.

Exposure Files
Exposure Monitoring
Field Exposure
Workers Compensation
Human Resources
Public Works
Termination+30Y CA - 8 CCR 3204(d) - (T+30Y)
CA - 8 CCR 10102 - (Injury+5Y or Closed+1Y)
CA - 8 CCR 14300.33 - (5Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y; T+4Y)
CA - GOV 34090 - (2Y)
CA - 29 CFR 1904.33 - (CU+5Y)
US - 29 CFR 1910.95(m)(3)(ii) - (T)
US - 29 CFR 1910.1020 - (T+30Y)

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CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

NOTE: May include employee medical information subject to HIPAA requirements.

Accident (Injury or Illness) Investigation Reports
ADA Compliance and Reasonable Accommodation
Bloodborne Pathogen/Exposure Control Plan
Certifications
Drug Screenings
Emergency Action Plans
Employee Safety Training Records
Ergonomic Evaluations
Health and Safety Bulletins
Instructor Agreements
Lockout Tagout
New Hire Health & Safety Orientation Checklist Forms
Public Access Defibrillation
Reports (Unsafe Conditions, Hazards, Hazard Correction) Reviews
Safety Committee (employee suggestions and responses, safety letters/memos, meeting minutes )
Safety Inspections
Human Resources 6Y CA - 8 CCR 3203(b)(1) - (1Y)
CA - 8 CCR 5157 - (1Y)
CA - 8 CCR 10102 - (Injury+5Y or Closed+1Y)
CA - 8 CCR 14300.33 - (CU+5Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 6401.7 - (MAINT)
CA - LAB 6409.6 - (3Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (AC+2Y)
US - 29 CFR 1904.33 - (5Y)
US - 49 CFR 382.401(b)(1) - (5Y)
089 Human Services Programs
Records and Information documenting the services and programs of the Human Services Department.
- Aging & Adult Services
- Child and Youth Services
- Community Cabin Program
- Community Homelessness Services
- Head Start and Early Learning
- Paratransit Services
- Supportive Financial Services
Applications
Case Files, including Medical Files
Family Records (confidential )
Homelessness Voucher Records
Meals for Seniors Records
Participation Metrics
Program Files
Reports
Schedules
Teacher Records
Video Recordings of Events
Waivers
Human Services While Active+7Y CA - BPC 2919 - (AC+7Y: Adults; Age of Majority+7Y:

Minors)
CA - BPC 4980.49 - (AC+7Y: Adults; Age of
Majority+7Y: Minors)
CA - BPC 4993 - (AC+7Y: Adults; Age of Majority+7Y:

Minors)
CA - CCP 335.1 - (LA2Y)
CA - CCP 337 - (LA4Y)
CA - CCP 340.15 - (LA3Y)
CA - CCP 340.5 - (3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 5.514 - (5Y)
US - 24 CFR 908.101 - (3Y)
US - 24 CFR 982.158 - (EXP+3Y)
090 Asset Management, Maintenance
Records related to the management and maintenance of City assets, including equipment, fleet vehicles, parks, real property and infrastructure assets.

Air Quality Permits
Calibration Records
Equipment Certifications
Irrigation (parks, public green space )
Landscaping
Maintenance and Repair Work Orders
Maintenance Inspection Reports (equipment, facilities, trees ) Maintenance Reports (buildings, equipment, streets, sidewalks ) Parking Lots
Pool Chemical Readings
Streets (alleys, highways)
Tree Service / Tree Requests
Vehicles / Fleet (automobiles, buses, trucks, forklifts, etc. ) Human Services
Public Works
Transportation
Life*+5Y CA - 3 CCR 6624(g) - (2Y)
CA - 22 CCR 65523(e) - (2Y)
CA - 22 CCR 66266.130(c)(5) - (3Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 4216.2(f) - (3Y)
CA - GOV 34090 - (2Y)
CA - HSC 25250.18(b) - (3Y)
CA - VEH 34505.5(c) - (2Y)
* Life of Asset
091 Business Continuity Records - Computing Equipment and Network Operations All documentation for dealing with preparation for and responses to emergencies, disasters and/or system failures for City computing resources.

Business Continuity Plans
Disaster Recovery Plan
Emergency Response
Information Technology Superseded+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)

Page 16 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

Access Requests
Annual Database & System Security Reviews
Audit Trail Files
Automated Logs
Change Management Case Files
Computer Usage Files
Data Breaches (notifications, reports, responses )
Data Sets, Extracted Data Summaries
Firewall
Hardcopy Publication, Printouts of Report Data
Security Access (buildings, doors, systems )
Special Access Approvals
Trouble Tickets
Usage Reports (summary, system )
User Access Records (passwords, security logs, user accounts, log-in files, data entry logs, accounts )
User Incident, Response Files
Information Technology 3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - CIV 1798.27 - (3Y)
093 Operational Maps
Informal maps and geographical information pertaining to City operations and services.

Sewer TV Surveys
Street Sweeping
Tree Trimming
Trash Pick-up
Information Technology Public Works 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
094 Inspector General - Closed Case Reviews
Records and information regarding the findings and decisions of the Inspector General after review of Police closed cases.

Recommendations and Findings
Reports
Review Notes
Inspector General While Active+20Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
*As required by Office of City Attorney
095 Inspector General Program Records
Records and information regarding the routine monitoring and assessment of the Police Department's activity.

Annual Reports
Audits
Risk Assessments
Surveys
Work Plans
Inspector General While Active+20Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
*As required by Office of City Attorney
096 Library
Records related to the operation and maintenance of the City's public Library.

Accession Records
Circulation Records
Correspondence and Communication (with patrons, with Friends of the Library )
Outreach
Overdue Records
Patron Requests
Reports
Library While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
097 Appointments to Boards and Commissions
Staff records related to appointments and mem bership made by authorized elected officials to councils, committees, boards, and commissions.

Applications (appointed, unsuccessful )
Interview Notes
Letters of Appointment
Letters of Recommendation
Oaths of Office
Resumes
Mayor Term of Office+2Y CA - GOV 34090 - (2Y)
098 Parks and Recreation Facility Rentals
Records and information documenting rental arrangements for the City's parks and recreational facilities, including;
- Dunsmuir Hellman Historic Estate
- Jack London Aquatic Center
- Joaquin Miller Community Center
- Lake Merritt Sailboat House
- Lakeside Park Garden Center
- Leona Lodge
- Morcom Rose Garden
- Sequoia Lodge
Facility Rentals (use applications - approved and unapproved, permits, reservation books, insurance certificates, users, reports ) Parks, Recreation & Youth
Development
While Active+4Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)

Page 17 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 099 Parks and Recreation Programs and Services
Records and information documenting the City's parks and recreational programs and services.

Applications
Day Care
Program/Class/Leagues
Program/Event Evaluations
Recreation Schedules
Registrations Forms
Reservations and Waivers
Special Events
Sports Team Rosters
Summer Camp
Withdrawal Forms
Parks, Recreation & Youth
Development
While Active+4Y CA - CCP 337 - (LA4Y)
CA - 22 CCR 65523 - (2Y)
CA - 22 CCR 101221 - (AC+3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
100 Planning and Zoning Services
Records and information pertaining to the activities of the planning division, including zoning. Includes Discretionary Entitlement records (hearing required).

Administrative Meeting Minutes, Decisions
Appeals
CEQA Documents
Design Review
Development Agreements
Development Plan
Entitlements (administrative, planning )
General Plan
Home Occupancy Permits
Land Use Permits, Studies
Master Plans and Specific Plans
Planned Development (PD )
Planning Review Case Files (notices, neighbor letters, plans, blueprints )
Variances
Zoning, Rezoning and Map Amendments
Planning & Building Permanent CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12981 - (1Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
101 Code Compliance and Enforcement
Records and information documenting compliance with City codes, including violations and hearings.

Citations
Compliance with Conditions of Approval
Hearings
Illegal Dumping
Inspections / Enforcement (business, residential)
Investigations
Notices of Noncompliance
Notices of Violation
Photographs
Planning and Building
Public Works
While Active+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (2Y)
NOTE: Records for repeat offenders may be retained
longer to document a history of violations
102 Building Plans, Building Permits, Appeals and Decisions Records and information documenting the building services provided by the City regulating private property.

Alternate Materials and Methods of Construction
Appeals
Building Inspections
Building Permits (issued, active, history )
Building Plans - Commercial & Residential
Certificates of Occupancy
Design and Construction Standards
Developer Fee's and Waivers
Modifications and Related Tests
Planning and Building Permanent CA - CBC 107.5 - (Completion+180D) CA - CRC 106.5 - (Completion+180D)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)*
Oakland Municipal Code 15.04.2.325 - (MAINT)
Oakland Municipal Code 15.04.2.330 - (MAINT)
Oakland Municipal Code 15.04.2.335 - (MAINT)
* Life of Building
103 Real Property Maps and Drawings
Final maps and geographical information pertaining to City properties.

Aerial Photos
Assessor Parcel Maps
Annexations
Benchmarks
Building Site Determination
Center Line Ties
Drainage
Flood Hazard Boundary Maps (FHBMs)
Geographic Information System (GIS)
Grading Plan Drawings
Improvement Plans, Drawings
Lot Line Adjustments
Lot Numbers
Parcel Mergers
Parcels, Plats
Record of Survey Maps
Rights of Way
Sphere of Influence
Street Address Files
Subdivisions
Tentative Maps
Tracts
Planning and Building
Public Works
Permanent CA - CCP 337.15 - (LA10Y)
CA - GOV 34090(a) - (PR)
CA - HSC 19850 - (LI)*
US - 44 CFR 60.3 - (MAINT)
* Life of Building, Asset or Facility

Page 18 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

Certificates of Compliance
Encroachment Permits
Planning and Building
Public Works
Transportation
While Active+10Y CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
105 Case Files - Felonies, Excluding Murder/Homicide, Capital Offenses, Crimes of Sexual Violence, Child Abuse, Elder Abuse, and Violations of Public Trust Records, crime reports and evidence associated with felony violations of laws, excluding homicide and capital violations, crimes of sexual violence, child abuse, elder abuse, embezzlement of public funds, or falsification of public documents. Includes felony hit-and- run traffic accidents..

Case Files
Reports
Police While Active*+10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 800 - (LA6Y)
CA - PEN 801 - (LA3Y)
CA - PEN 801.1(b) - (LA10Y)
CA - PEN 851.8 - (SEAL&DESTROY)
CA - Law Enforcement Evidence and Property
Management Guide
* Provided there are not outstanding warrants, deaths,
and it is not classified under PC §800 and 290 and
HSC §11850; Statute of limitations is 2 years
106 Criminal Registrations - Gangs
Records for those required to register as a gang violence offender.

Registrations Police 5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 186.32 - (5Y)
107 Criminal Registrations - Juvenile Arsonists
Records for those juveniles required to register as arsonists.

Registrations Police Age 25 or SEAL+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 457.1(d) - (Upon reaching age of 25 or when
records are sealed)
CA - WIC 781 - (SEAL+5Y)
108 Criminal Registrations - Sex Offenders, Adult Arsonists Records for those required to register as sex offenders or arsonists.

Registrations Police Life*+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 290 - (Life of Offender)
CA - PEN 290.008(d) - (5Y; 10Y)
CA - PEN 457.1(b)(2) - (Life of Arsonist)
* LI = Life of the offender or arsonist
109 Logs of Access or Deletion of Data for Body-Worn Cameras Documentation of when and by whom access to or deletion of data from body-worn cameras takes place.

Logs of Access or Deletion Police Permanent CA - GOV 34090 - (2Y) CA - PEN 832.18(b)(5)(E) - (PR)
110 Police - General Administrative Records
Records of general community support activities and administrative records received and/or generated in the routine course of law enforcement activities and not associated with a case number.

Activity Reports
Crime Statistics and Reporting
Daily Bulletins
Extradition Files (out of state)
False Alarm Reports
Incident Logs
LiveScan Research (for non-City organizations)
Peace Officer Traffic Stops Report
Refund Letters
Ride-Along Program Records
Tow Notifications and Reports
Traffic Information Reports
Uniform Crime Reporting
Vehicle Release Documents
Waiver Letters
Police While Active+3Y CA - 11 CCR 999.228(j) - (3Y)
CA - 11 CCR 999.229(a) - (3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
CA - GOV 12525.5 - (CU+1Y)
111 Police Case Files - Dead Bodies
Records, crime reports and evidence associated with investigations of dead bodies, whether by natural causes or found.

Reports
Statements
Police Final Resolution*+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
* Case remains active until body has been identified
and cause of death determined. If determination is
made that the death was a homicide, records are
recategorized as "Felony Murder/Homicide" case files
112 Police Case Files - Domestic Violence
Records, crime reports and evidence associated with investigations and served protective orders for domestic violence.

Criminal Protective Orders
Reports
Restraining Orders
Statements
Police While Active+20Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 13710 - (MAINT)
*As required by Office of the City Attorney

Page 19 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 113 Police Case Files - Felony Murder/Homicide, Capital Offenses, Child Abuse, Elder Abuse, and Violations of Public Trust
Records, crime reports and evidence associated with capital felony violations of laws, including homicide, child abuse, elder abuse, embezzlement of public funds, or falsification of public documents.

Case Files
Reports
Police Permanent CA - CCP 340.1 - (Longer of Plaintiff's Age of Majority+8Y or Discovery of Injury+3Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
No limitation on commencement of action; PC §261,
286, 288, 288a, 288.5, 289, 289.5, and 799.
114 Police Case Files - Misdemeanors, Infractions
Records, crime reports and evidence of misdemeanors and infractions, including traffic incidents and parking/moving citations and appeals.

Case Files
Field Contact Records
Reports
Police 3Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (LA1Y)
CA - VEH 2547 - (3Y)
* Provided there are no outstanding warrants, deaths,
and it is not classified under PC §800 & 290 and H&S
§11850; Statute of Limitations is 2 years
115 Police Case Files - Missing Persons, Protective Custody and Runaways Records, crime reports and evidence associated with missing persons and runaways.

Case Files
Reports
Police While Active*+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
* Case remains active until solved
116 Police Case Files - Officer Involved Shootings
Records, crime reports and evidence associated with criminal cases dealing with officer involved shootings.

Case Files
Reports
Police While Active+20Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - PEN 832.18 - (2Y)
CA - PEN 832.5 - (5Y, where there is not a sustained
finding of misconduct; 15Y where was a sustained
finding of misconduct)
*As required by the Office of the City Attorney
117 Police Case Files - Sealing of Records
Records of court orders to seal records.

Case Files
Reports
Police SEAL*+3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 851.8 - (SEAL+3Y)
CA - PEN 851.90 - (MAINT)
CA - WIC 781.5(a) - (SEAL+3Y)
*SEAL = Date Records Sealed
118 Police Case Files - Stolen Property
Records, crime reports and evidence associated with stolen property.

Case Files
Reports
Police While Active*+20Y** CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - CCP 338(c)(2) - (LA3Y)
CA - GOV 34090 - (2Y)
* Case remains active until solved
**As required by the Office of the City Attorney
119 Police Case Files - Traffic Collisions - Fatal
Records, crime reports and evidence associated with traffic co llisions involving fatalities.

Case Files
Reports
Police Permanent CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
120 Police Community Programs
Records and information regarding community activities and programs managed by the Police Department.

Cadets
Citizens Academy
Explorers
Police While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
121 Police Laboratory Records
Records and information regarding the testing and laboratory results performed during investigations of a crime.

Equipment Records
Laboratory Results
Reports
Police 10Y* CA - CCP 343 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 4901 - (LA10Y)
122 Police Routine Video Records
Recordings of routine video monitoring, to include time and date of video, location of video and other related information.

Body Cam
Building Security Recordings
Drone Recordings
In-Car Video
Police 3Y* CA - GOV 34090.6 - (Routine Video: 1Y)
CA - PEN 832.18 - (60D)
* Exception: 1) If recordings are evidence in any
criminal prosecution, claims filed, potential claims or any pending litigation, they shall be preserved for 100 days after the conclusion of the court action; 2) building security recordings with written consent of the City
Attorney

Page 20 of 23 ends

CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 123 Police Shooting Range
Records and information regarding the shooting range managed by the City's Police Department.

Sign-in Sheets Police 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
124 Policy Academy Records
Records and information generated or received in the recruitment of new police officers and training records of the Police Academy
Accreditation Records
Attendance
Course Work and Grades
Recruitment Letters
Training Schedules
Police 20Y* CA - CCP 343 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
*As required by the Office of the City Attorney
125 Seized or Unclaimed Property Records
Records documenting tracking and management of physical property seized by the Police department, or collected by the Police department but unclaimed, and not assigned to a case number or considered as evidence in a criminal investigation.

Evidence Files
Inventory Reports
Logs - Sign in
Police 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - VEH 10650(c) - (1Y)
126 Police K-9 and Equestrian Records
Records documenting the acquisition, assignment and care of the Police Department's K-9 and equestrian units.

Animal Acquisition Records
Animal Medical Records
Assignment and Ownership Records
Training Records
Police Life*+3Y CA - CCP 335.1 - (LA2Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
*Life of the animal.
127 Lobbyist Registration and Activity Disclosure
Registration records and reports disclosing lobbyist activity required by the Lobbyist Registration Act.

Lobbyist Quarterly Activity Reports
Lobbyist Registration
Lobbyist Registration Termination
Training Records
Public Ethics Commission While Active+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
CA - GOV 86106 - (2Y)
CA - GOV 86110 - (MAINT)
CA - GOV 86116.5 - (1Y)
US - 11 CFR 102.9(c) - (3Y)
US - 11 CFR 104.14(b) - (3Y)
Oakland Municipal Code 3.20.080 - (5Y)
128 Public Ethics Commission Investigations
Records and information documenting complaints, investigations, mediation, settlements and administrative hearings regarding violations within the Public Ethics Commission's jurisdiction. Includes:
- Government Ethics Act Violations
- Oakland Campaign Reform Act Violations
- Lobbyist Registration Act Violations
- Limited Public Financing Act Violations
- Fair Elections Act Violations
- Sunshine Act Violations
- Other miscellaneous provisions of the City Charter and OMC (e.g. Chapter 2.24, 2.45) giving jurisdiction to the PEC to investigate certain types of violations Complaints
Dismissal, Warning and Advisory Letters
Evidence Used in Support of any of the Above
Final Settlement Agreements
Hearing Officer Findings and Recommendations
Investigative Reports
Investigation Summaries
Legal Analysis Memoranda
Preliminary Review Memoranda
Probable Cause Reports
Request For Settlement Authority Memoranda
Public Ethics Commission Final Resolution+5Y CA - CCP 337 - (LA4Y) CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 1092(b) - (LA4Y)
CA - GOV 34090 - (2Y)
CA - PEN 801 - (LA3Y)
CA - PEN 802 - (LA1Y)
Oakland Municipal Code 2.28.080(6) - (LA4Y)
Oakland Municipal Code 3.15.190(A) - (LA5Y)
129 Building, Property Management
Records and information regarding the structure of City buildings.

As-Built Blueprints
Construction Records
Electrical Wiring Schematics
Floor Plans
Property Inventory
Utility Consumption Tracking
Public Works Life*+10Y CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)*
* LI = Life of Building or Facility
130 Fuel Management
Records related to the purchase, storage, tracking and management of fuel for City vehicles.

California Air Resources Board Certificate
Fuel Card Authorizations
Fuel Pump Maintenance and Testing
Fuel Reports, Billing Reports, Journals, Fuel Tickets
Fuel Tank Integrity Testing
Fuel Tank Maintenance (aboveground, below ground )
Storage Tanks - above and below ground
Public Works Life*+5Y CA - 23 CCR 2712 - (LI)*
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GC 34090 - (2Y)
CA - HSC 25283.5(a)(3) - (MAINT)
CA - HSC 25285 - (5Y)
CA - HSC 25292(b)(4) - (1Y)
CA - HSC 25293 - (MAINT)
* LI - Life of Tank

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CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 131 Security, Access Operations
Records and information regarding physical access controls and protection for City buildings and facilities.

Access Controls
Access Reports
Badge Lists
Daily Activity Logs
Facility Key Lists
Key Cards
Security Camera Footage
Transaction Logs
Public Works 2Y* CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - GOV 34090.6 - (Routine Video: 1Y)
* Exception: 1) If recordings are evidence in any
criminal prosecution, claims filed, potential claims or any pending litigation, they shall be preserved for 100 days after the conclusion of the court action; 2) building security recordings with written consent of the City
Attorney
132 Storm Drainage Management
Records and information documenting the operat ions and maintenance of the City's storm drains, pump stations and drainage ditches.

Drainage Ditches
Pump Stations
Storm Drains
Public Works 5Y CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 40 CFR 122.41(j) - (3Y)
133 Water, Sewer and Solid Waste
Records and information associated with the maintenance of sewers, storm drains, waste, water, and land use.

Backflow Prevention
Environmental Conservation, Programs
Flood Control (plans, SB5)
Inventories (equipment, materials, meters, pipes )
Irrigation (management, plans, SSJID )
Pollution Control Permits
Sewer System
Storm Drains
Storm Water Monitoring
Underground Service Alerts (USA )
Waste Water ( lab groups, reports to state )
Water Runoff Testing
Weight Tickets
Public Works While Active+5Y CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25244.19 - (4Y)
CA - HSC 25244.20 - (4Y)
US - 40 CFR 122.21(p) - (5Y)
US - 40 CFR 122.41(j) - (5Y)
US - 40 CFR 122.44(i)(4) - (3Y
134 Facility Maintenance and Inspection Records
Reports of inspections of maintenance performed on City fac ilities and infrastructure including:
- Buildings
- Equipment
- Janitorial
- Parks
- Streets
- Sidewalks
- Storm Drains
- Streetlights
- Traffic Signals
- Trees
Air Quality Inspections
Backflow Inspections
Elevator Certificates
Equipment Inspections
Graffiti Removal
Facility Inspections
Inspections
Inventory of City Trees
Logs
Playground Inspections
Reports
Staffing Schedules
Street Striping and Signing
Tree Trimming Schedules
Traffic signal repairs and maintenance
Public Works
Transportation
4Y CA - 22 CCR 65523 - (2Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 4216.2(f) - (3Y)
CA - GOV 34090 - (2Y)
135 Capital Project Files
Records and information related to the administration, analysis, design, development, planning, construction and maintenance of public works, Capital Improvement (CIP) and Engineering & Capital Projects for City fac ilities and infrastructure. Includes projects funded from various sources including bonds, grants, capital improvement and general fund.

Assessments
Capacity (water, wastewater ) Fees
Certificates of Compliance/Notice of Non-Compliance
Daily Inspections and Progress Meetings
E.I.R., Notice of Determination, Categorical Exemptions Encroachment Permits, Certificates
Field Inspections, Closures
Final Improvement Plans/As-Built Plans
NPDES Permits
Photos/Pictures
Project Plans and Schedules, Insurance, Permits
Real Estate Appraisals
Reports: (Geotechnical, Soil, Drainage, Stormwater, Sewer, and Traffic)
Specifications, Calculations, Change Orders
Studies and Surveys
Underground Utilities Maps
Public Works Permanent CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - 14 CCR 15095 - (Reasonable)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)*
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
US - 29 CFR 97.42(b) - (AC+3Y)
* LI = Life of Building, Asset or Facility
136 Race and Equity Program Records
Records and Information regarding the services and support provided by the office of Race and Equity.

Advice Memos
Correspondence
Reports
Statistics and Indicators
Race and Equity While Active+3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
US - 29 CFR 1602.31 - (CL+2Y)
US - 29 CFR 1607.4 - (MAINT)
US - 41 CFR 60-1.12 (a) - (2Y)
US - 41 CFR 60-741.44 - (3Y)
US - 41 CFR 60-741.80 - (2Y)

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CITY OF OAKLAND
RECORDS RETENTION SCHEDULE
Record No. Record Name and Description Example Documents Department/Office of Record Retention Legal Citations and Comments

ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CL = Closed CU = Current Year FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 137 Traffic and Transportation Design and Planning
Records and information of activities impacting City streets and traffic, as well as transportation projects and efforts to manage traffic circulation and plan for upcoming improvements, including studies and surveys.

Bicycle and Pedestrian Program
City Street Projects (potholes)
Highway Corridors
Impact Studies
Parking Plans
Rights-of-Way
Signs, Signals and Street Markings
Speed Surveys
Street/Highway Studies/Surveys
Street Name Changes
Streetscape Services
Temporary Street Closures
Traffic Counts
Traffic Management Plans
Transportation Planning
Transportation While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
138 Transportation Traffic Safety and Enforcement
Records and information regarding the safety and control of streets and parking meters.

Includes:
- Parking enforcement
- Vehicle abatement from private property
Citations
Hearing of Appeals
Parking Meters Collections
Transportation While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
139 Violence Prevention Program Records
Records and information regarding the services and programs offered by the City for Violence Prevention.
- Community Healing and Restoration
- Life Coaching, Adult and Youth
- Family Support, Hospital Response and Relocation
- Gender-Based Violence Response
- Gun Violence Response
- Youth Diversion
- School-site Violence and Prevention Teams
- Violence Interruption Services
Coaching Records
Diversion Records
Evaluations
Reports
Response Records
Strategic Plans
Violence Prevention While Active+3Y CA - CCP 338 - (LA3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
140 Small and Disadvantaged Business and Supplier Files Records and information of small and disadvantaged businesses and suppliers to all City organizations created or retained in the purchasing or acquisition of goods and services.

Small and Disadvantaged Contractors - Vendor List
Vendor Applications, Profiles
Vendor Packets
Workplace and Employment
Standards
While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
141 Small Business Inclusion Enforcement
Records and information generated or received by the City to monitor the inclusion of small and disadvantaged businesses in City projects and programs.

Applications
Certificates to Businesses
Fees and Penalties
Project Files
Reports
Workplace and Employment
Standards
While Active+4Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
142 Workplace Claims and Complaints
Records and Information regarding any labor complaints against the City or a City business.

Investigations
Letters and Correspondence
Living Wage Complaints, Hearings, Determinations and Findings MOUs
Workplace and Employment
Standards
Final Resolution+4Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Oakland Municipal Code 2.28.060 - (MAINT)

Page 23 of 23 ends

Rules & Legislation CommitteeJanuary 25, 2024

Rules & Legislation Committee
January 25, 2024