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HomeMy WebLinkAbout07 - Amendments to the Records Retention ScheduleQ �EwPpRT O c — '9 TO: FROM CITY OF NEWPORT BEACH City Council Staff Report PREPARED BY: PHONE: TITLE: ABSTRACT: August 24, 2021 Agenda Item No. 7 HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL Leilani I. Brown, City Clerk - 949-644-3005, (brown@newportbeachca.gov Eric Bryan, Records Specialist, ebryan@newportbeachca.gov 949-644-3083 Resolution No. 2021-75: Amendments to the Records Retention Schedule The City of Newport Beach (City) continues to improve its records management program, including updating its Records Retention Schedule (RRS) to incorporate new laws and business practices. At its March 26, 2019 meeting, the City Council approved Resolution No. 2019-24 amending certain sections of the RRS, authorizing destruction of certain City records, and indicating that major or substantive revisions to the RRS are required to be considered by the City Council for review and approval. Based on the most recent periodic review, attached to this staff report is a list of proposed amendments for City Council review and approval. RECOMMENDATION: a) Determine that the action is exempt from the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the CEQA Guidelines because it will not result in a physical change to the environment, directly or indirectly; and b) Adopt Resolution No. 2021-75, A Resolution of the City Council of the City of Newport Beach, California, Amending Certain Sections of the Records Retention Schedule and Authorizing Destruction of Certain Records Accordingly. DISCUSSION: In August 2003, the City adopted an RRS, which among other things, provided record descriptions and retention periods. Since then, the City Council has approved revisions to the RRS in 2006, 2014, 2016, 2018 and 2019. The purpose of the revisions is to keep the RRS as up-to-date as possible. 7-1 Resolution No. 2021-75: Amendments to the Records Retention Schedule August 24, 2021 Page 2 The City's consultant, Diane Gladwell of Gladwell Governmental Services, Inc. (Gladwell), specializes in local government records, and periodically reviews the City's RRS and provides recommended updates based on new laws and business practices. On an as -needed basis, the City Clerk's Office will meet with records staff from each department to review their specific records and this collaboration has generated the need to reevaluate the RRS for additional changes. The changes include updating government code references, merging the Public Works and Municipal Operations Department retention codes, and deleting document types that are transitory in nature, duplicated elsewhere in the RRS, moved to another department, are no longer City records, or the retention period of the record has changed. The City Clerk's Office, City Attorney's Office and Diane Gladwell have reviewed staff's requested revisions to the RRS and, based on best practices, agree that the recommended changes are acceptable (Exhibit 1 to Attachment A). FISCAL IMPACT: There is no fiscal impact related to this item. ENVIRONMENTAL REVIEW: Staff recommends the City Council find this action is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. NOTICING: The agenda item has been noticed according to the Brown Act (72 hours in advance of the meeting at which the City Council considers the item). ATTACHMENT: Attachment A — Resolution No. 2021-75 7-2 ATTACHMENT A RESOLUTION NO. 2021- 75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NEWPORT BEACH, CALIFORNIA, AMENDING CERTAIN SECTIONS OF THE RECORDS RETENTION SCHEDULE AND AUTHORIZING DESTRUCTION OF CERTAIN RECORDS ACCORDINGLY WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Newport Beach ("City"); WHEREAS, California Government Code Section 34090 of seq. provides a procedure whereby any City record that has served its purpose and is no longer required may be destroyed; WHEREAS, the State of California has adopted guidelines for retention periods for various government records; WHEREAS, on August 12, 2003, the City Council adopted Resolution No. 2003- 39, approving the initial records retention schedule ("First Records Retention Schedule"), WHEREAS, on December 12, 2006, the City Council adopted Resolution No. 2006-104, amending the First Records Retention Schedule; WHEREAS, on February 8, 2011, the City Council adopted Resolution No. 2011- 18, adopting a new records retention schedule and rescinding Resolutions Nos. 2003-39 and 2006-104 ("Second Records Retention Schedule"); WHEREAS, on May 13, 2014, the City Council adopted Resolution No. 2014-35, adopting a new records retention schedule and rescinding Resolution No. 2011-18 ("Third Records Retention Schedule"); WHEREAS, the City Council has adopted Resolutions Nos. 2016-48, 2018-18, and 2019-24, amending the Third Records Retention Schedule ("Records Retention Schedule"); and WHEREAS, the City is continuing to improve its Records Management program, including updating the City's Records Retention Schedule to incorporate new laws and business practices. NOW, THEREFORE, the City Council of the City of Newport Beach does hereby resolve as follows: 7-3 Section 1: The term "records" as used herein shall include any written or electronic documents, instructions, books, microforms, electronic files, magnetic tape, optical media, papers, or other items as defined by the California Public Records Act ("CPRA") under California Government Code Section 6252(e). Section 2: The Records Retention Schedule is hereby amended, in part, as set forth in Exhibit 1, attached hereto and incorporated herein by this reference. Section 3: All other parts of the Records Retention Schedule that are not modified by the adoption of this resolution, shall remain unchanged and in effect. Section 4: The records of the City of Newport Beach, as set forth in the Records Retention Schedule, as amended, are hereby authorized to be destroyed in accordance with California Government Code Section 34090 et seq. and the applicable timeline set forth in the Records Retention Schedule, as amended, upon the request of the Department Directors and with the written consent of the City Attorney, without further action by the City Council of the City of Newport Beach. Section 5: With the consent of the City Clerk, City Manager, and City Attorney, the following amendments are hereby authorized to be made to the Records Retention Schedule, as amended, without further action by the City Council: (1) minor clarifications or improvements of records descriptions, (2) changes of Office of Record/re-naming of departments or divisions, and (3) new records series being added; as long as those additions or amendments do not reduce the retention timeline or eliminate any portion of the Records Retention Schedule, as amended. Although these items do not require City Council approval, a summary of all changes shall be made available to the City Council for review. Section 6: The City Council finds the adoption of this resolution is not subject to the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Division 6, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. Section 7: The recitals provided in this resolution are true and correct and are incorporated into the substantive portion of this resolution. 7-4 Section 8: If any section, subsection, sentence, clause or phrase of this resolution is, for any reason, held to be invalid or unconstitutional, such decision shall not affect the validity or constitutionality of the remaining portions of this resolution. The City Council hereby declares that it would have passed this resolution, and each section, subsection, sentence, clause or phrase hereof, irrespective of the fact that any one or more sections, subsections, sentences, clauses or phrases be declared invalid or unconstitutional. Section 9: This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall certify the vote adopting the resolution. ADOPTED this 24th day of August, 2021. Brad Avery Mayor F -A a 11 *16 Leilani I. Brown City Clerk APPROVED AS TO FORM: CITY ATTORNEY'S OFFICE /"' C Aar n C. Harp City Attorney Attachment(s): Exhibit 1 — 2021 Records Retention Schedule Update — Individual Proposed Changes Exhibit 2 — 2021 Records Retention Schedule — Redline Draft 7-5 Exhibit 1 Indicates must go to Council for approval if x In box Indicates Amended text - no Current need for CC approval Indicates New text , no need for CC a pproval Action Requested Department/Division Current OFR Ciasslfication I Records Description Specific Request/ Comments / Reference/ No. Information/Reasoning/ Clarification Needed Accounts Payable, CW AW Finance CW -003 Invoices, Travel Amend Office of Record column: A&¢ Finance Reimbursement,. etc. Agreements &Contracts: Unsuccessful Bids, Amend Media Options column: Mag, Mfr, OD, Ppr CW Lead Dept. CW -013 Unsuccessful Proposals, Amend Image column: S/I and RFQs (Request for Amend Destroy Paper after Imaged & QCd column: Yes: Qualifications) thatdon't After QC & OD result in a contract Audits / 6.4 PR CW Finance CW -014 Comprehensive Annual Amend Records Description column: Audits / Q4 A Financial Reports Comprehensive Annual Financial Reports Boards, Commissions, & Committees: Citizens Advisory Formed byCITY Amend Media Options column: Mag, Mfr, 00, Ppr CW Staffing Dept. CW -018 COUNCIL{Agenda Amend Image column: 5/1 Packets, Notices, Amend Destroy Paper after Imaged & QC'd column: Yes: Affidavits of Postings, After QC & OD Proof of Publications, _ etc.) Amend Comments / Reference column: Statute of Lead Complaints (against Limitations for public official misconduct is discovery of CW (Responding) CW -028 Personnel - e.g. offense +4 years; State and Fed laws is until final Dept. misconduct, abuse, disposition of formal complaint; State requires 2 years excessive farce, etc.) atter action; CCP §§340 et seq., 342; EVC § 1045(b)(1), GC §§12946, 12960, 34090; VC §2547 Correspondence - TRANSITORY/ PRELIMINARY DRAFTS, Interagency and I ntraagency Memoranda not retained in the ordinary course of business Content NOT Substantive, or NOT Amend Records Description column: Correspondence, orrespondence- made made or retained forthe TRANSITORY / PRELIMINARY DRAFTS, Interagency and purpose of preserving Intraagency Memoranda not retained in the ordinary I the informational course of business Content NOT Substantive, or NOT 1 Dept. that content for future made or retained for the purpose of preserving the Authors reference[e.g, calendars, informational content for future reference(e.g.calendars, CW Document or CW -033 checklists, e-mail or checklists, e-mail or social media posting, invitations, Receives the social media posting, instant messaging, logs, mailing lists, meeting room City's Original registrations, posters, staff videoconference chats, notes Document invitations, instant messaging, logs, mailing and recordings, supply inventories, telephone messages, lists, meeting room text messages, transmittal letters, thank yous, requests from other cities, undeliverable envelopes / registrations, posters, staff videoconference Undeliverable Public Hearing Notices, visitors logs, voice Chats, notes and mails, webpages, etc.( recordings, supply inventories, telephone messages, text messages. transmittal letters, thank yous, requests from other cities, undeliverable Amend Comments Reference column: Meets auditing Grants / CDBG / FEMA standards; Grants covered by a Consolidated Action Plan Claims / OES Claims / are required for 5 years; Uniform Admin. Requirements Reimbursable Claims for Grants to Local Governments is 3 years from {SUCCESSFUL Reports, expenditure report or final payment of grantee or CW Lead Dept. CW -035 other records required subgrantee; statewide guidelines propose 4 years; 2 CFR to pass the funding 200333; , 24 CFR 83-42; agency's audit, if 91.105(h), 92.505, 570.490, & 570.502(a&b), 29 GFR required) 66-42; 29 CFR 97.42; 49 GF" 31.;',� 41 CF 4!RA 9i 45 gis 92,42; OMB Circular A-110 & A-133; GC §34090; GC §8546.7 7-6 7-7 Amend Comments/ Reference column: City Preference; CW Human CW -037 Grievances Escalated to Human Resources or All State and Federal laws require retention until final Resources disposition of formal complaint; State requires 2 years Above far Resolution after action is taken; GC §§12946, 12960, 34090 Amend Comments/ Reference celumn:City's Preference; CW Lead Dept. CW -038 Grievances Resolved at All State and Federal laws require retention until final Department Level disposition of formal complaint; State requires 2 years after action is to ken; GC §§12946, 12960, 34090 Amend Comments / Reference celumn: Ensure records Personnel Files (Except kept in Department files comply with City policy; CW Human CW .048 for Police and Fire Originals are maintained by Human Resources Personnel; Resources Training Files) State & Federal laws require 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(2), GC §§12946, 12960, 34090 Amend Records Description: Reference Materials: Reference Materials: Administrative Procedures or Policies, Procedures, Administrative Brochures, Manuals, Newsletters & Reports: Produced by Procedures or Policies, OTHER Departments Lead Dept. CW -054 Procedures, Brochures, Amend Active and Total Retention: When No Longer Manuals, Newsletters & Required Superseded Reports: Produced by Amend Comments: Drafting department is responsible OTHER Departments for maintaining, updating, and retention (Copies); GC §34090.7 Amend Records Description: Reference Materials: Reference Materials: Administrative Procedures or Policies, Procedures, Administrative Brochures, Manuals, Newsletters & Reports: Produced by Procedures or PeTlcies, YOUR Department CW Lead Dept. CW -056 Procedures, Brochures, Amend Active and Tota! Retention: When No Longer Manuals, Newsletters & Required # MiRimiim of 2 years Reports: Produced by Amend Comments: Drafting department is responsible YOUR Department for maintaining, updating, and retention: Statewide guidelines propose superseded + 2 or 5 years; GC §34090 Training -ALL COURSE Amend Comments / Reference column: Department RECORDS (Attendance preference; Ethics Training is 5 years; Statewide Rosters, Outlines and guidelines propose 7 years; Calif. Labor Division is Materials; includes required to keep their OSHA records 7 years; _., Lead Dept. CW -068 Ethics Training, EEOC/FLSA/ADEA (Age) requires 3 years for promotion, Harassment Prevention demotion, transfer, selection, or discharge; State Law Training, Safety Training requires 2-3 years for personnel actions; 8 CCR §3203 et & Tailgate Training seq., 29 CFR 16273(b)(ii),LC§6429(c);GC§§12946, Meetings) 12960, 34090, 53235.2(b);59237.2(b) Amend Active and Total Retention: 1 year WhenNo Amend Comments / Reference r�lliY PPrFafe RF-ee column: Videos J Drone Videos (only 1 year is required); In the event that the recordings ... -ead Lcpt. CW -079 that record Regular, are evidence in any claim filed or any pending litigation, Ongoing Operationsof they shall be preserved until pending litigation is the City resolved; Exception: destruction of video after 90 days if l there is a duplicate in the form of "written minutes" ...of the event that is recorded and the video is "no longer required" GC §34090.6, 34090.7 Amend Comments / Reference column: Department Volunteer / Unpaid preference (Courts treat volunteers as employees); ._ .. Lead Dept. CW -069 Intern Applications & E€OC/FLSA/ADEA (Age) requires 3 years for promotion, Agreements - demotion, transfer, selection, or discharge; 29 CFR Unsuccessful Applicants 1602.31& 1627.3(b)(1)(i)&(ii),GC§§12946,12960,34090 Volunteer / Unpaid - - Intern Applications & Amend Comments / Reference column: Department Agreements (includes preference (Courts treat volunteers as employees); .... Lead Dept, CW -070 EEOC/FLSA/ADEA (Age) requires 3 years for promotion, emergency contact demotion, transfer, selection, or discharge; 29 CFA information) -Successful Applicants 1602.31& 1627.3(b)(1)(i)&(ii),GC012946,12960,34090 7-7 Indicates must go to Council for approval if x in box ted Department/Division Indicates Amended Current UFR text - no need for CC approval Current Classkficution Records DescriptionNo.Information/Reasoning Indicates New text - no need for CC approval Spetifr Request /Comments/Reference/ ii7l s • / Uarification Needed Amend Media Options column: Mag, Mfr, OD, Ppr CCO City Clerk CC-002 Affidavlts of Postings J Amend Image column: S/I Special Meeting Notices Amend Destroy Paper after Imaged & QC'd column: Yes: After QC & OD Campaign Filings (FPPC 400 Series Forms, Form - 501): UNSUCCESSFUL Candidates without committees are not required to file CCO City Clerk CC-021 CANDIDATES Includes their statements , reports or copies online or Unsuccessful Candidates electronically; paper must be retained for at least 2 Without Committees years; GC §81009(b)&(g); GC §84615 that Don't File Electronically Campaign Disclosure Statements (FPPC 400 Series Forms, S01 Form): CCO City Clerk CC•071 UNSUCCESSFUL Add new records retention code CANDIDATES, Total Retention: 10 years ELECTRONICALLY FILED - WITH or WITHOUT Committees Campaign Disclosure Statements (FPPC 400 Series Forms, 501 Form): Amend Active Retention column: 102 years Amend Comments / Reference column: Data that has I CCD City_'.. CC-024 SUCCESSFUL been maintained for at least 10 years may then be CANDIDATES (Elected Officials) AIISuccessful, archived in a secure format; Paper must be retained far whether filed at feast 2 years; GC §81009(h)&(g); GC §84615(i) electronically or not Elections- Petitions Amend Actiyeand Total Retention columns: Results +a CCO City Clerk CC 029 {Initiative, Recall or months or Final Examination if No Election +1 year after Referendum) petition examination if petition is insufficient Redistricting Web Page / Council District Boundary City Clerk CC-072 Web Page (Map, Add new records retention code Redistricting Process, Total Retention: 10 years Agendas, Calendars, Notice, etc.) Secretary of State CCO City Clerk CC-070 Statement of Facts / Amend Records Description column: Secretary of State Registry of Public Statement of Facts/ Registry of Public Agencies Agencies 7-8 Indicates must go to Council for approval Action Requested if x in box Department/Division Indicates Amended Current OFA text - no Current Classifitat€an need for CC approval Records Description Indicates New text - no need for CC approvaf all Specific Request / Comments / Reference / No. Information/Reasoning/ Clarification Needed D Delete �N AN = Add New - Finance (FIN) AccrolounCts PaheckRebgisteyaleand FIN AcmunLng F1N-001 Payl rs Delele this retention code and combine with FIN -012 - ,. 6AFR— Comprehensive i i Finance/ Annual Financial Reports Amend Records Description column: EAFFl— FIN FIN -007 Comprehensive Annual Financial Reports and related Accounting and related Audit Opinions Audit Opinions Developer Trust Finance / Accounts / Deposit Amend Records Description column: Developer Trust - FIN Accounting FIN -077 Accounts/Demolition Accounts /Deposit Accounts /Demolition Deposit Deposit Accounts Accounts Financial Services I IN Finance / FIN -D12 Database (Accounts Amend Records Description column: Financial Services Acceunting Payable and Payroll Database (Accounts Payable and Payroll Check Registers) Check Registers) Finance/ State -Mandated Cost Add NN FIN -082 Claims/ SB 90 Claims/ new records retention code Accounting Reimbursable Claims Total Retention: Final Disposition of Claim + 2 years Amend Comments / Reference column: Department Preference; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 years FIN Fin. / OMB FIN -016 Grant Reports from expenditure report or final payment of grantee or subgrantee; HUD requires 3 years; statewide guidelines prc pose 4 years; 2 CFR 20x.333; " --- .-.e -_ - -=2jb; 24 CFR 85.42, 91.105(h), & 570.502(a}, 29 CFR 97.42; OMB Circular A-110 & A-133; GC 434090 a _ Accounts Recelvabfe / Revenue Includes Taxes - Transient OccupancyTax i(TOT)), Marine Charter Amend Records Description column: Accounts Receivable Tax, Solid Waste / Revenue Includes Taxes -Transient Occupancy Tax Lead Depart. FIN -065 Franchise Statements, (TOT)), Marine Charter Tax, Solid Waste Franchise etc. (All source Statements, etc. (Ali source documents are maintained documents are by the Lead Dept; see City-wide schedule.) maintained by the Lead Dept; see City-wide schedule.) Bank Reconciliations, Bank Statements, Trustee Statements, Finance / Fiscal Agent Statements, FIN Revenue FIN -004 Investment Account Amend Office of Record (OFR): Finance / Revenue Aeceunting Statements, Outstanding Check Lists, Credit Card Statements, and Deposit Slips Medical Necessity - Customers (Emergencies / Shut -offs - Customers FIN Finance / FIN -083 who must have Add new records retention code Revenue electricity or water for Total Retention: No Longer in Effect+ critical medical 2 years equipment) FIN Finance/ FIN-084Add Short Term Lodging new records retention code Revenue Total Retention: Minimum 4 years Permits Water Billing: Appeals - F France/ FIN -085 Payment Delinquency & Add new records retention code Revenue Impending Total Retention: Account Expiration +2 Discontinuation years Water Billing: Non- payment Notices / Finance / Notice of Payment Add new records retention Bade FIN FIN -OSS Delinquency & Revenue Impending Total Retention: Minimum 2 years Discontinuation (Initial, Final) Finance / Water Billing: NSF add ne w records retention code FIN -087 Checks/Adjustments to 17FIN 1 Revenue Customer accounts Total Retention: Minimum 2 years 7-9 7-10 Water Billing: Payment Finance/ Plans: Amortization, Add new records retention code ----- FIN FIN -088 Total Retention: Expiration or Completion of Payment Revenue Alternative Payment Plans, Deferrals,etc. plan + 2 years Water Billing: Policy on FIN Finance / FIN -089 Discontinuation of Add new records retention code Revenue Residential Service for Total Retention: When Superseded + 2 years Nonpayment Finance / Water Biling: Report of Add new records retention code FIN FIN -090 Annuaf Discontinuations Revenue of ResidentialService Total Retention: Minimum 2 years 7-10 7-11 7-12 Indicates must go to Council for approval Action Requested 4 if x In box OepartmenlJDivision In diLates Amended Current OFR text - no Current dassifl[atlon In eed for CC approval Records Description Indicates New text - no need for CC approval Specific Request / Comments J Reference J No. Information/Reasoning / Clarification Needed { Benefits Plan Documents Human Resources Human HR-OS1 for dental, vision, EAP, Amend Active and Total Retention: Superseded+ 2 6 Resources disability, etc. years 1095-C, 1094-C (Employer-Provided Amend Records Description column: 1095-C, 1094-C HR Human HR-049 Health Insurance Offer (Employer-Provided Health insurance Offer and Coverage j Resources and Coverage & &Transmittal Form) Transmittal Form) I� Human COVID-19 Notifications Add new records retention code I Resources HR-061 to Employees Total Retentiom 3 years Department of Fair Amend Comments / Reference column: All State and Employment & Housing Human Federal laws require retention until final disposition of Resources HR-008 [DEER or EEOC) Claims that are resolved formal complaint; State requires 2 years after action is administratively taken; GC §§12946, 12960, 34090 Amend Comments / Reference column: D.O.T. Requires 5 --- years for positive tests, refusals, annual summaries, etc, l Drug and Alcohol Testing year for negative tests; EEOC / FLSA / ADEA (Age) Human HR-010 / D.O.T files: Negative requires 3 years physical examinations; State Law Resources Results requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 12960, 34090; 49 CFR 655.71 et seq.; 49 LFR 382.401 et seq. 49 CFR 653.71 Amend Comments/ Reference column: D.O.T. Aequires5 years for positive tests, 1 year for negative tests; EEOC/ Drug and Alcohol Testing {z Human HR-011 / O.O.Tfiles: Positive FLSA / ADEA (Age) requires 3 years physical Resources examinations; State Law requires 2 years; 29 CFR Results 1627.31 GC §§12946,12960,34090; 49 CFR i 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 Amend Comments/ Reference column: City's Preference; Lead Department is OFR for grievances resolved in their Employee Grievances department; All State and Federal laws require retention �R Human HR-D14 when not resolved by until final disposition of formal complaint; State requires Resources the department) 2 years after action is taken; 29 CFR 1602.31 & 1627.3(b)(ii); GC §§12946,12960,12960,34090; 29 USC 1113, LC 1174 Amend Comments / Reference column: Department Preference; EEOC / FLSA/ ADEA (Age) requires 1-3 years; Human HR-041 Employee Investigations State Law requires 2 - 3 years; 29 CFR 1662 et seq & Resources 1627.3(a)(5) and (6), 8 CCR § 11040.7(c), GC §§ 12946, 12960,34090 Amend Comments/ Reference column: Department Equal Employment Preference; EEOC/ FLSA/ ADEA (Age) requires 1-3 years; HR Human Resources HR-013 Opportunity Data (from State Law requires 2 - 3 years; 29 CFR 1602 et seq & applicants) 1627.3(a)(5)and (6),8CCR §11040.7(c),GC§§12946, 12960,34090 Amend Comments / Reference column: Required F year _ from termination or 3 years from hiring, whichever is • HR Human HR-015 I-9's later; EEOC / FLSA / ADEA (Age) requires 3 years for "any Resources other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29 CFR 1627.3(b)(1); GC §§12946,12960,a4090 Amend Comments / Reference column: For use in Negotiations: Employee Human Associations (nates, interpreting intent of MOU provisions; EEOC / FLSA HR Resources HR-020 drafts, proposals, requires 3 years for MOUS; State requires 2 years; tentative agreements} statewide guidelines propose permanent; 29 CFR 516.5, GC §512946, 12960, 34090 Personnel Files - Benefit Human File (all employees and Amend Comments/ Reference column: Department HR Resources HR-O72 all benefits records preference; GC §§12946, 12960, 341190 including Deferred Compensation) HR HumanHR-023 Personnel Files - Benefit Amend Comments / Reference column: Department Resources File (Retirees /Spouse) preference; GC 6§12946, 12960, 34090 7-13 7-14 Amend Comments / Reference column: Files maintained Human Personnel Files - Medical separately; Claims can be made for 30 years for toxic HR Resources HA -024 File (all employees) substance exposure; 6 CCR §3204(d)(1) et seq., 8 CCR 5144, 8 CCR 15400.2; 29 CFR 1910.11320(d)(1)(i), GC §§12946,12960,3409D Amend Comments / Reference column: Department Preference; statute oflimitationsfor retirement benefits Personnel Files - Regular, is 6 years from last action; EEOC/FLSA/ADEA (Age) HR Human HR -025 Active, Permanent, Non- requires 3 years for promotion, demotion, transfer, Resources Regular, Temporary and Part-time Employees selection, or discharge; State Law requires 2-3 years; 29 CFA 1602.14; 1602.31 & 1627.3(b)(ii), GC §§12946, 12960, 60201; 29 USC 1113 Amend Comments / Reference column: Department Human Recruitment Database preference; Per NeoGov Policy; 29 CFR 1627.3(b)(1), 29 HR Resources HR -060 (NeoGov) CFR 1602,14etseq.2CCR 11013(c);GC§§12946,12960, 34090 Recruitment File - Advertiserrments, Backgrounds (Unsuccessful); (Unsuccessful); Amend Comments /Reference column: Department HR Human HR -027 Fingerprints,(Unsuc yens, , preference; EEOC /FLSA/ADEA(Age) required -3 years; Resources State Law requires 2 - 3 years; 29 CFR 1627.3(b)(i)„ 29 Brochures, Applications i s (unsuccessful), Tests, CFR 1602.14 et seq., GC §§12946, 12960, 34090 Letters, Scantrons, Questions Amend Comments / Reference column: Department Studies/ Classification/ preference; PERS requires 5 years for Compensation Compensation & Salary Earnable (usually compensation is adopted via Resolution Human Studies/ Reorganization of the City Council); Bureau of National Affairs HR Resources HR Ods Studies (for employee recommends 2 years for all supplementary Personnel classifications and records; Wage rate tables are 1 or 2 years; State requires department structures( 2 years; 29 CFR 516.6(2), 29 CFR 1602.14, 2 CCR 270.5; - GC §§12946, 12960, 34090 - Amend Comments / Reference column: All State and -' HR Human UnempEcymentClaims / Federal laws requlreretention until final disposition of Resources HR -057 EDD Claims formal complaint; State requires 2 years after action is taken; GC §§12945, 12960, 34090 Amend Destroy Paper after Imaged & QC'd column: Yes: After QC & OD'"""....ER IRR t:y:, Amend Comments / Reference column: Claims can be made for 30 years for toxic substance exposure; Claims HR Human Workers Compensation are required for five years after the end of compensation, Resources HR -030 Claims or injury, whichever is longer; the Workers Compensation Appeals Board may destroy their retards after 5 years; 8 CCR 5144,8 CCR 53204(d)(1) et seq., 8 CCR 10102, 10755, 10758, 154DO.2; 29 CFR 1910.1020(d); GC §§12946, - 12960,34090 Accident /incident / Injury Reports: Amend Comments / Reference column: Department HR Human Resources / HR -032 EMPLOYEES WITH possible Exposure to Preference; Claims can be made for 30 years for toxic Risk Manage. Toxic Materials(HazMat substanceexposure; 9CCR §3204(d)(1)etseq.,GC Responses, Ciean up §§12946,12960,34090 Responses to spills,etc.) HR Human Claims (General Liability Amend Destroy Paper after Imaged & QC'd column: Yes: Resources HR -037 Claim Forms) - Adults After QC & 00 Settled HR Human Claims (General Liability Amend Destroy Paper after Imaged & QC'd column: Yes: Resources HR -038 Claim Forms) -Juveniles After QC & OD Settled Disability Claims / STD & HR Human HR -039 LTD (no toxic substance Amend Destroy Paper after Imaged & QC'd column: Yes: Resources exposures) After 4t & Ob Settled 7-14 Indicates must go to Council for approval if x in box Indicates Amended text - no need for CC approval Indicates New text - no need for CC approval Action Requested Department/Division Current OFR ClassiFlcatiCurrenton Records Description Specific Request /Comments /Reference / 1) 7 Delete AN Add Nev, D AN Police r No. Information/Reasoning / Clarification Needed Amend Records Description column: Administrative Investigations: G!i en Civilian and Internal Amend Comments / Reference column: If a supervisor determines that records of prior discipline should he retained beyond the applicable statutory period, approval forsuch retention shall be obtained through the chain of command from the Chief of Police; Consistent PQ Police PD -003 Administrative Investigations: 6iilter+ with Lexipol Policy; State requires for at least 5 years; Civilian and Internal other State & Federal laws require retention until final disposition of formal complaint; State requires 2 years after action is taken; Statute of Limitations is 4 years (OF w 6Eenduci; after the discovery of the offense for misconduct in office; PC 801-S, 803(c).;'"�^a cT.e,.�t••a.�.vAa shoeiings; EVC §100.5, GC §§12946, 12950, 34090, PC 08910, 832.5, VC §2547 Amend Comments /Reference column: Department Police or Personnel Background Preference; Statute of Limitations: Public official PD Personnel PD -081 Packets - Citizens misconduct is discovery of offense +4 years; GC §§-16507, Academy, Teen Academy 34090; PC §§801.5, 803(c); 29 USC 1113; 8 CCR §11040.7(7)(C) Amend Comments / Reference column: Department Police or Personnel Background Preference; Statute of Limitations: Public official Personnel PD -011 Packets - Volunteers& misconduct is discovery of offense +4 years; GC §§36507, Interns 34090; PC §§801.5, 803(c); 29 USC 1113; 8 CCR §11040.7(7)(C) Amend Comments / Reference column: Copies; Police PD -005 Personnel Department Consistent with HR's Personnel File; State & Federal laws Empfoyee File require 2 -3 years; 29 CFR 1602.31 & 1627-3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 12960, 34090.7 Amend Comments / Reference column: Department .- Police PD -071 Asset Forfeiture Files Preference (Federal DOJ requires S years- Equitable Sharing Guide(; GC §34090 Personnel Background Amend Comments / Reference column: Department _ Polite PD -02S Packets - unsuccessful/ Preference (only 2 years is required); 29 CFR 1602.14; 2 not hired employees or volunteers (not hired) CCR 11013(c); GC 5§12946,12960, 34090 Personnel Department Training File (includes Amend Comments/ Reference column: State & Federal Police PD -026 POST Data, Files and laws require 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(1i), 8 Printouts for Training CCR §3204(d)(1) et seq., GC §§ 12946, 12960, 34090 Courses) Incident Reports {DRi!) — Amend Comments / Reference column: Department ALL Except those other Preference; Provided there are no outstanding warrants, specifically mentioned[n unrecovered weapons, criminal deaths, they are not P D Police PD -048 historically significant, and it is not classified under PC this retention schedule (October 1, 1999 to §800 & 290; Stat. of Limit. is 2 yrs; Destroyjuvenile Current) marijuanaafter ageIS;H&S§11361.5,GC§34090, PC §802, PC 0187, 800 et seq., 11108.2(b) Sex Offender Amend Comments / Reference column: Atter 2021, o Police PD -065 Registrations: Juveniles Offenders can petition Court for removai 10 or 20 years released fromCalifornia after offense, provided there are no subsequent Youth Authority offenses; Pursuant to PC §290 et seq.; W&I §781(d) 7-15 Indicates must go to Council for approval Action Requested " if x in box Department/Division Indicates Amended Current OFR text - no Current Classification No. need for CC approval Records Description Indicates New text - no need for CC approval Specific Request /Comments /Reference / Information/ Reasoning /Clarification Needed Amend Comments/ Reference column: If part of a Consolidated Plan, records are required for 5 years; Uniform Admin. Requirements for Grants to Local PL Planning PL -001 Affordable Housing In- Governments is 3 years from periodic expenditure Lieu Funds report; CDBG is Annual Performance Report + 4years; statewide guidelines propose A years; 2 CFR 200.333:24 C�RX42; 24 CFR &5,42, 91.105(h), & 570.502(a), 29 CFR 97.42, OMB Circular A-110 & A-133; GC §34090 i Environmental Determinations: Environmental Impact Reports (EIRs}, Negative i Declarations, etc.) / CEQA / NEPA All written PL CDD / PL -030 evidence or Add new records retention code Planning correspondence Total Retentiom 2 years, or duration of administrative submitted to, or and/or litigation proceedings, if any, whichever is transferred from, the longer City and all internal agency communications, including staff notes and memoranda related to a project or related to the City's compliance with CEOA 7-16 Indicates must go tD Council for approva Re nested I if x in box pSpecific epartment/Division Indicates Amended Current OFR text - no 5iGcati [7CurrentorlA[tlon need for CC approval Rcrnrds Description I udical New text - no need for CC approval Request / Comments / Referenceq Information/Reasoning / Clarification Needed lete DeAN Public Works fill No. Add New Admmistratior Lead Dept. / PW-036/MOD- (correspondence, Delete this retention code as it is redundant to PW -007 & ru"ir Works Division 002 certified payrolls, time PW -008 schedules, etc.) Demolition Deposit Finance / Refund Payment Amend Active and Total Retention: Copies - When No - - Public Works PW -D38 Authorizations, Accounting Demolition Deposit Longer RequiredCswlaletiem a:z Forfeit Memo Public works Municipal PW -041 / MOD- FOG (Fats, Oil & Grease) Public Works Delare this retention code; this is a Utilities record Operations/ 115 Storm Drains Admin. Rolling Stock: Purchase AS / Fiscal PW -048 / MOD- Orders, Procurement & Public Works Delete this retention coda; covered under FIN -049 Services 012 Contracting Records (see FIN -D49) Lead Dept- / PW -049 / MOD- Scheduled Maintenance Public Works Division 013 (all( Delete this retention code as no longer required - Training/Tailgate meetings (Attendance Lead Dept. / PW -050 /MOD- .,.,.� works Rosters, Outlines and Delete this retention code as no longer required Division 015 Materials; includes safety training) Public Works Public Warks Municipal PW -060 / MOD- Loaner Car Sign out Delete this retention code as no longer required Operations/ 024 Sheets Equip. Mai nt. Disposal Receipts / Public Works Manifests- NON - Public Works Municipal PW -065 / MOD- HAZARDOUS WASTE Delete this retention code as no longer required Operations / 038 (street sweeping debris Field Maint. dumped at disposal company) Contract Administration Lead Dept. / PW -071 / MOD- (correspondence, Delete this retention code as it is redundant to PW -007 & Public Works Division 048 certified payrolls, time PW -008 schedules, etc.) Public Works Municipal Confined Space Entries Operations / PW -072 / MOD- (Permitted entries into Public Warks OS / Storm 061 sewers and storm drains Delete this retention code as no longer required in order to comply with l Drain /Street Sweeping regulations) Public Works Disposal Receipts/ Municipal Manifests -HAZARDOUS Operations / PW -073 / MOD- WASTE (e.g., storm Public Works QS/Storm 064 drain, hazardous Delete this retention code; this is a Utilities record Drain / Street material from street Sweeping sweeping, clean ups) Lead Dept. Public Works (Public Works, PW -074 / MOD - Grease Disposal Permits Delete this retention code; this is a Utilities record or Utilities) 11fi Public Works Municipal Operations/ PW-076/MOD- Inventory of Flood Public Works OS / Storm 066 Control Supplies Delete this retention code as no longer required Drain/ Street (Database) Sweeping Lead Dept.NPDES Permit PW -077/ MOD- Compliance Data (storm Public Warks (Public Works, 067 drain / street sweeping Delete this retention code; this is a Utilities record or Utilities) activities) 7-17 7-18 Source Control / FOG (Fats, 01 & Grease) / Lead Dept. Restaurants / POTN+ PW-D78 /MOD- ?ublic Works (Public Works, (Publicly Owned Delete this retention code; this is a Utilities record or Utilities) 114 Treatment Works)Pre- treatment of wastewater Public Works - Municipal Storm Drain Video Operations/ PW-079/ MOD- Inspection Reports/ i � Pub'ic Works Video or Digital Delete this retention rode; this is a Utilities record OS /Storm 112 Drain / Street Recordings - Regular Sweeping Inspections Public Works Storm Drain Video I Municipal Inspection Reports/ Operations/ PW-080/ MOD- Public Warks Video Tapes or Digital Delete this retention code; this is a Utilities record OS /Storm 113 Rcordings - Spot Checks Drain / Street Sweeping Inspections Training /Tailgate meetings (Attendance Lead Dept. / PW-099/MOD- Public Works Rosters, Outlines and Delete this retention code as no longer required Division 078 Materials; includes safety training) Public Works Municipal PW-094/MOD- Notice cf Violations {See Public Works Delete this retention code as no longer required Operations / 086 CE-003} Admin. Amend Records Description column: Encroachment PW Public Works PW-018 Encroachment Permits Permits &-Agreemeq; ;ALL Ag-eewe+=;: ALL Amend Destroy Paper after Imaged & Ql column; Yes; After 1 year inactive Amend Office of Record column: Public Works MwAiGipa Chemical Applications OPeratier+s/ Admin. Public Warks {ContractAdministration Amend Classification column: PW-03S tv004G1 PW or in-house) Includes Amend Comments/ Reference column: Department pe-aliGM OpAdminns/ MOD 09 M6A-Bel Approved Chemical List, Preference; Claims can bemadefor30yearsfortoxic Admin. MSDS Sheets, etc- substance exposure; 8 CCR §3204(d)(1) et seq., GC §§12946,12960,34090 Lead Dept. J PW-037 Daily Division Work 77 ^' Division MOD 000> Diaries {"Red Books") Amend Classification column: PW-037 0.466-003 Amend Office of Record column: Finance /Accounting Finance / Demolition Deposit Accounting Refund Payment Amend Classification column: PW-039 P.400 01-17 PW-038 Amend Active & Total Retention columns: Copies- When MuaiciPal MOD Authorizations, No Longer Required r---�...�..ai:i' -- - l s ' 6Peratieasfr Demolition Deposit Amend Comments / Reference column: Finance Adana. Forfeit Memo maintains official record; a4014� GC §34090.7 Public Works Amend Office of Record column; Public Works PW MuAic Pal PW-039 Department Activities OPeratlons / Admin. QPRFa 0.768-864 Report Admin, Amend Classification column: PW-039 P40-004 Public Works PAuAieipa! PW-040 OL 170s / Certificate of Amend Office of Record column; Public Works _ operations/ MQQ-Q" Driving Skill Operations/Admin. Admin. Amend Classification column: PW-040 74781-065 Lead Dept. / PW-042 P11 Division PAGE)}1-7 Franchise List Amend Classification column: PW-042 "°"tet PIN Public Works Municipal 9p PW-043 M Franchised Hauler Tonnage Reports Amend Office of Record column: Public Works OpeFaHeAs / Admin. Adminin. Admin. Amend Classification column: PW-043 040-6W Amend Public Works Municipal PW-D44 Green waste Reports Amend Office of Record column; Public Works PW 6Pera• J A481-&78 {Contract and in-house) Operations / Admin. Admin.in. Amend Classification column: PW-044 AAl QQA Public Works Amend Office of Record column: Public Warks PW AAuaisiPal PW-045 Hazardous Waste Hauler gpeFai ens/Admin. Operations / MOD l Manifests Admin. Amend Classification column: PW-045 0.481-919 Public Works Amend Office of Record column: Public Warks AAaaiEi¢ai PW-046 Landfill Records (City- PW OperatiAAs/ MOP 0i8 owned - Closed) QReFatLaRSJ Admin- Admin, Amend Classification column: PW-046 MOD gig Public Works PW-047 Amend Office of Record column: Public Works MwA�Q pa PW GpeFaii / 11R88-9G:E1 MSDS Master List Operations / Admin. Admin. Amend Classification column: PW-047 049P 91i 7-18 7-19 Public Warks Amend Office of Record column: Public Works _ PW Man+6pal PW-051 Transfer Station xar'S/Admin. Gperatiens/ ... Modification Permit Amend Classification column: PW-051 MGD G16 Admin. - Public Warks !I Amend Office of Retard column: Public Works M on Opal Municipal PW-052 Underground Storage PW gaeFatess/ M94-944 Tanks Wiens/Admin. Admin. Amend Classification column: PW-052 :,vim:� Public Warks Amend Office of Record column: Public Works AAunicipal PW-053 Work Request Database PW gages / Admin. 9peratiens / M94441J. / Work History Amend Classification column: PW-053 MOD 919 Admin. Public Works aAaadeif Auto Body Paint Shop Amend Office of Record column: Public Works ... 9peratiews / PW-054 MOD 020 (records contain paint/ GqeFat as / Facilities & Equip. Maint. Facilities & hazardous materials) Amend Classification column: PW-054 MOD 920 Equip. Maint. Public Works Municipal Amend Office of Record column: Public Works Municipa PW Operations/ PW-055 817 Sheets Bpeeatiar}s/Facilities &Equip. Maint. Facilities & N409 924: Amend Classification column! PW-055 MOD 02; Equip. Maint. Public Works munielpal CHP Daily Logs (Vehicle Amend Office of Record column: Public Works Munielpa "N oPecatiens / PW-056 giiiili inspections) / Pre-Trip GpeFatiens / Facilities & Equip. Maint. Facilities & Inspections Amend Classification column: PW-o56 ""^...923 Equip. Mail Public Works Man cipal PW-057 Estimates [Vehicles and Amend Office of Record column: Public Works GFRFAtiGAG / dens / Facilities & Equip. Maint. MOD 025 Purchases) Facilities & Amend Classification column: PW-057 MOD 02S Equip. Maint. Public Works Fire Apparatus & Municipal PW-658 Equipment Maintenance Amend Office of Record column: Public Works PW Operations/ Operations/ Facilities & Equip. Maint. ..,OD 929 Records (excludes Facilities & Ladder Certifications} Amend Classification column: PW-058 M99-025 Equip. Maint. Public Warks A4anieipal Amend Office of Record column: Public Warks MuRielpal PW 8peraiiens/ PW-059 Hazardous Waste Hauler Operations/ Facilities & Equip. Maint. "'�"9 Manifests {Oil, etc.) Facilities & Amend Classification coEumm PW-059 MGG-928 Equip. Maint. Public Warks HVAC Records - Amend Office of Record column: Public Works PW ,� PW-Oso Operations, Sub Operations-?OS/Facilities&Equip.Maint. OS/Facilities MOD-G" equipment maintenance Amend Classification celumn: PW-060 MOD -056 & Equip, Maint. Public Works P wR Gipal Maintenance History - Amend Office of Record column: Public Works MwRiEil PW Operations/ Pw-061 Vehicles&Equipment- QRAFilt A Pic/Facilities&Equip. Maint. Facilities & MOD-030 Where City is Provider Amend Classification column: PW-061 MOD 030 Equip. Maint. Public Works Municipal Amend Office of Record column: Public Works MuAlGipai PW-062 Smog Certificates and PW operaiians/ Operations/ Facilities & Equip. Maint. M6>}-932 Inspections Facilities & Amend Classification column: PW-062""".,.v;n32 Equip. Maint. Public Works ".,,umieipal Amend Office of Record column: Public Works Municipal PW OpeFailens/ PW-063 MOD iii Used Oil Disposal Operation/Facilities & Equip. Maint. Facilities & Amend Classification column: PW-063 MB8-1-18 Equip. Maint. Public Warks Amend Office of Record column: Public Works hilunisilaa PW PAuRleipaPW-066 GpeF/ MOD-039 Drivers Logs 8¢eraiaeas / Field Maint. Field Maint. Amend Classification column: PW-066 MOD gag Public Works Dump Tickets/ Amend Office of Record column: Public Works kidnie pa PW MoRlsipa PM D�04 Manifests - Non- AS /Field Maint. / Field Maint. Hazardous Waste Amend Classification column: PW-067 MOD 040 Public Works AAanieipal PW-068 Sidewalk Repair Amend Office of Record column: Public Works NqWRjGLPA PI^J BPeratiens / Field Maint. GpeFa MG;) 942 Database (Quest) Maint. Field Maint.nt. Amend Classification column: PW-068 MOD 042 7-19 7-20 Amend Office of Record column: Public Works Operations/ Field Maint, Amend Classification column: PW-069 4400-644 Public Warks Amend Records Description column: Underground Underground Service pal PW-069 Service Alerts (USA) / Dig Alerts: Utility Cuts, etc. PWAlunic operations / 1,4GB-044 Alerts [USA) / Dig Alerts: Amend Comments /Reference column: A record of all Utility Cuts, etc. Field Inotifications byeacavators and operators to the regional notification center shall be maintained for a period of not less than three years; GC §§4216.2(fd) & 4216.3(d), 34090 Public Works Amend Office of Record column: Public Works Municipal PW � PW-070 Vehicle Inspections 9perat}ens /Field Maint. / MOD 945 Field Malm. Amend Classification column: PW-070M68-045 Public Warks Munif,ipal Amend Office of Record column: Public Works MdFiie pa PW-081 Application to Remove PW QlT Gil ORS j StFeet/Parks &Trees 6tseet/ Parks 5 48B-996 Trees / Petitions Amend Classification column: PW-081 ""^... GQh & Trees Public Warks Municipal Amend Office of Record column: Public Works MwRiGlfia PW )Peration' ¢ PW-082 Demolition Permit t?^l^'•�..r Street / Parks & Trees StseeF/Parks 9P 099 "'�� Certification Amend Classification column: PW-082 M99-699 & Trees Public Warks Maaieipal Notice of Violation Amend Office of Record column: Public Works 8peratiens-/ PW 083 (Obstruction ofRight of Gil eet/Parks &Trees Strea%/ Parks � Way, etc.) Amend Classification column: PW-083 MB8 188 & Trees Public Works Park and Parkway Amend Office of Record column: Public Works PW Opera tia � Maintenance{reports, �,1 1 iw^ys/Parks &Trees MOD 074 records, work orders) Amend Classification column: PW-083 1 180 Sys / Parks & Trees Public Works Amend Office of Record column: Public Works ' PW-085 Pesticide and Herbicide PW 4Dt'^^• pera1 Pa rks Parkways / Parks & Trees Paslif M9B-075 Permits (from County) / Amend Classification column: PW-085 MOD G75 Parks & Trees Public Works Menie pal Amend Office of Record column: Public Works Municipal Ql � PW-086 Pesticide and Herbicide - ?LN / Parks & Trees Parte MB8-B76 Records (in-house♦ Parkways / Amend Classification column: PW-086 MOD 976 Parks & Trees Public Works Amend Office of Record column: Public Works Munieipal ^ , PW-087 Tree Maintenance / PW / Parks & Trees —. Riii Plantings Parkways / Amend Classification column: PW-087 M68-194 Parks & Trees Public Works Municipal Traffic Collision Amend Office of Record column: Public Works 9pewiians-/ PW-088 Notifications (determine PW P-ksr i 185 cost to bill responsible G19-3tions j Pa Fl Parkways / Parks & Trees PaFkways / parties) Amend Classification column: PW-088 M68-183 Parks & Trees Public Works Amend Office of Record column: Public Works PW �araRa:.;-/ PW-090 Tree Inventory Database / Parks & Trees i Amend Classification column: PW-090 ",."^99 10? . Parkways/ Parks & Trees Public Works M"nicip.'I Amend Office of Record column: Public Works MqniE P;' Aperal;eRs PW-091 Tree Removal Review/ PW GPeFa_ ORS / Parks, Parkways /Parks &Trees basks MG&4468 Inspection Reports O+ / Amend Classification column: PW-091 MOD � Parks & Trees Public Works Annual County Amend Office of Record column: Public Works PW Munieipal PW-092 InspectionReports(Old ni Fis/Refuse +aAs/ M68-982 Refuse City Landfill Sites) Amend Classification column: PW-092 MOD 082 Public Works Hazi Incident Amend Office of Record column: Public Works i PW-093 Responses, Clean-ups PW oPeras;as/ M6B-965 and Exposure Records Operations /Refuse Refuse(Diesel, Oil, etc.) Amend Classification column: PW-093 M69-065 7-20 7-21 Integrated Waste Public Warks Reports/ Daily Records/ AAUAieipol PW-094 Weight Records / Amend Office of Record column: Public Works PA wRie pal PW +� / M8{,--885 Hazardous Material colu / Refuse Refuse Screening (Becomes part cationGpeFa Amend Classification column: PW-094 MOD 085 of Waste Stream) Public Works Amend Office of Record column: Public Works munieipal PW-095 Recycling Program - PW Bpenatiens/ MGP 98; Annual Report eperatians/ Refuse Refuse Amend Classification column: PW-095 AA913-99; Public Works Amend Office of Record column: Public Works Musps pal PW Municipal PW-096 Refuse Receipts OperaEisras/ Refuse epe;atiens/ p pp 999 Refuse Amend Classification column: PW-096 MOD 988 Public Works Transfer Station Permit Amend Office of Record column: Public Works Muricipa PW MuRa PAI PW-097 Inspection Results 9pe;atiens/Refuse Operas G ns/ 194; Refuse (monthly) Amend Classification column: PW-097 A498-891 Publlc Works Transfer Station Amend Office of Record column: Public Works PW PW 098 quarterly Tannage 6pe;atiarrs/ Refuse nAaunieipal A'/ 1W6i7-993 Refuse Reports Amend Classification column: PW-096 NUDD 093 7-21 7-22 Indicates must go to Council for approval if x In box Indicates Amended text - no CurrentSpecific need for CC approval indicates New text -no need for CC approval Action Requested Department/Division Current OFR Classification Records Description Request/ Comments / Reference / D = Delete AN Utilities (UT) No. Information/Reasoning / Clarification Needed Utilities/ Disposal Receipts / 1 Admin. Manifests -Hazardous Amend Office of Record column: Utilities/ Admin. cr UT-112 Waste (e.g., storm drain, - r ^S r Storm ., _ _ __ -- - �/ MOD 064 hazardous material from Sweeping n� fv 6ta;... - DFain- gtFeQ4 street sweeping, clean Amend Classification column: UT-112 M6B-064 UPS( vSweeping Underground Service UT Utilities / UT-012 Alerts (USA} / Dig Alerts: Amend Records Description column: Underground P Electrical Utility Cuts, etc. -AII Service Alerts (USA) / Dig Alerts: Utility Cuts, etc. -All Utilities Storm Drain Video Municipal Inspection Reports/ Amend Office of Record column: Utilities Municipal �"'t"'r'T UT-114 idea or Digital ope;at;�`�rStorm Drain /- Street Sweeperag 65/ Storm } Recordings-Regular Amend Classification column: UT-114 Drain /3Fceet sweep-9 Inspections Utilities Storm Drain Video Mar _Pal Inspection Reports/ Amend Office of Record column: Utiiities Municipal UT tom' 54 UM T-11155 ideo or Di ital g 8peratisfr-69f Storm Drain f-6tseetSweepurg 6g/Storm Recordings-Spot Checks Amend Classification column: UT-115".,.OD1-13 ,,�� Drain r StFeet f Inspections UT Utilities / UT-040 Sanitary 5urveys of Amend Records Description column: Sanitary Surveys of Wastewater Drinking Water Systems Drinking Water Systems Amend Records Description column: Sewer System stem Management Plan (SSMP)and Audits/Sanitary Spills ManagementPlan Overflow Prevention Pian (SSOPP] and Sanitary Sewer i utilities / (SSMP) and Audits / Overflow Response Plan _ UT UT-098 Sanitary Spills Overflow Wastewater Prevention Plan (SSOPP) Amend Comments / Reference column: Department and Sanitary Sewer preference; 550s are required for a minimum of 5 Overflow Response Plan years; 40 CFR 122.41(j((2(; SWRC8 Order 2006-03; GC §34090 Utilities / Amend Office of Record column: Utilities / Wastewater Wastewater Source Control / Grease ' UT UT-113 Amend Classification column: UT-113 mead gept, Disposal Permits Amend Records Description column: Source Control/ - Grease Disposal Permits Source Control / Utilities / Pretreatment Annual / Amend Comments/ Reference column: Department UT UT 099 preference; POTW reports are required for 3 years; 40 Wastewater Semi-Annual Reports/ FOG (Fats, Oil &Grease( CFR §§122.21, 122.41; 40 CFR 403.12; GC §3409D VulnerabilityAssessment Amend Records Description column: Vulnerahility Utilities/ / Emergency Response Assessment/ Emergency Response Plan/ Risk & UT UT-077 Plan /Risk & Resiliency Resiliency Assessment /Hazard Mitigation Plan Water Assessment /Hazard Amend Comments/ Reference column: Highly Mitigation Plan Confidential; 42 USC 300i-2(de), GC §3409D 7-23 EXHIBIT 2 HOW TO USE RETENTION SCHEDULES ©1995-2020 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided. The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed. Copies or duplicates of records should never be retained longer than the prescribed period for the original record. STRUCTURE: CITYWIDE. DEPARTMENTS & DIVISIONS The City-wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining the original record for the prescribed length of time. Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference. BENEFITS This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits: • Reduce administrative expenses, expedite procedures • Free filing cabinet and office space • Reduce the cost of records storage • Eliminate duplication of effort within the City • Find records faster • Easier purging of file folders • Determine what media should be used to store records For questions, please contact the City Clerk._ Destruction of an original record that has exceeded its retention period must be authorized according to City Policies & Procedures prior to destroying it. • If there is a minimum retention ("Minimum 2 years"), destruction of the document must be authorized before it is destroyed, as it is an original record. Copies, drafts, notes and non -records do NOT require authorization, and can be destroyed "When No Longer Required." • If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy. On every page of the schedules (near the top, just under the column headings) are important instructions, including instructions regarding holds on destroying records. "Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion)." 7-24 RECORDS RETENTION SCHEDULE LEGEND ©1995 — 2020 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or "record copy." Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.) Records Description: The record series (a group of like records). Transitory Records not retained in the ordinary course of business, that do NOT have substantive content: Preliminary drafts, notes, or interagency or intra - agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a "trusted system", etc. Non -Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off-site storage, stored on Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated. Vital? = Those records that are needed for basic operations in the event of a disaster. Media Options (guideline) — the form of the record: Mag = Computer Magnetic Media (hard drive, disks, tapes, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper OD = Optical Disk, CD -r, DVD -r, WORM, or other media which does not allow changes Scan / Import (guideline): "S" indicates the record should be scanned into the document imaging system; "I" indicates the record should be electronically imported into the document imaging system; "M" indicates the record should be microfilmed Destroy Paper after Imaged & QC'd / Trustworthy Electronic Record: "Yes" indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed) IF the document has been imaged (electronically generated, scanned or imported and placed on Unalterable Media — DVD -R, CD -R, or WORM, or microfilmed), and both the images and indexing Quality Checked ("QC'd"). The electronic record or image must contain all significant details from the original and be an adequate substitute for the original document for all purposes, and other legal mandates apply. Includes all electronic records which are to serve as the Official Record. Legend for legal citations (§: Section) CC: Civil Code (CA) CFC: California Fire Code EVC: Evidence Code (CA) FTB: Franchise Tax Board (CA) HUD: Housing & Urban Develop. (US) PC: Penal Code (CA) USC: United States Code (US) B&P: Business & Professions Code (CA) CCP: Code of Civil Procedure (CA) CFR: Code of Federal Regulations (US) FA: Food & Agriculture Code GC: Government Code (CA) LC: Labor Code (CA) R&T: Revenue & Taxation Code (CA) VC: Vehicle Code (CA) CBC: California Building Code CCR: California Code of Regulations (CA) EC: Elections Code (CA) FC: Family Code (CA) H&S: Health & Safety Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) UFC: Uniform Fire Code W&I: Welfare & Institutions Code (CA) GC§34090 is a base minimum retention; the "Total Retention" column is what has been adopted by the City Council. 7-25 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -1 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). CITY-WIDE (Applies to ALL Departments) Human Accident, incident, injury Copies - Copies - Resources / CW -001 reports: EMPLOYEES and When No 7[Re When No Mag, Copies retained for reference; Risk Manag. MEMBERS OF THE PUBLIC Longer Longer Ppr GC §34090.7 Required uired Copies - Copies - Police CW -002 Accident reports: CITY When No When No Mag, Copies retained for reference; VEHICLES Longer Longer Ppr GC §34090.7 Required Required Copies - Copies - A84 Finance CW -003 Accounts Payable, Invoices, When No When No Yes: Before Mag, Finance Maintains Originals; Travel Reimbursement, etc. Longer Longer Payment Ppr GC §34090.7 Required Required Signature on invoice serves as Accounts Payable, Invoices: Yes: Before Mag, Yes: After authorization to pay; detail Lead Dept. CW -004 Confidential Backup and/or 2 years 3 years 5 years Payment Mfr, OD, S QC & OD maintained in Lead Department Details NOT sent to Finance Ppr to protect confidentiality, meets auditing standards; GC §34090 Brown Act challenges must be filed within 30 or 90 days of Lead Dept. CW -005 Advertising (Legal) / Advertising 2 years 2 years Mag, action; Statute of Limitations on Log Ppr Municipal Government actions is 3 - 6 months; GC §§34090, 54960.1(c)(1) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-26 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -2 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Agenda Staff Reports (City Follows Follows Mag, City Clerk maintains a complete Lead Dept. CW -006 Council) prior to October, 1998 retention for retention for Mfr, OD, S Yes: After agenda packet for 5 years; (City Council) subject subject Ppr Completion packet is separated and filed by matter matter subject matter; GC §34090 Agenda Staff Reports (City Copies - Copies - Mag, City Clerk maintains a complete City Clerk CW -007 Council) after to October, 1998 When No When No Mfr, OD, S Yes agenda packet permanently on (City Council) e LonRequired der Ppr the imaging system; GC §34090 Requireder Agreements & Contracts (ORIGINALS SENT TO CITY All agreements and contracts CLERK) Agreement or Copies - Copies - are sent to the City Clerk; Contract, Notices of When No When No Yes: Before Mag, Yes: After Insurance Certificates and City Clerk CW -008 Completion, etc. Agreement Longer Longer Completion Mfr, OD, S QC & OD renewals are the responsibility or Contract includes all Required Required Ppr of the Lead Department - see contractual obligations (e.g. CW -040, Insurance Certificates; Specifications and Successful GC §34090.7 Proposal/ Scope of Work CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-27 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -3 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Agreements & Contracts - INFRASTRUCTURE All Change orders, All infrastructure, JPAs, & Contracts/Agreements RFPs - Mutual Aid contracts are permanent for emergency Originals NOT sent to City preparedness; Statute of Clerk (examples of Mag, Limitations is 4 years; 10 years Lead Dept. CW -009 Infrastructure: Architects, Completion P P Yes: Before Mfr, OD, S Yes: After for Errors & Omissions; land Buildings, bridges, covenants, Completion p Ppr QC & OD records are permanent by law; development, park CCP §§337, 337.1(a), 337.15, improvements, property 343; GC §34090, Contractor restrictions, reservoirs, sewers, has retention requirements in sidewalks, street &alley 48 CFR 4.703 improvements, utilities, water, etc.) Covers E&O Statute of Agreements & Contracts - NOW Limitations (insurance INFRASTRUCTURE All certificates are filed with Change orders, agreement); Published Audit Contracts/Agreements, RFPs - Standards=4-7 years; Statute of Lead Dept. Originals NOT sent to City Completion 10 Completion Yes: Before Mag, Mfr, : YesAfter '& Limitations: Contracts & Wrongful CW -010 Clerk (examples of Non- years + 10 years Completion OD, S/I QC OD Spec's=4 years, Infrastructure: Consultants, Ppr Death=comp. + 5 years, Landscaping, Painting, Slurry Developers=comp. + 10 years; Seals (Paving), Tree Trimming, Statewide guidelines propose Leases, Personnel, termination + 5 years; CCP Professional Services, etc.) §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-28 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -4 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Covers E&O Statute of Limitations (insurance certificates are filed with Agreements & Contracts: agreement); Published Audit ADMINISTRATIVE FILES - Standards=4-7 years; Statute of NOT funded by a grant Completion Yes: Before Mag, Yes: After Limitations: Contracts & Lead Dept. CW -011 (Correspondence, Project Completion 10 years + 10 years Completion Mfr, OD, S/I QC & OD Spec's=4 years, Wrongful Administration, Project Ppr Death=comp. + 5 years, Schedules, Certified Payrolls, Developers=comp. + 10 years; Invoices, Logs, etc.) Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & Agreements & Contracts: After + 10 years Omissions is 10 years; ADMINISTRATIVE FILES - Funding or After Published Audit Standards=4-7 WITH grant funding Agency Funding Yes: Before Mag, Yes: After years; Statute of Limitations: Lead Dept. p CW -012 (Correspondence, Project Completion Audit, if Agency Completion Mfr, OD, S/I QC & OD Contracts & Spec's=4 years, Administration, Project required, Audit, if Ppr Wrongful Death=comp. + 5 Schedules, Certified Payrolls, whichever is required, years, Developers=comp. + 10 Invoices, Logs, etc.) longer whichever is years; Statewide guidelines longer propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090; GC §8546.7 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-29 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -5 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL Mag' Yes: After. Lead Dept. CW -013 PROPOSALS, and RFQs 2 years 2 years Mfr, OD, S/ I GC §34090 QC & OD Ppr (Request for Qualifications) that don't result in a contract Copies - Copies - Finance CW -014 Audits / GA€R Comprehensive When No When No Mag, Copies; GC §34090.7 Annual Financial Reports Longer Longer Ppr Required Required CW -015 Bids: See Agreements & Contracts Committees: AUDIO RECORDINGS of Meetings Copies - Copies - City Clerk CW -016 (except Council and Planning Send to City Send to City Mag Copies; GC §34090.7 Commission - see City Clerk's Clerk Clerk and Planning's schedule) Boards and Commissions: AUDIO RECORDINGS of Copies - Copies - City Clerk CW -017 Meetings (except Council and Send to City Send to City Mag Copies; GC §34090.7 Planning Commission - see City Clerk Clerk Clerk's and Planning's schedule) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-30 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -6 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Boards, Commissions, & Committees: Citizens Advisory Formed by CITY COUNCIL (AGENDA PACKETS, NOTICES, Mag' Brown Act challenges must be Staffing Dept. CW -018 AFFIDAVITS OF POSTINGS Minimum 2 Minimum 2 Mfr, OD, S/ I Yes: After filed within 30 or 90 days of PROOF OF PUBLICATIONS, y ears y ears QC & OD action; GC 34090, §§ Ppr etc.) 54960.1 c O( ) (i.e., Civil Service Board, Board of Library Trustees, and Building and Fire Board of Appeals) Boards, Commissions, & Committees: Citizens Advisory Formed by CITY COUNCIL (MINUTES & Notes taken to facilitate the BYLAWS) Mag' Yes: After writing of the minutes can be Staffing Dept. CW -019 P P Yes Mfr, OD, S 2 years destroyed after minutes have (i.e., Civil Service Board, Board of Ppr been adopted; GC §34090 Library Trustees, and Building and Fire Board of appeals. For Council and Planning Commission - see City Clerk's and Planning's schedule) Subcommittees can not take Boards, Commissions, & action -- all recommendations Staffing Dept. CW -020 Committees: City Council 2 years 2 years Mag, go to the full Council; Brown Act Ppr challenges must be filed within Subcommittees (All records) 30 or 90 days of action; GC §§34090, 54960.1(c)(1) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-31 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -7 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Boards, Commissions, & Committees: External When No When No Mag' CW -021 Organizations (e.g. County Longer Longer Ppr Non -records Board of Supervisors) Required Required CW -022 Brochures: See Reference Manuals Copies - Copies - Mag, Final must be filed with County Finance CW -023 Budgets -Finals When No When No Yes: Current Mfr, OD, S/I Yes: After Auditor; GC §34090.7, 40802, Longer Longer Fiscal Year Ppr 5 years 53901 Required Required Cash Receipts Detail / Backup / ag Retained in originating Lead Dept. CW -024 Credit Card Receipts / Accounts 2 years 3 years 5 years Pprr' p department for auditing Receivable (except Library) purposes; GC §34090 Copies - Copies - Mag, City Attorney CW -025 City Attorney: Opinions When No When No Mfr, OD, S No GC §34090.7 Longer Longer Ppr Required Required Class and Camp Registrations, Yes: During Mag' Lead Dept. CW -076 Waivers, & Rosters - ALL 2 years 2 years Class or Ppr GC §34090 Program Department preference to Collection Agencies: Unpaid Mag, match the length of time an Lead Dept. CW -026 debts assigned to a collection 7 years 7 years p unpaid debt remains on a credit agency report; meets auditing standards; GC §34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-32 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -8 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Committees: Internal attended Lead Dept. CW -027 by employees (e.g. Records 2 years 2 years Mag' GC §34090 Management Committee, In- Ppr House Task Forces, etc.) Statute of Limitations for public official misconduct is discovery of offense + 4 years ; State and Lead Complaints (against Personnel - Final Final Yes: Before Mag, Fed laws is until final disposition (Responding) CW -028 e.g. misconduct, abuse, Disposition Disposition Disposition Ppr of formal complaint; State Dept. excessive force, etc.) + 5 years + 5 years requires 2 years after action; CCP §§340 et seq., 342; EVC § 1045(b)(1), GC §§12946, 12960, 34090; VC §2547 City preference to be consistent Complaints / Service Orders with correspondence; Statute of (operational) received in writing, Yes: After Limitations for personal Lead Dept. CW -029 including via e-mail, Council 2 years 2 years Mag Ppr S/I QC & OD property, fraud, etc. is 3 years; Appeal Forms, where the Claims must be filed in 6 Appeal did not go to Council months; CCP §§338 et seq., 340 et seq., 342, GC §34090 Complaints / Service Request Department preference (data is Lead Dept. CW -080 Database Indefinite Indefinite Mag Ppr interrelated); GC §34090 CW -030 Contracts: See Agreements Copies - Copies - CW -031 Copies or duplicates of any When No When No Mag Ppr GC §34090.7 record Longer Longer Required Required CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-33 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -9 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Correspondence - ROUTINE (Content relates in a Dept. that substantive way to the Authors conduct of the public's Document business) or (e.g. Administrative, Mag, Yes: After Receives the CW -032 Chronological, General Files, 2 years 2 years Mfr, OD, S/I QC & OD GC §34090 City's Original Letters, Memorandums, Ppr Document Miscellaneous Reports, Press Releases, Public Records Requests, PRAR Completion forms, Reading, Working Files, etc. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-34 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -10 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Correspondence - TRANSITORY / PRELIMINARY Electronic and paper records DRAFTS, Interagency and are categorized, filed and Intraagency Memoranda not retained based upon the retained in the ordinary course CONTENT of the record. of business Records where either the Content relates in a Content NOT Substantive, or substantive way to the NOT made or retained for the conduct of the public's purpose of preserving the business, or ARE made or Dept. that informational content for retained for the purpose of Authors future reference preserving the informational Document e. calendars, checklists, e- ( g When No When No Mag, content for future reference; or CW -033 mail or social media posting, Longer Longer Ppr are saved outside the e-mail Receives the Required Required system by printing them out and City's Original Y 9 invitations, instant messaging, placing them in a file folder, or Document logs, mailing lists, meeting room saving them electronically; If not registrations, posters, staff videoconference chats, notes mentioned here, consult the City Clerk to determine if a and recordings, supply inventories, telephone record is considered transitory / messages, text messages. preliminary drafts. GC §34090, transmittal letters, thank yous, GC §6252; 64 Ops. Cal. Atty. requests from other cities, Gen. 317 (1981)); City of San undeliverable envelopes / Jose v. Superior Court (Smith). Undeliverable Public Hearing S2180 Supreme Court of Notices, visitors logs, voice Californniaia , 2017 mails web a es etc. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-35 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -11 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Lead Dept. CW -077 Dedications: Benches, Bricks P P Mfr D, r, OO S Yes: After GC §34090 and Trees Ppr QC & OD As long as the drafts and notes are not retained in the "Regular Drafts &Notes: Drafts that are When No When No Mag, Course of Business". Consult Lead Dept. CW -034 revised (retain final version) Longer Longer Ppr the City Attorney to determine if Required Required a record is considered a draft. GC §34090, GC §6252, 6254(a) Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants Aftto Local Governments is 3 years Grants / CDBG / FEMA Claims / Funding Fu ding from expenditure report or final OES Claims / Reimbursable Agency Agency Mag, Yes: payment of grantee or Lead Dept. CW -035 Claims (SUCCESSFUL 2 Years Audit, Audit, if Mfr, OD, S / I When subgrantee; statewide Reports, other records required Required - required - Ppr Inactive guidelines propose 4 years; 2 to pass the funding agency's Minimum 5 Minimum 5 CFR 200.333; 21 rro 1403.36- nn33aaudit, audit,if required) 4 '""�b); 24 CFR 85.42, years years 91.105(h), 92.505, 570.490, & 570.502(a&b), 28 GCzv vFR 66.42; 29 CFR 97.42; nn CFR 31.4�� n2; nn GFR 13.4 2; n5 Gro 92.4 2; OMB Circular A-110 & A-133; GC §34090; GC §8546.7 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-36 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -12 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Lead Dept. CW -036 Grants (UNSUCCESSFUL 2 years 2 years Mag' GC §34090 Applications, Correspondence) Ppr City Preference; All State and Grievances Escalated to Human Final Final Federal laws require retention Human CW -037 Resources or Above for Disposition Disposition Yes: Before Mag, until final disposition of formal Resources Resolution + 5 years + 5 years Disposition Ppr complaint; State requires 2 years after action is taken; GC §§12946, 12960, 34090 City's Preference; All State and Final Final Federal laws require retention Lead Dept. CW -038 Grievances Resolved at Disposition Disposition Yes: Before Mag, until final disposition of formal Department Level + 5 years + 5 years Disposition Ppr complaint; State requires 2 years after action is taken; GC §§12946, 12960, 34090 Copies - Copies - Human CW -039 Injury reports: EMPLOYEES When No When No Mag, Copies retained for reference; Resources Longer Longer Ppr GC §34090.7 Required Required Copies - Copies - Mag' Finance / CW -040 Insurance Certificates (for When No When No Yes: Before Mfr, S/I Yes: After Copies; GC §34090.7 OMB Contracts, etc.) Longer Longer Completion Ppr Inactive Required Required When No When No City Attorney is OFR for Lawsuits, Litigation, Pending Longer Longer Yes: Before Mag, Yes: After lawsuits; Risk Management City Attorney CW -041 Litigation Required Required Settlement Mfr, OD, S/I Settlement administrates claim; GC (Upon (Upon Ppr §§34090.7, 34090.6 Settlement) Settlement CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-37 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -13 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Copies retained in department Human Copies - Copies - Mag' for 1 year; Risk Management Resources / CW -042 Liability Claims When No When No Yes: Before Mfr, OD, S/I Yes: After administrates claim; City Risk Manag. Longer Longer Settlement Ppr Settlement Attorney maintains copies of Required Required lawsuits; GC §§34090.7, 34090.6 CW -043 Minutes: See Commissions, Committees and Boards Previous MSDS may be obtained from a service; MSDS may be destroyed as long as MSDS (Material Safety Data a record of the chemical / Sheets) / Safety Data Sheets Mag, substance / agent, where & Lead Dept. CW -072 (SDS) /Chemical Use Report 30 years 30 years Mfr, OD, S Yes (after when it was used is Form (or records of the Ppr inactive) chemical / substance / agent, maintained for 30 years; where & when it was used) Applies to qualified employers; 8 CCR 3204(d)(1)(B)(2 and 3), 29 CFR 1910.1020(d)(1)(ii)(B), GC X34090 Copies - Copies - Mag' Return any whole unused codes City Clerk CW -044 Municipal Code (these are When No When No Yes: Current Mfr, OD, I No to the City Clerk; Originals copies) Longer Longer Original Ppr maintained by City Clerk Required Required Permanently; GC §34090 Newspaper Clippings /Media When No When No Mag' Non -records - may be obtained Lead Dept. CW -045 Excerpts Longer Longer Ppr from the newspaper company; Required Required GC §34090 Statute of Limitations on Staffing Dept. CW -046 Notices: Public Hearing Notices 2 years 2 years Ppr' Municipal Government actions is 3 - 6 months; GC §34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-38 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -14 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Copies - Copies - Mag' City Clerk CW -047 Ordinances (these are copies) When No When No Yes (all) Mfr, D, S No Originals maintained by City Longer Longer P p Clerk Permanently; GC §34090 Required Required U.S. State Department, Passport Transmittal Forms Passport Agency requires 24 Lead Dept. CW -078 (Copies); Miscellaneous 2 years 2 years Ppr months (OFR is U.S. Passport Information Department of State); GC §34090 Ensure records kept in Upon Upon Department files comply with Separation, Separation, City policy; Originals are Human CW -048 Personnel Files (Except for Send All Send All Before Mag, maintained by Human Resources Police and Fire Training Files) Originals to Originals to Separation Ppr Resources Personnel; State & Human Human Federal laws require 2 -3 years; Resources Resources 29 CFR 1602.31 & 1627.3(b)(2), GC §§12946, 12960, 34090 Personnel Files (Supervisors Before Notes maintained in a separate Human CW -049 File of notes - incorporated into 1 year 1 year Annual Mag, folder to be incorporated into Resources Annual Performance Performance Ppr performance evaluation; GC Evaluations) Evaluation §34090 et seq. Lead Dept. CW -050 Personnel Work Schedules 2 years 2 years Ppr' GC §34090 Copies - Copies - Purchasing is OFR; Financial Purchasing CW -051 Purchase Orders, Purchase When No When No Yes: Before Mag, records are audited annually; Requisitions Longer Longer Payment Ppr GC §34090.7 Required Required CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-39 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -15 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Real Estate Appraisal Reports: Mag' Not accessible to the public; Lead Dept. CW -074 Property NOT purchased or 2 years 2 years Statewide Guidelines show 2 sold Ppr years; GC §§34090, 6254(h) Department Preference to Lead Dept. CW -075 Real Estate Appraisal Reports: 2 years 5 years 7 years Mag, establish tax increment and Purchased and Sold Property Ppr meet auditing standards; GC §34090 Records Destruction Lists / Copies - Copies - City Clerk CW -053 Certificate of Records When No When No Mag, GC §34090.7 Destruction Longer Longer Ppr Required Required Lead Dept. CW -052 Records Management Audit 2 years 2 years Mag' GC §34090 Forms Ppr Reference Materials: Administrative Procedures or When No When No Drafting department is Policies, Procedures, Lead Dept. CW -054 Brochures, Manuals, Longer Longer Mag, responsible for maintaining, Newsletters & Reports: Required Required Ppr updating, and retention Superseded Superse Produced by OTHER (Copies); GC §34090.7 Departments Reference Materials: Policies, Procedures, Brochures, Manuals, Newsletters & When No When No CW -055 Reports: Produced by Longer Longer ag Ppr' Non -Records OUTSIDE ORGANIZATIONS Required Required (League of California Cities, Chamber of Commerce, etc.) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-40 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -16 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Reference Materials: Administrative Procedures or When No When No Drafting department is responsible for maintaining, Policies, Procedures, Longer Longer Lead Dept. CW -056 Brochures, Manuals, Required + Required + Mag, updating, and retention; Newsletters & Reports: Ppr Statewide guidelines propose " O n MUM Of Produced by YOUR 2 years 2 years superseded + 2 or 5 years; GC §34090 Department Reports and Studies Mag, Yes: After Administratively and Historically Lead Dept. CW -058 (Historically significant) 10 years P P Mfr, OD, S/I 10 years significant, therefore retained Ppr permanently; GC §34090 Information is outdated after 10 Reports and Studies (other than years; statewide guidelines Lead Dept. CW -059 Historically significant reports - 10 years 10 years ag P' propose 2 years; If historically e.g. Annual Reports) prr, p significant, retain permanently; GC §34090 Copies - Copies - Mag, Originals maintained by City City Clerk CW -060 Resolutions (these are copies) When No When No Yes (all) Mfr, OD, S No Clerk Permanently; GC Longer Longer Ppr §34090.7 Required Required When When Certificates provided by the Dept. with Safety Certifications (Elevators, Superseded, Superseded, Mag, State, who may not perform Equipment CW -061 Fire Systems, etc.) Minimum 2 Minimum 2 Ppr inspections every year; GC years years §34090 Transitory records not retained Speaker Cards (submitted at When No When No in the ordinary course of Lead Dept. CW -062 public meetings) Longer Longer Ppr business (used to accurately Required Required produce minutes); GC §34090 et seq. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-41 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -17 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Copies - Copies - Mag, Recreation CW -063 Special Event Permits When No When No Yes (all) Mfr, OD, S No GC §34090.7 Longer Longer Ppr Required Required Lead Dept. CW -073 Subpoenas 2 years 2 years Ppr' GC §34090 Surveys / Questionnaires (that the City issues). If a summary of the data is compiled, the Lead Dept. CW -064 survey forms are considered a 2 years 2 years Ppr' GC §34090 draft or transitory record, and can be destroyed when no longer required. CW -065 Tapes: See Boards & Commissions As long as they are not retained When No When No in the "Regular Course of Lead Dept. CW -066 Telephone Messages Longer Longer Ppr Business". Consult the City Required Required Attorney to determine if a record is considered a draft. GC §34090, GC §6252 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-42 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -18 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Department preference; Meets auditing standards (audit + 4 years); IRS requires 4 years; Time Sheets / Time Cards / Mag, Yes: After Ca. requires 2 yr min.; FTB Lead Dept. CW -067 Payroll Exception Reports WITH 2 years 3 years 5 years Mfr, OD, S QC & OD keeps 3 years; Published employee signatures Ppr articles show 4 -10 years; IRS Reg §31.6001-1(e)(2), R&T §19530; LC § 1174(d); 29 CFR 516.5 & 516.6(c); GC §34090 Department preference; Ethics Training is 5 years; Statewide Training - ALL COURSE guidelines propose 7 years; RECORDS Calif. Labor Division is required to keep their OSHA records 7 (Attendance Rosters, Outlines Mag' years; EEOC/FLSA/ADEA (Age) Lead Dept. CW -068 and Materials; includes Ethics 2 years 5 years 7 years Mfr, OD, S Yes: When requires 3 years for promotion, Training, Harassment P r p Inactive demotion, transfer, selection, or Prevention Training, Safety discharge; State Law requires 2 Training & Tailgate Training 3 years for personnel actions; 8 Meetings) CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC §6429(c); GC §§12946,12960,34090, 53235.2(b); 53237.2(b) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-43 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -19 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). (only 1 year is required); In the event that the recordings are evidence in any 1 year 1 year claim filed or any pending When No When No litigation, they shall be Videos / Drone Videos that Longer Longer preserved until pending Lead Dept. CW -079 record Regular, Ongoing Required Required Mag litigation is resolved; Exception: Operations of the City Minimum M`"� Minimum 2 destruction of video after 90 days if there is a duplicate in the form of "written minutes" ...of yeas yes the event that is recorded and the video is "no longer required" GC §34090.6, 34090.7 Department preference (Courts treat volunteers as employees); Volunteer/ Unpaid Intern EEOC/FLSA/ADEA (Age) Lead Dept. CW -069 Applications & Agreements - 3 years 3 years Ppr requires 3 years for promotion, Unsuccessful Applicants demotion, transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC 1§§12946,.12960,34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-44 Ver. 52.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -20 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retentionperiods retention resumes after settlement). Department preference (Courts Volunteer/ Unpaid Intern treat volunteers as employees); Applications & Agreements Inactive / Inactive / Mag, EEOC/FLSA/ADEA (Age) Lead Dept. CW -070 (includes emergency contact Separation + Separation + Mfr, OD, S Yes: 1 year requires 3 years for promotion, information) - Successful 3 years 3 years Ppr demotion, transfer, selection, or Applicants discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946, 12960, 34090 Work Orders / Work Requests Dept. (Department requesting Consistent with operational Requesting CW -071 service retains originals; 3 years 3 years Mag Ppr complaints; CCP §§338 et seq., Service / Work department providing service is 340 et seq., 342, GC §34090 considered a copy) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-45 Ver. 22.0 RECORDS RETENTION SCHEDULE: BUILDING Page B-1 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). BUILDING Application for Temporary Permit to Operate Fire Department, candles, (e.g. weddings) candle program (e.g. Yes: Yes: Department Preference; GC Building BL -024 restaurants), pyrotechnic display, P P Before Mag, Ppr S/I After QC §34090 open flame, tents, LPG, etc.) / Event & OD Provisional State regulated occupancies / temporary use permits P Building BL -001 Board of Appeals Agendas, Minutes P Yes (all) Mag,S Yes: Department Preference; GC P Mfr, OD, After QC §34090 et seq. Building BL -002 Building Code Modifications / P Yes (all) Mag,S Yes: Department Preference; GC Alternate Materials and Methods Mfr, OD, After QC §34090 et seq. Department Preference - Data is Building BL -003 Building Permit Database P P Yes (all) Mag interrelated; GC §34090, H&S While §19850 California Building Codes (CBC, While Building BL -021 CPC, CEC, etc.) Ordinance is Ordinance is Mag, Ppr GC §50022.6 in Force in Force P Building BL -004 Certificates of Occupancy P Yes (all) Mag,S Yes: Statewide guidelines propose life Mfr, OD, After QC of building; GC §34090 City Owned Property Files (except Mag, Yes: Building BL -023 Leases and Deeds - seen CC -013): P P Mfr, OD, S After QC GC §34090 Correspondence, Title Reports, etc. When No Ppr & OD When No Longer Longer Yes (before Department Preference; GC Building BL -018 Complaints, Investigations Required Required resolution) Mag, Ppr §34090 et seq. (minimum 2 (minimum 2 years) years) P Building BL -005 Correction Lists, Plan Checks P Mag, S Yes: Department Preference; GC Mfr, OD, After QC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-46 Ver. 22.0 RECORDS RETENTION SCHEDULE: BUILDING Page B-2 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records re uests, and/or investigation suspend normal retentionperiods retention resumes after settlement). When No When No Yes (until Entered into Building Permit Building BL -007 Inspection Correction Notices Longer Longer corrected) Mag, Ppr Database -- Transitory records; Required Required GC §34090 PERMITS: Building Permits & Mag, Yes: Statewide guidelines propose Building BL -008 Building Permit Applications (except P P Yes (all) Mfr, OD, S After QC permanent; GC §34090, H&S cancelled permits where no work Ppr & OD §19850 was started) PERMITS: Cancelled Building Permit Applications - Projects that Building BL -009 have NOT been Started (Submittal 2 years 2 nears Mag, Ppr Cancelled by applicant; GC Documents I Plans belonging to §34090 applicant - both residential and commercial) PERMITS: Expired by Time Limitations (Abandoned) Building Permits expire if work is not Building BL -010 Permits - Projects that have NOT 2 years 2 years Mag, Ppr commenced within 180 days, been Started (letters, other City- and may be extended for 180 owned documents - both residential days if requested; GC §34090 and commercial) PERMITS: Expired by Time Limitations (Abandoned) Building Department Preference to cover Permits -Projects that have NOT the period of time for reduced Building BL -011 been Started (Submittal 1 year 1 year Mag, Ppr fees; Permits expire work is not commenced within 180 days, Documents /Plans belonging to and may be extended for 180 applicant -both residential and days if requested; GC §34090 commercial CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-47 Ver. 22.0 RECORDS RETENTION SCHEDULE: BUILDING Page B-3 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. . last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records re uests, and/or investigation suspend normal retentionperiods retention resumes after settlement). Department Preference; Law PLANS: Approved Construction requires for the life of the Documents and Plans - ALL building for commercial and (COMMERCIAL & RESIDENTIAL) common interest dwellings; If (includes soils reports, energy the administrative provisions of calculations, commercial structural Mag' Yes: the CBC are adopted, these Building BL -012 plans, commercial structural Life of the Life of the Yes (all) Mfr, OD, S After QC plans are required to be retained calculations, Private NPDES permits, Structure Structure Ppr & OD for at least completion + 180 Hazardous Materials Questionnaire, days; Statewide guidelines applications, Flame Retardancy propose 2 years for blueprints & Certificates, Floor Plan Drawings, specifications; CBC §§101.2.1, fire lanes, fuel modification, business 106.5, 108.4.3.1; H&S§19850, for occupancy load, etc.) CFC §§ 104.6 — 104.6.4, GC When No §34090 PLANS: CANCELLED Permits, No When No Department Preference Building BL -014 Work Started Longer Longer Mag, Ppr (preliminary drafts / transitory Required Required records); GC §34090 PLANS: EXPIRED Permits, No Department Preference Building BL -013 Work Started 1 year 1 year Mag, Ppr (preliminary drafts / transitory records); GC §34090 Requests & Permissions to Receive Building BL -022 Copies of Plans (Correspondence to 2 years 2 years Mag, Ppr GC §34090 and from architects) Underground Storage Tanks (e.g. Mag, Department Preference for soils Building BL -025 removal / repair) P P Mfr, OD, S/I No contamination; GC §34090; Ppr H&S §25284.24(i) CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-48 Ver. 21.1 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) Retention Options M=Mfr OD Imaged S=Scan & QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). CITY ATTORNEY Follows Follows City Retention Retention Mag, Yes: Department Preference; GC Attorney CA -001 City Attorney Opinions for for Yes Mfr, OD, S After §34090 Associated Associated Ppr QC'd Case Case Department preference; City Clerk maintains original staff reports and resolutions that are Resolution / Mag, presented to Council; Some City CA -002 Code Enforcement Resolution / 10 years Payment + Yes: Until Mfr, OD, S Yes: 1 cases may have grant funding; 2 Attorney Payment 10 years Resolution Ppr year CFR 200.333; 21 GFR 1403.42--, 24 CFR 95..42, 91.105(h), & 570.502(a), 29 CFR 97.42, OMB Circular A-110 & A-133; GC §34090 Department Preference; Claim must be filed within 1 year, City Lawsuits / Litigation (Civil - Resolution Yes: Until Mag, Yes: lawsuit within 2 years; complaints Attorney CA -003 Contracted) Resolution 10 years + 10 years Resolution Mfr, OD, S After against peace officers within 5 Ppr QC'd years; CCP §§ 337 et seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-49 Ver. 21.1 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department Preference; Claim must be filed within 1 year, City Lawsuits / Litigation (Civil - In- Resolution Yes: Until Mag, Yes: lawsuit within 2 years; complaints Attorney CA -010 House) Resolution 10 years + 10 years Resolution Mfr, OD, S After against peace officers within 5 Ppr Settled years; CCP §§ 337 et seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) Department Preference; City Lawsuits / Litigation Resolution Yes: Until Mag, Yes: complaints against peace officers Attorney CA -011 Pitchess Motions Resolution 5 years + 5 years Resolution Mfr, OD, S After within 5 years; CCP §§ 337 et (Criminal - Contracted) Ppr Settled seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) Department Preference; City Lawsuits / Litigation (Criminal - Resolution Yes: Until Mag, Yes: complaints against peace officers Attorney CA -012 In -House) Resolution 5 years + 5 years Resolution Mfr, OD, S After within 5 years; CCP §§ 337 et Ppr Settled seq.; GC §§ 911.2;-34090, 34090.6; PC §832.5(b) Mag' Department Preference; Always City CA -004 Legal Documents: Settlement P P Yes Mfr, S No retain original, hard copies of all Attorney Agreements P, pr settlement agreements; GC When No §34090 When No City Legislative Advocacies, Amicus Longer Longer Attorney CA -005 Briefs, Miscellaneous, etc. Required Required Mag, Ppr GC §34090 (minimum 2 (minimum 2 years) years) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-50 Ver. 21.1 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA -3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) Retention Options M=Mfr OD Imaged S=Scan & QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). HR /Risk Resolution / Resolution / Yes: Until Mag, Yes: Department Preference (copies); Manag. CA -006 Liability Claims Settlement 2 years Settlement Settlement Mfr, OD, S After GC §34090.7 + 2 years 2 years Ppr Settled City CA -007 Potential Claim Files 2 years Mag, Ppr GC §34090 Attorney When No When No City Subject / Project Files (Cable TV, Longer Longer Some material may be required Attorney CA -008 etc.) Required Required Mag, Ppr for reference, depending upon (minimum 2 (minimum 2 subject; GC §34090 years) years) 2 years City CA -013 Summons and Complaints or 2 years Mag, Ppr GC §34090 Attorney Petition Follows Follows City Retention Retention Yes: Until Mag, Yes: Department Preference; GC Attorney CA -009 Work Product (Notes, etc.) for for Settlement Mfr, OD, S After §34090 et seq. Associated Associated Ppr Settled Case Case CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-51 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). CITY CLERK Brown Act challenges must be filed within 30 or 90 days of action; City Clerk CC -001 Advertising for Boards and 2 years 2 years Mag, Statute of Limitations on Municipal Commission (vacancies) Ppr Government actions is 3 - 6 months; CCP§337 et seq; GC §§34090, 54960.1(c)(1) Statute of Limitations for mailings Affidavits of Postings /Special Mag, Yes: After for annexations, special districts, City Clerk CC -002 Meeting Notices 2 years 2 years Mfr, OD, S/ I bonds is 60 days; Municipal QC & OD I Ppr Government actions is 3 - 6 months; GC §34090 Agendas and Agenda Packets - Mag, Yes: 2 years Department Preference; GC City Clerk CC -004 Images on Document Imaging P P Mfr, OD, S after QC & §34090 et seq. System (City Council 100 Packet) Ppr OD CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-52 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Agreements & Contracts (ALL, Including Leases) Agreement or Contract, Notices of Completion, etc. Agreement or Contract Department Preference; All includes all contractual obligations infrastructure, Memorandas of (e.g. Specifications and Successful Understanding, JPAs, & Mutual Proposal/ Scope of Work) Aid contracts should be Yes: Mag, permanent for emergency City Clerk CC -005 Mutual Aid Agreements, Automatic Completion P P Before Mfr, OD, S Yes: After preparedness; Statute of Aid, Joint Power Authorities, Completion Ppr OC & OD Limitations is 4 years; 10 years for Apartment Rental/Lease Errors & Omissions; land records Agreements, Memorandas of are permanent by law; CCP Understanding §§337. 337.1(a), 337.15, 343; GC §34090, Contractor has retention Insurance Certificates and renewals are requirements in 48 CFR 4.703 the responsibility of the Lead Department - see CW -040, Insurance Certificates Covers E&O Statute of Limitations (insurance certificates are filed Agreements &Contracts CompletionYes: Mag, Yes: After with agreement); Published Audit City Clerk CC -067 (Franchises) Completion 10 years + 10 yea Before Mfr, OD, S/I QC & OD Standards=4-7 years; Statute of Ppr Limitations: Contracts & Spec's=4 years; CCP §§336(a), 337 et. seq., GC §34090 Assessment District Formation City Clerk CC -061 (Diagrams of District Boundaries, P P Yes Mfr, OD, S / I No Department Preference; GC Recorded Documents, Copies of Ppr §34090 Resolutions, etc.) CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-53 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Mag, Yes: After City Clerk CC -006 Annexations / LAFCO P P Yes Mfr, OD, S / I QC Land Records; GC §34090 Ppr Audio Recordings of All Boards Department Preference; State law City Clerk CC -007 and Commission and Committees 1 year 1 year Mag only requires for 30 days; Council Except Planning Commission and Policy A-1 allows destruction after City Council 1 year; GC §54953.5(b) Department Preference; State law City Clerk CC -060 Audio & Video Recordings of P P Mag only requires for 30 days; Council Planning Commission ONLY Policy A-2 required record be kept as permanent; GC §54953.5(b) Statute of Limitations: Public Boards, Commissions & official misconduct is discovery of Committees - APPLICATIONS: Duration of Duration of Mag, offense + 4 years, Statewide City Clerk CC -008 APPOINTED includes Oaths of Office + 4 Office + 4 Ppr guidelines propose Appointment + Office years years 5 years; GC §34090; PC §§801.5, 803c Boards, Commissions & City Clerk CC -009 Committees - APPLICATIONS: 2 years 2 years Ppr' GC §34090 et seq. UNSUCCESSFUL City preference (City staff do not Duration of Duration of open all correspondence, Office Office Mag, therefore Council Members and City Clerk CC -062 City Council Correspondence Minimum 2 Minimum 2 Ppr Mayor may have the City's originals); Return all originals to years years the City Clerk for disposal; GC §34090 City Clerk CC -011 Chronological History of Mayor and 2 years P P Mag' Historical Value; GC §34090 Council Ppr CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-54 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -4 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Li ti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). City Clerk determines historical significance; records can address City History, Historical Records Mag, a variety of subjects and media. City Clerk CC -012 (e.g. Incorporation, City Seal, etc.) P P Mfr, OD, S No Some media (e.g. audio and video Ppr tape) may be limited because of the media's life expectancy; GC §34090 City Land and Property (Recorded Mag, City Clerk CC -013 Documents) 2 years P P Yes Mfr, OD, S / I No GC §34090 Ppr City Clerk CC -015 Claims Log / Database Indefinite Indefinite Ppr' GC §34090 et seq. City Clerk CC -016 Committee Rosters When P P Mag' Mfr, S / I Yes: After Department preference; GC Superseded pOD, QC §34090 Department Preference; Video City Clerk CC -017 Council Meetings: Video P P Mag, tapes of meetings are only Streaming OD required for 90 days; GC §§34090.7, 60201 Economic Interest Filings (FPPC Statements filed electronically are 700 Series Forms -Statement of Mag, Yes: After required for 10 years; City City Clerk CC -069 Economic Interests): 10 years 10 years Mfr, OD, S / I OC & OD maintains copies only; original ELECTRONICALLY FILED Ppr statements are filed with FPPC; GC §81009(f)(g); GC §84615 F-wiivinw nLt; ivaL niuiya I,rrr� 700 Series Forms - Statement of Economic Interests): Mag' After 2 City maintains original statements; City Clerk CC -018 DESIGNATED EMPLOYEES 2 Years 5 years 7 years Mfr, OD, S years GC §81009(e)&(g) (specified in the City's Conflict of CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-55 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -5 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Economic Interest Filings (FPPC 700 Series Forms - Statement of Economic Interests): PUBLIC OFFICIALS 187200 Filers (elected Department Preference; City City Clerk CC -019 & not elected. Includes City Term + 4 Term + 4 Mfr, OD, S After 2 maintains copies only; original Council Members, Planning years years Ppr years statements are filed with FPPC; GC §81009(f)&(g); GC §87200 Commission Members, City Manager, City Treasurer & City Attorney) City Clerk CC -068 Enterprise System Catalogue Minimum 2 Minimum 2 Mag Department preference; GC (posted on line) years ears §34090 Ethics Training Certificates for City Mag, Yes: After City Clerk CC -053 Council, Commissions and 2 years 3 years 5 years Mfr, OD, S QC GC §§34090, 53235.2(b) Department Heads Ppr FPPC Form 801 (Gift to Agency Yes: After 2 Must post on website; GC City Clerk CC -054 Report) 7 years 7 years Mfr OD, S years §81009(e) Ppr City Clerk CC -055 FPPC Form 802 (Tickets Provided 7 years 7 years Mag' Mfr, S Yes: After 2 Must post on website for 4 years; by Agency Report) pOD, years GC §81009(e) City Clerk CC -063 FPPC Form 803 (Behested 7 years 7 years Mag' Mfr, S Yes: After 2 FPPC Regulation 18734(c); GC Payment Report) pOD, years §81009e City Clerk CC -064 FPPC Form 804 (Agency Report of P P Mfr OD, S Yes: After 2 FPPC Regulation 18734(c); GC New Positions) Ppr years §81009e City Clerk CC -065 FPPC Form 805 (Agency Report of P P Mfr OD, S Yes: After 2 FPPC Regulation 18734; GC Consultants) Ppr years §34090; GC §81009(e) CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-56 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -6 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) ? Vital? (in office) CD or Mfr Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Mag' Must post on website; 2 CCR City Clerk CC -057 FPPC Form 806 (Agency Report of 7 years 7 years Mfr, OD, S Yes: After 2 8702.5(b)(3); GC §34090; GC Public Official Appointments) Ppr years §81009(e) ELECTIONS - CONSOLIDATED Campaign Filings (FPPC 400 Candidates without committees Series Forms, Form 501): are not required to file their UNSUCCESSFUL CANDIDATES Mfr, OD, After 2 statements , reports or copies City Clerk CC -021 10 years P P S online or electronically; Paper Includes Unsuccessful Candidates Ppr years must be retained for at least 2 Without Committees that Don't File years; GC §81009(b)&(g); GC Electronically 84615 uampaign disclosure Statements (FPPC 400 Series Forms, 501 Form): UNSUCCESSFUL Mag, Yes: After Statements filed electronicalIV are required for 10 years; GC City Clerk CC -071 CANDIDATES, 10 years 10 years Mfr, OD, S / I QC ELECTRONICALLY FILED - WITH R �81009(b)&(g); GC §84615 or WITHOUT Committees Campaign Filings (FPPC 400 Series Forms): OTHER Mfr, OD, After 2 Department preference; Paper City Clerk CC -022 COMMITTEES (PACS -not 10 years P P Ppr S years must be retained for at least 2 years; GC §§81009(c)&(g); 84615 candidate -controlled) Campaign Filings (FPPC 400 Series Forms): THOSE NOT Mfr, OD, After 2 Department preference; Paper City Clerk CC -023 10 years P P S must be retained for at least 2 REQUIRED TO FILE ORIGINAL Ppr years years; GC §§81009(f)&(g); 84615 WITH CITY CLERK (copies) Campaign Disclosure Statements Data that has been maintained for at least 10 years may then be (FPPC 400 Series Forms, 501 archived in a secure format; Paper Form): SUCCESSFUL Mfr, OD, Yes: After 2 City Clerk CC -024 CANDIDATES (Elected Officials) 10 2 years P P Ppr S years must be retained for at least 2 All Successful, whether filed years; GC §81009(b)&(g); GC lelectronically or not84615 i CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-57 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Elections - GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Applications for Mag, Used for a model for the next City Clerk CC -025 vacancies on the Council, Precinct 2 years 2 years Ppr election, GC §34090 Maps, County Election Services, Candidate Statements to be printed in the Sample Ballot, etc.) Elections - HISTORICAL File (Sample ballot, Oaths of Office, Mag, Retained for Historical Value, GC City Clerk CC -026 Certificate of Elections, copies of 4 years P P Mfr, OD, S No §34090 Resolutions - calling the election, Ppr canvass, etc., election summary) Department Preference; Statewide guidelines proposes 4 years for Candidate File: Nomination Term of Term of Mag, successful candidates, 2 years for Papers, Candidate Statements, unsuccessful; CA law states term City Clerk CC -027 etc. - SUCCESSFUL Office + 4 Office + 4 Mfr, OD, of office and 4 years after the CANDIDATES years years Ppr expiration of term and does not delineate between the two; EC §17100 Statewide guidelines proposes 4 Candidate File: Nomination years for successful candidates, 2 Papers, Candidate Statements, Election + 4 Election + 4 Mag, years for unsuccessful; CA law City Clerk CC -028 etc. - UNSUCCESSFUL years years Mfr, OD, states term of office and 4 years Ppr after the expiration of term and CANDIDATES does not delineate between the two; EC §17100 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-58 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -8 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) ? Vital? (in office) CD or Mfr Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Li ti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Results + 8 Results + 8 months or months or Final Final Not accessible to the public; The 8 Examination Examination month retention applies after if No if No election results, or final City Clerk CC -029 Elections - Petitions (Initiative, Election + 1 Election + 1 Ppr examination if no election, unless Recall or Referendum) year after year after there is a legal or FPPC etip tionetip tion proceeding. EC §§17200(b)(3), examination examination 17400 if petition is if petition is insufficient insufficient CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-59 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -9 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) ? Vital? (in office) CD or Mfr Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). ELECTIONS - STAND-ALONE use in con unction with Consolidated elections ... records series are not repeat Elections - Vote -by -Mail City Clerk CC -030 Applications, Roster of Absentee 6 mo. 6 mo. Ppr EC §17505 Applications City Clerk CC -031 Elections - Vote -by -Mail 6 mo. 6 mo. Ppr EC §17302 Identification Envelopes City Clerk CC -032 Elections - Assessment District 2 years 2 years Ppr GC §53753(e)(2) Ballots - Prop. 218 proceedings 6 mo. 6 mo. 6 mo. City Clerk CC -033 Elections - Ballots - After Election 6 mo. Ppr EC §17302 City Clerk CC -034 Elections - Ballots - After Recount 6 mo. Ppr EC §17306 City Clerk CC -035 Elections - Challenged & Assisted 6 mo. Ppr If uncontested, EC §17304 Voters List Elections - Inspector Receipts for City Clerk CC -036 Ballots 6 mo. 6 mo. Ppr EC 17302, 17306 City Clerk CC -037 Elections - Precinct Officer 6 mo. 6 mo. Ppr EC §17503 Appointments Mag, City Clerk CC -038 Elections - Roster of Voters 5 years 5 years Mfr, OD, EC §17300 Ppr City Clerk CC -039 Elections - Tally Sheets 6 mo. 6 mo. Ppr EC §17304 Elections - Voter Index Copies City Clerk CC -040 used as the Voting Record at 6 mo. 6 mo. Ppr EC §17304 Polling Places CityClerk CC -041 Elections - Voter Index Original 5 years r 5 ears Ppr EC § 17001 End of Elections Section CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-60 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy (OFR) Active Inactive / Total ? Vital? Media 1=Import Paper after (in office) CD or Mfr Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Li ti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Mag, City Clerk CC -042 Minutes: City Council 10 years P P Yes (all) Mfr, OD, S No GC §34090 Ppr Municipal Code Administration, When No When No Mag' Preliminary drafts not retained in City Clerk CC -043 Distribution, etc. Longer Longer Ppr the ordinary course of business; Required Required GC § 34090 City Clerk CC -044 Municipal Code and History File P P Mag, Mfr, OD, S No GC §34090 (always retain 1 supplement) Ppr Official Records / Recorded Mag, City Clerk CC -045 Documents: Abandonments, 10 years P P Yes (all) Mfr, OD, S No GC §34090 Easements, Entitlements, Ppr Vacations, etc. Mag, City Clerk CC -046 Ordinances P P Yes (all) Mfr, OD, S No GC §34090 et. seq. Ppr Petitions (submitted to Council on any subject - Dog Parks, Speed City Clerk CC -048 Humps, etc.) 1 year 1 year Ppr Law requires 1 year for petitions; GC §50115 Also see Elections for Initiative, Recall or Referendum) City Clerk CC -059 Proclamations (City -issued) 2 years 2 years Ppr' GC §34090 Statute of Limitations for mailings Mag, for annexations, special districts, City Clerk CC -049 Proof of Publication (City Clerk) 2 years 2 years Mfr, OD, bonds is 60 days; Municipal Ppr Government actions is 3 - 6 months; CCP §§337 et seq, 349.4; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-61 Ver. 38.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -11 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention ? Vital? Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Li ti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). City Clerk CC -050 Records Destruction Lists / 10 years P P Mag' Mfrr,, S Yes: After Department Preference; GC Certificates of Records Destruction pOD, QC §34090 et. seq. Mag, Yes: After City Clerk CC -051 Records Retention Schedules 10 years P P Mfr, OD, S QC GC §34090 et. seq. Ppr Redistricting Web Page / Council District Boundary Web Page (Map, City Clerk CC -072 10 years 10 yearsPpr Mag, EC §21608(8); GC §34090 Redistricting Process, Agendas, Calendars, Notice, etc.) Mag, City Clerk CC -052 Resolutions - City Council P P Yes (all) Mfr, OD, S No GC §34090 et. seq. Ppr City Clerk CC -070 Secretary of State Statement of 2 years 2 years Mag' GC §34090 Facts / Registry of Public Agencies Ppr For legal compliance for WORM / DVD -r / CD -r / Blue Ray -R Trustworthy Electronic Records City Clerk CC -066 or other unalterable media that When Super: P P OD (when the electronic record serves does not permit additions, as the official record); GC 34090, deletions, or changes 12168.7, EVC 1550, 2 CCR 22620 et seq.. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-62 Ver. 16.1 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Inactive Image: Destroy (OFR) Active (Off-site, Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & OD or Mfr) S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). CITY MANAGER / ADMINISTRATION CM -001 (See Department Preference; GC City Clerk CC -006) Annexations P P Mfr, OD, S / I Yes §34090.7 Ppr City When No When No When No Mag, Preliminary Drafts, or the Content Manager CM -002 Annexations: Working Files Longer Longer Longer Mfr, OD, S / I Yes is not substantive; GC §34090 Required Required Required Ppr Department preference to cover statute of limitations for errors & omissions; Published Audit City Business Improvement Districts When No Completion + Mag, Yes: After Standards=4-7 years; Statute of Manager CM -016 (BIDs) Project Files Longer 10 years 10 years Mfr, OD, S / I QC Limitations: Contracts & Spec's=4 Required Ppr years, Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 When No When No City Economic Incentives / Business Longer Longer Department Preference; GC Manager CM -015 Development (Auto Dealer Sales Required - Required - Mag, Ppr §34090; NBMC secs. Tax Incentives, etc.) Minimum 2 Minimum 2 14.17.005(F) and 21.48.025(C)(5) years years City CM -004 Lobbyist Reporting / Authorization 2 years 5 years 7 years Mag' Mfr, OD, S Yes: After GC §81009(e) and (g) Manager (FPPC Form 635 / 602) 2 years When No When No City Longer Longer Mag, Department preference; GC Manager CM -005 Media Releases / Mailers Required - Required - Mfr, OD, §34090 Minimum 2 Minimum 2 Ppr years I years CITY OF NEWPORT BEACH, CA ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-63 Ver. 16.1 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Inactive Image: Destroy (OFR) Active (Off-site, Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & OD or Mfr) S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). When No When No Longer Longer Yes: While City CM -007 Projects & Issues Required - Required - Active Mag, Ppr GC §34090 Manager Minimum 2 Minimum 2 Issues years years When No When No Prospects / Business Retention / Longer Longer City CM -017 Recruitment Files that do not result Required - Required - Mag, Ppr GC §34090 Manager in a project (Issues and/or projects Minimum 2 Minimum 2 will vary over time - e.g. Hotels, etc.) years years City CM -018 Redevelopment Statement of 2 years P P Mag' Mfrr,,pOD, S / I Yes: After Department Preference; meets Manager Indebtedness 1 year auditing standards; GC §34090 City Speeches (Historically Significant, When No When No Mag, Notes, drafts, or transitory Manager CM -008 see LS 001) Longer Longer Mfr, OD, records; GC §34090 et seq. Required Required Ppr When No When No Video Recordings - Government Longer Longer Department preference; Not city City CM -009 Programming (e.g. City Scenes, Required - Required - Mag records (Video tapes of meetings Manager POG, etc.) Minimum 2 Minimum 2 are only required for 90 days); GC §34090 et seq. years years City Video Recordings - Non -City When No When No Manager CM -011 Business, community programming. Longer Longer Mag Non -records; GC §34090 et seq. Required Required When No When No Video Recordings - Not Historic / Longer Longer Department Preference; Video City CM -010 Special Events (Historically Required - Required - Mag tapes of meetings are only Manager Significant, see LS -001) Minimum 2 Minimum 2 required for 90 days; GC §34090.7 years years CITY OF NEWPORT BEACH, CA ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-64 Ver. 12.1 RECORDS RETENTION SCHEDULE: CODE ENFORCEMENT Page CE -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Inactive Image: Destroy (OFR) Active (Off-site, Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & OD or Mfr) S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). CODE ENFORCEMENT Case is open until satisfactorily resolved (some cases are not Code 2 years after Yes: Until Mag, Yes: 1 resolved); City Clerk maintains Enforce. CE -001 Code Enforcement Case Files Satisfactorily P P Resolution Mfr, OD, S original staff reports and Or Fire Resolved Ppr year resolutions that are presented to Council; SFS X3.4, GC §34090 Code Code Enforcement Case Files - Resolution / Yes: Until Mag , Yes: 1 Department Preference; CFC Enforce. CE -002 Illegal Units or Liens Payment + 3 P P Resolution Mfr, OD, S year §104.3.4, GC §34090 Or Fire years Ppr Code Violations / Warnings / Code Enforce. CE -003 Enforcement /Citations: Resolution + Resolution + Ppr Department preference; GC Or Fire Misdemeanors relating to Harbor 5 years 5 years §34090 Operations / Vessel Inspections CITY OF NEWPORT BEACH, CA ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-65 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). ACCOUNTING FTC Reg's rely on "self - enforcement"; IRS is 4 years after Fin. / Arbitrage Rebate Calculation tax is due or paid; Supporting Accounting FIN -002 (related to bonds and tax exempt 2 years 3 years 5 years Mag, Ppr documentation for Investments of debt) Operating Funds; meets auditing standards; IRS Reg §31.6001- 1(e)(2), R&T §19530, GC §34090 Department Preference; IRS is 4 I years after tax is due or paid; Fin. / Assessment District / Special Termination Termination Supporting documentation for Accounting FIN -033 District Payments & Reports 2 years of District + of District + Mag, Ppr Investments of Operating Funds; 5 years 5 years meets auditing standards; IRS Reg §31.6001-1(e)(2), R&T §19530, GC §34090 Fin. / Audit Management Letters and Mag, Mfr, Yes: Department Preference; GC Accounting FIN -003 other formal letters related to 10 years 10 years I I OD, Ppr S / I After 1 §34090 audit communication year Fin. / Yes: Until Department Preference (meets Revenue FIN -076 Audit Work Papers 5 years 5 years Paid Mag, Ppr municipal government auditing Bank oe....ndl'at' ns Bank Statements, T-Fustee Statements, standards) GC §34090 Fiseal Agent Statements, F1 - 04 investentAeent Stat.wafft.2 years 3 years Aeoount'n 5 dears F0F auditing PUFPoses; Published Mag, Mfr, �pom7Y ni 7 10 Gr Outstanding Cheek is+rGFedi+ Card Statements, Depesi+ 61ti25-s, years; year §34090, 26 GFR 1.6001 1 and s4p$ CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-66 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -2 Office of Classificatior Record OR File Number (OFR) Records Description Retention / Disposition Active Inactive Total (in office) (Off-site, Retention OD or Mfr) Image: Destroy FIN -007 Media 1=Import Paper Vital? Options M=Mfr after Fin. / S=Scan Imaged & Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and im,oly a full file folder (e.a. last document + 2 years), since destruction is normally performed by file folder. Bond Transcripts (issuing Fin. / FIN -005 documents) See Bank Accounting Statements for statement retention. Fin. / CA€R Comprehensive Annual Accounting FIN -007 Financial Reports and related trust deeds, notes or debentures is Audit Opinions Fin. / Accounting FIN -010 Compliance Reports Fin. / Developer Trust Accounts / Accounting FIN -077 Deposit Accounts / Demolition fl....... `.:♦ A....... ....1.. Fin. / FIN -011 Escheat (Unclaimed money/ Accounting uncashed checks) Fin. / Financial Services Database FIN -012 (Accounts Payable and Payroll Accounting Check Registers) requ Fully Defeased P 2 years Close + 5 years Fully Yes: Until 10 years Defeased + Ppr 10 years Maturity 3 years P Mag, Mfr, S / I OD, Ppr 5 years Mag, Mfr, S / I OD, Ppr Close + 5 Yes: Until Mag, Ppr years Paid 2 years 3 years 5 years Mag, Ppr Indefinite Indefinite (minimum (minimum Yes Mag 10 years) 1 10 ears CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Comments / Reference resumes atter settlement). Department Preference; Statute of Limitations for bonds, mortgages, trust deeds, notes or debentures is 6 years; Bonds issued by local governments are 10 years; There are specific requirements for disposal of unused bonds; CCP §§336 et seq., 337.5(a); 26 CFR 1.6001-1(e): GC §43900 et seq. Yes: After 1 Copies; GC §34090.7 year I cZl. After 1 Meets auditing standards; GC §34090 Department Preference (meets municipal government auditing standards) GC §34090 Department preference; All tangible property held by government agencies escheats after 3 years; Statute of Limitations is 1 year for seized property; Meets auditing requirements; CCP §§340(d), 1519; GC §34090 Data Fields / Records are interrelated; GC §34090 Revision Adopted: 3/26/2019 7-67 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fixed Assets - Annual Listing Fin. / Additions & Deletions / Working Department Preference Accounting FIN -013 Drafts & Notes for Land and 2 years 3 years 5 years Mag, Ppr (preliminary drafts); Meets auditing Structures, Infrastructure and standards; GC §34090 Capital Equipment Fin. / Fixed Assets - Annual Listing Mag, Mfr, Yes: Includes permanent assets; GC Accounting FIN -014 Source Documents for Land and P P ODPpr , S / I After 1 §34090 Structures year General Ledger: Final year-end Yes: Published articles show 3 -10 Fin. / FIN -015 Includes Balance Sheets, 2 Years 8 years 10 years Mag, Mfr, S / I After 1 years; Other Cities have adopted 2 Accounting Revenue Ledger and Expenditure OD, Ppr year years - 20 years; GC §34090 Ledger Meets auditing standards; Published articles show disposal + Fin. / Investment Advisor Reports / Yes: Until Mag, Mfr, Yes: 7 years for security brokerage Accounting FIN -063 Trade Tickets 5 years 5 years Paid OD, Ppr S / I After 1 slips; statewide guidelines year propose permanent; FTC Reg's rely on "self -enforcement"; GC§§ 34090, 43900 Yes: Department Preference; Statute of Fin. / FIN -017 Journal Entries (Binders) 3 years 7 years 10 years Mag, Mfr, S / I After 1 Limitations is 4 years; statewide Accounting OD, Ppr guidelines propose Audit + 5 year years; GC §34090, CCP § 337 Indefinite Indefinite Yes: Department Preference; Statute of Fin. / FIN -080 Journal Entries (Tyler Munis) (minimum (minimum Mag, Mfr,, S / I After OC Limitations is 4 years; statewide Accounting 10 years) 10 years) ODPpr & OD guidelines propose Audit + 5 years; GC §34090, CCP § 337 Fin. / When No When No Accounting FIN -048 Property Tax Files Longer Longer Mag, Ppr Non -records; GC §34090 Required Required CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-68 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -4 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Aeeount €+N 08_1 SheFt TeFm Ledging years years OD, Pp AfteF1 §34090 State Reports: State Controllers Report / Local Government Compensation Report, Property Management Plan, Obligation Payment Schedules, Due Diligence Reviews, Gas Tax, MOE (Maintenance of Effort) Yes: Fin. / FIN -020 Report, Fixed Charge Special 2 Years 3 years 5 years Mag, Mfr, S / I After 1 Meets auditing standards; GC Accounting Assessment Report, Public Self OD, Ppr §34090 Insurer Report (SIP Report); year Housing Successor Agency Housing Assets Fund Report (SB 341), Street Report, AQMD Annual Report, Maintenance of Effort (MOE) Calculations, Audits, and other compliance reports Final Fin. / FIN -082 State -Mandated Cost Claims / SB Disposition 11M Mag, Ppr Department preference; GC Accountinq 90 Claims / Reimbursable Claims of Claim + 2 §34090 years Meets auditing standards; Published articles show disposal + Fin. / Yellow Book Data (downloaded Yes: Until Mag, Mfr, Yes: 7 years for security brokerage Accounting FIN -064 bank information) 5 years 5 years Paid OD, Ppr S / I After 1 slips; statewide guidelines year propose permanent; FTC Reg's rely on "self -enforcement"; GC§§ 34090, 43900 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-69 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -5 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). ACCOUNTING / PAYROLL Employee Benefit Plans, DE -6, IRS: 4 years after tax is due or DE -7, DE -9 DE -43, W-3, & DE- paid (longer for auditing & Fin. / 166, 941 Forms, IRS 5500 Mag, Mfr, Yes: contractor delinquency); Ca. FTB: Payroll FIN -022 Forms PERS /FICA &Medicare 2 years 3 years 5 years OD, Ppr S / I After 1 3 years; Published articles show Adjustments -Quarterly Payroll year permanent; ; IRS Reg §31.6001- Tax Returns / OASDI 1(e)(2), 26 CFR §1.6001-1, R&T §19530, GC §34090 Fin. / Deduction Registers, Leave Department Preference; GC Payroll FIN -023 Balances, Organization Charge 3 years 3 years Mag, Ppr §34090 Summaries Indefinite Indefinite to is interrelated; GC §34090 et Data Payroll Payroll FIN -024 Payroll Database (minimum (minimum Yes Mag 10 years) 10 ears Retained to match other auditing ISeparationli+ periods; IRS Regulation 31-6001-1 Fin. / Payroll File (Changes to W-4, Separation + four years after the due date of Payroll FIN -025 garnishments, deduction forms, 5 years 5 years Mag, Ppr such tax for the return period to etc.) which the records relate, or the date such tax is paid, whichever is the later; GC §34090 Payroll Journal / Register (Detail Yes: Department Preference to Fin. / FIN -026 Year-end, or periodic if no detail 2 years 28 years 30 years Mag, Mfr, S / I After 1 facilitate PERS buy-back for past Payroll OD, Ppr employees; consistent with year-end) year auditing standards; GC §34090 Fin. / Payroll Journal / Registers When No When No Mag, OD, Yes: Considered a draft or transitory Payroll FIN -027 (Periodic reports, when a detail Longer Longer Mfr, Ppr S / I After 1 record (detail year-end is year-end report is retained) Required Required year retained); GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-70 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -6 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). PERS Reports / Annual Valuation Yes: Fin. / FIN -028 Reports, Actuarial Valuation 3 years 3 years Mag, OD, S / I A1 Department Preference (Non - Payroll Reports, Annual Employer Mfr, Ppr yeea records); GC §34090 Statements r IRS: 4 yrs after tax is due or paid; Fin. / W -2's (includes Performers State Ca. FTB: 3 years; Articles show 7 Payroll FIN -029 Withholding) 5 years 5 years Mag, Ppr years; IRS Reg §31.6001-1(e)(2), R&T §19530; 29CFR 516.5 - 516.6, 29USC 436, GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-71 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). OFFICE OF MANAGEMENT & BUDGET OMB Department Preference; IRS: 4 years after tax is due or paid Yes: (longer for auditing & contractor Fin. /OMB FIN -030 1099's, 1096's 2 years 3 years 5 years Mag, Mfr, S / I After delinquency); Ca. FTB: 3 years; OD, Ppr Published articles show permanent; ; IRS Reg §31.6001- 1(e)(2), R&T §19530, GC §34090; 29 USC 436 Accounts Payable / Vendor Files Department Preference to cover (All Records and Reports - Yes: grant auditing requirements; Fin. / OMB FIN -031 Includes Invoices, Copy of 2 years 8 years 10 years Yes: Until Mag, Mfr, S / I After 1 Statewide guidelines propose Checks /Warrants, Travel Paid OD, Ppr year audit + 4 years; Published articles Expense Reimbursements, show 3 - 7 years; GC §34090 Postage, W -9's, etc.) Fon. QMB - iN-�� Accounts Payable and P-yrG Cheek Registers & 5-yea�& Mag Mfr, QD-K_ d44 �'rn, After paFt., ent Pref,-,. ee; to of Statute sidelines Audit +7 - year propose s; GC §34090 CCP § 337 Fin. / OMB FIN -006 Budget Amendments 2 years 3 years 5 years Mag, Mfr, S / I ' After 1 Meets auditing standards; GC OD, Ppr §34090 When No When No Budget Hearing and/or Review Longer Longer Drafts - Department Preference; Fin. / OMB FIN -059 (Development Documents & Required Required Mag, Ppr GC §34090.7 Preliminary Budget) (minimum 2 (minimum 2 years) ears Budget Transfer Requests & Mag, Mfr, e Department Preference; Meets Fin. /OMB FIN -060 Journals 2 years 3 years 5 years Cues: OD, Ppr S / I Af 2 4 auditing standards; GC §34090 Fiscal Year years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-72 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -8 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Mag, Mfr, Yes Must be filed with County Auditor; Fin. /OMB FIN -061 Budgets -Adopted P P Cues: OD, Ppr S / I After.1 GC §34090, 40802, 53901 Fiscal Year year Yes: Department Preference; Statute of Fin. /OMB FIN -008 Checks / Warrants - Canceled 2 years 8 years 10 years Mag, Mfr, S / I A1 Limitations is 4 years; statewide (Cashed) OD, Ppr yeea guidelines propose Audit + 5 r years; GC §34090, CCP § 337 Yes: Meets auditing standards; Statute Fin. /OMB FIN -009 Checks /Warrants -Voided 2 years 3 years 5 years Mag, Mfr, S / I After of Limitations is 4 years; statewide OD, Ppr guidelines propose Audit + 5 years; GC §34090, CCP § 337 Department Preference; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 Expiration of Expiration of Yes: years from expenditure report or Fin. /OMB FIN -016 Grant Reports Grant + 2 8 years Grant + 10 Mag, Mfr, S / I After 1 final payment of grantee or OD, Ppr subgrantee; HUD requires 3 years; years years year statewide guidelines propose 4 years; 2 CFR 200.333;_2- 1403.36 & 1403.42(b); 24 CFR 85.42,91.105(h), & 570.502(a), 29 CFR 97.42; ;OMB Circular A- 110 & A-133; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-73 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -9 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department preference; Longest Statute of Limitations is 10 years; Insurance Certificates (for Yes: Before Mag, Mfr, Yes: Conforms with Agreement Fin. / OMB FIN -078 Contracts, etc.) 2 years 9 years 11 years Completion OD, Ppr S/I After 1 Retention (usually filed with year agreement); statewide guidelines propose permanent; CCP §337 et seq.; GC §34090 Fin. / OMB FIN -041 Inventory and Warehouse 2 years 2 years Mag, Ppr GC §34090 Consistent with City-wide guidelines for contracts and agreements; Statewide guidelines propose completion + 5 years for Purchase Orders, Procurement & non -capital improvement contracts Contracting Records - Formal Yes: & completion + 4 years for Fin. / OMB FIN -049 and Informal (RFPs, Completion 8 years Completion Yes: Before Mag, Mfr, S After transportation and concessionaire Specifications, Contracts, + 2 years + 10 years Completion OD, Ppr Inactive agreements. Statute of Amendments, Successful Bids, Limitations is 4 years; 10 years for Notice of Award, RFQs, etc.) Errors & Omissions; CCP §§337. 337.1(a), 337.15, 343; GC §34090 Purchasing - Bidder / Vendor List Transitory Record used to mail out Fin. / OMB FIN -050 (Companies that want to receive Superseded Superseded Mag, Ppr requests; GC §34090 et seq. RFPs / RFQs) Fin. / OMB FIN -051 Purchasing Card Backup 2 years 3 years 5 years Mag, Ppr Meets auditing standards; GC Receipts and Statements §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-74 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). REVENUE Accounts Receivable / Revenue Includes Taxes - Transient The financial services database is Occupancy Tax (TOT)), Marine maintained for a minimum of 10 Charter Tax, Solid Waste Lead FIN -065 5 years 5 years Yes: Until Mag, Ppr years; the lead department Depart. Franchise Statements, etc. (All Paid maintains records for the audit source documents are trail; GC §34090 et seq. maintained by the Lead Dept; see City-wide schedule.) Fin. / FIN -066 Adjudications - Reviews, 2 years 2 years Mag, Ppr GC §34090 Revenue Hearings (e.g. Parking Citations) Adjustment Sheets: Customer When No When No Considered transitory records / Fin. / FIN -067 Issues / Concerns / Adjustment Longer Longer Mag, Ppr source records (entered into the Revenue Requests / Adjustments / Required Required Financial Services database); GC §34090 et seq. Fin. / FIN -032 Armored Truck Manifests 2 years 2 years Mag, Ppr GC §34090 Revenue Automatic Payment When No When No Preliminary drafts destroyed in Fin. / FIN -034 Authorizations from Checking / Longer Longer Mag, Ppr accordance with bank regulations; Revenue Credit Cards (e.g. water Required Required GC §34090 et seq. payments) Fin. / Automatic Payment Transmittals When No When No Copies (originals in Daily Cash Revenue FIN -035 from Checking / Credit Cards Longer Longer Mag, Ppr Summaries); GC §34090.7 (e.g. water payments) Required Re uired CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-75 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -11 Office of Classificatior Record OR File Number (OFR) Records Description Retention / Disposition Active Inactive Total (in office) (Off-site, Retention OD or Mfr) Warnin s! If the record is not listed here, refer to the Retention for Cit -Wide Retentions begin when the act is completed, and imply a full file folder 7e.9- e. .HOLDS: HOLDS:Litigation, claims, complaints, audits, pending records requests, at Destroy Bank Reconciliations, Bank Media 1=Import Statements, Trustee Statements, Vital? Fin. / Fiscal Agent Statements, after Revenue FIN -004 Investment Account Statements, 2 years "g Outstanding Check Lists, Credit Yes (before Card Statements, and Deposit (minimum termination) Slips Fin. / Revenue FIN -036 Building Permit Deposits 2 years Fin. / S / I Business License Applications - Revenue FIN -069 Cancelled 5 years Fin. / Revenue FIN -070 Business License Applications P Fin. / Indefinite FIN -071 Business Licenses (Database) (minimum Revenue 10 years) Fin. / FIN -037 Cash Receipt Books 2 years Revenue Checks deposited to Bank (City Fin. / scans them for the Bank, rather Follow Bank Revenue FIN -079 than physically taking the checks Instructions to the bank to deposit them.) 3 years 1 5 years 3 years 3 years Comments / Reference Image: Destroy 5 years Media 1=Import Paper Vital? Options M=Mfr after termination) S=Scan Imaged & Mag, Mfr, S / I OD, Ppr 5 years Mag, Ppr 5 years Ppr PYes (before Mag, Mfr, S termination) OD, Ppr Indefinite Yes (before (minimum termination) Mag, Ppr 10 ears 5 years Mag, Mfr, S / I OD, Ppr Follow Bank Mag, Ppr Instructions Fin. / FIN -072 Collection Agency (e.g., returned Assignment Assignment Yes Mag, Ppr Revenue checks assigned to collection) + 7 years + 7 years Fin. / FIN -038 Daily Cash Summaries 2 years 3 years 5 years Mag, Ppr Revenue CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 resumes Yes: For auditing purposes; Published After 1 articles show 3 - 4 years; Other cities show 7 - 10 years; GC year §34090, 26 CFR 1.6001-1 Meets auditing standards; GC §34090 Meets auditing standards; GC §34090 et seq. `C'' Department Preference; GC After 1 §34090 et seq. Department preference to match financial services; Data fields are inter -related; GC §34090 et seq. Meets auditing standards; GC After 1 §34090 These are bank instruments, and not City records; per bank agreement. Department preference to match the length of time negative credit information remains on a consumer's credit report; GC §34090 Meets auditing standards; GC 534090 Revision Adopted: 3/26/2019 7-76 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -12 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department Preference (Lead Fin. / FIN -039 Developer Deposit Summaries 2 ears 2 ears Mag' Ppr Department is OFR for backup); Revenue GC §34090.7 Fin. / FIN -040 Impressed Account Logs Closed + 5 Closed + 5 Mag, Mfr, S / I Meets auditing standards; GC Revenue years ears OD, Ppr §34090 Fin. / Logs: Parking Permits, Zone 1, Revenue FIN -042 Zone 2, etc. 2 years 2 years Mag, Ppr GC §34090 Medical Necessity Customers (Emergencies / Shut -offs - No Longer in Maq, Yes: Fin. / FIN -083 Customers who must have No Longer in 2 years Ppr, Mfr, S After QC Confidential; Department Effect + 2 Effect Revenue electricity or water for critical preference; GC §60201 years OD & OD medical equipment) Fin. / Mag, Mfr, ' Meets auditing standards; GC Revenue FIN -043 Misc. Receipts - County / State 2 years 3 years 5 years OD, Ppr S / I After 1 §34090 When No When No nsitory Record; GC §34090 et Transitory FIN -044 Municipal Services Bill Stubs Longer Longer Ppr e Revenue Required Required q' Fin. / Revenue FIN -045 Parking Citation Payments 1 year 1 year Mag, Ppr Transitory Records; GC §34090.7 Fin. / Revenue FIN -046 Parking Meter Summaries 2 years 2 years Mag, Ppr GC §34090 Permits: Second Hand Fin. / Dealer/Pawnbroker, Going out of Mag, Mfr, Yes: Department Preference; GC Revenue FIN -073 Business, Adult -Oriented, Public 4 years 4 years OD, Ppr S / I After 1 §34090 et seq. Convenience, Live Entertainment, year Sound Amplification, Film CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-77 Ver. 32.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -13 Office of Record Classification OR Records Description Retention / Disposition Comments / Reference (OFR) File Number Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital? Media Options Image: 1=Import M=Mfr S=Scan Destroy Paper after Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fin. / Revenue FIN -074 Receipt Books (turn-offs) 2 years 3 years 5 years Mag, Ppr Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Fin. / Revenue FIN -075 Returned Check Processing Short Term Lodging Permits 2 years Minimum 4 3 years 5 years Mag, Ppr Mag, Mfr, S / I S ' AfterY1 Yes: After QC Meets auditing standards; GC §34090 Department Preference; GC Fin. / Revenue FIN -084 FIN -085 Minimum 4 yearsears Account Expiration + OD, Ppr 434090 Documented or attached to Customer Record in database GC Water Billing: Appeals - Payment Fin. / Revenue Account Expiration + Mag, Ppr, Mfr, Delinquency & Impending Discontinuation 2 years 2 vears OD & OD 434090; H&S §116908 Fin. / Revenue FIN -086 Water Billing: Non-payment Minimum 2 Minimum 2 Mag, Ppr, Mfr, S Yes: After QC Documented or attached to Customer Record in database GC Notices / Notice of Payment Delinquency &Impending Discontinuation (Initial, Final) nears nears OD & OD &34090; H&S §116908 Fin. / Revenue FIN -087 Water Billing: NSF Checks / Minimum 2 Minimum 2 Maq, Ppr, Mfr, S Yes: After QC Documented or attached to Customer Record in database GC Adjustments to Customer accounts years years OD & OD §34090; H&S §116908 Fin. / Revenue FIN -088 Water Billing: Payment Plans: Expiration or Expiration Maq, Ppr, Mfr, S Yes: After QC Documented or attached to Customer Record in database GC Completion Completion Amortization, Alternative Payment of Payment of Payment Plans, Deferrals, etc. Plan + 2 Plan + 2 ears OD & OD §34090; H&S §116910 years Fin. / Revenue FIN -089 Water Billing: Policy on Discontinuation of Residential When Superseded - When Su erseded Maq, Ppr, Mfr, S Yes: After QC Must post to Website; H&S §116906; GC §34090 Service for Nonpayment + 2 years + 2 ears OD & OD Fin. / Revenue FIN -090 Water Billing: Report of Annual Minimum 2 Minimum 2 Maq, Ppr, Mfr, S Yes: After QC Must post to Website; H&S §116918; GC §34090 Discontinuations of Residential years years Service OD & OD CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-78 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). FIRE Department Preference Authorization to Release (HIPAA allows patients to Fire FR -016 Medical Records, Disclosure 2 years 5 years 7 years Mag, Mfr, S / I Yes: see who has requested Log, and Required Personal OD, Ppr After QC copies of the medical Appearances records for 6 years); GC §34090; 45 CFR 164.528 Statistical Reports - Dispatch, Mag, Mfr, Yes, After Fire FR -001 Incidents, and Other Operational 2 years 2 years OD, Ppr S/I QC GC §34090 Data (All Divisions) Apparatus & Equipment Department preference to Records & Testing - Safetybe in compliance with Checks, Tests, Inspections, and Surplus / Sale Surplus /Sale Mag, Mfr, NFPA Standards for in - Fire FR -020 Certifications (excludes / Disposal + 2 / Disposal +-2 OD, Ppr S/I No service automotive fire maintenance records years years apparatus ; NFPA maintained by MOD) 1911.4.7.3 &Annex C.5, GC §34090 Billing — Paramedic Services — Billing Database Payments / Bank Deposits / Check Images HIPAA allows patients to Emergency Medical Services Mag, Mfr, Yes: see who has requested Fire FR -044 (EMS) Billing and Fire Medic 6 years 6 years Yes ODPpr , S/I After QC copies of the medical Subscription Service (billing & OD records for 6 years; GC activity, receivables, waivers, §34090; 45 CFR 164.528 refunds, etc. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-79 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-2 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department Preference (no statute of limitations on Cause & Origin Reports / Fire these incidents/crimes); Incident Reports (If Arson, Mag, Mfr, Yes: 1 California Fire Code Police FR -026 Homicide, Capital Crimes is 3 years P P OD, Ppr S/I year requires 3 years; Police Involved) (Also see PD -049) also retains their reports under PD -048 and PD - 049; CFC §§ 104.6 — 104.6.4, GC §34090 Cause & Origin Reports / Fire California Fire Code Fire FR -027 Incident Reports (If Arson, 5 years 5 years Mag, Mfr, S/I Yes: 1 requires 5 years; CFC §§ Homicide, Capital Crimes is OD, Ppr year 104.6 — 104.6.4, GC NOT involved) §34090 Community Emergency Response Team (CERT) Applications Disaster Service Fire FR -039 Worker Registration Separation + Separation + 2 Mag, Ppr Department Preference authorizations, LiveScan record, 2 years years (copies); GC §34090.7 Liability Contract Equipment Distribution Form, etc.) Community Emergency Response Team (CERT) When When Mag, Ppr, Yes: After Department Preference; Fire FR -046 Training Documentation Superseded Superseded Mfr, OD S/I QC & OD GC §34090 (Manuals, rosters, outlines and materials) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-80 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-3 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) Retention Options M=Mfr OD Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department Preference - required for 2 years after inventory or transaction; Suppliers of Hemodialysis Fire FR -051 Controlled Substance Logs 5 years 5 years Mag, Ppr drugs & devices are required to keep their records 3 years; 16 CCR 1790; 21 CFR §1304.04, 1310.04 Daily Logs - Lifeguards (CAD Data is Inter -related; Fire FR -006 database effective January 1, Indefinite Indefinite Yes Mag, Ppr Department Preference; 2015) GC §34090 et seq. Yes: Fire FR -012 Daily Logs — Lifeguards (CAD Indefinite Indefinite Mag, Mfr, S / I When Department Preference; Database) OD, Ppr Supersed GC §34090 Indefinite ed Fire FR -047 Daily Roster (Tele staff Indefinite Mag, Ppr Department preference; Database) GC §34090 Employee Medical File / Employee Confidential Toxic/Non-Toxic Substance Send to HR Human Exposures; Fit Testing (HR -024) Send to HR Department Preference; Resources FR -041 (Breathing Apparatus upon (HR -024) upon Mag, Ppr GC §34090.7 Clearance); Immunization Separation Separation Records (e.g. TB, Hepatitis); Communicable Disease exposure, etc. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-81 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-4 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department preference; Employee Training Paramedic recertification (Includes Certificates; Mag, Mfr, Yes: required every 2 years; Fire FR -038 Certifications; EMS, EMT, and 5 years 5 years OD, Ppr S After 1 ICEMA Protocol requires 4 Paramedic Training year years; Department documentation) preference (copies); GC §34090 et seq. Department preference for Facility Records - Hazardous Until Until Yes: some records; AQMD Fire FR -052 Materials, AQMD, EPA, Superseded, Superseded, Mag, Mfr, S After Permits and generator Warranties, Maintenance Minimum 5 Minimum 5 OD, Ppr DC operation logs are required Records, etc. years years for 5 years; 40 CFR 70.6; GC §34090 Department preference (Courts treat volunteers as employees); EEOC/FLSA/ADEA (Age) requires 3 years for Fire FR -053 Fire Explorer Program - Separation + Separation + 3 Mag, Ppr promotion, demotion, Applications, etc. 3 years years transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946,12960 34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-82 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-5 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) Retention Options M=Mfr OD Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department Preference; Fire Code requires for the Life of the Structure or Incident Database ALL includes Activity, or Minimum 5 years for Approvals, incident reports; cause and Mag, Mfr, Yes: 1 Inspections, Fires, Fire FR -008 origin reports; property releases; Indefinite Indefinite OD, Ppr S/I year Modification /Alternative inspection reports; violation Methods or Materials; notices; vehicle checks; etc. Crime reports are retained by Police (PD -048 & PD - 049) CFC §§ 104.6 — Life of the 104.6.4, GC §34090 Fire Inspections (Routine), Life of the Required for the Life of Notice of Re -Inspection, High Structure or Structure or the Structure or Activity, or Rise, Notice of Violations, Activity, or Activity, or Minimum 5 years for Fire FR -025 inspection/fire clearance Minimum 5 Minimum 5 Mag, Mfr, S/I Yes: 1 Approvals, Inspections, certificates, Non -Compliance, OD, Ppr year Fires, Modification / Property Release, (Most files years, years, Alternative Methods or are maintained in Incident Whichever is Whichever is Materials; CFC §§ 104.6 — Database), Longer Longer 104.6.4, GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-83 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-6 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Copies of Building Plans for Places of Public Fire Station Plans, Fire Pre- Until Until Accommodation (to be Fire FR -029 Plans (Hospitals, etc.) Superseded Superseded Mag, Ppr used for Life Safety Operations in the event of a Disaster or Emergency) GC §34090.7 Ground Emergency Medical Yes: Department preference; Fire FR -054 Transport, Intergovernmental 5 years 5 years Mag, Mfr, S After QC meets municipal Transfer Program OD, Ppr & OD government auditing standards; GC §34090 HIPAA (Health Insurance Fire FR -055 Portability and Accountability Separation + Separation + 6 Mag, Mfr, S Yes: After 45 CFR 164; GC §34090 Act) Confidentiality and 6 years years OD, Ppr 1 year Nondisclosure Agreement Superseded + HIPAA Policies and Procedures Superseded + Mag, Mfr, Yes: Fire FR -036 (Health Insurance Portability and 6 years 6 years OD, Ppr S After 1 45 CFR 164.5300) Accountability Act) year CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-84 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-7 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department preference; Paramedic recertification Incident Database - Employee required every 2 years; Fire FR -056 Training - Operations Separation + Separation + 5 Mag, Mfr, S Yes: After ICEMA Protocol requires 4 Includes Certificates; 5 years years OD, Ppr 1 year years; 8 CCR §3203 et Certifications seq., 29 CFR 1627.3(b)(ii), LC §6429(c); GC §§12946, 12960, 34090 Mag, Mfr, Yes: Department Preference Fire FR -010 ISO Insurance Ratings 15 years 15 years OD, Ppr S / I After QC (rated every 10 years); GC §34090 Department Preference to be in compliance with Ladder Certifications & Surplus + 2 Surplus + 2 NFPA Standards for in - Fire FR -048 Inspections years years Mag, Ppr service automotive fire apparatus ; NFPA 1911.4.7.3 & Annex C.5; Copies - GC §34090 Mutual Aid Agreements, Copies - Originals Maintained by City Clerk FR -013 Automatic Aid, Joint Power When No When No Mag, Mfr, City Clerk Permanently; Authorities (see City Clerk CC- Longer Longer OD, Ppr GC §34090 005) Required Required OES / Mutual Aide Department preference to Fire FR -014 Reimbursements (Strike Team 10 years 10 years Mag, Ppr meet auditing standards; Incidents) GC §34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-85 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-8 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department Preference; adults required for 7 years; minors until 1 year after age 18, but not less than 7 years; 10 years is recommended by AHIMA for "healthcare providers"; Statute of Limitations for Indefinite Indefinite health providers is 3 years; (minimum (minimum CCP §340.5, GC §34090; Pre -hospital Patient Care Adults 7 Adults 7 H&S §§1797.98(e) Fire FR -019 Records: ALL (ePCR) (Image years, Minors 19 years, Minors Mag, Mfr, S Yes: After 123145; 42 CFR 482.24(b); 9 CCR 9444, 22 Trend/Elite web base medical years of age 19 years of OD, Ppr QC & OD CCR 70751(c) & 71551(c); database) but not less age but not 22 CCR 70751(c), than 7 less than 7 71551(c), 73543(a), years) years) 74731(a), 75055(a), 75343(a), 77143(a), W&I 14124.1; CMS Pub. 100-4, Chapter 1, Section 110.3 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-86 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-9 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) Retention Options M=Mfr OD Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department Preference; adults required for 7 years; minors until 1 year after age 18, but not less than 7 years; 10 years is recommended by AHIMA for "healthcare providers"; Statute of Limitations for health providers is 3 years; Adults: 7 Adults: 7 CCP §340.5, GC §34090; years H&S §§1797.98(e) Pre -hospital Patient Care Minors: 7 Years 123145; 42 CFR Fire FR -057 Records: ALL Pre-existing years or age Minors: 7 Mag, Mfr, S Yes: After 482.24(b); 9 CCR 9444, 22 Paper Records 19, years or age OD, Ppr QC & OD CCR 70751(c) & 71551(c); whichever is 19, whichever 22 CCR 70751(c), later is later 71551(c), 73543(a), 74731(a), 75055(a), 75343(a), 77143(a), W&I 14124.1; CMS Pub. 100-4, Chapter 1, Section 110.3 Report of Suspected Dependent Yes: Fire FR -037 Adult / Elder / Child Abuse Indefinite Indefinite Yes Mag, Mfr, S After QC Department preference; (attached to ePCR — OD, Ppr & OD GC §34090 ImageTrend/Elite database ) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-87 Ver 35.0 RECORDS RETENTION SCHEDULE - FIRE Page F-10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after -Mfr) (in office) OD Retention Options M=Mfr Imaged S=Scan & QC'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Requests for Fire/Medical Mag, Mfr, Yes: Department preference; Fire FR -042 Incident Reports and Fire Cause 2 years 5 years 7 years OD, Ppr S / I After QC GC §34090 & Origin Reports Revenue Program Records - Department preference; Fire Mag, Mfr, Yes: meets municipal Fire FR -058 Medics, START, Santa Ana 5 years 5 years OD, Ppr S After QC government auditing College Reimbursement: Back & OD standards; GC §34090 up not sent to Finance 2 years Fire FR -059 Ride Along Waivers, Station 2 years Mag, Ppr GC §34090 Tours, Community Outreach I Department preference; Standard Operating Procedures Yes: Until Mag, Mfr, Statute of Limitations for Fire FR -015 / Fire Department Policy Manual Indefinite Indefinite Superseded OD, Ppr S/I No Health Providers is 3 years; CCP §340.5, GC 2 years §34090 Fire FR -049 Station Log Books / Station 2 years Mag, Ppr Department preference Journals (kept at Fire Stations) GC §34090 Vehicle Safety Checks, Daily Fire FR -050 Vehicle Inspections, Daily 2 years 2 years Mag, Ppr GC §34090 Equipment checks Not in Incident Database CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-88 Ver. 14.2 RECORDS RETENTION SCHEDULE: HARBOR Page HBR-1 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Inactive (OFR) Active Total Media 1=Import Paper after (Off-siteVital? , (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). HARBOR Harbor Administrative Citations relating to Resolution + Resolution + Statute of Limitations is up to two Depart. HBR-002 Harbor Operations 5 years 5 years Ppr years; Also See Crime Reports; GC §34090, PC §802 Balboa Yacht Basin Slip and Garage Harbor HBR 007 Leases (includes Insurance Termination P P Mag, Mfr, S/I Yes: After Department Preference; GC Depart. Certificates) - Records held by Basin OD, Ppr QC & OD §34090 Marine 2 years Harbor HBR-017 Boat Auction Records (DMV Forms, 2 years Mag, Mfr, S/I Yes: After GC §34090 Depart. etc.) OD, Ppr QC & OD Department preference; 2 CFR 200.333; 21 GFR 1403.3 s 4403.42( 24 CFR 85.42, Harbor Grants to Vessel Turn -In (Photos, End of Grant End of Grant 91.105(h), 92.505, 570.490, & Depart. HBR-018 BID, Proof of Payment Invoice Period 5 years Period + 5 Mag, Ppr 570.502(a&b), 28�� 6.42; 29 years CFR 97.42; 40 GFR 31.42; 4 4 CFR 13.42; 45 CFR 92.42; OMB Circular A-110 & A-133; GC §34090; GC §8546.7 Harbor Harbor Databases (Mooring Department preference (data is Depart. HBR-019 Management, Reservations, Indefinite Indefinite Mag, Ppr inter -related); GC §34090 Incidents) End of Term Harbor HBR-003 Live -Aboard Permits / Vessel End of Term Mag, Ppr GC §34090 Depart. Inspections + 2 years + 2 years Indefinite Harbor HBR 015 Marina Park Slip Agreements - Indefinite Mag, Mfr, S/I Yes: After Department preference (data is Depart. Records held by Marina Park Expiration + OD, Ppr QC & OD inter -related); GC §34090 Harbor HBR-016 Marine Activities Permits (MAPS) Expiration + Mag, Ppr Department preference; GC Depart. (Charter Boats and rentals) 2 years 2 years End of+ §34090 End Department Preference; Covers Harbor HBR-004 Mooring Records (Rentals), includes Tenancy 5 y Tenancy + 5 Yes: During Mag, Mfr S/I Yes: After auditing periods and statute of Depart. insurance certificates Tenancy OD Ppr QC & OD limitations; GC §34090.7, CCP years years §337 et seq. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-89 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). HUMAN RESOURCES 1095-C, 1094-C (Employer- Department Preference; IRS: 4 Human HR -049 Provided Health Insurance Offer Completion 10 years Completion Mag, Ppr years after tax is due or paid; 26 Resources and Coverage &Transmittal + 10 years CFR 31.6001-1(e)(2); GC §34090 Form) Human Benefits Agreements with Completion Department preference; GC Resources HR -050 Brokers that negotiate fringe Completion 10 years + 10 years Mag, Ppr §34090; CCP §337 benefits on the City's behalf Human Benefits Plan Documents for Superseded Superseded Department preference; GC Resources HR -051 dental, vision, EAP, disability, + 2 6 years + 2 6 -years Mag, Ppr §34090 etc. Human HR -043 Civil Service Board Agenda P P Mag, Ppr Department Preference; GC Resources Packets §34090 Human HR -003 Civil Service Hearings (including Separation 30 years Separation + Mag, Ppr Department Preference; GC Resources audio recordings) 30 ears §34090 Human Civil Service Rules and Yes: Until Resources HR -004 Administrative Services Superseded P P Superseded Mag, Ppr Copies; GC §34090.7 Regulations Community Emergency Response Team (CERT) — Human HR -044 Registration Documentation Separation + Separation + Mag, Ppr Department Preference; GC Resources (Applications for Disaster 2 years 2 years §§34090,12946,12960 Service Workers, authorizations, LiveScan record, etc.) Human HR -061 COVID-19 Notifications to 3 years 3 years Mag, Ppr LC �6409.6(k), GC §34090 Resources Employees CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-90 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department preference (meets Human HR -007 Deferred Compensation 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards); Published Resources Statements (All reports) OD, Ppr 1 year articles for bank statements show 4 -7 years; GC §34090 Department of Fair Employment All State and Federal laws require Human &Housing (DFEH or EEOC) Final Final retention until final disposition of Resources HR -008 Claims that are resolved Disposition Disposition Mag, Ppr formal complaint; State requires 2 administratively + 5 years + 5 years years after action is taken; GC §§12946,12960,34090 When When Reports are cumulative, therefore Human Superseded Superseded older Pull Notices are transitory or Resources HR -009 DMV Pull Notices or or Mag, Ppr source records not retained in the Upon Upon ordinary course of business; CHP Separation Separation audits every 2 years; GC §34090 D.O.T. Requires 5 years for positive tests, refusals, annual summaries, etc, 1 year for negative tests; EEOC / FLSA / Human Drug and Alcohol Testing / ADEA (Age) requires 3 years Resources HR -010 D.O.T files: Negative Results 2 years 2 years Ppr physical examinations; State Law requires 2 years;29 CFR 1627.3(b)(1)(v), GC §§12946, 12960, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-91 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC / FLSA / ADEA (Age) Human Drug and Alcohol Testing / requires 3 years physical Resources HR -011 D.O.T files: Positive Results 5 years 5 years Ppr examinations; State Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 12960, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 Human EEO -4 Reports and records Resources HR -012 required to generate EEO -4 3 years 3 years Mag, Ppr 29 CFR 1602.30 report City's Preference; Lead Department is OFR for grievances resolved in their department; All Final Final State and Federal laws require Human HR -014 Employee Grievances when not Disposition Disposition Yes: Before Mag, Ppr retention until final disposition of Resources resolved by the department) + 5 years + 5 years Disposition formal complaint; State requires 2 years after action is taken; 29 CFR 1602.31 & 1627.3(b)(ii); GC §§12946,12960,12960,34090; 29 USC 1113, LC 1174 Department Preference; EEOC / FLSA / ADEA (Age) requires 1-3 Human Minimum 5 Minimum 5 years; State Law requires 2 - 3 Resources HR -041 Employee Investigations years after years after Mag, Ppr years; 29 CFR 1602 et seq & Termination Termination 1627.3(a)(5) and (6), 8 CCR §11040.7( c), GC §§12946, 12960, 34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-92 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -4 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Human HR -052 Employee Policy Manual P P Mag, Ppr Department Preference; GC Resources §34090 Department Preference; EEOC / FLSA / ADEA (Age) requires 1-3 Human Equal Employment Opportunity years; State Law requires 2 - 3 Resources HR -013 Data (from applicants) 3 years 3 years Mag, Ppr years; 29 CFR 1602 et seq & 1627.3(a)(5) and (6), 8 CCR §11040.7( c), GC §§12946, 12960, 34090 Required 1 year from termination or 3 years from hiring, whichever is later; EEOC / FLSA / ADEA Human Termination Termination Yes: After (Age) requires 3 years for "any Resources HR -015 1-9's + 3 years + 3 years Mag, Ppr S / I 1 year other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29 CFR 1627.3(b)(1); GC §§12946, 12960, 34090 Human HR -053 Injury and Illness Prevention Superseded Superseded Mag, Ppr Department preference; GC Resources Plan + 2 years + 2 ears §34090 Human HR -054 Insurance Policies (general P P Mag, Mfr, S / I Yes: After Department preference; GC Resources liability) OD, Ppr QC & OD §34090 Department Preference; Bureau of Human 2 years After 2 years After Yes: Before National Affairs recommends 2 Resources HR -016 Job Specifications Superseded Superseded Superseded Mag, Ppr years for all supplementary Personnel records; LC 1197.5; GC §34090 Human LiveScan Fingerprint Clearance Department Preference to protect Resources HR -017 Log 50 years 50 years Mag, Ppr City in the event of past employee misconduct; GC § 34090 et seq. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-93 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -5 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Memorandas of Understanding Copies - Copies - City Clerk HR -019 (See City Clerk Classification CC When No When No Yes: Until Mag, Mfr, S/I No Copies maintained for staff 005) Longer Longer Superseded OD, Ppr convenience; GC §34090.7 Required Required For use in interpreting intent of MOU provisions; EEOC / FLSA Human Negotiations: Employee Superseded Superseded Mag, Mfr, Yes: After requires 3 years for MOUs; State Resources HR -020 Associations (notes, drafts, + 20 years + 20 years OD, Ppr S/I 1 year requires 2 years; statewide proposals, tentative agreements) guidelines propose permanent; 29 CFR 516.5, GC §§12946, 12960, 34090 Calif. Labor Division is required to keep their records 7 years; OSHA Human OSHA Inspections & Citations, Mag, Mfr, Yes: After requires 5 years; State law Resources HR -021 Log 200 and Log 300 7 years 7 years OD, Ppr S/I QC & OD requires 2 years; ; 8 CCR §3203(b)(1), 29 CFR 1904.33, OMB 1220-0029,8 CCR 14300.33; GC §34090; LC §6429c Personnel Files - Benefit File Human HR -022 (all employees and all benefits Separation + Separation + Yes: Until Mag, Mfr, S Yes: After Department preference; GC Resources records including Deferred 6 years 6 -years I Separation OD, Ppr 1 year §§12946, 12960, 34090 Compensation) Human Personnel Files -Benefit File Date of Date ofYes: Until Mag, Mfr, Yes: After Department preference; GC Resources HR -023 (Retirees / Spouse) Death + 2 Death + 2 Separation OD, Ppr S 1 year §§12946, 12960, 34090 years I years CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-94 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -6 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Whichever Whichever is Longer: is Longer: Files maintained separately; 28 years, or Separation + Claims can be made for 30 years Termination 30 years, or for toxic substance exposure; 8 Human HR -024 Personnel Files - Medical File Separation + of Benefits +Termination Yes: Until Mag, Mfr, S Yes: When CCR §3204(d)(1) et seq., 8 CCR Resources (all employees) 2 years 5 years, or of Benefits + Separation OD, Ppr Inactive 5144, 8 CCR 15400.2; 29 CFR Death of 5 years, or 1910.1020(d)(1)(i), GC §§12946, Employee + Death of I 12960, 34090 5 years Employee + 5 years Department Preference; statute of limitations for retirement benefits Personnel Files - Regular, is 6 years from last action; Active, Permanent, Non- EEOC/FLSA/ADEA (Age) requires Human Regular, Temporary and Part- Separation + Separation + Yes: Until Mag, Mfr, Yes: After 3 years for promotion, demotion, Resources HR -025 time Employees 6 years 6 years Separation OD, Ppr S Separation transfer, selection, or discharge; State Law requires 2 -3 years; 29 Includes Backgrounds, Fingerprints, CFR 1602.14; 1602.31 & Severance Agreements, if applicable 1627.3(b)(ii), GC §§12946, 12960, 60201; 29 USC 1113 When No Human Program Evaluations Longer [E] Department preference; GC Resources HR -026 (participant's feedback for Required - Mag, Ppr §34090 classes, etc.) Minimum 3 years Human HR -055 Public Self Insurer's Annual 10 years 10 years Mag, Ppr Department preference; GC Resources Report §34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-95 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department preference; Per Human NeoGov Policy; 29 CFR Resources HR -060 Recruitment Database (NeoGov) 5 years 5 years Mag, Ppr 1627.3(b)(1), 29 CFR 1602.14 et seq.2 CCR 11013(c); GC §§12946,12960,34090 Recruitment File - Department preference; EEOC / Advertisements, Backgrounds FLSA / ADEA (Age) requires 1-3 Human HR -027 (Unsuccessful); Fingerprints, 3 years 3 years Mag, Ppr years; State Law requires 2 - 3 Resources Flyers, Brochures, Applications years; 29 CFR 1627.3(b)(i)„ 29 (unsuccessful), Tests, Letters, CFR 1602.14 et seq., GC Scantrons, Questions §§12946, 12960, 34090 Human HR -042 Scholarship Program 5 years 5 years Mag, Ppr Meets Auditing Standards; GC Resources §34090 Department preference; PERS requires 5 years for Compensation Earnable (usually compensation is adopted via Resolution of the City Studies / Classification / When No When No Council); Bureau of National Human Compensation & Salary Studies Longer Longer HR -005 / Reorganization Studies (for Required - Required - Mag, Ppr Affairs recommends 2 years for all Resources employee classifications and Minimum 3 Minimum 3 supplementary Personnel records; department structures) years years Wage rate tables are 1 or 2 years; State requires 2 years; 29 CFR 516.6(2), 29 CFR 1602.14, 2 CCR 270.5; GC §§12946, 12960, 34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-96 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -8 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). All State and Federal laws require Human Unemployment Claims / EDD Final Final retention until final disposition of Resources HR -057 Claims Disposition Disposition Mag, Ppr formal complaint; State requires 2 + 2 years + 2 years years after action is taken; GC §§12946,12960,34090 Human HR -031 Verifications of Employment, 2 years 2 years Ppr GC §34090 Resources Child Support Claims can be made for 30 years Whichever Whichever for toxic substance exposure; : is Longer: is Longer: Claims are required for five years 25 years, Separation + after the end of compensation, or Termination 30 years, or Yes: After injury, whichever is longer; the Human HR -030 Workers Compensation Claims Separation + of Benefits + Termination Mag, Mfr, S QC & OD Workers Compensation Appeals Resources 5 years 5 years, of Benefits + OD, Ppr When Board may destroy their records Death f 5 years, or �e after 5 years; 8 CCR 5144, 8 CCR e Employee + Death of §3204(d)(1) et seq., 8 CCR 10102, 5 years Employee + 10755, 10758, 15400.2; 29 CFR 5 years 1910.1020(d); GC §§12946, 12960, 34090 RISK MANAGEMENT Accident / Incident / Injury Human Reports: EMPLOYEES WITH Department Preference; Claims Resources possible Exposure to Toxic Mag, Mfr, Yes: When can be made for 30 years for toxic / Risk HR -032 Materials (HazMat Responses, 2 Years 28 years 30 years OD, Ppr S Inactive exposure; 8 CCR Manage. Clean up Responses to spills, §3204(substance d)(1) et seq., GC §§12946, etc.) 12960, 12960, 34090 Human Accident / Incident / Injury Resources Reports: EMPLOYEES Statute of limitations for person / Risk HR -033 WITHOUT possible Exposure to 2 Years 2 years Mag, Ppr injury is 2 years; CCP §335.1, GC Manage. Toxic Materials §34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-97 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -9 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Recommended by State Fire Human Marshall; Statute of Limitations for Resources Accident / Incident / Injury Health Providers is 3 years; / Risk HR -034 Reports: PUBLIC ADULTS 3 years 3 years Mag, Ppr Juveniles are required until patient Manage. (medical and non-medical.) becomes 18 years old; statewide guidelines propose 3 years; CCP §340.5, GC §34090 Recommended by State Fire Human Age 18 or Age 18 or Marshall; Statute of Limitations for Resources Accident / Incident / Injury 3 years, 3 years, Health Providers is 3 years; / Risk HR -035 Reports: PUBLIC JUVENILES whichever is whichever is Mag, Ppr Juveniles are required until patient Manage. (medical and non-medical.) longer longer becomes 18 years old; statewide guidelines propose 3 years; CCP §340.5, GC §34090 Department Preference; Claim Human must be filed within 1 year, lawsuit Resources HR -036 Accident / Incident Reports: no 2 years 2 years Mag, Mfr, S Yes: When within 2 years; Statute of / Risk injuries (City Vehicles) OD, Ppr Inactive Limitations for contracts is 4 years; Manage. CCP §§ 337 et seq.; GC §§ 911.2, 945, 34090, 34090.6 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-98 Ver. 39.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). If litigation is filed, the City Attorney is OFR; Claim must be filed within 1 year, lawsuit within 2 Human Yes: After years; complaints against peace Resources HR -037 Claims (General Liability Claim Settlement 5 years Settle + 5 Yes: Until Mag, Mfr, S QC & OD officers within 5 years; Statute of / Risk Forms) - Adults years Settlement OD, Ppr Limitations for contracts is 4 years; Settled Manage. wrongful death for construction is completion + 5 years; CCP §§ 337 et seq.; GC §§ 911.2, -34090, 34090.6; PC §832.5(b) Human Age of Age of If litigation is filed, the City Resources Claims (General Liability Claim Majority Majority Yes: Until Mag, Mfr, Yes: After Attorney is OFR; Juveniles may / Risk HR -038 Forms) -Juveniles (minimum 5 years (minimum Settlement OD, Ppr S QC & OD have additional legal recourses; Manage. Settlement) Settle + 5 Settled CCP §§ 337 et seq.; GC §§ 911.2, ears) 945 34090, 34090.6; PC §832.5 Human Resources Disability Claims / STD & LTD Separation + Separation + Yes: Until Mag, Mfr, Yes: After Department preference to be / Risk HR -039 (no toxic substance exposures) 2 years 28 years 30 years Final OD, Ppr S QC & OD consistent with Medical Files; CCP Manage. Disposition Settled §§ 337 et seq.; GC §34090 Human Resources HR -058 Excess Liability Coverage P P Mag, Mfr, S Yes: After Department preference; GC / Risk (policies or documents) OD, Ppr QC & OD §34090 Manage. Human Resources HR -059 Safety Inspection Logs Superseded 3 years Superseded Mag, Ppr Department preference; GC / Risk + 3 years §34090 Manage. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-99 Ver. 15.2 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). INFORMATION TECHNOLOGY Used for Disaster Recovery Information Backups - DAILY - Network, All When When Purposes Only; Considered a copy Tech. IT -001 Files on Shared Drives, Superseded Superseded Yes Mag. and can be destroyed when no Applications (Enterprise -wide) longer required; GC §34090 et seq. Used for Disaster Recovery Purposes Only; Store off-site in Backups - WEEKLY Disaster When No When No commercial storage for disaster Information IT -002 Recovery Copy - Network, All Longer Longer Yes Mag. recovery; Considered a copy and Tech. Files on Shared Drives, Required Required can be destroyed when no longer Applications (Enterprise -wide) required; retention based on administrative value; GC §34090 et seq. Used for Disaster Recovery Purposes Only; Store off-site in Backups - MONTHLY - Network, When No When No commercial storage for disaster Information IT -004 All Files on Shared Drives, Longer Longer Yes Mag. recovery; Considered a copy and Tech. Applications (Enterprise -wide) Required Required can be destroyed when no longer required; retention based on administrative value; GC §34090 et seq. Department Preference (most are Information preliminary drafts not retained in Tech. IT -008 E-mail Archival 2 years 2 yearsYes Mag. the ordinary course of business - see City-wide schedule); GC §34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-100 Ver. 15.2 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Police Department Preference Information (transitory records not retained in Tech. IT -005 Internet Tracking Database 1 year 1 year Yes Mag. the ordinary course of business); GC §34090 et seq. Provide Provide Existing Existing GIS database - Historical Output Output to Output to Historical records are maintained Lead IT -006 (Zoning Map, Council Districts, Lead Lead Yes Mag. by the Lead Department; GC Depart. etc.) Department Department §34090 et seq. Prior to Prior to Change Chan e Information When When Department Preference (transitory Tech. IT -007 GIS database Superseded Superseded Yes Mag. records); GC §34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-101 Ver. 12.1 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after (in office) OD Mfr) Retention Options M=Mfr Imaged & S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). ARTS & CULTURAL SERVICES Library Historic Speeches, Historic Completion + Mag, Mfr, Department Preference; GC Services LS -001 Special Events and Historic 4 years P P OD, Ppr §34090 Recordings Library LS -002 Art Exhibits and Collections - 2 Years 2 years Mag, Mfr, GC §34090 Services Community/ External Art OD, Ppr Statute of Limitations for Library Art Exhibits and Collections - Completion + Completion Mag, Mfr, contracts is 4 years, personal Services LS -003 Professional 4 years + 4 years OD, Ppr property 3 years; meets auditing (Administration, etc.) requirements; CCP §§337, 338; GC §34090 Rights of authors extend for the life of the author's); State law Library Art in Public Places (Art Life of the Life of the Mag, Mfr, allows a written contract to extend Services LS -005 Education, murals, etc.) Completion Author + 20 Author + 20 OD, Ppr rights for an additional 20 years; years years 4 years to meet auditing standards; 17 USC 106A(d); GC §15813.5; GC §34090 Rights of authors extend for the life of the author's); State law Library Donations of Visual Art Work Life of the Life of the Mag, Mfr, allows a written contract to extend Services LS -009 or Product (received) Completion Author + 20 Author + 20 OD, Ppr rights for an additional 20 years; years years 4 years to meet auditing standards; 17 USC 106A(d); GC §15813.5; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-102 Ver. 12.1 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS -2 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after (in office) Retention Options M=Mfr OD Mfr) S=Scan Imaged & QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or Library Grant Program (Grants to Mag, Mfr, Yes: final payment of grantee or Services LS -012 Others) 5 years 5 years OD, Ppr S / I When subgrantee; HUD requires 3 Inactive years; statewide guidelines propose 4 years; 2 CFR 200.333; 24 -GFR -T403 -.36-&- " GF 740336n403 42(b); 24 CFR 8542, 1403.42(b); 91.105(h), & 570.502(a), 29 CFR 97.42; OMB Circular A-110 & A- 133; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-103 Ver. 12.1 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS -3 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after (in office) OD Mfr) Retention Options M=Mfr Imaged & S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). LIBRARY SERVICES Library LS -019 Facility Use Applications 4 years 4 years Yes: Before Mag, Ppr Department preference; GC Services (Room Reservations, etc.) Event §34090 Library LS -020 Gifts & Donations (Private) 2 years 2 years Mag, Mfr, S Yes: When Thank -you and Services OD, Ppr Inactive acknowledgements; GC §34090 Grants: LSCA (Library Services and Construction), LSTA (Library Services and Technology), SLRC (State Literacy Resource Centers), CLLS (California Library Literacy Services); CLSA Per California State Library Library (California Library Services Final Final Mag, Mfr, Yes: Records Management Program Services LS -021 Act) and PLF (Public Library 2 years Expenditure Expenditure OD, Ppr S / I When Requirements (April 27, 1998); Foundation) ONLY. For all + 5 ears Y + 5 ears Y Inactive GC §34090 others, follow City-wide Schedule. (SUCCESSFUL Reports, and Financial Information) Send copy of application and award to Administrative Services / Finance Upon Upon Library LS -023 Library Management Database Withdrawal Withdrawal Yes Mag Department preference; GC Services / Collection Inventory from from §34090 Collection Collection CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-104 Ver. 12.1 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS -4 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, Total Vital? Media 1=Import after (in office) Retention Options M=Mfr OD Mfr) S=Scan Imaged & QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Library LS -024 Library Management Database Indefinite Indefinite Yes Mag Department preference (records Services / Other than Listed are inter -related); GC §34090 Department preference; Must re - Library Management Database Library LS -025 /Outstanding Debt /Fines and Inactive + 3 Inactive + 3 Yes Mag register every 3 years; Services Fees Less Than $20 years years Delinquencies remain on credit reports for 7 years; GC §34090 Library Management Database Department preference; Library LS -026 / Outstanding Debt / Fines and Inactive + 7 Inactive + 7 Yes Mag Delinquencies remain on credit Services Fees More Than $20 years years reports for 7 years; GC §34090 Library Library Management Database Inactive + 3 Inactive + 3 Department preference; Must re - Services LS -027 / Patrons with no outstanding Yes Mag register every 3 years; GC debts years years §34090 Library Library Management Database When No When No Retain as long as required to Services LS -028 / Software upgrades Longer Longer Yes Mag read data; GC §34090 Required Required Library LS -029 Library Registration 2 years 2 years Mag, Ppr GC §34090 et seq. Services Application Forms (Patrons) Library LS -030 Programs (e.g. Summer 2 years 2 years Mag, Ppr GC §34090 Services Reading) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-105 Ver. 18.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL -1 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper (OFR) Vital? after (in office) CD or Mfr Retention Options M=Mfr S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). PLANNING If part of a Consolidated Plan, records are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 Until Funds Until Funds years from periodic expenditure are are Mag, Yes: report; CDBG is Annual Planning PL -001 Affordable Housing In -Lieu Funds Allocated Allocated Mfr, OD, S / I After QC Performance Report + 4 years; (minimum 5 (minimum 5 Ppr statewide guidelines propose 4 years) years) years; 2 CFR 200.333; 2 ^,.42; 24 CFR 85..42, 91.105(h), & 570.502(a), 29 CFR 97.42, OMB Circular A-110 & A- 133; GC §34090 Meets CDBG requirements; Records are maintained by CDBG Planning PL -003 CDBG Applications Denied / Not 5 years 5 years Mag, Vendor as Active for 3 Years, and Funded (Subrecipient Grants, Loans) Ppr then sent to CDD for 2 year Inactive retention; 24 CFR 85.42 & 91.105(h); GC §34090 Planning PL -011 Banner Permits (Temporary - good 2 years 2 years Yes: Before Mag, GC §34090 for 90 days) Event Ppr Mag, Yes: Department Preference; City Clerk Planning PL -013 Covenants / Deed Restrictions 2 years P P Yes (all) Mfr, OD, S After QC is OFR; GC §34090.7 Ppr CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-106 Ver. 18.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL -2 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Paper Active Inactive / Total Media 1=Import (OFR) Vital? after (in office) CD or Mfr Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Environmental Determinations: Not all internal communications Environmental Impact Reports and notes are required to be (EIRs), Negative Declarations, etc.) 2 years, or 2 years, or /CEQA / NEPA duration of duration of saved; "E-mails that do not administrativ administrativ All written evidence or provide insight into the project or a and/or a and/or the agency's CEQA compliance CDD / correspondence submitted to, or Mag, Yes: transferred from, the City and all with respect to the project — are Planning PL -030 litigation proceedings, litigation roceedin s Mfr, OD, S After QC Ppr & OD not within the scope of section internal agency communications, if any, if any, 21167.6, subdivision (e) and need including staff notes and „whichever is whichever is not be retained. PRC 21167,6; memoranda related to a project or longer longer GC X34090; Golden Door v Sup. related to the City's compliance Ct., 53 Cal. App. 5th 733 (2020)." with CEQA Environmental Determinations: Environmental Impact Reports When No When No Non -records; some may be Planning PL -015 (EIRs), Negative Declarations, etc.) Longer Longer Ppr retained as matter of department Required Required preference. Outside City boundaries Department Preference; City Clerk General Plan Elements and Yes: Maintains originals of all Planning PL -017 Amendments P P Yes (all) Mfr, OD, S / I After QC documents that were presented to Ppr Council; GC §34090 Modification Committee / Zoning Administrator Approval Letters and Yes: Planning PL -019 Minutes (see City-wide schedule for P P Yes (all) Mfr, OD, S / I After QC GC §34090 all other records) Ppr Planning Commission Agenda Mag' Yes: Department Preference; GC Planning PL -020 Packets Packets P P Yes (all) Mfr S After QC §34090 Copies - Copies - City Clerk PL -021 Planning Commission Audio Send to City Send to City I Mag Copies; GC §34090.7 Recordings Clerk Clerk CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-107 Ver. 18.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL -3 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Active Inactive / Total Media 1=Import Paper (OFR) (in office) CD or Mfr Retention Vital? Options M=Mfr after S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Planning PL -022 Planning Commission Minutes, P P Yes (all) Mag' Mfr, S Yes: GC §34090 Resolutions pOD, After QC Planning Applications (PA) ALL - Amendments, Appeals, Approval in Concept, Certificate of Compliance, Coastal Residential Development Permit, Compliance Letters, Projects have a 2 year vesting Condominium Conversion Permit, (applicant must pull permit within 2 Creative /Comprehensive Sign years) -- those applications in P Permit, Development Agreement, which the applicant does not follow Development Plan, Director /Staff through with permit may be Approval, Environmental destroyed after the vesting period Documents, General Plan Mag, Yes: has expired. Some permits must Planning PL -023 Amendments, In -Lieu Parking, Lot P P Yes Mfr, OD, S After QC obtain Council approval, and Line Adjustment, Lot Merger, Ppr therefore the City Clerk becomes Modification Permit, Off -Site Parking office of record for material Agreement, Planned Community presented to Council; Department Development Plan, Signs maintains complete files for (Comprehensive, Heritage, etc.), administrative purposes; Sign Exception Permit, Site Plan GC§§34090, 34090.7 Review, Subdivisions, Telecom Permit, Temporary Permits, Use Permits, Variance, Zoning Compliance letters, etc. Regional Organizational Studies & When No Ld Mag, Non-records; some may be PL -027 Programs where other Agencies are Longer p retained as matter of department the Lead (e.g. Rail Studies, etc.) Required preference; GC §34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-108 Ver. 18.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL -4 Office of Classification Records Description Retention /Disposition Comments /Reference Record OR File Number Image: Destroy Paper Active Inactive / Total Media 1=Import (OFR) Vital? after (in office) CD or Mfr Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department Preference; City Clerk Zoning Maps (Historical Only - New ag Yes: Maintains originals of all Planning PL -028 records part of zoning code) P P Yes (all) Mfr, OD, S After QC documents that were presented to Ppr Council; GC §34090.7 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-109 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). CHIEF OF POLICE / ADMINISTRATION Police PD -001 Inquiries Disposition Disposition+ Mag, Ppr GC §34090 et seq. 2 years + 2 years If a supervisor determines that records of prior discipline should be retained beyond the applicable statutory period, approval for such retention shall be obtained through the chain of command from the Chief of Police; Consistent with Lexipol Policy; State requires for at least 5 years; other State & Final Final Federal laws require retention until Police PD -003 Administrative Investigations: Disposition Disposition Mag, Ppr final disposition of formal Comer+ Civilian and Internal + 5 years + 5 years complaint; State requires 2 years after action is taken; Statute of Limitations is 4 years few after the discovery of the offense for misconduct in office; PC 801.5, 803(c).; !A and Statewide guidelines reGommend 26 y s for officer involvn!! s"^TEVC §1045, GC §§12946, 12960, 34090, PC 5 years §§801.5, 803(e), 832.5, VC §2547 Police PD -006 Carry Concealed Weapon 5 years Mag, Ppr Department preference; GC § (CCW) Permits 34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-110 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). When No When No Longer Longer Department Preference; GC Police PD -002 Chiefs Subject Files Required Required Mag, Ppr §34090 et seq. (minimum 2 (minimum 2 years) years) Emergency / Disaster Yes: UntilMag, Mfr, Department Preference; GC Police PD -083 Preparedness Plans Superseded P P Supersede OD, Ppr S Yes: 1 year §34090 et seq. 2 years Police PD -004 Overtime Slips (hours) 2 years Mag, Ppr GC § 34090 et seq. Department Preference; Statute of Personnel Background Packets Inactive / Inactive / Limitations: Public official Police or PD -081 - Citizens Academy, Teen Separation + Separation + Mag, Mfr, S / I Yes: After misconduct is discovery of offense Personnel Academy) 3 years 3 years OD, Ppr 1 year + 4 years; GC §§36507, 34090; PC §§801.5, 803(c); 29 USC 1113; 8 CCR §11040.7(7)(C) Department Preference; Statute of Inactive / Inactive / Limitations: Public official Police or PD -011 Personnel Background Packets Separation + Separation + Mag, Mfr, S / I Yes: After misconduct is discovery of offense Personnel - Volunteers & Interns 6 years 6 years OD, Ppr 1 year + 4 years; GC §§36507, 34090; PC §§801.5, 803(c); 29 USC 1113; 8 CCR §11040.7(7)(C) Copies; Consistent with HR's Personnel File; State & Federal Police PD -005 Personnel Department Separation + Separation + Mag, Mfr, S / I Yes: After laws require 2 -3 years; 29 CFR Employee File 6 years 6 years OD, Ppr QC 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 2 years 12960, 34090.7 Police PD -069 Preliminary Claim Investigation / 2 years Mag, Ppr GC § 34090 et seq. Potential Liability Claims CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-111 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Programs: Citizens Academy, Police PD -007 Teen Academy, Neighborhood 2 years 2 years Mag, Ppr GC § 34090 et seq. Watch, etc. 2 years Police PD -089 Assignment Memos 2 years Mag, Ppr GC § 34090 et seq. (PAM)t 2 years Police PD -070 Vehicle Pursuit Reports 2 years Mag, Ppr GC § 34090 et seq. Reports and Studies regarding Police PD -008 Police Operations (not historical - 2 years 2 years Mag, Ppr GC § 34090 et seq. manpower, etc.) 5 years Police PD -009 RSNP / OCRCFLTime Slips / 5 years Mag, Ppr Department Preference (meets Billing Reports auditing standards); GC § 34090 Special Events (i.e., Police Police PD -088 Appreciation Breakfast, National 2 years 2 years Mag, Ppr GC § 34090 et seq. Night Out, etc.) Yes: Police PD -010 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-112 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -4 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). DETECTIVES Accounting Records: Meets auditing standards for Police PD -012 Investigative Expense Funds 2 years 3 years 5 years Yes: Until Mag, Mfr, S / I Yes: After municipal governments; Statewide (Confidential) Paid OD, Ppr 1 year guidelines propose audit + 4 When No years; GC §34090 Alcohol Beverage License When No PD -013 Applications (Not related to an Longer Longer Ppr Non -records; GC §34090 Operator's Permit for a Bar, Required Required Lounge, or Nightclub) When No When No Longer Longer Department Preference (Federal Police PD -071 Asset Forfeiture Files Required - Required - Mag, Ppr DOJ requires 5 years - Equitable Minimum 5 Minimum 5 Sharing Guide); GC §34090 years years When No When No LonPD-077 Department Preference; Does not Police / Informant Files Requier red - Requier red - Ppr, Mag contain criminal intelligence Investigat. Minimum 2 Minimum 2 information concerning individuals; GC §34090 ears years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-113 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -5 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Files contain criminal intelligence information concerning an individual only if there is reasonable suspicion that the individual is involved in criminal Yes: conduct or activity and the Police / PD -014 Intelligence Files (Vice, Terrorist, 5 years 5 years Mag, Mfr, S / I When information is relevant to that Investigat. etc.) OD, Ppr Supersede criminal conduct or activity. d Misleading, obsolete or unreliable information is required to be destroyed; remaining records must not be retained longer than 5 years; 28 CFR 23.20(h); GC §34090 Operator Permits - Bar, Lounge, or Nightclub Termination Termination Department preference; GC Police PD -084 (Offers alcoholic beverages for on- + 3 years + 3 years Mag, Ppr §34090 site consumption in combination with food service with late hours) 2 years Termination Police PD -015 Pawn Slips 2 years Mag, Ppr GC §34090 Police PD -016 Massage Operator Permits Termination Mag, Mfr, M S / I / No Department preference to match + 3 years + 3 years OD, Ppr permit terms; GC §34090 Permits or Licenses: Department preference to match Police PD -018 Unsuccessful Applications 3 years 3 years Mag, Ppr permit terms; GC §34090 (massage, etc.) Yes: Police PD -019 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-114 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -6 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). PATROL Yes: Current Mag, Mfr, Yes: After Department Preference; GC § Police PD -020 Work Assignments (Schedules) 3 years 3 years Schedule OD, Ppr SII 1 year 34090 2 years only Police PD -072 Ride -A -Long Waivers 2 years Mag, Ppr GC § 34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-115 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). SUPPORT SERVICES / PERSONNEL AND TRAINING 2 years, or 2 years, or Completion Completion IPerformancel Supervisor Record / Counseling of of Drafts and notes; GC § 34090 et Police PD -021 Jacket Performance Mag, Ppr Evaluation, Evaluation, seq. whichever whichever occurs first occurs first Consistent with Personnel File; Statute of Limitations: Public Personnel Background Packets official misconduct is discovery of Police PD -023 - Peace Officers (includes Separation + Separation + Mag, Mfr, S / I Yes: After offense + 4 years; GC §§36507, 6 years 6 years OD, Ppr QC 34090; 29 CFR 1627.3(b)(i), 29 Polygraphs) CFR 1602.14 et seq. 2 CCR 11013(c); PC §§801.5, 803(c); 29 USC 1113 Consistent with Personnel File; Statute of Limitations: Public Personnel Background Packets official misconduct is discovery of Police or PD -024 - Selected Employees other Separation + Separation + Mag, Mfr, S / I Yes: After offense + 4 years; GC §§36507, Personnel 6 years 6 years OD, Ppr QC 34090; 29 CFR 1627.3(b)(i), 29 than Peace Officers CFR 1602.14 et seq. 2 CCR 11013(c); PC §§801.5, 803(c); 29 USC 1113 Personnel Background Packets Department Preference (only 2 Police PD -025 - unsuccessful / not hired 6 years 6 years Mag, Mfr, S / I Yes: After years is required); 29 CFR employees or volunteers (not OD, Ppr QC 1602.14; 2 CCR 11013(c); GC 1§§12946 12960, 34090 hired) I I I I I 1 1 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-116 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -8 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Personnel Department Training State & Federal laws require 2 -3 File (Includes POST Data, Files Separation + Separation + Mag, Mfr, Yes: After years; 29 CFR 1602.31 & Police PD -026 and Printouts for Training 4 years 4 years OD, Ppr S / I QC 1627.3(b)(ii), 8 CCR §3204(d)(1) Courses) et seq., GC §§12946, 12960, 34090 Yes: Police PD -027 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-117 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -9 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). SUPPORT SERVICES - OTHER Police PD -028 Alarm Permits 2 years 2 years 2 years Mag, Ppr GC §34090 Police PD -029 Auction Records 2 years Mag, Ppr GC §34090 Department Preference; Statewide Audio Recordings - Recordings guidelines propose 180 days Police PD -030 of Telephone & Radio 2 Years 2 years Mag (legally mandated for 100 days); Communications Dispatch (may be discoverable or made Recordings public in some circumstances), GC §§34090, 34090.6 Store off-site in commercial Backup Tapes - WEEKLY storage for disaster recovery; Considered a copy and can be Police PD -032 Disaster Recovery Copy - 14 days 14 days Yes Mag. destroyed when no longer Network, All Files on Shared required; retention based on Drives administrative value; recycle tapes; GC §34090 et seq. Checking Account Records: Meets auditing standards for Police PD -033 DARE, Property/Evidence 2 Years 3 years 5 years Yes: Until Mag, Mfr, S / I Yes: After municipal governments; Statewide Account, Station Fund and Paid OD, Ppr 1 year guidelines propose audit + 4 Police Explorer Account Minimum 2 years; GC §34090 Police PD -034 Department Manual (Department Minimum 2 Mag, Ppr Department Preference; GC § Policies and Procedures) years years Expiration of 34090 et seq. Expiration of Statute of Statute of See appropriate Crime Report; Evidence: Crime Scenes Limitations Limitations Mag, Mfr, Yes: After Statute of Limitations is 1 year for Police PD -035 (includes evidentiary MVS) (minimum (minimum OD, Ppr S / I 1 year property seized by officers; GC Final Final §34090 Disposition Disposition of Case) of Case CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-118 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). False Alarms (alarm permits, Police PD -036 billing transactions, 2 years 2 years Mag, Ppr Finance invoices, when correspondence, alarm appropriate; GC § 34090 activations) Life of Fleet Maintenance - Equipment Life of Covers all statute of limitations; and Vehicle Maintenance History Equipment Equipment CHP requires life of vehicle; OSHA Police PD -037 (includes vehicle calibration or Vehicle + or Vehicle + Mag, Ppr requires 1 year; 8 Ca. Code Reg. records) 4 years 4 years § 3203(b)(1); CCP §337 et. Seq., 3 years GC §34090 Police PD -078 Jail Video 3 years Mag Department Preference; GC §34090 et seq. Mobile Video and/or Audio Department Preference; Lexipol Police PID Videos (MVS) Non -Evidentiary 2 years 2 years Mag Section 446.10.1 requires 1 year; 100 days GC §34090.6(a) Police PD -091 Mobile Video and/or Audio 100 days Mag Lexipol Section 446.3; GC Videos (MVS) Test Recordings §34090.6(a Yes: Police PD -038 Officer Daily Logs 5 years 5 years Current Mag, Ppr Department preference; GC § Schedule 34090 3 years only Police PD -079 Property Video 3 years Mag Department Preference; GC 2 years 3 years §34090 et seq. Police PD -076 Solicitors Permits 2 years Mag, Ppr GC § 34090 Police PD -080 Watch Commander Video 3 years Mag Department Preference; GC §34090 et seq. Yes: Police PD -039 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-119 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -11 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). SUPPORT SERVICES / RECORDS Department preference; Pursuant to PC §457.1 et seq.; required to Police PD -044 Arson Registrations: Adults 10 years P P Mag, Mfr, S / I Yes: After register for life; If released from OD, Ppr QC & OD CYA, records are destroyed after age 25 or sealing pursuant to W&I §781; GC §34090.7 Pursuant to PC §457.1 et seq.; If Police PD Arson Registrations: Juveniles Age 25 or Date Age 25 or Date Mag, Mfr, I Yes: After released from CYA, records are 25 -045 released from California Youth Sealing Sealing ODPpr , S / QC & OD destroyed after age or sealing Authority + 5 years + 5 years pursuant to W&I §781; GC 5 years §34090.7 Police PD -046 Bicycle Licenses 5 years Mag, Ppr Department Preference; GC §34090 et seq. Department preference (the Statute of Limitation for collections Police PD -047 Citations (ALL) 2 years 2 years Ppr is 5 years from the date of the last violation); CVC 40222(b); GC §34090, H&S §11361.5, PC §802 Fully Paid, Fully Paid, Department preference (the Police / Citations - Payment Plans for Written off, Written off, Statute of Limitation for collections Records PD -092 outstanding parking citations or Forgiven or Forgiven Mag, Ppr is 5 years from the date of the last received by indigent persons + 5 years + 5 years violation); CVC 40222(b); GC §34090 Police PD -054 Crime Statistics / Uniform Crime 10 years 10 years Mag, Ppr Department preference; GC Reports - Annual Summaries §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-120 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -12 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department Preference; Provided there are no outstanding warrants, Incident Reports (DR#) - ALL unrecovered weapons, criminal Yes: deaths, they are not historically Police PD -048 Except those other specifically Indefinite Indefinite Before Mag, Mfr, S / I Yes: After significant, and it is not classified mentioned in this retention Disposition OD, Ppr QC & OD under PC §800 & 290; Stat. of schedule (October 1, 1999 to Limit. is 2 yrs; Destroy juvenile Current) marijuana after age18; H&S §11361.5, GC §34090, PC §802, PC §§187, 800 et seq., 11108.2(b) Incident Reports (DR#) Misdemeanor or Infraction Marijuana / Cannabis Offender is Offender is Yes: Mag, Mfr, Yes: After (Courts and other Agencies "Shall" Police PD -073 §11357(d) -Juvenile on School 18 Years 18 Years Before OD, Ppr S / I QC & OD destroy); H&S§ 11361.5 et seq., Old Old Disposition 11357(d) Grounds during School Hours (with procedure in H&S §11361.5) Incident Reports (DR#) 2 years or Yes: Police PD -051 Until P P Before Mag, Mfr, S / I Yes: After Dept. Preference; Also see Crime Missing Person Reports Located Disposition OD, Ppr QC & OD Reports; GC §34090 (unsolved) Per Court Per Court Statute of Limitations runs up to Incident Reports (DR#) Order Order age of majority + 8 years; Sealing Police PD -053 (Sealing (Sealing Mag, Mfr, for Juveniles and Wards of the Sealed Cases (Juveniles & date + 5 Date + 5 OD, Ppr Court retained for 5 years; CCP Adults) years) years) §§340.1, GC §34090; GC §68152(g)(1), W&I §781 d CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-121 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -13 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Incident Reports (DR#) Homicide, Falsification of Public Department Preference; Most Records, Kidnapping,Unsolved Yes: have no limitations on Police PD -049 Child or Elder Abuse, Sexual P P Before Mag, Mfr, S / I Yes: After commencement of action; PC §§ Assault & Neglect, Rape, Misuse Disposition OD, Ppr QC & OD 261, 286, 288, 288a, 288.5, 289, of Public Funds, Train -wrecking, 289.5, and 799 Treason, Fatalities (Crimes Subject to Death Penalty or without statute of Limitations) Conviction Incident Reports (DR#) Conviction or Arrest (if or Arrest (if Mag, Mfr, Yes: After (Courts and other Agencies "Shall" Police PD -050 Marijuana /Cannabis less than No No OD, Ppr S / I QC & OD destroy); H&S§ 11361.5 et seq., Conviction) Conviction) GC§34090 28.5 grams + 2 years + 2 years Date of Incident Reports (DR#) Date of Individual petitions District Police PD-052Arrest + 3 Arrest + 3 Mag, Mfr, Attorney; PD concurs that person Sealed Cases ("Factual OD, Ppr is factually innocent, then seals Innocence") years years record; GC §34090; PC §851.8(a) Department Preference; Police PD -055 Drug / Narcotic Registrants 5 years 5 years Mag, Ppr Registration is required for 5 years; GC §34090, H&S §11590 et When No seq., H&S §11594(a) When No Preliminary Drafts (entered into Police PD -056 Field Contacts Longer Longer Mag, Ppr the RMS database); GC §34090 et Required Required 10 years seq. Police PD -060 Narcotic / Firearm Destruction 10 years Mag, Ppr Department Preference; GC Lists While Valid §34090 et seq. Police PD -061 Order after Hearing (restraining While Valid Mag Court records - originals retained order) I I I I I I by the Court; GC §34090 et seg. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-122 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -14 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Police PD -062 Photos: Mug Shots P P Mag, Mfr, S / I Yes: After Department Preference; GC OD, Ppr QC & OD §34090 Yes after QC'd: City City Clerk / Records Destruction Lists / Mag, Mfr, Clerk's Department Preference; GC Police PD -063 Certificates of Records 10 years P P OD, Ppr S Office is §34090 et. seq. Destruction (Working Copy) Office of Record for original Department Preference; After Indefinite, or Indefinite, or 2021, Offenders can petition Court Police PD -064 Sex Offender Registrations: 10 years Death of Death of Mag, Mfr, S / I Yes: After for removal 10 or 20 years after Adults Registrant Registrant OD, Ppr QC offense, provided there are no subsequent offenses; Pursuant to Indefinite PC §290 et seq.; W&I §781; Indefinite After 2021, Offenders can petition Sex Offender Registrations: or Sealing or Sealing Court for removal 10 or 20 years Police PD -065 Juveniles released from 10 years Date + 5 Date + 5 Mag, Mfr, S / I Yes: After after offense, provided there are California Youth Authority years (or years (or OD, Ppr QC no subsequent offenses; Court Order) Court Order) Pursuant to PC §290 et seq.; W&I §781 M Yes: I Police PD -066 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-123 Ver. 32.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -15 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Off-site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). TRAFFIC Review Board Accident History Separation Separation Department Preference (originals Human PD -067 Forms (PD Employees / City of of Mag, Ppr are in personnel file); GC § Resources Employees) Employment Employment 34090.7 Yes: Police PD -068 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-124 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). ENGINEERING SERVICES Abandonments, Easements, Mag' City Clerk PW -001 Entitlements, and Vacations Upon P P Yes: Until Mfr, S Yes: 1 Department Preference; GC (Recorded Documents / City Completion Completed OD, Ppr year §34090.7 Property) (See CC-061/CC-013) Aerial Maps (Digital Plates & Mag, Planning maintains the analog Public Works PW -002 Software to view them - See 2 years P P Yes (all) Mfr, S No aerial maps; Department Planning for the Analog Aerial OD, Preference for historical Maps) Ppr purposes; GC §34090 Mag, Some master plans do not go Public Works PW -003 Master Plans P P Yes (all) Mfr, S No to Council; Department OD, Preference for historical Ppr purposes; GC §34090 Lead Dept. (General Mag' Department preference; Services, PW -004 NPDES Monitoring Reports 5 years 5 years Mfr, S Yes: 1 Monitoring records required for Public OD, Ppr year 3 years; 40 CFR §§122.21, Works, or 122.41, 122.44 Utilities) 5 years Orange PW -005 NPDES Permit (Issued to the 5 years Yes: Until Mag' Mfr, S Yes: 1 Department preference; GC County County) Expiration OD, Ppr year §34090.7 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-125 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). When No When No Longer Mag, Public Works PW -006 Preliminary Studies / Project Longer Minimum 2 Required - Mfr, S Yes: After Department Preference; GC Assessments (Not Acquired) Required years Minimum 2 OD, Inactive §34090 Ppr years Project Files: City Infrastructure Department preference; For and Facilities Projects - disaster preparedness Administration File: Upon Yes: Until Mag, Yes: 1 purposes and to cover various Public Works PW -007 Project Administration, Project Completion P P Completed Mfr, S year statute of limitations; Statewide Schedules, Invoices, Logs, OD, Ppr guidelines propose Permanent Work Reports (Inspector for Infrastructure plans; GC Reports) Certified Payrolls etc. Completion + §34090, CCP 337 et seq. Project Files: City Infrastructure Upon Mag, Yes: 1 Department preference; GC Public Works PW -031 and Facilities Projects - Completion 3 years 3 years OD, Ppr S year §34090 Certified Payrolls Project Files: City Infrastructure and Facilities Projects - Department preference; Permanent File: Retained for disaster Plans, Specifications, Materials Mag, preparedness purposes (City Public Works PW -008 Testing Reports, Project Study Upon P P Yes: Until Mfr, S Yes: 1 Clerk does not maintain Plans, Reports (PSRs), Record Completion Completed OD, Ppr year Materials Testing Reports, etc.) Statewide guidelines propose Drawings ("As Builts"), Permanent for Infrastructure Regulatory Agency Approvals, plans; GC §34090 Soils Reports, Structural Calculations, Surveys, etc. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-126 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Recorded Maps (Final Maps, Mag, Yes: 1 Drafts should be destroyed; GC Public Works PW -011 Record of Survey, Tract Maps, P P Yes (all) Mfr, S year §34090, 34090.7 etc.) OD, Ppr Mag, Planning maintains the analog Public Works PW -033 Standard Drawings P P Yes (all) Mfr, S Yes: After aerial maps; Department OD, QC & OD Preference for historical When No Ppr purposes; GC §34090 Sewer and Storm Drain Video When No Utilities or Inspection Reports /Video or Longer Longer Mag, Yes: 1 Department Preference; GC PW -012 Required - Required - Mfr, S Public Works Digital Recordings - Regular Minimum 2 Minimum 2 OD, Ppr year §34090 et seq. Inspections years years CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-127 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -4 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). TRANSPORTATION AND DEVELOPMENT SERVICES Assessment / Maintenance Department Preference; Statute District Projects (Maps, Termination Yes: Until Mag, Yes: 1 of Limitations is 4 - 10 years Public Works PW -016 Diagrams, Spreadsheets, of District P P Completed Mfr, S year (for Errors & Omissions); CCP Improvement Plans - e.g. roads, OD, Ppr §§337. 337.1(a), 337.15, 343; sewer, etc.) Life of the GC §34090.7 Encroach - Encroachment Permits Life of the Minimum ment - Yes: Until Mag, Yes: After Statewide guidelines propose Public Works PW -018 Wit:: ALL Encroach- Expiration + 2 Minimum Revocation Mfr, S 1 year Permanent; CCP § 337 et. ment years Expiration + OD, Ppr Inaotive Seq.; GC § 34090 2 years Permits: Residential & Commercial Docks and Piers End of End of Mag, Public Works PW -034 (Residential & Commercial) Tenancy + 10 Tenancy + 1 0 Mfr, S/I No Department Preference; GC Includes Permit Drawings, years years OD, Ppr §34090 Dredging permits, Coastal Permits, etc. 10 years Public Works PW -020 Intersection File (Traffic Study, 10 years Mag, S Yes: After Department preference; GC Warranty Analysis) OD, Ppr 1 year §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-128 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -5 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Department preference to cover audits from all grant funding Traffic related service requests Completion + Yes: Mag, Yes: Upon agencies; Statute of Public Works PW -021 (minor projects - reports, Completion 10 years 10 years Before Mfr, S/I Completion Limitations for Errors & ordering of signs, etc.) Completion OD, Ppr Omissions is 10 years; CCP §§337. 337.1(a), 337.15, GC Copies - §34090 Offers of Dedication (Rejected, Copies - Mag, City Manager PW -023 Unprocessed or Unaccepted -- When No When No Mfr, S Yes: After Ensure the City Manager has If accepted, City Clerk is Office Longer Longer OD, Inactive all originals; GC §34090.7 of Record) (See CW -077) Required Required When Ppr When Mag, Public Works PW -025 Traffic Signal Timing Superseded 9 years Superseded + Mfr, S Yes: After Department Preference; GC + 1 year 10 years OD, 1 year §34090Ppr When When Mag, Department preference Public Works PW -026 Speed Surveys Superseded Superseded Mfr, S Yes: After (required every 5 years, but can (minimum 2 (minimum 2 OD, 1 year be extended to 7 or 10 years); years) years) Ppr GC §34090 Mag, Public Works PW -028 Traffic Calming - Summary 10 years 10 years Mfr, S Yes: After GC §34090 (speed humps, etc) OD, 1 year Ppr Mag, Public Works PW -029 Traffic Counts, Summaries, Minimum 10 Minimum 10 Mfr, S Yes: After Department Preference; GC Reports years years OD, 1 year §34090 Ppr ADMINISTRATION CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-129 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -6 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Public Works PW -035 Chemical Applications (Contract Administration or in-house) Completion + Yes: Mag, Yes: After Department Preference; Claims can be made for 30 years for mal- Operafion_ I MOD 901 Includes Approved Chemical Completion 30 years 30 years Before Mfr, S/I QC & OD toxic substance exposure; 8 Admin. List, MSDS Sheets, etc. Completion OD, Ppr CCR §3204(d)(1) et seq., GC §§12946,12960,34090 Lead n n+ i P I•`en+ract Adm StFatme r„ +•e �e5- AAa� ��^.-�f* Statute of I amatations is 4 years - for a n+r. ets (e FF rs and dons not n nl..)• ' Statewide guidelines PFOpese nletion + 5 years for apitalimprovement n ntFa Gtn ,.--.� A --W._936 /n es nodense, nnr+•f•nd ..IIS. time schedules, eta.) Completion 5 yeaFs C pIetT 5 yeaFS e Completion MAF OD pr,. L+/I qtr .r & n nletion + years for tFa richt'. n.J agreements; GCP §§337 237 11 (a) 337 1C 343• GG §340on Lead Dept. / PW -037 Daily Division Work Diaries 2 -years 5 years 7 years Mag Department Preference; GC Division MOD 003 ("Red Books") Ppr §34090 Finance / PW -038 Demolition Deposit Refund Payment Authorizations, Copies - When No Copies - When No Mag, Mfr, S/I Yes: After Finance maintains official Accounting Longer Longer record; Depa.+m„n+ pFefeFenee MuniGip 9fter MOD 0117 Demolition Deposit Forfeit Required Required OD, QC & OD 'm^^+s ^„di+in^ standards`; GC Completion -+ s m i s- Admin. Memo Completion -+ s Ppr §34090.7 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-130 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -039 Department Activities Report 5 years 5 years Mag, Mfr, S/I Yes: After Department preference; GC mal- Operatiens / MOD 904 OD, QC & OD §34090 Admin. Ppr Public Works Department preference; DMV Vial- PW -040 DL 170s / Certificate of Driving Separation + Separation + Ppr requires Separation + 3 years; s / MOD 005 Skill 3 years 3 years GC §34090.7 Admin. Public Works- PW 041 nnn,,,OD 115 FOG , Sterm Brains years years Mag-, Mfr_1 9o-,- SAnn Yes: QG & OD GFR 403.12 - n312Operations- �� Operations AdmiR. Rpr Lead Dept. / PW -04 2 When No When No Mag, Preliminary Drafts not retained Franchise List Longer Longer in the ordinary course; GC Division MOD 117 Required Required Ppr §34090 Public Works PW -043 Franchised Hauler Tonnage 5 years 25 years 30 years Mag Department Preference to cover all statute of limitations; Munieipal- Operation / s - MOD 007 Reports Ppr 8 CCR §3204(d)(1) et seq., Admin. CCP §§337 et seq., GC §34090 Public Works PW -044 Green waste Reports (Contract 10 years 10 years Mag Department Preference; GC Munieipal- Operations- / MOD CCS and In-house) Ppr §34090 Admin. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-131 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -8 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Public Works PW -045 Hazardous Waste Hauler Mag, Consistent with statute of limitations for employee mal- Operatiep s / MOD 009 Manifests 2 years 28 years 30 years Ppr exposure to hazardous Admin. materials; 8 Cal. Code Reg. 3204(d)(1)(A) Public Works Mag' MUnieipa]- PW -046 Landfill Records (City -owned - 10 years P P Mfr, S/I Yes: After Department Preference; GC Qperation�_ / MOD 010 Closed) OD, Ppr QC & OD §34090 Admin. Department Preference - Public Works PW -047 MSDS Master List P P Mag Claims can be made for 29 years for toxic substance Mun'Gipal- QpeFatienT / MOD011Ppr exposure; 8 CCR §3204(d)(1) Admin. et seq., CCP §§337 et seq., GC §34090 RelliRg StoekPurEhase Mag, /.4.5; See-rrvmoees PW 049 2 GFElerc Procurement 4. nf'n Re erds (see CIAI 10 years p -� �_'"'_ p,,�,,.,, �CttlrC �A Ap� �+'I X77 �Yes�teF �D Department preference /nen' `�, GG nGen�fr 043) �� RIM Lead De DW_04.9 Ceheduled Ma'ntenanee 5 5 department Preferenee (many m nfraot)• GGP ++ Owser - AA9B-013 (all) years 7"`cS " � enedbyn GG����p� §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-132 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -9 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Lead T PW 050 Training / Tailgate meetings- n Rosters, Outline Yes: AfteF Calif.Statewide guidelines propose T Labor Division is . . 1 to keep their OSHA r.J s 7 years ' EEOG/FLSAIADEA (Ago MOD 015 (A++nnda and yearsD'v'soen 7 ���,��� -' years Mfr -1 GID, 12P irequires 1 years for etie demotion, transfer, seleetmen, or diseharge; State Law requires --2- 3 years; 29 GFR 1627.3(b)(00)—, §§12946, jafftg, 34090 Public Works Mag, Mu�a1- PW -051 Transfer Station Modification Expiration 30 years Expiration + Mfr, S/I Yes: After Department Preference; GC operations / MOB -016 Permit 30 years OD, Ppr QC & OD §34090 Admin. Public Works Mag' Munieipai- PW -052 Underground Storage Tanks 3 years P P Yes Mfr, S/I Yes: After Department Preference; GC Operas_ / MOD 917 OD, Ppr OC & OD §34090; H&S §25284.4(1) Admin. Public Works PW -053 Work Request Database / Indefinite Indefinite Yes Ma g GC 34090 et se § q Mua1- Operations- operationl MOD 019 Work History Admin. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-133 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). FACILITIES & EQUIPMENT MAINTENANCE Public Works Auto Body Paint Shop (records Department Preference - Claims can be made for 29 Munieip Operations / PW -054 contain paint /hazardous 10 years 20 years 30 years Mag years for toxic substance Facilities & MOD 020 materials) Ppr exposure; 8 CCR §3204(d)(1) et seq., CCP §§337 et seq., GC Equip. Maint. §34090 Public Works PW -055 Life of the Life of the Mag, Department preference; GC M61ROGip Operations / �T MOD 921 BIT Sheets Vehicle + 5 Vehicle + 5 Ppr §34090 Facilities & years years Equip. Maint. Public Works P Daily Logs (Vehicle MUROGOPCHP Operations / 2 inspections) / Pre -Trip 2 years 2 years Ppr' 13 CCR 1234(c); GC §34090 Facilities & Inspections Equip. Maint. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-134 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -11 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -057 Estimates (Vehicles and 2 years 2 years Mag, GC §34090 MUROGip Operations / Facilities & MOD 025 Purchases) Ppr Equip. Maint. Department Preference; Statute Public Works Fire Apparatus & Equipment of Limitations for Health Providers is 3 years; OSHA Munieip Operations / P-058 W Maintenance Records (excludes Surplus + 5 Surplus + 5 Mag, requires 1 year; State requires Facilitiess & MOD 6 Ladder Certifications) years years Ppr 2 years; Statewide guidelines propose 2 years 8 CCR Equip. Maint. §3203(b)(1), CCP §340.5, GC §34090 Public Works Department Preference - Claims can be made for 29 �� �/ PW -059 Hazardous Waste Hauler 10 years 20 years 30 years Mag years for toxic substance Facilitiess & MOD 028 Manifests (Oil, etc.) Ppr exposure; 8 CCR §3204(d)(1) et seq., CCP §§337 et seq., GC Equip. Maint. §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-135 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -12 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Public Works PW -060 HVAC Records - Operations, Life of Life of Mag, MUn'Gmpal- Operations / OS / MOD 0�6 Sub equipment maintenance Equipment + Equipment + 2 Ppr GC §34090 Facilities & 2 years years Equip. Maint. PLi bI+E3 VV erk-s- Leaner G Sign She 2 Mag—, GG MunieipaLP-W-068 Operation R., -.r �cr.Main-L. Equip. :+ MOD 029 r out years years Rpf §34090 Department Preference; If a motor carrier, required for 18 Public Works Life of months after vehicle is sold; Munieipal PW-06 1 Maintenance History - Vehicles Vehicle or Life of Vehicle Mag, CHP requires life of vehicle; Ods / MOD 8 &Equipment -Where City is Equipment + or Equipment Ppr OSHA requires 1 year; 8 CCR § Facilities & Provider 5 years + 5 years 3203(b)(1); 49 CFR Equip. Maint. 396.21(b)(1); 49 CFR 396.3(c); CCP §337 et. seq., 13 CCR 1234(f); GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-136 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -13 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -062 Smog Certificates and Life of Vehicle + 5 Life of Vehicle Mag, GC §34090 MUROGip Operations I Facilities &� MOD 032 Inspections years + 5 years Ppr Equip. Maint. Public Works 22 CCR 66266.130(c)(5), H&S munfeip OpeFatien / Used Oil Disposal 3 ears 3 ears§25250.18(b), 25250.19(a)(3) Facilities & Ann .1 18 Ppr et seq. Equip. Maint. OPERATION— I FACILITIES & FLEET MAINTENANCE FIELD MAINTENANCE Public WO*& PW 065 Disposal Receipts / MaRife-st. NON HAZARDOUS WASTE 2 2 mag-1 GG§34990 Munioipal- Operations / Field in ��mMarnrr+ r MOC�I�--038 (StFeet sweeping debris dump at disposal company) -years yeaFS Public Works PW -0669 Drivers Logs 2 years 2 years Ppg' GC §34090 Operations MOD 03/ Field Maint. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-137 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -14 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -067 Dump Tickets / Manifests - Non- 2 years 2 years Mag' GC §34090 MunioipaI- Oper-atieps MOD 048 Hazardous Waste Ppr / Field Maint. Public Works PW -068 Sidewalk Repair Database Indefinite Indefinite Yes: Until Mag, Data is inter -related; GC Munieipal- Operations MOD 042 (Quest) Paid Ppr §34090 / Field Maint. A record of all notifications by Public Works PW -069 Underground Service Alerts Minimum Minimum Mag, excavators and operators to the regional notification center shall Operations MOD 844 (USA) / Dig Alerts: Utility Cuts, 3 years 3 years Ppr be maintained for a period of / Field Maint. etc. not less than three years; GC §§4216.2(fd) & 4216.3(d), 34090 Public Works PAAB A4� Vehicle Inspections 2 years 2 years Ppr' GC §34090 Operations/ Field Maint. OPERATIONS SUPPORT (OS) 1 BEACH MAINTENANCE CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-138 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -15 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Lead n,n �(60ffennendeneeerflfed GentraGt Administration Y25—m3� for eentFaets (errors and does not nl.)• Statewide guidelines propose eempletion + 5 years for non 'ni+el improvement n nf,+,r. n+c Q„nl„+•,n+n tYI Dtl'soVn MOD 049 payrolls, time oohed les ete) �years �p,f,., years Gempletien MfF "D, r�Pr SF�cs-��*� S SSP §§33?.337.1'ar33?.16 343• GG §340nn OPERATIONS SUPPORT OS / STORM DRAIN / STREET SWEEPING Pilo o We" 2 Genflned Space Entries s- rc ""' Yes: Ater Q GGR 5157(d)(1 4) s_ (ev' 6)• 20 Munieipa4- OpeFations / C-Qm1 Steffnr T Drawn / StreetT �yn MOD 061- (Permitted entriesOnto and storm drain in eFdar,+e ply with r mations.\ -years" �"" F O -' ' � ' S44 QC`_&_OD- GFR . §Q.Q9 J- "" CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-139 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -16 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). D. �hlir. \A/..rL�. �--�vfks D\Ai--v-v--vro Disposal Deeeipts / Manifests HAZARDOUS WASTE (e.g—., .+r.,; r, hazardous m.,+nri.,l '2!1 �io�r� '2 (1 �io�rs GonsmsteRt with statute of +., hazardous TUAal- �s -/ O�tAFM MOD 064 storm f......, street sweeping, clean va-y.,-�.T vo-y.,-�.TFLpf exposure materials; 8 Cal. Code DraxReg- / Street T U) 3204 ( Lead Dep y .r , .3 Mag Vr.. After ('ublic W00%,ms o I�� Grease Disposal Permits yeaFs years M OD, Pp om QG &-OD nn GFR 403 .12 Pte/ 976 Superseded C. ...J...J Transite Fy Donords; GG T2 ' -4090 / QS_I Storm T Dramn / Stree+ Sweepk+q 6 Supplies (Database) vvpc'-r'c'-vc'u vcp�vC'cr Lead I'•1..r.+ Lead -e -d -ept (PubliG QW 077 NPDES PeFMi+ rempli.,nee Data ,+rte r l �+rr r+ 3 Mag—, Mentoring records required for 3 . • nn GFR §§122.21 Works, l l+ice MOD 067 (StOFm years yeaFS P-Pf 122.41, 122.4 n CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-140 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -17 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Lead d n„n+ r u Grease) / Restaurants / Mag-,- o Utilities) AA9B-1 �4 Works) Pre +roo+mon+ of wastewater. $ s 0D Pp �� �6 X98 Treatment 40 GFR 403.12 r-crvrtc-cv-ortci PW 079 Storm IDFain Video inspeo+ion When SupeFseded- When Superseded Mag- Department Pr„feFen e; r_r MURioipa4- OpeFations / OS StOFM nnn�= Reoor.d'nnc Regular(rninimumT T pnrP� §3409 � Dr. rel Stpeet- SweepiRg Inspeetionsyam) yea-r) P-ubloo We" PW g MOD 113 Storm DFain Video Inspeotion Report.. / Vi doe Tapes or Dion+01 ReGeF.dings Spot Cheeks / When Superseded (minimum - When Superseded Transitory r oFd; no+ nor+ of overall program administeFed by PW dm'nfc+ro+'n ; GG Mun'Gipa4- OpeFations I CT Dr,aStreet- SweepiRg dnspec+• . : ,ear) year-) §3nno� ^zr PARKS & TREES CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-141 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -18 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -081 Application to Remove Trees / 2 years 2 years Mag GC §34090 n^„r , G T Street /Parks MOD 996 Petitions Ppr & Trees Public Works P -082 Demolition Permit Certification 2 years 2 years Ppr GC §34090 muniGip Op r' Street / Parks � & Trees Public Works PW -083 Notice of Violation (Obstruction 2 years 2 years Mag GC §34090 Munioap OpeFatiens Street / ParksMOD 9 of Right of Way, etc.) Ppr & Trees CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-142 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -19 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works Consistent with Operational Operations / Parks, PW-084 Park and Parkway Maintenance 3 years 3 years Mag Complaints and Work Orders; Parkways -1 MOD 974 (reports, records, work orders) Ppr CCP §§338 et seq., 340 et Parks & seq., 342, GC §34090 Trees Public Works PW -085 Pesticide and Herbicide Permits 5 years 5 years Mag' Mfr, S/I Yes: After Department Preference; GC OpeFations /- F1_ Parkways-/_ MOD075(from County) OD, Ppr QC & OD §34090, Parks & Trees Department Preference for toxic Public Works substance exposure statute of limitations; Registered Munioapal- O PW -086 Pesticide and Herbicide Mag, Yes: After fumigation pesticide ,� MOD 076 Records (in-house) 2 years 28 years 30 years Mfr, S/I QC & OD companies are required to Parkways-/ OD, Ppr retain logs and other records Parks & for 3 years; 8 CCR §3204(d)(1) Trees et seq., 16 CCR 1970; GC §34090, CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-143 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -20 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works Consistent with Operational Operat ns / Parks, Parks,MOD PW -087 Tree Maintenance / Plantings 3 years 3 years Mag Complaints and Work Orders; Parkways -1 4 Ppr CCP §§338 et seq., 340 et Parks & seq., 342, GC §34090 Trees Public Works Traffic Collision Notifications Exception to City-wide Munieipa4- Operations F1_ PW -088 (determine cost to bill 2 years 2 years Mag, retention; Retained in mss-/_ 5 responsible parties) Ppr originating department for Parks & auditing purposes; GC §34090 Trees Lead DePW 089 Tram g / Tailgate Fn etin Rosters, Outlines Mag—, Yes:After Statewide guideliRes pFepese 7— Calif. I abOF Division is EEQG/CQAADF=A (Age) ad I- Division (Atten.J.,nee g) 2 years s 7 years A�d GD, PP QC-x-OD- r s 3 years f0F Potion e seleetaen, or 3 y s; 29 GFR 1627 3(b)(ii) 8 GGR §3204(d)(1) et se GG CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-144 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -21 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -090 Tree Inventory Database P P Mag Department Preference; Data is ,O Dr-aNens �s / MOD 107 interrelated; GC §34090 et seq. Parks & Trees Public Works Department Preference; Covers Munieipal- OpeFatiens PW -091 Tree Removal Review / Ma various statute of limitations; -T"F 9A- �.4QD 1 Inspection Reports 5 years 5 years Ppg CCP §§ 337 et seq.; GC §§ Parkways/ 911.2, 34090, 34090.6; PC Parks & §832.5 Trees REFUSE Public Works Mag' Mun+eipal- PW -092 Annual County Inspection 2 Years P P Yes (all) Mfr, S/I Yes: After Department Preference; GC Operations / MOD 082 Reports (Old City Landfill Sites) OD, Ppr OC & OD §34090 et. seq. Refuse CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-145 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -22 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper (OFR) Active Inactive / CD Total 1=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & g S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Not all incidents are sent to Human Resources (only HazMat Incident Responses, Mag, workers compensation); GC Public Works PW -093 Clean-ups and Exposure 30 years 30 years Mfr, S Yes: After §34090; Consistent with statute / Refuse MOD 065 Records (Diesel, Oil, etc.) OD, Ppr QC & OD of limitations for employee exposure to hazardous materials; 8 Cal. Code Reg. 3204(d)(1)(A) Public Works PW-094 Integrated Waste Reports / Daily Records / Weight Records Mag, Yes: After Department Preference; GC Munfeipa-� Operations / MOB 985 / Hazardous Material Screening 30 years 30 years Mfr, S/I QC & OD §34090 et. seq. Refuse (Becomes part of Waste OD, Ppr Stream) , Public Work-, PW 4 Notmoe of Violatien6 (See GE GG ��nnon + MURioipa4- nno,-p� at;o*,T� A MOD 096 983) yearsyears � Public Works Mag' Meat- PW -095 Recycling Program - Annual 1 year P P Mfr, S/I Yes: After Department Preference; GC Operations / MOD 087 Report OD, Ppr QC & OD §34090 et. seq. Refuse CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-146 Ver. 21.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW -23 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File NumberImage: Destroy Media Paper Active Inactive / CD Total 1=Import (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Public Works PW -096 Refuse Receipts 3 years 3 years Mag, Department Preference; GC Munioipal- Operations / MOD 088 Ppr §34090 et. seq. Refuse Public Works Mag' Munioipal- PW -097 Transfer Station Permit 30 years 30 years Mfr, S/I Yes: After Department Preference; GC Operations / MOD 091 Inspection Results (monthly) OD, Ppr QC & OD §34090 et. seq. Refuse Public Works Mag' Munioipal- PW -098 Transfer Station Quarterly 30 years 30 years Mfr, S/I Yes: After Department Preference; GC Operations / MOD 093 Tonnage Reports OD, Ppr QC & OD §34090 et. seq. Refuse CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-147 Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, -Mfr) Total Vital? Media 1=Import after (in office) Retention Options M=Mfr OD Imaged & S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). RECREATION SERVICES Recreation Yes: & Senior RS -002 Attendance Sheets 2 years 2 years During Mag, Ppr GC §34090 Services Class or Program Recreation Class and Camp Registrations Yes: & Senior RS -003 &Rosters /User Pay 2 years 2 years Before Mag, Ppr GC §34090 Services Recreation Programs Event (Recreation Waivers) - ALL Recreation Yes: & Senior RS -004 Daily Facility and Activity Logs 2 years 2 years Before Mag, Ppr GC §34090 Services Event Emergency Contact Information for Participants / Yes: Transitory record used to contact Recreation Medical Release Forms /Pre- During relatives in the event of an & Senior RS -005 school Immunization Records 2 years 2 years Class or Ppr emergency; CCP §335.1, GC Services (Given to site provider -Coach, Program §§34090, 6252(e) OASIS Transportation Program, Instructor, etc.) Facility Use Requests and Recreation Permits - Includes Certificate Yes: Until hepar+,.,. eRt prefer RGe; GC & Senior RS -006 of Insurance and Alcohol 2 4 -years 2 4 -years Completio Mag, Ppr §34090 Services Permits (Room Reservations, n Parks, Moonbounces, etc.) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-148 Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, -Mfr) Total Vital? Media 1=Import after (in office) Retention Options M=Mfr OD Imaged & S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Recreation Fundraising Files Yes: & Senior RS -021 (Correspondence, Copies of 2 years 2 years During Mag, Ppr GC §34090 Services Checks, etc.) Class or Program Recreation RS Incident Reports 2 2 Mag, Mfr, Yes: After '& & Senior -023 years years OD, Ppr S/I QC OD GC §34090 Services R at' T & Seai0F Services RS 022 (Applioations nneetiRg NOti es interview Net', es) 2 years 2 years Yes: DUFOR Glass g p Mag, Pp 6 B Recreation Playground Equipment Yes: Before Mag, Mfr, Yes: Upon Department Preference; CCP & Senior RS -007 Inspections 10 years 10 years Completio OD, Ppr S/I Completio §§336(a), 337 et. seq., GC Services n §34090 Recreation Department Preference; GC & Senior RS -008 Program Evaluations 4 years 4 years Mag, Ppr §34090 Services Recreation Data is interrelated; GC §34090 & Senior RS -009 Recreation Database Indefinite Indefinite Mag Services et seq. Recreation Yes: & Senior RS -012 Special Event Permits 2 years 2 years Before Mag, Ppr GC §34090 Services Event CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-149 Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off-site, -Mfr) Total Vital? Media 1=Import after (in office) Retention Options M=Mfr OD Imaged & S=Scan QC'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). Recreation Volunteer Sign -ins / Summary & Senior RS -013 of Hours 2 years 2 years Mag, Ppr GC §34090 Services SENIOR SERVICES Recreation Program Files (e.g. OASIS, & Senior RS -018 Intergenerational, Events held) 2 years 2 years Mag, Ppr GC §34090 Services Statute of Limitations any Recreation "...liability founded upon an & Senior RS -019 Sign -In Sheets for Classes 4 years 4 years Mag, Ppr instrument in writing" or not Services specifically provided for is 4 years; GC §34090, CCP §§337, 343 Recreation Volunteer Sign -ins / Summary Department Preference to match & Senior RS -020 of Hours 3 years 3 years Mag, Ppr retention periods for other Services volunteer records; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-150 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-1 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). ADMINISTRATION Utilities / Department of Transportation Expiration Expiration Admin. UT -001 (Highway Permits) - Cal Trans of Permit + of Permit + Mag, Ppr GC § 34090 2 years 2 years Utilities / Admin. muniGip Disposal Receipts / Manifests - Consistent with statute of UT -112 HAZARDOUS WASTE (e.g., 30 years 30 years Mag, Ppr limitations for employee exposure / OS Storm MOB 064 storm drain, hazardous material to hazardous materials; 8 Cal. Draonet Street SweepiRg from street sweeping, clean ups) Code Reg. 3204(d)(1)(A) PUC - Public Utilities Commission Utilities / UT -003 (Correspondence, Rate Changes, 2 years 2 years Mag, Ppr GC § 34090 Admin. Applications, Gas, Electricity, Water, etc.) Subjects / Resource / When No When No Utilities / Miscellaneous Files / Files Not Longer Longer Admin. UT -004 Covered Under Other Utilities Required - Required - Mag, Ppr GC §34090 Retention Codes (subjects and Minimum 2 Minimum 2 resources will vary over time) I years I years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-151 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-2 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). ELECTRICAL Utilities / UT -078 AQMD Permits & Reports 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Electrical (Electrical) Lead Dept. UT -100 Confined Space Entries 2 years 2 years Mag, Ppr 8 CCR 5157(d)(14) & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 Generator Operation Logs & Lead Dept. UT -101 Inspections - Fixed / Stationary 5 years 5 years Mag, Ppr Department preference; AQMD Generators Rule 1470; GC §34090 Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT -102 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions, GC Emergency Generators) §34090 Utilities / Manuals - Operation and Life of Life of Mag, Mfr, Electrical UT -006 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GC §34090 equipment Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Project Files: Administration Funding or After Audit Standards=4-7 years; Public Works Files (CIP and Maintenance Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts or Utilities / UT -008 projects): Project Administration, Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful Electrical Certified Payrolls, Invoices, required, Audit, if Death=comp. + 5 years, Relocation Assistance, etc. whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-152 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-3 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Reports, Notice of Completion, Upon Yes: Until Mag, Mfr, Yes: After Retained for disaster Public Works UT -007 Project Study Reports, Record Completion P P Completed OD, Ppr S QC preparedness purposes; GC Drawings ("As Builts"), Regulatory §34090.7 Agency Approvals, Soils Reports, Structural Calculations, Surveys, etc. Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities / Project Files: Utilities Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Electrical UT -009 Maintenance Projects Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful required, Audit, if Death=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Utilities / UT -010 Work Request Database (Quest) Indefinite Indefinite Yes Mag Records are interrelated; GC Electrical §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-153 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-4 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). A record of all notifications by excavators and operators to Utilities / Underground Service Alerts (USA) the regional notification center Electrical UT -012 / Dig Alerts: Utility Cuts, etc. - All 3 years 3 years Mag, Ppr shall be maintained for a period of not less than three years; GC FiF44216.2(d)& 4216.3 d , 34090 LANDFILL Utilities / AQMD Permits & Reports Expiration Expiration Landfill UT -079 (Landfill) of Permit + of Permit + Mag, Ppr GC § 34090 2 years 2 ears Utilities / UT -080 Benchmark Reports . Budget 2 years 2 years Mag, Ppr GC § 34090 Landfill Reports to CNG Utilities / UT -081 Emergency Preparedness / Superseded Superseded Mag, Ppr Department Preference; GC Landfill Hazardous Materials + 2 years + 2 ears §34090 Utilities / UT -082 Hazardous Materials Permits 10 years P P Mag, Mfr, S Yes: After Department Preference; GC Landfill OD, Ppr QC §34090 Utilities / Landfill Operation Permits & Expiration Expiration Mag, Mfr, Landfill UT -083 Reports of Permit + of Permit + OD, Ppr GC § 34090 2 years 2 ears Utilities / UT -084 Spill Prevention Control and 5 years 5 years Yes Mag, Ppr Department Preference; GC Landfill Countermeasure Plan (SPCC) §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-154 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-5 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). OIL AND GAS Utilities / UT -015 Abandonments - Oil Wells Upon P P Yes Mag, Mfr, S Yes: After Department Preference; GC Oil & Gas Completion OD, Ppr QC §34090 Utilities / Oil UT -085 AQMD Permits & Reports (Oil & 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 & Gas Gas) Utilities / Oil UT -086 Emergency Preparedness / Superseded Mag, Ppr GC § 34090 & Gas Hazardous Materials + 2 ears Lead Dept. UT -103 Confined Space Entries 2 years 2 years I Mag, Ppr 8 CCR 5157(d)(14) & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 Generator Operation Logs & Lead Dept. UT -104 Inspections - Fixed / Stationary 5 years 5 years Mag, Ppr Department preference; AQMD Rule 1470; GC §34090 Generators Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT -105 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions, GC Emergency Generators §34090 Utilities / Manuals - Operation and Life of Life of Mag, Mfr, Oil &Gas UT -017 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GC §34090 equipment Utilities / UT -018 Oil and Gas Production: Wells, 2 years P P Mag, Mfr, S Yes: After Department Preference; GC Oil & Gas Pumps, Condemnations OD, Ppr QC §34090 Department Preference; Claims Utilities / UT -019 Oil and Gas Remediation 2 years P P Mag, Mfr, S Yes: After can be made for 30 years for Oil & Gas OD, Ppr QC toxic substance exposure; 8 CCR §3204(d)(1) et seq., GC §34090 Utilities / UT -020 Oil and Mineral Rights P P Yes Mag, Mfr, S No Department Preference; GC Oil & Gas OD, Ppr §34090 Utilities / UT -021 Oil Production Report Tickets / 2 years 2 years Mag, Ppr GC §34090 Oil & Gas Run Tickets CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-155 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-6 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Oil Well Information (Fire Life of the Life of the Department Preference; Utilities / UT -022 Protection System Plans, Well + 10 Well + 10 Yes (all) Mag, Mfr, S/I Yes: After Inspections required for 3 years; Oil &Gas Inspections, Sprinklers, years years OD, Ppr QC UFC §103.3.4 Evacuation Plans, etc.) Oil Well Information and Life of the Life of the Department Preference; Utilities / UT -023 Inspections - All : (Fire Protection Well + 10 Well + 10 Yes (all) Mag, Mfr, S/I Yes: After Inspections required for 3 years; Oil &Gas System Plans, Inspections, Years years OD, Ppr QC UFC §103.3.4 Sprinklers, Evacuation Plans, etc.) Utilities / Oil Well Inspections (Division of Mag, Mfr, Yes: After Department Preference; Oil & Gas UT -024 Gas, Fire, Fish & Game, etc.) 10 years 10 years Yes (all) OD, Ppr S/I QC Inspections required for 3 years; UFC §103.3.4 Utilities / Permits (Coastal Permits, AQMD, Expiration Expiration Mag, Mfr, Yes: After Department Preference; GC Oil & Gas UT -025 etc.) of Permit + of Permit + OD, Ppr S QC §34090 2 years 2 years Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & Project Files: Administration + 10 years Omissions is 10 years; Published Files (CIP and Maintenance After Funding or After Audit Standards=4-7 years; Public Works projects): Project Administration, Upon Agency Funding Agency Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Wrongful or Utilities / UT -027 Project Schedules, Meeting Completion Audit, if Completed OD, Ppr S QC & Spec's=4 years, Oil & Gas Minutes, Certified Payrolls, required, Audit, if Death=comp. + 5 years, Invoices, Relocation Assistance, whichever is required, Developers=comp. + 10 years; etc. longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-156 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Reports, Notice of Completion, Upon Yes: Until Mag, Mfr, Yes: After Retained for disaster Public Works UT -026 Project Study Reports, Record Completion P P Completed OD, Ppr S QC preparedness purposes; GC Drawings ("As Builts"), Regulatory §34090.7 Agency Approvals, Soils Reports, Structural Calculations, Surveys, etc. Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities / Project Files: Utilities Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Oil & Gas UT -028 Maintenance Projects Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful required, Audit, if Death=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Reports to Regulatory Agencies - Utilities / UT -087 Oil & Gas: Reports relating to 10 years P P Mag, Mfr, S Yes: After Department preference; GC Oil & Gas Environmental (Pollution Control), OD, Ppr QC §34090 Oil Operations, Royalties, etc. Utilities / UT -088 Reports to SCAQMD (operation of 5 years 5 years Mag, Ppr Department preference; GC Oil & Gas fixed generators, etc. 34090 STORM DRAINS CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-157 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-8 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Utilities Munieipal- Storm Drain Video Inspection When When Operations UT -114 Reports / Video or Digital Superseded Superseded Department Preference; GC 4-0&/ Storm All Recordings - Regular (minimum (minimum Mag p P r §34090 et seq. Drain /Street Sweeping Inspections 1 year) 1 year) Utilities Muefeipal- Storm Drain Video Inspection When When Transitory record; not part of Oper-atiers UT -115 Reports / Video Tapes or Digital Superseded Superseded overall program administered by 4-0&/ Storm MOD 113 Recordings - Spot Checks / (minimum (minimum Mag PW Administration; GC §34090 Drain /Street sweepfflg Inspections 1 year) 1 year) et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-158 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-9 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). WASTEWATER Utilities / UT -089 AQMD Permits & Reports 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Wastewater (Wastewater) Utilities / Mag, Mfr, Yes: After Code of Federal Regulations Wastewater UT -029 Chemical Usage 3 years 3 years OD, Ppr S / I QC requires 3 years; 40 CFR 122.410)(2) Utilities / UT -031 Daily Division Work Diaries ("Red 3 years 3 years Mag, Mfr, S / I Yes: After Consistent with work orders; GC Wastewater Books") (Operator's daily logs) OD, Ppr QC §34090 Lead Dept. UT -106 Confined Space Entries 2 years 2 years Mag, Ppr 8 CCR 5157(d)(14) & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 Generator Operation Logs & Lead Dept. UT -107 Inspections - Fixed / Stationary 5 years 5 years Mag, Ppr Department preference; AQMD Generators Rule 1470; GC §34090 Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT -108 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions, GC Emergency Generators §34090 Utilities / Manuals - Operation and Life of Life of Mag, Mfr, Wastewater UT -032 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GC §34090 equipment Lead Dept. (General Monitoring records required for 3 Services, UT -033 NPDES Monitoring Reports 3 years 3 years Mag, Ppr years; 40 CFR §§122.21, 122.41, Public 122.44 Works, or Utilities) Orange NPDES Permit (Issued to the When No When NoYes: Until County UT -034 County) Longer Longer Expiration Mag, Ppr GC §34090.7 Required Required CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-159 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-10 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Some grant funding agencies require audits; Statute of 10 years or Completion I I Limitations for Errors & After + 10 years Omissions is 10 years; Published Project Files: Administration Funding or After Audit Standards=4-7 years; Public Works Files (CIP and Maintenance Upon Agency Funding Agency Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Wrongful or Utilities / UT -036 projects): Project Administration, Completion Audit, if Completed OD, Ppr S QC & Spec's=4 years, Wastewater C69Certified Payrolls, Invoices, required, Audit, if Death=comp. + 5 years, Relocation Assistance, etc. whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Reports, Notice of Completion, Upon Yes: Until Mag, Mfr, Yes: After Retained for disaster Public Works UT -035 Project Study Reports, Record Completion P P Completed OD, Ppr S QC preparedness purposes; GC Drawings ("As Builts"), Regulatory §34090.7 Agency Approvals, Soils Reports, Structural Calculations, Surveys, etc. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-160 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-11 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities / Project Files: Utilities Upon Agency Funding Agency Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Wrongful Wastewater UT -037 Maintenance Projects Completion Audit, if Completed OD, Ppr S QC & Spec's=4 years, required, Audit, if Death=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Reports to Regulatory Agencies - Utilities / Wastewater: Monthly and Mag, Mfr, Yes: After Hazmat discharge records are Wastewater UT -038 Quarterly Reports, including 5 years 5 years OD, Ppr S / I QC required for 3-5 years; 40 CFR 122.41 �)(2) b backup data Utilities / UT -090 Reports to SCAQMD (operation of 5 years 5 years Mag, Ppr Department preference; GC Wastewater fixed generators, etc.) §34090 Utilities / UT -039 Sanitary Spills and Overflows 5 years 5 years 5 years Mag, Mfr, S / I Yes: After If treating water, required for 5 Wastewater (SSOs) OD, Ppr QC years; 40 CFR 122.410)(2) Utilities / UT -040 Sanitary Surveys of Drinking 2 years 8 years 10 years Mag, Mfr, S / I Yes: After 22 CCR §64470 Wastewater Water Systems OD, Ppr QC Utilities / UT -042 Sewer Line Maintenance (reports, 10 years Life of the Life of the Mag, Mfr, S / I Yes: After Department Preference; GC Wastewater records, work orders) Sewer Sewer OD, Ppr QC §34090 Sewer System Management Plan Department preference; SSOs Utilities / (SSMP) and Audits / Sanitary are required for a minimum of 5 Spills Overflow Prevention Plan years; 40 CFR 122.41(1)(2); Wastewater UT -098 5 years 5 years Mag, Ppr (SSOPP) and Sanitary Sewer SW RCB Order 2006-03; GC Overflow Response Plan §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-161 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-12 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Utilities / Department preference; POTW Wastewater Source Control / Grease Disposal Expiration + Expiration + reports are required for 3 years; Lead n,,.,+ UT -113 Permits 3 years 3 years Mag, Ppr 40 CFR §§122.21, 122.41; 40 W Ofebbe CFR 403.12; GC §34090 Source Control / Pretreatment Department preference; POTW Utilities / UT -099 Annual / Semi -Annual Reports / 3 years 3 years Mag, Ppr reports are required for 3 years; Wastewater FOG (Fats, Oil &Grease) 40 CFR §§122.21, 122.41; 40 CFR 403.12 GC§34090 Utilities / UT -043 Station Maintenance Logs / Job Life of Life of Mag, Ppr Department Preference; GC Wastewater Logs (Pumps, Well Logs, etc.) Station Station §34090 Utilities / Video Inspection Reports / Video Wastewater UT -044 or Digital Recordings - Regular When When Mag Ppr Department Preference; GC or Public Superseded Superseded §34090 et seq. Works Inspections Utilities / Video Inspection Reports /Video When No When No Transitory record; not part of Wastewater UT -045 Tapes or Digital Recordings -Spot Longer Longer Mag overall program administered by or Public Checks /Inspections Required Required PW Administration; GC §34090 Works et se q• Utilities / Waste Discharge Requirements Monitoring records required for 3 Wastewater UT -091 Permit Fee 3 years 3 years Mag, Ppr years; 40 CFR §§122.21, 122.41, 122.44 Wastewater Lateral Dig Out Department Preference to cover Utilities / UT -046 Agreements (private digging - we 7 years 7 years Mag, Mfr, S / I Yes: After the period of time negative Wastewater have billing records) OD, Ppr QC information remains on consumer credit ratings; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-162 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-13 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). WATER Annual Water Quality Report Department preference; State Utilities / UT -047 (Consumer Confidence Report) / 10 years P P Mag, Mfr, S / I Yes: After law requires 12 years, federal 10 Water Public Water System Statistics OD, Ppr QC years; 40 CFR 141.33(a); 22 CCR §64470 Utilities / UT -048 AQMD Permits 5 years 5 years Yes: Until Mag, Mfr, S / I Yes: After 40 CFR 70.6; GC §34090 Water Completion OD, Ppr Expiration I Department Preference; Meets Utilities / UT -049 Backflow Inspections/Approvals 5 years 5 years I Ppr California Department of Health Water requirements (3 years); GC §34090; 17 CCR 7605 Utilities / UT -050 Calibration Records (Lab 2 years 10 years 12 years Mag, Mfr, S / I Yes: After Consistent with Chemical Water Equipment) OD, Ppr QC Reports; 40 CFR 141.33(a) Utilities / UT -075 Chains of Custody / Water 2 Years 8 years 10 years Mag, Mfr, S / I Yes: After 40 CFR 141.33(a); 22 CCR Water Analysis & Sampling: Chemical OD, Ppr QC §64470 Lead and Copper are required for Chains of Custody / Water 12 years or 2 compliance cycles Utilities / UT -076 Analysis &Sampling: Lead & 2 years 10 years 12 years Mag, Mfr, S / I Yes: After (some compliance cycles are Water OD, Ppr QC nine years); 22 CCR 64400.25; Copper 22 CCR §64470, 40 CFR 141.33(a); 40 CFR 141.91 30 years if employer qualifies as Utilities / Chemical Use Report Form / Mag, Mfr, Yes: After hazardous material exposure & Water UT -051 Material Data Safety Sheet 2 years 28 years 30 years OD, Ppr S QC required to file MSDS; reports are (MSDS) mailed to the County; 8 Cal. Code Reg. 3204(d)(1)(A) Lead Dept. UT -109 Confined Space Entries 2 years 2 years Mag, Ppr 8 CCR 5157(d)(14) & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-163 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-14 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Public Works UT -053 Construction Meters / Logs Expiration + Expiration + Mag, Ppr GC §34090 (temporary) 2 years 2 ears Department Preference; Records of actions taken to correct Utilities / UT -054 Correspondence with Regulatory 25 years P P Mag, Ppr violations are required for 3 Water Agencies years; Reports are required for 10 years GC §34090 40 CFR 141.33(b, c) Utilities / Mag, Mfr, Yes: After Department Preference to cover Water UT -055 Cross -Connection Samples 12 years 12 years OD, Ppr S / I QC Lead and Copper retention requirements; 40 CFR 122.91 Customer Concerns / Customer 5 years is required in State and Utilities / UT -092 Complaints / Reports: Odor / Taste 5 years 5 years Mag, Ppr Federal law for any complaints; Water / Visual Complaints - Drinking 40 CFR 122.410)(2) & 40 CFR Water 141.33(b); 22 CCR 64470 Utilities / UT -056 Equipment Binders Life of Life of Mag, Mfr, S No Administrative value; GC §34090 Water Equipment E ui ment OD, Ppr Utilities / UT -057 Equipment Repair Orders P P Mag, Mfr, S / I Yes: After Administrative Value; GC §34090 Water (includes pumps, etc.) OD, Ppr QC Generator Operation Logs & Lead Dept. UT -110 Inspections - Fixed / Stationary 3 years 3 years Mag, Ppr AQMD Rule 1470; GC §34090 Generators Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT -111 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions, GC Emergency Generators §34090 Utilities / Hydrant and Valve Maintenance, Transitory records (source Water UT -058 Hydrant Flush (Route Forms) 1 year 1 year Mag, Ppr records entered into the database); GC §34090 Utilities / UT -059 Job Log Books (Operator's daily 3 years 3 years Mag, Mfr, S / I Yes: After Consistent with work orders; GC Water logs) OD, Ppr QC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-164 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-15 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Utilities / Manuals - Operation and Life of Life of Mag, Mfr, Water UT -060 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GC §34090 equipment Utilities / UT -061 Meter History (Meter Service Life of the Life of the Mag, OD, S / I Yes: After Department Preference; GC Water Cards) Meter Meter Mfr, Ppr QC §34090 Utilities / UT -062 Meter Sets &Installs P P Mag, OD, S / I Yes: After Department Preference; GC Water Mfr, Ppr QC §34090 Utilities / UT -063 Monthly Water Production Reports 2 years 3 years 5 years Mag, Ppr Consistent with other auditing Water standards; GC §34090 Covers statute of limitations for Utilities / UT -064 Permits: Natural Gas, Propane, Expiration + Expiration + Yes: Until MagPpr ' p contracts (4 years); Statewide Water etc. 4 years 4 years Completion guidelines propose Permanent; CCP § 337 et. Seq.; GC § 34090 Some grant funding agencies require audits; Statute of 10 years or Completion I Limitations for Errors & Project Files: Administration After + 10 years Omissions is 10 years; Published Files (CIP and Maintenance Funding or After Audit Standards=4-7 years; Public Works projects): Project Administration, Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts or Utilities / UT -066 Project Schedules, Meeting Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful Water Minutes, Certified Payrolls, required, Audit, if Death=comp. + 5 years, Invoices, Relocation Assistance, whichever is required, Developers=comp. + 10 years; etc. longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-165 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-16 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off-site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Reports, Notice of Completion, Upon Yes: Until Mag, Mfr, Yes: After Retained for disaster Public Works UT -065 Project Study Reports, Record Completion P P Completed OD, Ppr S QC preparedness purposes; GC Drawings ("As Builts"), Regulatory §34090.7 Agency Approvals, Soils Reports, Structural Calculations, Surveys, etc. Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities / Project Files: Utilities Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Water UT -067 Maintenance Projects Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful required, Audit, if Death=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Utilities / UT -093 Report: MWDOC 5 Year 5 years 5 years Mag, Ppr Department preference; GC Water Projection §34090 Utilities / Reports to Orange County Water Department preference; GC Water UT -094 District: Groundwater Pumping & 5 years 5 years Mag, Ppr §34090 Billing, Annexation C95ee, etc. Utilities / UT -095 Reports to SCAQMD (operation of 5 years 5 years Mag, Ppr Department preference; GC Water fixed generators, etc.) §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-166 Ver. 24.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-17 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off-site, Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Utilities / UT -097 Reservoirs: Reports, Inspections, 10 years P P Mag, Mfr, S / I Yes: After Department preference; GC Water etc. OD, Ppr QC §34090 Utilities / UT -068 Routes (Reading, etc.) When When Mag, Ppr Transitory Records; GC§34090 Water Superseded Superseded et seq. Utilities / UT -069 Service Request Database Indefinite Indefinite Yes Mag Records are interrelated; GC Water §34090 Utilities / UT -070 Station Maintenance Logs / Job Life of Life of I Mag, Ppr Department Preference; GC Water Logs (Pumps, Well Logs, etc.) Station Station §34090 Utilities / Mag, Mfr, Yes: After State law requires 12 years, Water UT -071 System Chlorination & Fluoridation 2 years 10 years 12 years OD, Ppr S / I QC Federal 10 years; 40 CFR 141.33(a) Utilities / UT -072 Valve Turning Data Indefinite Indefinite Mag Records are interrelated; GC Water ISupersededl,Highly §34090 Vulnerability Assessment / Utilities / UT -077 Emergency Response Plan / Risk Superseded MagPpr Confidential; 42 USC 300i - Water & Resiliency Assessment / Hazard + 5 years + 5 years 2(de), GC §34090 Mitigation Plan Utilities / Water Districts (outside agencies) When No When No Non -Records used for Water UT -073 / Projects outside City Boundaries Longer Longer Mag, Ppr administrative purposes; GC Required Required §34090 Department Preference; Actual laboratory reports may be kept, / Water Reports, Sampling & Mag, Mfr, , Yes: After or data may be transferred to UT -074 Testing: Bacteriological & 2 years 3 years 5 years S / I tabular summaries; State law Water Organics ODPpr , QC requires 5 years; 40 CFR 141.33(a) and (b)(1); 22 CCR §64470 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/26/2019 7-167