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HomeMy WebLinkAbout03 - Amendments to the Records Retention ScheduleQ �EwPpRT c 9C/FOR TO: FROM: CITY OF NEWPORT BEACH City Council Staff Report April 11, 2023 Agenda Item No. 3 HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL Leilani I. Brown, City Clerk - 949-644-3005, (brown@newportbeachca.gov PREPARED BY: Cassandra Hawks, Records Specialist chawks@newportbeachca.gov PHONE: 949-644-3005 TITLE: Resolution No. 2023-17: Amendments to the Records Retention Schedule ABSTRACT: The City of Newport Beach (City) continues to improve its records management program, including updating the Records Retention Schedule (RRS) to incorporate new laws and business practices. At its August 24, 2021 meeting, the City Council approved Resolution No. 2021-75, which amended sections of the RRS, authorized destruction of certain City records, and indicated that major or substantive revisions to the RRS are required to be considered by the City Council for review and approval. A list of proposed amendments, resulting from a recent review of the RRS, is attached for the City Council's review and approval. RECOMMENDATIONS: a) Determine this action is exempt from the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the CEQA Guidelines because this action will not result in a physical change to the environment, directly or indirectly; and b) Adopt Resolution No. 2023-17, A Resolution of the City Council of the City of Newport Beach, California, Amending Certain Sections of the Records Retention Schedule and Authorizing Destruction of Certain Records Accordingly. DISCUSSION: In August 2003, the City adopted the RRS, which provided records descriptions and applied retention periods to City records. Since then, the City Council has approved revisions to the RRS in 2006, 2016, 2018, 2019, and 2021 to keep the RRS as up-to-date as possible. The City's consultant, Diane Gladwell of Gladwell Governmental Services, Inc., who specializes in local government records, periodically reviews the City's RRS and provides recommended updates based on new laws and business practices. 3-1 Resolution No. 2023-17: Amendments to the Records Retention Schedule April 11, 2023 Page 2 On an as -needed basis, the City Clerk's Office meets with records staff from each department to review their specific records. This collaboration, along with changing records management laws and practices, has brought about the need to make additional changes to the RRS. The changes include consolidating retention codes, creating new codes to remain compliant with legal requirements, deleting retention codes, and moving documents to the department that now maintains those records. The City Clerk's Office, City Attorney's Office, and Diane Gladwell have reviewed staff's requested revisions to the RRS and, based on best practices, all agree that the recommended changes are acceptable. FISCAL IMPACT: There is no fiscal impact related to this item. ENVIRONMENTAL REVIEW: Staff recommends the City Council find this action is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. NOTICING: The agenda item has been noticed according to the Brown Act (72 hours in advance of the meeting at which the City Council considers the item). ATTACHMENT: Attachment A — Resolution No. 2023-17 3-2 ATTACHMENT A RESOLUTION NO. 2023-17 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NEWPORT BEACH, CALIFORNIA, AMENDING CERTAIN SECTIONS OF THE RECORDS RETENTION SCHEDULE AND AUTHORIZING DESTRUCTION OF CERTAIN RECORDS ACCORDINGLY WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Newport Beach ("City"); WHEREAS, California Government Code Section 34090 et seq. provides a procedure whereby any City record that has served its purpose and is no longer required may be destroyed; WHEREAS, the State of California has adopted guidelines for retention periods for various government records; WHEREAS, on August 12, 2003, the City Council adopted Resolution No. 2003- 39, approving the initial records retention schedule ("First Records Retention Schedule"); WHEREAS, on December 12, 2006, the City Council adopted Resolution No. 2006-104, amending the First Records Retention Schedule; WHEREAS, on February 8, 2011, the City Council adopted Resolution No. 2011- 18, adopting a new records retention schedule and rescinding Resolutions Nos. 2003-39 and 2006-104 ("Second Records Retention Schedule"); WHEREAS, on May 13, 2014, the City Council adopted Resolution No. 2014-35, adopting a new records retention schedule and rescinding Resolution No. 2011-18 ("Third Records Retention Schedule"); WHEREAS, the City Council has adopted Resolution Nos. 2016-48, 2018-18, 2019-24, and 2021-75 amending the Third Records Retention Schedule ("Records Retention Schedule"); and WHEREAS, the City is continuing to improve its Records Management program, including updating the City's Records Retention Schedule to incorporate new laws and business practices. NOW, THEREFORE, the City Council of the City of Newport Beach resolves as follows.. 3-3 Resolution No. 2023- Page 3 of 3 Section 8: The City Council finds the adoption of this resolution is not subject to the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Division 6, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. Section 9: This resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall certify the vote adopting the resolution. ADOPTED this 11'h day of April, 2023. Noah Blom Mayor ATTEST: Leilani I. Brown City Clerk APPROVED AS TO FORM: CITY ATTORNEY'S OFFICE Aaron C. Harp City Attorney Attachment(s): Exhibit 1 — 2023 Records Retention Schedule Update — Individual Proposed Changes Exhibit 2 — 2023 Records Retention Schedule — Redline Draft 3-4 Exhibit 1 2023 Records Retention Schedule Update — Individual Proposed Changes 3-5 MEN, rrk's 0�fflc.(CCCI) Wrdicates Amended text - no need for CC approval Official Records / Recorded Documents: Abandonments, City Clerk's Office City Clerk CC-045 Covenants, Deeds, Deed Amended Text Restrictions Easements, Entitlements, Vacations, etc. UNALTERABLE MEDIA/ IMMUTABLE CLOUD BACKUP, For legal compliance for Trustworthy Electronic Records City Clerk's Office City Clerk CC-066 WORM / DVD-r/ CD-r / Blue Ray- (when the electronic record serves as the official record); R or other unalterable media that must be stored in a "safe and separate location"; GC does not permit additions, 34090, 12168.7, EVC 1550, OCR 22620 et seq. deletions, or changes 3-6 Action Requested Department/Division Current OFR Current Classification Records Description Specific Request /Comments /Reference / No. Information/Reasoning /Clarification Needed Report to the State Commission on Peace Officer Standards and Training (POST Commission) of peace officer olice Police PD-097 employment, compliant, finding, New Code Added disposition, or judgement pursuant to §PC 13510.9. Does not include the records any such report is based on. AN Amended Text: ` Incident Reports (DR#)/Sealed Cases ^ajWit 18 f9F-••• •--9%A'- - and -` yea-Se-"ng j ••; CCP §§340.1, GC Police Police PD-053 (Juveniles &Adults) A1 §34090; GC §68152(g)(1), `"'°..�.a{o, ,lice Police PD-053.1 Incident Reports (DR#); Sealed Cases New Code Added A (childhood sexual assault) 3-7 Action Requested Department/Division Current OFR Current Classification No. Records Description Specific Request /Comments /Reference / Information/Reasoning /Clarification Needed � Application for Temporary Permit to Operate Fire Department, candles, (e.g. weddings) candle program (e.g. Amended Text: Records moved from Building to Fire as Fire(FR) Fire FR-000 restaurants), pyrotechnic display, open flame, tents, LPG, etc.) / Fire maintains these permits Provisional State regulated occupancies / temporary use permits A Indicates New Code �: Action Requested Department/Division Current OFR Current Classification No. Records Description Specific Request /Comments /Reference / Information/Reasoning /Clarification Needed Administrative Citations relating to Harbor Operations / Harbor MP Harbor Harbor Dept HBR-002 Amended Text; Moved from Code Enforcement CE-003 Code Enforcement Cases / Harbor Warnings, Citations, and Violations A Indicates New Code WX Action Requested Department/Division Current OFR Current Classification No. Records Description Specific Request/ Comments / Reference / Information/Reasoning /Clarification Needed Indicates Deleted Code Indicates AmendeclText 1O99's, 1O96's, DE542 (California Report ofAmended Finance Finance FIN-030 Independent Text Indicates New Code A Contractors) 3-10 Current ecific Request / Comments / Reference Sp / Action Requested Department/Division Current CFR Classification Records Description No. Information/Reasoning /Clarification Needed r Code Enforcement Case Files: Amended Text; CDD requested to keep Code Enforcement or Code Enforcement CE-001 Violations / Warnings / violations/warnings/citations permantly to match case A Fire or Fire CodeEnforcement / Citations files kept permanently - rF F^cyn Cr Ogg ..VCgta"^^„'^^•: Deleted Code: this code was moved to Harbor; lice ec-F+Fe .../Vessel i violations/warnings/citations moved to CE-001 D 3-11 Current Specific Request / Comments / Reference / Action Requested Department/Division Current OFR Classification Records Description No. Information/Reasoning /Clarification Needed � n,feffated Waste Reports / CalRecycle Reports / Daily Records / Public Works / Public Works PW-076 Weight Records/ Hazardous Amended Text Refuse Material Screening (Becomes part of A Waste Stream) Project Files: City Infrastructure and Facilities Projects - Administration File: Project Administration, Project Amended Text: Certified payroll is covered under PW- Public Works Public Works PW-007 Schedules, Invoices, Logs, Work 031 Reports (Inspector Reports) GeFt f Ad AayceR etc A 3-12 Action Requested Department/Division Current OFR Current Classification Records Description Specific Request /Comments /Reference / No. Information/Reasoning /Clarification Needed r W 01 PeFffl ts� Exp Fed by Time Limitations (Abandoned) Building Deleted: This code was combined with BL-011 (see Building Building below) D PERMITS: Expired by Time Limitations Amended Text: Department Preference to cover the (Abandoned) Building Permits - Projects that have NOT been Started period of time for reduced fees; Content is NOT Building Building BL-011 ��„�m;µ,� � „T - � Plans substantive: Permits expire if work is not commenced within 180 days, and may be extended for 180 days if requested; GC §34090 A PLANS: Approved Construction Documents and Plans -ALL (COMMERCIAL & RESIDENTIAL) (includes soils reports, energy calculations, commercial structural Building Building BL-012 plans, commercial structural Amended: Retention changed to Permanent to match calculations, Private NPDES permits, current practices Hazardous Materials Questionnaire, applications, Flame Retardancy Certificates, Floor Plan Drawings, fire lanes, fuel modification, business for occupancy load, etc.) A Building Building W Oil rF Permits, Deleted Code: This code was combined with BL-013 D Sta#ed Building Building BL-013 PLANS: CANCELLED or EXPIRED Amended Text A Permits, No Work Started Requests & Permissions to Receive Amended Text: Added Mfr, OD to Media Options; Building Building BL-022 Copies of Plans (Correspondence to Added S/I to Image; Added Yes: After QC & OD to and from architects) Destroy Paper A Deleted Code: Moved from Building to Fire as Fire ✓ uildin Building 3L 024 maintains these permits D 3-13 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description No. Information/Reasoning /Clarification Needed Wig- p a:,:.:R Deleted Code: Moved to CC-045 D Environmental Determinations: Environmental Amended Text: Final EIRs are kept permanently with PIL Impact Reports (EIRs), Negative Declarations, 023; Not all internal communications and notes are etc.) / CEQA / NEPAAII written evidence or required to be saved; "E-mails that do not provide correspondence submitted to, or transferred insight into the project or the agencys CEQA Planning Planning PL-030 from, the City and all internal agency compliance with respect to the project — are not within communications, including staff notes and the scope of section 21167.6, subdivision (e) and need memoranda related to a project or related to not be retained. PRC 21167,6; GC §34090; Golden Door the City's compliance with v Sup. Ct., 53 Cal. App. 5th 733 (2020). A 3-14 Exhibit 2 2023 Records Retention Schedule — Redline Draft 3-15 HOW TO USE RETENTION SCHEDULES 01995-2023 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided. The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed. Copies or duplicates of records should never be retained longer than the prescribed period for the original record. STRUCTURE: CITYWIDE. DEPARTMENTS & DIVISIONS The City-wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining the original record for the prescribed length of time. Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference. BENEFITS This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits: • Reduce administrative expenses, expedite procedures • Free filing cabinet and office space • Reduce the cost of records storage • Eliminate duplication of effort within the City • Find records faster • Easier purging of file folders • Determine what media should be used to store records For questions, please contact the City Clerk. AUTHORIZATION TO DESTROY RECORDS: Destruction of an original record that has exceeded its retention period must be authorized according to City Policies & Procedures rior to destroying it. • If there is a minimum retention ("Minimum 2 years"), destruction of the document must be authorized before it is destroyed, as it is an original record. Copies, drafts, notes and non -records do NOT require authorization, and can be destroyed "When No Longer Required." • If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy. On every page of the schedules (near the top, just under the column headings) are important instructions, including instructions regarding holds on destroying records. "Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion)." 3-16 RECORDS RETENTION SCHEDULE LEGEND 01995 — 2023 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or "record copy." Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.) Records Description: The record series (a group of like records). Transitory Records not retained in the ordinary course of business, that do NOT have substantive content: Preliminary drafts, notes, or interagency or intra- agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a "trusted system", etc. Non -Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off -site storage, stored on Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated. Vital? = Those records that are needed for basic operations in the event of a disaster. Media Options (guideline) — the form of the record: Mag = Electronic Computer Magnetic Media (Hard drives, Networks, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper OD = Optical Disk, CD-r, DVD-r, WORM, or other media which does not allow changes Scan / Import (guideline): "S" indicates the record should be scanned into the document imaging system, "I" indicates the record should be electronically imported into the document imaging system; "M" indicates the record should be microfilmed Destroy Paper after Imaged & QC'd / Trustworthy Electronic Record: "Yes" indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed, or the record may be electronically generated and never exist in paper format;) IF (legal requirements) the document has been imaged (electronically generated, scanned or imported and placed on Unalterable Media, Immutable Cloud Media, DVD-R, CD- R, Blue-ray-R, or WORM — Write Once Read Many Media, or microfilmed) which is stored in a safe & separate location, and both the images and indexing Quality Checked ("Wd"). The electronic record or image must contain all significant details from the original and be an adequate substitute for the original document for all purposes, and other legal mandates apply. Includes all electronic records which are to serve as the Official Record. Legend for legal citations (§: Section) CC: Civil Code (CA) CFC: California Fire Code EVC: Evidence Code (CA) FTB: Franchise Tax Board (CA) HUD: Housing & Urban Develop. (US) PC: Penal Code (CA) UFC: Uniform Fire Code W&I: Welfare & Institutions Code (CA) B&P: Business & Professions Code (CA) CCP: Code of Civil Procedure (CA) CFR: Code of Federal Regulations (US) FA: Food & Agriculture Code GC: Government Code (CA) LC: Labor Code (CA) PRC Public Resources Code USC: United States Code (US) CBC: California Building Code CCR: California Code of Regulations (CA) EC: Elections Code (CA) FC: Family Code (CA) H&S: Health & Safety Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) R&T: Revenue & Taxation Code (CA) VC: Vehicle Code (CA) 3-17 Ver, 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number Inactive Active Total Media I Destroy Image: Paper I=Import (OFR) (Off -site, (in office) Vital? Retention Options after M=Mfr OD or Mfr) Imaged & S=S ca n Warnings! If "Lead Dept. " is indicated as the OFR, and au are the Lead, then the retention indicated applies (they are originals). If vou are the OFR, refer to your department schedule If vouarp NOT the "Lead Dent ; the documents only need to be retained until no longer reuired (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records re nests, and/or investigations suspend normal retention periods retention resumes after settlement). CITY-WIDE (Applies to ALL De artments Human Accident, incident, injury Copies - Copies - Resources I CW-001 reports: EMPLOYEES and When No When No Mag, Copies retained for reference, Risk Manag. MEMBERS OF THE PUBLIC Longer Longer Ppr GC §34090.7 Required Required Copies - Copies - - - Police CW-002 Accident reports: CITY When No When No Mag, Copies retained for reference; VEHICLES Longer Longer Ppr GC §34090.7 Required Required Copies Copies - Finance CW-003 Accounts Payable, Invoices, When No When NYes: Before Mag, Finance Maintains Originals; Travel Reimbursement, etc. Longer Longer]Payment Ppr GC §34090.7 Required Required 'Signature on invoice serves as Accounts Payable, Invoices: Yes: Before Mag, authorization to pay; detail Yes: After Lead Dept, CW-004 Confidential Backup and/or 2 years 3 years 5 years Mfr, OD,' S maintained in Lead Department Details NOT sent to Finance Payment Ppr QC OD Ito protect confidentiality, meets auditing standards; GC §34090 Brown Act challenges must be filed within 30 or 90 days of Lead Dept. CW-005 Advertising (Legal) I Advertising 2 years 2 years Mag, action, Statute of Limitations on Log Ppr Municipal Government actions is 3 - 6 months; GC §§34090, - - — - - 54960.1(c)(1) Fallow$ Follows Agenda Staff Reports (City I I Mag, City Clerk maintains a complete Lead Dept. CW-D06 Council) prior to October, 1998 retention for retention for OD, � Yes: After agenda packet for 5 years - S (City Council) (City subject i subject Ppr Completion packet is separated and filed by matter matter subject matter; GC §34090 CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-18 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of Classification � Records Description Retention i Disposition Comments !Reference Record OR File Number Destroy Image:Paper Inactive Active Total Media 1=Import (OFR) (Off -site (in office) -Mfr) Vital? Retention Options after M=Mfr OD Imaged &S=Scan Wamin s! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Agenda Staff Reports (City Copies - Copies - Mag, City Clerk maintains a complete City Clerk CW-007 Council) after to October, 1998 When No When No Mfr, OD, S Yes agenda packet permanently on (City Council) Lon g er Lon er 9 Ppr the imaging system; GC §34090 ( Required Required !Agreements & Contracts (ORIGINALS SENT TO CITY All agreements and contracts CLERK) Agreement or Copies - Copies - � are sent to the City Clerk; Contract, Notices of When No When No Yes: Before Mag, Yes: After Insurance Certificates and City Clerk CW-008 Completion, etc. Agreement Longer Longer Completion Mfr, OD, S renewals are the responsibility OC & OD 'of or Contract includes all Required Required Ppr the Lead Department - see contractual obligations (e.g. CW-040, Insurance Certificates; Specifications and Successful GC §34090.7 Proposal / Scope of Work) Agreements & Contracts - iNFRASTRUCTURE All All infrastructure, JPAs, & Change orders, Mutual Aid contracts are RFPs - permanent for emergency riginals NOT sent to City ilerk preparedness; Statute of (examples ofontracts/Agreements Mag, I Limitations is 4 years, 10 years Lead Dept. CW-009 Infrastructure: Architects, Completion P P Yes: Before Mfr, OD,' Yes: After' S for Errors &Omissions; land Buildings, bridges, covenants, Completion P Ppr QC & OD records are permanent by law; development, park CCP §§337, 337.1(a), 337.15, �343- improvements, property GC §34090, Contractor restrictions, reservoirs, sewers, has retention requirements in sidewalks, street &alley 48 CFR 4,703 improvements, utilities, water, etc. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-19 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of Classification i Records Description Retention I Disposition Comments l Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) i (Off -site, Vital? after (in office) , OD or Mfr) Retention Options M=Mfr Imaged & S=Scan Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If vou are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement . Covers E&O Statute of Agreements & Contracts - NON - Limitations (insurance INFRASTRUCTURE All certificates are filed with Change orders, agreement); Published Audit Contracts/Agreements, RFPs -' Standards=4-7 years; Statute of Originals NOT sent to City Completion YesBefore After Mag, Yes: Limitations: Contracts & : Lead Dept. CW-010 .Clerk (examples of Non- Completion 10 years + 10 years Completion Mfr, OD, S!I QC & OD Spec's=4 years, Wrongful Infrastructure: Consultants, Ppr Death=comp. + 5 years, Landscaping, Painting, Slurry Developers=comp. + 10 years; Seals (Paving), Tree Trimming, Statewide guidelines propose Leases, Personnel, termination + 5 years, CCP Professional Services, etc.) §§336(a), 337 et. seq., GC §34090 Covers E&O Statute of Limitations (insurance certificates are filed with Agreements & Contracts: agreement); Published Audit ADMINISTRATIVE FILES - Standards=4-7 years; Statute of NOT funded by a grant Completion Mag, Limitations: Contracts & Yes: Before � Yes: After Lead Dept. CW-011 p (Correspondence, Project Completion 10 years + 10 years Completion Mfr, OD, Sll QC & OD Spec's=4 years, Wrongful Administration, Project Ppr Death=comp. + 5 years, Schedules, Certified Payrolls, Developers=comp. + 10 years; Invoices, Logs, etc.) Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-20 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of (Classification, Records Description Retention l Disposition Comments J Reference Record OR File Number FImage: Destroy Active Inactive Total Media i Paper 1=Import ; (OFR) (in office) (Off -site Retention Vital? Options after M=Mfr OD or Mfr) Imaged & S=Scan Warnin s? If "Lead Dept, " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Some grant funding agencies require audits, Statute of 10 years or Completion I Limitations for Errors & Agreements & Contracts: After + 10 years Omissions is 10 years, .ADMINISTRATIVE FILES - Funding or After Published Audit Standards=4-7 WITH grant funding Funding Mag, years; Statute of Limitations: t. CW-012 Lead Dep t. (Correspondence, Project Completion Audit, if Agency Mfr, OD, Completion S/1 QC & OD Contracts & Spec's=4 years, Administration, Project required, Audit, if Ppr ;Wrongful Death=comp. + 5 'years, Schedules, Certified Payrolls, whichever is required, Developers=comp. + 10 (Invoices, Logs, etc.) longer whichever is iyears; Statewide guidelines longer 'propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090; GC §8546.7 Agreements & Contracts UNSUCCESSFUL BIDS, Mag' UNSUCCESSFUL Lead Dept. CW-013 ! 2 years 2 years Mfr,P D, Yes: After S/ I GC §34090 PROPOSALS, and RFQs r, QC & OD (Request for Qualifications) that don't result in -a contract _ Copies - Copies - Audits I Comprehensive Annual Finance CW-014 When No When No Mag, Copies; GC §34090.7 Financial Reports Longer Longer Ppr Required Required CW-015 Bids: See Agreements & Contracts CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-21 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of !Classification Records Description i Retention I Disposition Comments I Reference Record OR File Number _ Image: Destroy Active Inactive Total Media Paper 1=Import (OFR) (in office) (Off -site, Vital? Retention Options after M=Mfr OD or Mfr) Imaged & S=Scan Warnin s? If "Lead Dept " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . If you are the OFR, refer to your department schedule. If vou are NOT the "Lead Dent " the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Committees: AUDIO RECORDINGS of Meetings Copies - Copies - City Clerk CW-016 (except Council and Planning Send to City Send to City Mag Copies; GC §34090.7 Commission - see City Clerk's Clerk Clerk and Planning's schedule) Boards and Commissions: AUDIO RECORDINGS of Copies - Copies - City Clerk CW-017 !Meetings (except Council and Send to City Send to City Mag Copies; GC §34090.7 Planning Commission - see City Clerk Clerk Clerk's and Planning's schedule) Boards, Commissions, & -- - f Committees: Citizens Advisory Formed by CITY COUNCIL (AGENDA PACKETS, NOTICES, Brown Act challenges must be AFFIDAVITS OF POSTINGS Minimum 2 Minimum 2 Mag, Yes: After filed within 30 or 90 days of Staffing Dept. CW-018 PROOF OF PUBLICATIONS, years years MfrPO D, S! I QC & OD action; GC §§34090, etc.) 54960.1(c) (1) �(i.e.. Civil Service Board, Board of !Library Trustees, and Building and Fire Board of Appeals) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-22 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of Classification I Records Description Retention If Disposition Comments 1 Reference Record OR File Number i Image: Destroy Inactive Active Total Media Paper I=Import (OFR) (Off -site, (in office) Retention Vital? Options after M=Mfr OD or Mfr) S=Scan Imaged & Warnin sl If "Lead De t."is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept " the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Boards, Commissions, & ,Committees: Citizens Advisory Formed by CITY COUNCIL (MINUTES & Notes taken to facilitate the BYLAWS) Staffing Dept. CW-019 P P Mag' Yes Mfr, OD, Yes: After writing of the minutes can be S Ppr 2 years destroyed after minutes have (i.e., Civil Service Board, Board of been adopted; GC §34090 Library Trustees, and Building and Fire Board of appeals. For Council and Planning Commission - see City Clerk's and Planning's schedule) Subcommittees can not take Boards, Commissions, & action — all recommendations Staffing Dept. CW-020 Committees: City Council 2 years 2 years Mag, go to the full Council; Brown Act Subcommittees (All records) Ppr challenges must be filed within 30 or 90 days of action; GC I§§34090, 54960.1(c)(1) When No Boards, Commissions, & When No CW-021 Committees: External Longer Longer Mag' Non -records Organizations (e.g. County Required Required Ppr Board of Supervisors) l CW-022 'Brochures: See Reference Manuals Copies - — p Copies - p Ma 9 - - Final must be filed with County Finance CW-023 Budgets - Finals g When No Longer When No Longer Yes: Current Fiscal Year Mfr, OD, Yes: After S/1 5 years Auditor; GC §34090.7, 40802, Ppr 53901 Required Required CITY OF NEWPORT BEACH, CA 02003-06 Gladweli Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-23 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of Classification Records Description Retention / Disposition Comments / Reference Record OR File Number' Image: Destroy Active Inactive Total Media Paper 1=Import (OFR) (in office) (Off -site, Vital? Retention Options after M=Mfr OD or Mfr) Imaged & S=Scan Wamin sl If "Lead Dent "is indicated as the OFR, and you are the Lead, then the retention indicated a plies the are originals). if you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Cash Receipts Detail I Backup / Retained in originating Lead Dept. CW-024 Credit Card Receipts / Accounts 2 years 3 years 5 years Ppr' department for auditing Receivable . - - _ -- purposes; GC §34090 - -- Copies - Copies - Mag City Attorney CW-025 (City Attorney: Opinions I When No When No I Mfr, OD, S No GC §34090.7 Longer Longer Ppr Required Re uired Class and Camp Registrations, Yes: During Mag, Lead Dept. CW-076 Waivers, & Rosters - ALL 2 years 2 years Class or Ppr GC §34090 Program Department preference to Collection Agencies: Unpaid 1 Mag, match the length of time an Lead Dept. CW-026 debts assigned to a collection 7 years 7 years P r p unpaid debt remains on a credit agency report; meets auditing standards; GC §34090 Committees. Internal attended employees (e.g. Records Mag, Lead Dept. CW-027 �by Management Committee, In- 2 Years 2 years Ppr GC §34090 House Task Forces, etc.) Statute of Limitations for public official misconduct is discovery jComplaints (against Personnel - iof offense + 4 years ; State and Lead e.g. misconduct, etc.) Final Final Yes: Before Mag Fed laws is until final disposition (Responding)' CW-028 'Does not include complaints Disposition + Disposition +of Disposition p Ppr' formal complaint; State Dept. against peace officers CCP §§340 et seq., 342; EVC § 1045(b)(1), GC §§12946, 12960, 34090; VC §2547 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-24 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of Classification Records Description Retention 1 Disposition Comments I Reference Record OR File Number Image: Destroy Inactive Active Total Media ' 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If "Lead Dept, " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . if you are the OFR, refer to your department schedule. If you are NOT the 'Lead Dept ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, Pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). City preference to be consistent 'Complaints / Service Orders with correspondence; Statute of (operational) received in writing, Yes: After' Limitations for personal Lead Dept. CW-029 including via e-mail, Council 2 years 2 years i Mag Ppr S/I QC & OD property, fraud, etc. is 3 years; Appeal Forms, where the Claims must be filed in 6 Appeal did not go to Council months; CCP §§338 et seq., 340 et seq., 342, GC §34090 Lead Dept. CW-080 Complaints / Service Request Indefinite Mag Ppr Department preference (data is Indefinite Database interrelated); GC §34090 CW-030 Contracts: See Agreements Copies - Copies - Copies or duplicates of any CW-031 When No When No Mag Ppr GC §34090.7 record Longer Longer Required Re uired Correspondence - ROUTINE (Content relates in a Dept. that substantive way to the Authors conduct of the public's Document business) or (e.g. Administrative, Mag, Yes: After Receives the CW-032 Chronological, General Files, 2 years 2 years Mfr, OD, S/I QC & OD GC §34090 City's Original Letters, Memorandums, Ppr Document Miscellaneous Reports, Press Releases, Public Records Requests, PRAR Completion forms, Reading, Working Files, etc. CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-25 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of 1 Classification • Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (Off -site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan ' C)C, Warnin s! if "Lead Dent- "is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, com Taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). orrespon ence - TRANSITORY 1 PRELIMINARY Electronic and paper records DRAFTS, Interagency and are categorized, filed and Intraagency Memoranda not retained based upon the retained in the ordinary course CONTENT of the record. of business Records where either the Content NOT Substantive, or Content relates in a !NOT made or retained for the substantive way to the ;purpose of preserving the conduct of the public's informational content for business, or ARE made or Dept. that retained for the purpose of Authors future reference preserving the informational Document When No (e.g. calendars, checklists, e- When No Mag, content for future reference; or CW-033 Longer Lon mail or social media posting, g Receives the Required Longer g Required Ppr are saved outside the e-mail Ci s Original invitations, instant messaging, � g system printing them out and 'placing them in a file folder, or Document logs, mailing lists, meeting room saving them electronically; If not registrations, posters, staff videoconference chats, notes mentioned here, consult the City and recordings, supply Clerk to determine if a record is inventories, telephone considered transitory messages, text messages. preliminary drafts. GC §34090, transmittal letters, thank yous, GC §6252; 64 Ops. Cal. Atty. requests from other cities, Gen. 317 (1981)); City of San ;undeliverable envelopes / I Jose v. Superior Court (Smith). !Undeliverable Public Hearing S218066. Supreme Court of !Notices, visitors logs, voice mails, weboacies. etc.) California, 2017 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-26 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number _ . i._. Image' Destroy --- Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies), Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints. audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement). Dedications: Benches, Bricks Mag' Yes: After Lead Dept. CW-077 and Trees P P Mfr, OD, S QC & OD I GC §34090 Ppr As long as the drafts and notes are not retained in the "Regular Drafts &Notes: Drafts that are When No When No Mag, Course of Business". Consult Lead Dept. CW-034 revised (retain final version) Longer Longer Ppr the City Attorney to determine if Required Required a record is considered a draft. GC §34090, GC §6252, 16254(a) Meets auditing standards, Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Grants / CDBG / FEMA Claims / After After Admin. Requirements for Grants OES Claims I Reimbursable Funding Funding jto Local Governments is 3 years Claims (SUCCESSFUL Agency Agency Mag, Yes: from expenditure report or final Lead Dept. CW-035 Reports, other records required �to 2 years Audit, if Audit, if ; Mfr, OD, S / I When payment of grantee or �subgrantee: pass the funding agency's Required - required - Ppr Inactive statewide .audit, if required) Minimum 5 Minimum 5 guidelines propose 4 years; 2 years years CFR 200.334; 24 CFR 91.105(h), 92.505, 570.490, & 570.502(a), 29 CFR 97,42; OMB Circular A-110 & A-133; _ GC §34090; GC §8546.7 2 years Lead Dept. CW-036 Grants (UNSUCCESSFUL f 2 years _ Mag GC §34090 Applications, Corres ondence Ppr CITY OF NEWPORT BEACH, CA 9)2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-2 7 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number Image: _ Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, OD or Mfr) Retention Vital? Options M=Mfr after Imaged & S=Scan Wamin s? !f "Lead De t. " is indicated as the OFR, and you are the Lead, then the retention indicated aDDlies (they are originals). if you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained anti! no !on er re uired the are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). City Preference; All State and Grievances Escalated to Human Final Final Federal laws require retention Human CW-037 Resources or Above for Disposition + Disposition + Yes: Before Mag, until final disposition of formal Resources Resolution 5 years 5 years Disposition Ppr complaint; State requires 2 years after action is taken; GC §§12946, 12960, 34090 City's Preference; All State and Final Final Federal laws require retention Lead Dept. Grievances Resolved at CW-038 Disposition + Disposition + Yes: Before Mag, until final disposition of formal Department Level 5 years 5 years Disposition Ppr complaint; State requires 2 years after action is taken; GC §§12946, 12960, 34090 Copies - Copies - Human CW-039 Injury reports: EMPLOYEES When No When No Mag, Copies retained for reference; Resources Longer Longer Ppr GC §34090.7 Required Required Copies - Copies - Mag' Finance 1 OMB Insurance Certificates (for CW-040 When No When No Yes: Before � Mfr, OD, S/l Yes. After i Copies; GC §34090.7 .Contracts, etc.) Longer Longer Completion Ppr Inactive Required Required When No City Attorney is OFR for When No Lawsuits, Litigation, Pending Longer Longer Yes: Before Mag' Yes: After lawsuits; Risk Management City Attorney CW-041 Litigation Required Required Settlement Mfr, OD, Sll Settlement administrates claim; GC (Upon (Upon Ppr §§34090.7, 34090.E Settlement) Settlement CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-28 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of ;Classification Records Description Retention 1 Disposition Comments I Reference Record OR File Number Destroy Inactive Image: Paper Active Total Media I=Import (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated ap ties (they are on inals . If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed. and imply a full file folder (e.a. last document + 2 vears). since destruction is normally performed by file folder. Human Copies - Resources / CW-042 Liability Claims When No Risk Manag. Longer Required CW-043 Minutes: See Commissions, Committees and Boards Copies - When No Yes: Before Mag, Longer Settlement Mfr, OD, S/l Required Ppr MSDS (Material Safety Data Sheets) / Safety Data Sheets Mag, Lead Dept. (SDS) 1 Chemical Use Report CW-072 30 years y 30ears y Mfr, OD, Form (or records of the Ppr chemical / substance / agent, iwhere & when it was used) Municipal Code these are p ( Copies - When No Mag, Yes: Current I Copies - When No City Clerk CW-044 copies) Longer Longer Original I Mfr, OD, Required Required. Ppr When No When No Newspaper Clippings /Media Lead Dept. CW-045 Excerpts Longer Longer Ppr p i Required Required 2 years Staffing Dept. CW-046 :Notices: Public Hearing Notices 2 years Mag, Ppr CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 E Copies retained in department for 1 year; Risk Management Yes: After administrates claim; City Settlement Attorney maintains copies of lawsuits; GC §§34090.7, 34090.E Previous MSDS may be obtained from a service; MSDS may be destroyed as long as a record of the chemical Yes (after substance / agent, where & inactive) when it was used is maintained for 30 years; Applies to qualified employers; 8 CCR 3204(d)(1)(B)(2 and 3), 29 CFR 1910.1020(d)(1)(ii)(B), GC 434090 Return any whole unused codes No to the City Clerk; Originals maintained by City Clerk Permanently; GC §34090 Non -records - may be obtained from the newspaper company; ;GC §34090 Statute of Limitations on Municipal Government actions is 3 - 6 months; GC §34090 Revision Adopted: 3/16/2022 3-29 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13 Office of Classification, Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnings! If "Lead Dept " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or invesfi ations suspend normal retention periods retention resumes after settlement). Copies - Copies - Mag' City Clerk CW-047 Ordinances (these are copies) When No When No Yes (all) Mfr, D, Originals maintained by City S No Longer Longer Pp Clerk Permanently; GC §34090 Required Required U.S. State Department, Passport Transmittal Forms Passport Agency requires 24 Lead Dept. CW-078 (Copies); Miscellaneous 2 years 2 years Ppr months (OFR is U.S. Passport Information Department of State); GC .§34090 - Ensure records kept in Upon Upon Department files comply with Separation, Separation, City policy; Originals are Human CW-048 Personnel Files (Except for Send All Send All Before Mag, maintained by Human Resources Police and Fire Training Files) Originals to Originals to Separation Ppr Resources Personnel; State & Human Human Federal laws require 2 -3 years; Resources Resources 29 CFR 1602.31 & 1627.3(b)(2), GC §§12946, 12960, 34090 Personnel Files (Supervisors Before Notes maintained in a separate Human CW-049 File of notes - incorporated into 1 year 1 year Annual Mag, folder to be incorporated into Resources Annual Performance Performance Ppr performance evaluation; GC Evaluations) Evaluation §34090 et seq. Lead Dept. CW-050 Personnel Work Schedules 2 years Mag, , GC §34090 - Copies - Purchasing is OFR; Financial Purchasing CW-051 Purchase Orders, Purchase When No I E Yes: Before Mag, records are audited annually; Requisitions Longer Payment Ppr GC §34090.7 Required CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-30 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14 Office of Classification Records Description II Retention I Disposition Comments I Reference Record OR File Number ! ! I Destroy Image: Inactive Active Total Media Paper 1=Import ' (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr ' after OD or Mfr) S=Scan Imaged & Warnin s? If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on finals . If you are the OFR, refer to your department schedule. If voti are NOT the "Lead Dent " the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Real Estate Appraisal Reports: Not accessible to the public; Lead Dept. CW-074 Property NOT purchased or 2 years 2 years Pa9' !Statewide Guidelines show 2 sold p ,years; GC §§34090, 6254(h) Department Preference to Lead Dept. Real Estate Appraisal Reports: CW-075 2 Years 5 years 7 years Mag, establish tax increment and Purchased and Sold Property Ppr meet auditing standards; GC --- . §34090 Copies - Copies - Records Destruction Lists / City Clerk CW-053 !Certificate of Records When No When No Mag ' UGC §34090.7 ;Destruction Longer Longer Ppr Required Required Lead Dept. CW-052 Records Management Audit 2 years 2 years Mag' GC §34090 Forms Ppr Reference Materials: Administrative Procedures or Policies, Procedures, When No When No Drafting department is Lead Dept. CW-054 Brochures, Manuals, Longer Longer Mag, ! responsible for maintaining, Newsletters &Reports: Required Required Ppr updating, and retention Produced by OTHER (Copies); GC §34090.7 Departments I Reference Materials: Policies, Procedures, Brochures, Manuals, Newsletters & When No When No CW-055 Reports: Produced by Longer Longer Mag Ppr' Non -Records OUTSIDE ORGANIZATIONS Required Required (League of California Cities, Chamber of Commerce, etc. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-31 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-15 Office of Classification ii Records Description Retention I Disposition Comments !Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Reference Materials: Administrative Procedures or Drafting department is Policies, Procedures, When No When No ,responsible for maintaining, Lead Dept. CW-056 Brochures, Manuals, Longer Longer Mag, updating, and retention-, Newsletters & Reports: Required + 2 Required + 2 Ppr 'Statewide guidelines propose Produced by YOUR years years superseded + 2 or 5 years; GC Department §34090 Reports and Studies Mag, Yes: After Administratively and Historically Lead Dept. CW-058 (Historically significant) 10 years P P Mfr, OD, S/I 10 years significant, therefore retained Ppr permanently-, GC §34090 Information is outdated after 10 Reports and Studies (other than ag years, statewide guidelines Lead Dept. CW-059 Historically significant reports - 10 years 10 years Pprr' propose 2 years, If historically e.g. Annual Reports) significant, retain permanently-, GC §34090 Copies - Copies - Mag, Originals maintained by City City Clerk CW-060 Resolutions (these are copies) When No When No Yes (all) Mfr, OD, S No !Clerk Permanently-, GC Longer LongerRequiree Ppr i§34090.7 uired When I Certificates provided by the When Dept. with CW-061 Safety Certifications (Elevators, Superseded, Superseded, Mag, 'State, who may not perform Equipment Fire Systems, etc.) Minimum 2 Minimum 2 Ppr ;inspections every year, GC years years §34090 Transitory records not retained When No When No in the ordinary course of Lead Dept. CW-062 Speaker Cards (submitted at Longer Longer Ppr j business (used to accurately public meetings) Required Required produce minutes), GC §34090 et seq. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-32 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-16 Office of I Classification Records Description Retention I Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive Total Media ' I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnings! If "Lead Dept. "is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full Me folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). Copies - Copies - Mag, Recreation CW-063 Special Event Permits When No When No Yes (all) Mfr, OD, S No GC §34090.7 Longer Longer Ppr Required Required Lead Dept. CW-073 Subpoenas 2 years 2 years Ppr' GC §34090 Surveys I Questionnaires (that .the City issues). If a summary of the data is compiled, the Lead Dept. CW-064 survey forms are considered a 2 years 2 years Ppr' GC §34090 draft or transitory record, and can be destroyed when no longer required. CW-065 Tapes: See Boards & Commissions As long as they are not retained When No When No in the 'Regular Course of Lead Dept. CW-066 'Telephone Messages Longer Longer Ppr Business". Consult the City Required Required Attorney to determine if a record is considered a draft. GC §34090, GC §6252 CITY OF NEWPORT BEACH, CA ©2003-05 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-33 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-17 Office of Classification! Records Description Retention l Disposition Comments l Reference Record OR File Number Destroy Image: Inactive paper Active Total Media I=Import (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin s! if "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). ff you are the OFR, refer to your department schedule. If vou are NOT the "Lead Dent. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder e. g. last document + 2years),since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records rA uests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). Department preference; Meets auditing standards (audit + 4 years); IRS requires 4 years; Time Sheets I Time Cards I Mag, Ca. requires 2 yr min., FTB Yes: Aker Lead Dept. CW-067 Payroll Exception Reports WITH 2 years 3 years 5 years Mfr, OD, S QC & OD keeps 3 years; Published employee signatures Ppr articles show 4 -10 years, IRS Reg §31.6001-1(e)(2), R&T LC § 1174(d); 29 CFR f �§19530-1 516.5 & 516.6(c); GC §34090 I Department preference-, Ethics Training is 5 years, Statewide Training - ALL COURSE guidelines propose 7 years; RECORDS Calif. Labor Division is required to keep their OSHA records 7 (Attendance Rosters, Outlines 1 Ma years; EEOC/FLSA/ADEA (Age) g' and Materials; includes Ethics Lead Dept. CW-068 2 years 5 years 7 years Yes: When requires 3 years for promotion, Mfr, OD, S Training, Harassment P r Inactive demotion, transfer, selection, or p Prevention Training, Safety discharge; State Law requires 2 Training & Tailgate Training 3 years for personnel actions; 8 Meetings) CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC §6429(c), GC §§12946, 12960, 34090, 53235.2(b); 53237.2(b) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-34 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1s Office of Classification i Records Description Retention l Disposition Comments 1 Reference Record OR File Number _ - - - Image: Destroy- --- Inactive Paper Active Total Media I=Import Vital? (OFR) (in office) (Off -site, Retention Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnings! If "Lead Dept. "is indicated as the OFR, and you are the Lead, then the retention indicated applies the are on finals . !f ou are the OFR refer to your department schedule. If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention pefiods retention resumes after settlement). Only 1 year is required); In the event that the recordings are evidence in any claim filed or any pending litigation, they shall Videos !Drone Videos that be preserved until pending Lead Dept. CW-079 record Regular, Ongoing 1 year 1 year litigation is resolved; Exception: Mag Operations of the City destruction of video after 90 ,days if there is a duplicate in the form of "written minutes" ...of the event that is recorded and the video is "no longer required" GC §34090.6 , 34090.7 Department preference (Courts treat volunteers as employees); Volunteer I Unpaid Intern EEOC/FLSAlADEA (Age) Lead Dept. CW-069 Applications & Agreements - 3 years 3 years Ppr requires 3 years for promotion, Unsuccessful Applicants demotion, transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946, 12960, 34090 Department preference (Courts Volunteer I Unpaid Intern treat volunteers as employees); Applications & Agreements Inactive I Inactive I Mag, EEOC/FLSA/ADEA (Age) Lead Dept. CW-070 (includes emergency contact Separation + Separation + Mfr, OD, S Yes: 1 year requires 3 years for promotion, information) - Successful 3 years 3 years demotion, transfer, selection, or Ppr Applicants discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC §12946, 12960, 34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-35 Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-19 Office of Classification, Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) Imaged & S=Scan i Warnings! If "Lead Dept " is indicated as the OFR, and you are the Lead, then the retention indicated applies (thev are on inals . If you are the OFR, refer to your department schedule. If you are NOT the "Lead Dent " the documents only need to be retained until no longer required (they are copies). Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement). Work Orders / Work Requests Dept. (Department requesting Consistent with operational Requesting CW-071 service retains originals; 3 years 3 years Mag Ppr complaints; CCP §§338 et seq., Service / Work department providing service is 340 et seq., 342, GC §34090 considered a copy) CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-36 ver.25,0 RECORDS RETENTION SCHEDULE: BUILDING Page B-1 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Image: i Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement . BUILDING pullding OpeFate Fire nr paFt., ent candles, ffL 024 R R $efefe Mag R.pF S-1 i eF n�F DepartmentPreference;rG e flE LPG, tentet, i r Event & BD �i4E18B PFeViSler�al-State-regulated- Mag, Yes: Department Preference; GC Building BL-001 Board of Appeals Agendas, Minutes P P Yes (all) Mfr, OD, S I I After QC §34090 et seq. Ppr & OD Building Building Code Modifications / BL-002 P P Mag, Yes (all) Mfr, OD, S I I Yes: After QC Department Preference; GC Alternate Materials and Methods Ppr & OD §34090 et seq. Department Preference - Data is Building BL-003 Building Permit Database P P Yes (all) Mag interrelated; GC §34090, H&S _ §19850 California Building Codes (CBC, While While Building BL-021 CPC, GEC, etc.) Ordinance is Ordinance is Mag, Ppr GC §500226 in Force_ in Force Building BL-004 (Certificates of Occupancy P _ Statewide guidelines propose life P Yes (all) MfraOD, S I I After QC Ppr & OD of building; GC §34090 City Owned Property Files (except Mag, Yes: Building BL-023 Leases and heeds - seen CC-013): P P Mfr, OD, S I I After QC GC §34090 Correspondence, Title Reports, etc. Ppr & OD CITY OF NEWPORT BEACH, CA. 92003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-37 Ver.25.0 RECORDS RETENTION SCHEDULE: BUILDING Page B-2 Office of (Classification Records Description Retention I Disposition Comments I Reference Record OR _ File Number I Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (Off -site, (in office) (Off Retention Vital? Options M=Mfr after or Mfr) S=Scan Imaged & , Warnincisl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation sus end normal retention periods retention resumes after settlement). When No When No Longer Longer Yes (before Department Preference; GC Building BL-018 Complaints, Investigations Required Required Mag, Ppr resolution) §34090 et seq. (minimum 2 (minimum 2 years) ears Building BL-005 Correction Lists, Plan Checks P Mag. Mfr, OD, Ppr S r 11 Yes: Department Preference; GC After QC §34090 & OD P _ When No Yes (until _ _ Entered into Building Permit When No Building BL-007 Inspection Correction Notices Longer Longer Mag, Ppr corrected) Database — Transitory records; Required Required GC §34090 PERMITS: Building Permits & Mag, Yes: Statewide guidelines propose Building BL-008 Building Permit Applications (except P P Yes (all) Mfr, OD, S 1 1 After OC permanent; GC §34090, H&S cancelled permits where no work Ppr & OD §19850 was started) PERMITS: Cancelled Building Permit Applications - Projects that Building BL-009 have NOT been Started (Submittal 2 years 2 years Mag, Ppr Cancelled by applicant; GC Documents I Plans belonging to §34090 applicant - both residential and commercial)_ PERMITS. r!*p!Fed by Time owned documents bet^'h {essidepfiaf apd-sep4FRe CITY OF NEWPORT BEACH, CA. i)2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute wthout prior written permission from GGS (Dog) 337-3516 Revision Adopted: 3/16/2022 3-38 Ver. 25.0 RECORDS RETENTION SCHEDULE: BUILDING Page B-3 Office of __Record Classification Records Description Retention 1 Disposition Comments 1 Reference OR I _ File Number Image: Destroy (OFR) Inactive Paper Active Total Media 1=Import (Off -site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normall performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement . PERMITS: Expired by Time to Gov e Limitations (Abandoned) Building }tie „ „a �++,m� +�~roe ��a„��� Permits - Projects that have NOT feesi Building BL-011 been Started (Submittal Z years - years Magp P r . ell i+�ff to �F a ---Year We* is net eemme„eed witi �al) §34090 Department Preference; Law PLANS: Approved Construction requires for the life of the Documents and Plans - ALL building for commercial and (COMMERCIAL & RESIDENTIAL) common interest dwellings; If (includes soils reports, energy the administrative provisions of calculations, commercial structural p Ma g' Yes: the CBC are adopted, these Building BL-012 plans, commercial structural , f�+,, e — Life of the Yes (all) Mfr, OD, Sit After QC plans are required to be retained calculations, Private NPDES permits, � Structure P r p — & Qp for at least completion + 180 Hazardous Materials Questionnaire, days; Statewide guidelines applications, Flame Retardancy propose 2 years for blueprints & Certificates, Floor Plan Drawings, fire specifications; CBC §§101.2.1, lanes, fuel modification, business for 106.5, 108.4.3.1; H&S§19850, occupancy load, etc.) CFC §§ 104.6 — 104.6.4, GC CANCELLED POIFIThilts, No Ruilding I3L-014 warted lea-Ne =eageF §34090 kre a �Je- der _ Building BL-013 PLANS: CANCELLED or EXPIRED Rebuffed 2 ears W 2 ears Mag, Ppr r.OPall'tMent �, PFefeFenrse ElFaft^ , +�.,.,^,+^^, Permits, No Work Started 1 yea F 4-yeaF fesafds , GC §34090 CITY OF NEWPORT BEACH, CA. @2003-06 Giadwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-39 Ver. 25.0 RECORDS RETENTION SCHEDULE: BUILDING Page B-4 Office of Classification Records Description Retention I Disposition Comments t Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off -site, Total Media Vital? I=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaged & 5=5can Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. !-!OLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods fretention resumes after settlement). Requests & Permissions to Receive Mag, Yes Building BL-022 Copies of Plans (Correspondence to 2 years 2 years Mtr. OD. S i I After QC GC §34090 _ P_pr & OD — and from architects) Underground Storage Tanks (e.g. Mag, Department Preference for soils Building BL-025 removal 1 repair) P P Mfr, OD, SII No contamination; GC §34090; Ppr H&S §2528424(i) CITY OF NEWPORT BEACH, CA. d2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adapted: 3/16/2022 01/ Ver. 22,0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-1 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Destroy Image: Paper (OFR) Active -, Total Media 1=Import (Off -site, (OffinacstiiveteVital? after (in office) Retention Options M=Mfr or Mfr) Imaged OD S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pendingrecords re nests, and/orinvestigations suspend normal retention periods retention resumes after settlement). CITY ATTORNEY Follows Follows Yes: Retention for City CA-001 City i Retention for Yes Mag, Mfr, S After Department Preference; GC Attorney Associated Associated OD, Ppr QC,d §34090 Case Case Department preference; City Clerk maintains original staff reports and resolutions that are City Resolution 1 Resolution 1 Yes: Until Mag, Mfr Yes: � presented to Council: Some CA-002 Code Enforcement 10 years Attorney Payment Payment + 10 Resolution , OD, Ppr S year cases may have grant funding; `= years CFR 2U0 .�. 1; 24 CFR 91.105(h), & 570.502(a), 29 CFR 97.42, OMB Circular A-110 & A-133; GC §34090 Department Preference; Claim must be filed within 1 year, City Lawsuits 1 Litigation (Civil - Resolution + Yes: Until Mag, Mfr, Yes: lawsuit within 2 years; complaints Attorney CA-003 Contracted) Resolution 10 years 10 years Resolution OD, Ppr S After against peace officers within 5 QC'd years; CCP §§ 337 et seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) Department Preference; Claim must be filed within 1 year, City Lawsuits 1 Litigation (Civil - In- Resolution + Yes: Until Mag, Mfr, Yes: lawsuit within 2 years; complaints Attorney CA-010 House) Resolution 10 years 10 years Resolution OD, Ppr S After against peace officers within 5 Settled years; C C P §§ 337 et seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) CITY OF NEWPORT BEACH, CA, ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-41 Ver. 22.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-2 Office of Record ; Classification OR Records Description Retention 1 Disposition ! Comments 1 Reference File Number - - -- -Image: Destroy Inactive Active Total Paper (OFR) (Off -site, Vital? Media I=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaged S=Scan & C'd? Warnings! if the record is not listed here, refer to the Retention for Cif -ode Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti tion, claims, complaints, audits, pending records requests, and/or invest! ations suspend normal retention periods retention resumes after settlement). Department Preference; City j Lawsuits / Litigation Resolution + Yes: Until iMag, Mfr, Yes: complaints against peace officers Attorney CA-011 iPitchess Motions Resolution 5 years 5 years Resolution OD, Ppr S After within 5 years; CCP §§ 337 et (Criminal - Contracted) Settled seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) Department Preference; City CA-012 Lawsuits / Litigation (Criminal - Resolution ! 5 years Resolution + Yes: Until Mag, Mfr, S Yes: After complaints against peace officers within 5 years; CCP §§ 337 et Attorney In -House) 5 years Resolution OD, Ppr Settled seq.; GC §§ 911.2;-34090, - 34090.6; PC §832.5(b) Department Preference; Always City CA-004 Legal Documents: Settlement P P Mag, Mfr, Yes S No retain original, hard copies of all Attorney !Agreements OD, Ppr settlement agreements; GC §34090 When No When No City CA-005 Legislative Advocacies, Amicus Longer Required Longer Required Mag, Ppr GC §34090 Attorney j griefs, Miscellaneous, etc. (minimum 2 (minimum 2 years) ears - HR / Risk _ -- -- Resolution / Yes: Until Mag, Mfr, ! Yes: Department Preference (copies); Resolution / Manag. CA-006 Liability Claims Settlement 2 Years Settlement + Settlement OD, Ppr S After GC §34090.7 2 ears Settled Attorney CA-007 Potential Claim Files 2 years I Mag, Ppr GC §34090 2 years When No When No City CA-008 Subject / Project Files (Cable TV, Longer I Longer jSome material may be required Attorney I Required j Required Mag, Ppr; Ifor reference, depending upon /etc.) 1 (minimum 21 (minimum 2 (subject; GC §34090 years) ears)j CITY OF NEWPORT BEACH, CA. ©2003 Gladwetl Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-42 Ver. 22.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-3 Office of j Classification Records Description Retention l Disposition Comments I Reference Record OR File Number _ Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off -site, (in office) Vital? Retention Options M=Mfr after OD or Mfr ) Imaged S=Scan C'd? Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. . last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi afions suspend normal retention periods retention resumes after settlement . City CA-013 Summons and Complaints or 2 years 2 years Mag, Ppr GC §34090 Attorney Petition Follows Follows Yes: City 009 Work Product (Notes, etc.) etc) Retention for Retention for Yes: Until Mag, Mfr, S Department Preference; GC After AttorneyCA As Associated Settlement OD, P p r 34090 et se Settled § q' Case Case CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-43 Ver, 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-1 Office of Classification'' Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy (OFR) Active Inactive 1 Total Vital? Media 1=Import Paper after (in office) CD or Mfr Retention Options M=Mfr Imaged & = a QC' ? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). CITY CLERK Brown Act challenges must be Fled within 30 or 90 days of action; Advertising for Boards and City Clerk CC-001 2 Years 2 years Mag, Statute of Limitations on Municipal Commission (vacancies) Ppr Government actions is 3 - 6 months; CCP§337 et seq; GC §§34090, 54960.1(c)(1) Statute of Limitations for mailings Affidavits of Postings 1 Special Mag, Yes: After for annexations, special districts, City Clerk CC-002 2 years Meeting Notices 2 years Mfr, OD, S/ I QC & OD bonds is 60 days; Municipal Ppr Government actions is 3 - 6 months; GC §34090 Yes: 2 years after QC & Agendas and Agenda Packets - City Clerk CC-004 Images on Document Imaging P P Mag, Mfr, OD, S Department Preference; GC I System (City Council 100 Packet) Ppr OD §34090 et seq. CITY OF NEWPORT BEACH, CA. @2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-44 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-2 Office of Record Classification; Records Description OR p Retention l Disposition P on Comments i Reference File Number _ } image: Destroy Active Inactive i Total Media I I=Import Paper after ! (OFR) Vital? (in office) CD or Mfr Retention (Options! M=Mfr Imaged & i = C' Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Agreements & Contracts (ALL, Including Leases) Agreement or Contract, Notices of Completion, 1 etc. Agreement or Contract i !Department Preference; All includes all contractual obligations !infrastructure, Memorandas of (e.g. Specifications and Successful !Understanding, JPAs, & Mutual Proposal / Scope of Work) ! Aid contracts should be 'permanent for emergency Yes: Mag, City Clerk CC-005 Mutual Aid Agreements, Automatic Completion P P Yes: After !preparedness, ; Statute of Before Mfr, OD, S Aid, Joint Power Authorities, Completion Ppr QC & OD limitations is 4 years, 10 years for 'Errors Apartment Rental/Lease & Omissions; land records Agreements, Memorandas of are permanent by law, CCP Understanding §§337. 337.1(a), 337.15, 343; GC §34090, Contractor has retention 'Insurance Certificates and renewals are j requirements in 48 CFR 4.703 the responsibility of the Lead Department - see CW-040, Insurance Certificates Covers E&O Statute of Limitations (insurance certificates are filed Agreements &Contracts City Clerk CC-067 Completion 10 years Completion Yes: Mag, with agreement); Published Audit Yes: After Before Mfr, OD, S/I es (Standards=4-7 years; Statute of (Franchises) + 10 years & OD Completion. Ppr (Limitations: Contracts & Spec's=4 )years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-45 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-3 Office of (Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Ima e• Destroy (OFR) Active Inactive I Total Media I=Im ort Vital? Paper after, (in office) CD or Mfr Retention Options M Mfr Imaged & S=Scan C. Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Assessment District Formation City Clerk CC-061 (Diagrams of District Boundaries, P P Yes Mf ,, OD, S / I No Department Preference; GC Recorded Documents, Copies of Ppr §34090 Resolutions, etc.) Mag' Yes: After City Clerk CC-006 Annexations / LAFCO P P Yes Mfr, OD, S / I QC Land Records; GC §34090 Ppr Audio Recordings of All Boards and Department Preference; State law City Clerk CC-007 Commission and Committees 1 year 1 year Mag only requires for 30 days: Council ,Except Planning Commission and Policy A-1 allows destruction after (City Council 1 year; GC §54953.5(b) - Department Preference; State law City Clerk Audio & Video Recordings of CC-060 P P Mag only requires for 30 days; Council Planning Commission ONLY Policy A-2 required record be kept as permanent; GC §54953.5(b) Statute of Limitations: Public Boards, Commissions & Duration of Duration of official misconduct is discovery of City Clerk CC-008 Committees - APPLICATIONS: Office + 4 Office + 4 Mag, joffense + 4 years, Statewide APPOINTED includes Oaths of Ppr guidelines propose Appointment + Office years years 5 years;,GC §34090; PC §§801.5, 1 803c Commissions & _ - City Clerk ,Boards, CC-009 'Committees - APPLICATIONS: 2 years 2 years Mag Ppr' GC §34090 et seq. UNSUCCESSFUL City preference (City staff do not Duration of Duration of Iopen all correspondence, Office Office Mag, therefore Council Members and City Clerk CC-062 City Council Correspondence Minimum 2 Minimum 2 Ppr Mayor may have the City's originals); Return all originals to years years the City Clerk for disposal; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-46 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of iClassification, Records Description Retention ! Disposition Comments ! Reference Record OR File Number _ Image: ' Destroy Active Inactive ! Total Media I=Import 1 Paper after (OFR) (in office) CD or Mfr Retention Vital? Options M=Mfr •. Imaged & _ C, Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by Me folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement). City Clerk CC-011 Chronological History of Mayor and 2 years P P Mag' Historical Value; GC §34090 Council Ppr City Clerk determines historical significance; records can address City Clerk CC-012 City History, Historical Records P P i Mag, Mfr, OD, a variety of subjects and media. S No Some media (e.g. audio and video (e.g. Incorporation, City Seal, etc.) Ppr tape) may be limited because of ithe media's life expectancy; GC §34090 (City Land and Property (Recorded ! Mag, City Clerk CC-013 Documents) 2 years P P Yes Mfr, OD, S ! I No GC §34090 I Ppr City Clerk CC-015 Claims Log ! Database Indefinite Ppr' GC §34090 et seq. - Indefinite -- — When ' Mag' Yes: After Department preference; GC City Clerk CC-016 Committee Rosters Superseded P P Mfr, OD, S ! I i � QC Ppr I§34090 Department Preference; Video City Clerk CC-017 Council Meetings; Video P P Mag, tapes of meetings are only Streaming OD required for 90 days; GC 34090.7, 60201 Economic Interest Filings (FPPC Mag, ,Statements filed electronically are j required for 10 years; City City Clerk CC-069 700 Series Forms -Statement of 10 years 10 years Mfr, OD, Yes After , S ! I :& ( copies only; original Economic Interests): Ppr ,maintains QC OD statements are filed with FPPC; ELECTRONICALLY FILED jGC §81009(f)( ); GC §84615 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-4 7 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-5 Office of 'Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number Image: iDestroy (OFR) Active Inactive 1 Total Vital? Media 1=Import Paper after (in office) CD or Mfr Retention Options M=Mfr Imaged & — C, Warnin s! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement . Economic Interest Filings (FPPC 700 Series Forms - Statement of Mag' Economic Interests): City Clerk CC-018 2 years 5 years 7 years Mfr, O D,: S After 2 City maintains original statements; DESIGNATED EMPLOYEES pr years GC §81009(e)&(g) (specified in the City's Conflict of Interest code)_ Economic Interest Filings FPPC 700 Series Forms - Statement of Economic Interests): PUBLIC Department Preference; City OFFICIALS 187200 Filers (elected City Clerk CC-019 & not elected. Includes City Term + 4 Term + 4 Mfr, OD, S After 2 maintains copies only; original Council Members, Planning years years Ppr years statements are filed with FPPC; GC §81009(f)&(g); GC §87200 Commission Members, City Manager, City Treasurer & City Attorney) Minimum 2 Enterprise System Catalogue City Clerk CC-068 Minimum 2 Mag Department preference; GC (posted on line) years ears Mag, §34090 Yes: After Ethics Training Certificates for City City Clerk CC-053 Council, Commissions and Department Heads 2 years 3 years 5 years Mfr, OD, Ppr S OC GC §§34090, 53235.2(b) City Clerk CC-054 FPPC Form 801 (Gift to Agency 7 years 7 years Mfr, OD, S Yes: After 2 Must post on website; GC Report) Ppr years §81009(e) FPPC Form 802 (Tickets Provided r Yes: After 2 Must post on website for 4 years; City Clerk CC-055 by Agency Report) 7 years 7 years Mf OD, S years ;GC §81009(e) Ppr CC-063 FPPC Form 803 (Behested 7 years City Clerk 7 ears y I Mf r OD, S Yes: After 2 FPPC Regulation 18734(c); GC Payment Report) Ppr years §81009e CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-48 Ver.43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of Classification Records Description Retention I Disposition Comments Reference Record OR File Number Image: Destroy _ (OFR) Active Inactive I Total Vital? Media 1=Import Paper after (in office) CD or Mfr Retention Options M=Mfr Imaged & S=S a C' Warnin s? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints,_ audits, gending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). City Clerk CC-064 FPPC Form 804 (Agency Report of P P Mag Mfr. OD, S Yes: After 2 FPPC Regulation 18734(c); GC New Positions) —Ppr years §81009e P FPPC Form 805 (Agency Report of City Clerk CC-065 P Mag' Mfr, OD, S Yes: After 2 t 1 FPPC Regulation 18734; GC Consultants) Ppr years §34090; GC §81009(e) FPPC Form 806 (Agency Report of Mag, Yes: After 2 Must post on website-, 2 CCR City Clerk CC-057 Public Official Appointments) 7 years 7 years Mfr, OD, S years 8702.5(b)(3); GC §34090; GC Ppr 81009 e ELECTIONS - CONSOLIDATED Campaign Filings (FPPC 400 Candidates without committees Series Farms, Form 501}: are not required to file their UNSUCCESSFUL CANDIDATES Mfr, OD, After 2 statements ,reports or copies City Clerk CC-021 Includes Unsuccessful Candidates 10 years P P Ppr S years online or electronically; Paper Without Committees that Don't File must be retained for at least 2years; !Electronically GC §81009(b)&(g); GC §84615 — lLampaign uisciosore 5raremenis i(FPPC 400 Series Forms, 501 Form): UNSUCCESSFUL. Mag, Yes: After Statements filed electronically are City Clerk CC 071 CANDIDATES, 10 years 10 years Mfr, OD S J I QC e required for 10 years; GC ELECTRONICALLY FILED - WITH Ppr §81009(b)&(g); GC §84615 or WITHOUT Committees Campaign Filings (FPPC 400 Series Forms): OTHER Mfr 00, After 'Department preference; Paper City Clerk CC-022 COMMITTEES (PAC$ - not 10 years P P Ppr S years must be retained for at least 2 ieandidate-controlied) - years; GC §§81009(c)&(g); 84615 Campaign Filings (FPPC 400 Series Forms): THOSE NOT Mfr, OD, After 2 Department preference; Paper City Clerk � CC-023 REQUIRED TO FILE ORIGINAL 10 years P P Ppr S years must be retained for at least 2 WITH CITY CLERK co ies years; GC §§81009{f}&(g); 84615 CITY OF NEWPORT BEACH, CA. M003-06 Gladwell Governmental Services, Inc. - all rights reserved Do no[ duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-49 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-7 Office of Classification Records Description Retention 1 Disposition Comments ! Reference Record OR File Number I Image: Destroy Active Inactive ! Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention Vital? iOptions! M=Mfr Imaged & $=Scan C, Warnln s! !f fhe record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, com Taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Campaign Disclosure Statements I Data that has been maintained for (FPPC 400 Series Forms, 501 at least 10 years may then be City Clerk CC-024 Form): SUCCESSFUL 10 years P P Mfr, OD,; Yes: After 2 archived in a secure format; Paper S CANDIDATES (Elected Officials) Ppr years must be retained for at least 2 All Successful, whether filed years; GC §81009(b)&(g); GC electronically or not ----- - - --- - §84615(i) - KING Elections - GENERAL WORj or ADMINISTRATION Files (Correspondence, Applications for Mag, Used for a model for the next City Clerk CC-025 ivacancies on the Council, Precinct 2 years 2 years Ppr election, GC §34090 Maps, County Election Services, Candidate Statements to be printed'( ':in the Sample Ballot, etc.) - - Elections - HISTORICAL File (Sample ballot, Oaths of Office, Mag, City Clerk CC-026 Certificate of Elections, copies of 4 years P P Retained for Historical Value, GC (Mfr, OD, S No Resolutions - calling the election, §34090 Ppr canvass, etc., election summary) Department Preference; Statewide guidelines proposes 4 years for Candidate File: Nomination Papers, Term of Term of successful candidates, 2 years for Mag, City Clerk CC-027 Candidate Statements, etc. - Office + 4 Office + 4 Mfr, OD, ;unsuccessful; CA law states term SUCCESSFUL CANDIDATES years years Ppr of office and 4 years after the expiration of term and does not delineate between the two; EC §17100 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-50 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-8 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Image Destroy Active Inactive 1 Total Media 1=Import Paper after (OFR) (in office) CD or Mfr Retention Vital? Options M=Mfr Imaged & 5=5 n QC' ? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Statewide guidelines proposes 4 years for successful candidates, 2 Candidate File: Nomination Papers, Mag, years for unsuccessful; CA law Election + 4 City Clerk CC-028 Candidate Statements, etc. - Election + 4 Mfr, OD, states term of office and 4 years UNSUCCESSFUL CANDIDATES Years years Ppr after the expiration of term and does not delineate between the _ two_;EC §17100 Results + 8 Results + 8 months or months or Final Final Not accessible to the public; The 8 Examination Examination month retention applies after Elections - Petitions (Initiative, if No if Na election results, or final City Clerk CC-029 Recall or Referendum) Election + 1 Election + 1 Ppr examination if no election, unless year after year after there is a legal or FPPC petition petition proceeding. EC §§17200(b)(3), examination examination 17400 if petition is if petition is insufficient insufficient ELECTIONS - STAND-ALONE use in conjunction with Consolidated elections ... records series are not repeated) Elections - Vote -by -Mail City Clerk CC-030 Applications, Roster of Absentee 6 mo. 6 mo. Ppr EC §17505 Applications 6 mo. 6 ma. Ppr City Clerk CC-031 Elections - Vote -by -Mail EC §17302 Identification Envelopes _ 2 years Ppr City Clerk CC-032 Elections - Assessment District 2 years GC §53753(e)(2) Ballots - Prop. 218 proceedings_ Elections - Ballots - After Election 6 mo, 6 mo. Ppr City Clerk CC-033 EC §17302 Elections - Ballots - After Recount 6 mo. 6 mo. Ppr City Clerk CC_-034 EC §17306 City Clerk CC-035 Elections - Challenged & Assisted 6 ma. 6 mo. Ppr If uncontested, EC §17304 Voters List CITY OF NEWPORT BEACH, CA. p2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-51 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-9 Office of ClassificationRecords Description Retention I Disposition Comments l Reference Record ! OR File Number Image: Destroy _ Active Inactive I Total ? Media I=Import Paper after (OFR) vital? (in office] CD or Mfr Retention Options M=Mfr Imaged & $=Scan QC'd? Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g, last document t 2 years), since destruction is normal! performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records re oasts, and/or investi ations suspend normal retention periods retention resumes after settlement). City Clerk CC-036 I Elections - inspector Receipts for Ballots 6 mo, 6 mo. Ppr EC 17302, 17306 _ CC-037 Elections -Precinct Officer 6 mo. Ppr City Clerk 6 mo. EC §17503 Appointments Mag, City Clerk CC-038 Elections - Roster of Voters 5 years 5 years Mfr, OD, EC §17300 Ppr EC §17304 City Clerk CC-039 Elections - Tally Sheets 6 mo. 6 mo. Ppr Elections - Voter Index Copies City Clerk CC-040 used as the Voting Record at 6 ma. 6 mo. Ppr EC §17304 Polling Places CC-041 Elections - Voter Index Original 5 ears Ppr City Clerk 5 Vears EC §17001 End of Elections Section Mag, f City Clerk CC-042 Minutes: City Council 10 years P P Yes (all) Mfr, OD, S No GC §34090 Ppr Municipal Code Administration, When No Mag' Preliminary drafts not retained in When No City Clerk CC-043 Distribution, etc. Longer Longer Ppr the ordinary course of business; Required Re aired GC § 34090 P No City Clerk Municipal Code and History File CC-044 P Mag, Mfr, OD, S GC §34090 (always retain 1 supplement) Official Records / Recorded Ppr Documents: Abandonments, Mag, City Clerk CC-045 Covenants Deeds Deed 10 years P P Yes (all) Mfr, OD, S No GC §34090 Restrictions Easements, Ppr Entitlements, Vacations, etc. CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, tnc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-52 Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-10 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy (OFR) Active Inactive I Total Media I=Import Paper after Vital? (in office) CD or Mfr Retention Options M=Mfr Imaged & — C' Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or invest! ations suspend normal retention periods retention resumes after settlement). Mag, City Clerk CC-046 Ordinances P P Yes (all) Mfr, OD, S No GC §34090 et. seq. Ppr Petitions (submitted to Council on any subject - Dog Parks, Speed City Clerk CC-048 Humps, etc.) 1 year 1 year Ppr Law requires 1 year for petitions; GC §50115 Also see Elections for Initiative, Recall or Referendum) City Clerk CC-059 Proclamations (City -issued) 2 years 2 years Ppr' GC §34090 Statute of Limitations for mailings Proof of Publication (City Clerk) Mag, for annexations, special districts, City Clerk CC-049 (Affidavits of Publication and 2 years 2 years Mfr, OD, S / I Yes: After ;!bonds is 60 days; Municipal QC & OD ;Government actions is 3 - 6 Posting, Ordinance Summaries) Ppr ,months; CCP §§337 et seq, 349.4; --- -- --- UGC §34090 — P Records Destruction Lists I City Clerk CC-050 10 years P Mag' IMfrP,P D, Yes: After !Department Preference; GC S Certificates of Records Destruction QC j§34090 et. seq. I P City Clerk CC-051 Records Retention Schedules 10 years P Mag, !Mfr, OD, Yes: After 1 S §34090 et. seq. Ppr QC iGC Redistricting Web Page I Council City Clerk CC-072 District Boundary Web Page (Map, 10 years 10 years Mag' !EC §21608(g); GC §34090 Redistricting Process, Agendas, Ppr ,Calendars, Notice, etc.) CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-53 Ver• 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-11 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR _ File Number Image: ' Destroy (OFR) Active Inactive 1 Vital? Media 1=Import Paper after (in office) GD or Mfr[E] Optlons� M=Mfr Imaged & — C'd Warnings! If the record is not listed here, refer to the Retention for Cit -14<de Standards Retentions begin when the act is com toted, and im I a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). Magi City Cierk CC-052 Resolutions - City Council P P Yes (all) Mfr, OD, S No GC §34090 et. seq. Ppr 2 years Secretary of State Statement of City Clerk CC-070 2 years Mag. GC §34090 Facts 1 Registry of Public Agencies Ppr UNALTERABLE MEDIA. Refer to Refer to For legal compliance for IMMUTABLE CLOUD BACKUP Retention Retention Trustworthy Electronic Records WORM 1 DVD-r 1 CD-r 1 Blue Ray-R dAther Period of (when the electronic record serves Period of City Clerk CC 466 or other unalterable media that &up Original OD the official record); must o Original does not permit additions, Record Record stored stored in a "safe and separate deletions, or changes p R location"; GC 34090, 12168.7, EVC 1550, CCR 22620 et seq. CITY OF NEWPORT BEACH, CA. D2003-06 Gladwell Governmental Services, Inc, -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 6/2022 3-54 Ver. 16.1 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of Classification Records Description Retention I Disposition Comments ! Reference Record OR File Number Image: Destroy Inactive Active Total Media i=Import Paper afters (OFR) Vital? (in office) (Off -site, Retention Options M=Mfr Imaged & 1 OD or Mfr) S=Scan QC'd? I Warnings! If the record is not listed here, refer to the Retention for City- ' Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). CITY MANAGER I ADMINISTRATION CM-001 (See Mfr, OD, S 1 I Yes Department Preference; GC City Clerk CC-006) Annexations P P §34090,7 Ppr When No When No Mag, Preliminary Drafts, or the Content City When No CM-002 Manager Annexations: Working Files Longer Longer Longer Mfr, OD, S 1 I Yes is not substantive; GC §34090 Required Required Required ppr Department preference to cover statute of limitations for errors & omissions; Published Audit City When No Business Improvement Districts Completion + Mag, Yes: After Standards=4-7 years; Statute of Manager CM-016 (BIDS) Project Files Longer 10 years 10 years Mfr. OD, S l I QC Limitations: Contracts & Spec's=4 Required Ppr years, Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 When No When No City Economic Incentives 1 Business Longer Longer Department Preference; GC Manager CM-015 Development (Auto Dealer Sales Required - Required - Mag, Ppr §34090: NBMC secs. Tax Incentives, etc.) Minimum 2 Minimum 2 14.17.005(F) and 21.48.025(C)(5) years years Lobbyist Reporting 1 Authorization 2 years 7 years Mag' Mfrr,,pOD, S Yes: After City CM-004 5 years GC §81009(e) and (g) Manager (FPPC Form 6351602) 2 years When No When No City Longer Longer Mag, Department preference; GC Manager CM-005 Media Releases 1 Mailers Required - Required - Mfr, OD, §34090 Minimum 2 Minimum 2 Ppr years years CITY OF NEWPORT BEACH, CA ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted3/16/2022 3-55 Ver. 16.1 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-2 Office of iClassification Records Description Retention I Disposition Comments l Reference Record OR File Number - -- i Inactive Image: Destroy (OFR) Active (Off -site, Total Media Vital? I=Import Paper after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan QC'd? Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a lull file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement). When No City Longer Yes: While Manager CM-007 Projects & Issues Required - ERequired Active Mag, Ppr GC §34090 Minimum 2 Issues years Prospects !Business Retention ! When No When No City CM-017 Recruitment Files that do not result Longer Required - Longer Required - Mag, Ppr GC §34090 Manager in a project (Issues and/or projects Minimum 2 Minimum 2 will vary over time - e.g. Hotels, etc.) years ears { City CM-018 Redevelopment Statement of 2 years P P Mag' Mfr, D, Yes: After S ! I Department Preference; meets Manager Indebtedness Pp 1 year auditing standards; GC §34090 When No Longer City CM-008 Speeches (Historically Significant, When No Longer Mag, Mfr, OD, Notes, drafts, or transitory Manager see LS-001) Required Required Ppr records; GC §34090 et seq. When No When No Video Recordings - Government Longer Longer Department preference; Not city City CM-009 Programming (e.g. City Scenes, Required - Required - Mag I records (Video tapes of meetings Manager POG, etc.) Minimum 2 Minimum 2 are only required for 90 days); GC §34090 et seq. years years City Video Recordings - Non -City When No t When No Manager CM-011 Business, community programming. Longer Longer Mag Non -records; GC §34090 et seq. Required Required When No When No Video Recordings - Not Historic ! Longer Longer Department Preference; Video City CM-010 Special Events (Historically Required - Required - Mag tapes of meetings are only Manager !Significant, see LS-001) Minimum 2 Minimum 2 required for 90 days; GC §34090.7 years years CITY OF NEWPORT BEACH, CA 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-56 Ver. 13.0 RECORDS RETENTION SCHEDULE: CODE ENFORCEMENT Page CE-1 Office of j Classification Records Description Record OR Retention 1 Disposition Comments 1 Reference Fite Number 1 Inactive Image: Destroy (OFR) Active (Off -site, Total Vita!? Media 1=lrnport Paper after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan QC'd? Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder fe,g. last document + 2 years), since destruction is normally performed by file folder. I HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement). CODE ENFORCEMENT Case is open until satisfactorily Code Code Enforcement Case Files: 2 years after Mag, resolved (some cases are not Enforce. CE-001 V. olations r VVarnings , Coue Satisfactorily P P Yes: Until Mfr, OD, S Yes: 1 resolved); City Clerk maintains Or Fire Enforcement / Citations Resolved Resolution Ppr year original staff reports and resolutions that are presented to Council; GC §34090 Code Resolution 1 Mag' Code Enforcement Case Files - Enforce. CE-002 Payment + 3 P P Yes: Until Mfr, OD, 5 Yes: 1 1DepartmenI Preference; CFC Illegal Units or Liens Or Fire g - — - - years f Resolution -- Ppr year§104.3.4, GC §34090 bade E-Rfoprp GF= 09 to HaFbO 6 � Depa!41i+eF r- 11G 5C;-G ` felat 9a Fare GAS year6 s §34()9 CITY OF NEWPORT BEACH, CA Q2003 Gladwell Governmental Services Inc. - all rights reserved Do not duplicate or dstnbute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-57 Ver.35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-1 Office of Classification Records Description Retention 1 Disposition Comments I Reference Record OR File Number _ _ T Destroy In Image: Paper (OFR) Active (Off site, (O Total Vital? Media 1=Import after (in office] or Mfr) Retention Options M=Mfr Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years). since destruction is normal!y performed by file folder. MOLDS. Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement . ACCOUNTING FTC Reg's rely on "self - enforcement"; IRS is 4 years after Fin. 1 Arbitrage Rebate Calculation ((related tax is due or paid; Supporting Accounting FIN-002 to bonds and tax exempt 2 years 3 years 5 vears Mag, Ppr documentation for Investments of (Operating debt) Funds; meets auditing standards; IRS Reg §31.6001- 1(e)(2), R&T §19530, GC §3409G Department Preference; IRS is 4 years after tax is due or paid; Fin. 1 Assessment District I Special Termination Termination Supporting documentation for Accounting FIN-033 District Payments & Reports 2 years of District + of District + Mag, Ppr Investments of Operating Funds; 5 years 5 years meets auditing standards; IRS Reg §31.6001-1(e)(2), R&T §19530, GC §34090 Audit Management Letters and Fin. 1 Mag, Mfr, Yes' Department Preference; GC Accounting FIN-003 other formal letters related to 10 years 10 years OD, Ppr S 1 I After 1 §34090 audit communication _ year _ Fin. 1 Yes Until Department Preference (meets Revenue FIN-076 Audit Work Papers 5 years 5 years Paid Mag. Ppr municipal government auditing standards) GC §34090 CITY OF NEWPORT BEACH, CA. 92003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-58 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number 1 Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods Bond Transcripts (issuing Fully Fin. ! documents) See Bank Fully Yes: Until Accounting FIN-005 Statements for statement Defeased 10 years IDefeased+10year Maturity Ppr 1 retention. 10 years ;Comprehensive Annual Financial Accounting ng FIN-007 Reports and related Audit P Opinions Fin. ! Accounting FIN-010 Compliance Reports 2 years 3 years Fin. ! Developer Trust Accounts ! Close + 5 Accounting FIN-077 Deposit Accounts / Demolition years Deposit Accounts Fin. ! FIN-011 Escheat (Unclaimed money / 2 years 3 years Accounting uncashed checks) Fin. / Financial Services Database Indefinite Accounting FIN-012 .(Accounts Payable and Payroll (minimum Check Registers) 10 years) Mag, Mfr, P Sit OD, Ppr 5 years Mag, Mfr, Sit OD, Ppr Close + 5 Yes: Until Mag, Ppr years Paid 5 years Mag, Ppr (minimum Yes Mag 10 ears CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 resumes after settlement). 7 Department Preference; Statute of Limitations for bonds, mortgages, trust deeds, notes or debentures is 6 years; Bonds issued by local governments are 10 years; There are specific requirements for disposal of unused bonds; CCP §§336 et seq., 337.5(a); 26 CFR 1.6001-1(e): GC §43900 et seq. Yes: After 1 Copies; GC §34090.7 year Yes: After 1 Meets auditing standards; GC §34090 year Department Preference (meets municipal government auditing standards) GC §34090 Department preference; All tangible property held by government agencies escheats after 3 years; Statute of Limitations is 1 year for seized property; Meets auditing requirements; CCP §§340(d), 1519; GC §34090 Data Fields ! Records are interrelated; GC §34090 Revision Adopted: 3/16/2022 3-59 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-3 Office of Classification Records Description Retention l Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fixed Assets - Annual Listing Fin. / Additions & Deletions / Working Department Preference Accounting FIN-013 Drafts & Notes for Land and 2 years 3 years 5 years Mag, Ppr (preliminary drafts); Meets auditing Structures, Infrastructure and standards; GC §34090 iCapital Fin. / Fixed Ass is -- Annual Listing Mag, Mfr Yes: Includes permanent assets; GC Accounting FIN-014 Source Documents for Land and P P OD, Ppr , S / I After 1 §34090 Structures _ year I General Ledger: Final year-end Fin. / Includes Balance Sheets, Mag, Mfr, Yes: Published articles show 3 -10 Accounting' FIN-015 Revenue Ledger and Expenditure 2 years 8 years 10 years OD, Ppr S / I After 1 years; Other Cities have adopted 2 Ledger year years - 20 years; GC §34090 Meets auditing standards; Published articles show disposal + Fin. / FIN-063 Investment Advisor Reports 1 5 years 5 years Yes: Until Mag, Mfr, S / I Yes: After 1 7 years for security brokerage 'slips: statewide guidelines Accounting Trade Tickets Paid OD, Ppr year propose permanent; FTC Reg's rely on "self -enforcement"; GC§§ 34090, 43900 Department Preference; Statute of Fin. / FIN-017 Journal Entries (Binders) 3 years 7 years 10 years Mag, Mfr, Sit Yes: After 1 Limitations is 4 years; statewide Accounting OD, Ppr guidelines propose Audit + 5 year years; GC §34090, CCP § 337 Indefinite Indefinite fini Yes: Department Preference; Statute of Fin. / FIN-080 Journal Entries (Tyler Munis) (minimum (minimum , MagMfr, S / I After QC Limitations is 4 years; statewide Accountin g 10 years) 10 years) OD, Ppr & OD guidelines propose Audit + 5 i years; GC §34090, CCP § 337 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-60 Ver.35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-4 Office of Classification• Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office ) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan 'Imaged & Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fin. I When No Whe:No Accounting FIN-048 Property Tax Files Longer Lon Mag, Ppr Non -records; GC §34090 Required Re u State Reports: State Controllers Report / Local Government Compensation Report, Property Management Plan, Obligation Payment Schedules, Due Diligence Reviews, Gas Tax, MOE (Maintenance of Effort) Yes: Fin. / Report, Fixed Charge Special Mag, Mfr, Meets auditing standards; GC Accounting FIN-020 Assessment Report, Public Self 2 years 3 years 5 years OD, Ppr S / I Ay §34090 Insurer Report (SIP Report); art Housing Successor Agency Housing Assets Fund Report (SB 341), Street Report, AQMD Annual Report, Maintenance of Effort (MOE) Calculations, Audits, and other compliance reports Final Final Fin. / FIN-082 State -Mandated Cost Claims / SB Disposition Disposition Mag, Ppr Department preference; GC Accounting 90 Claims / Reimbursable Claims of Claim + 2 of Claim+ 2 §34090 ears years CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-61 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-5 Office of Classification Records Description Retention l Disposition Comments l Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options j M=Mfr after OD or Mfr) S=Scan Imaged &: Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention eriods retention resumes after settlement). 'Meets auditing standards; Published articles show disposal + Fin. / Yellow Book Data (downloaded Yes: Until Mag, Mfr, Yes: 7 years for security brokerage FIN-064 5 years iI Accounting bank information) 5 years Paid OD, Ppr S / I After 1 slips; statewide guidelines i year propose permanent; FTC Reg's rely on "self -enforcement"; GC§§ 34090, 43900 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-62 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-6 Office of IC lass ification Records Description Retention t Disposition Comments l Reference L- OR I .—Record _ _ _ File Number I Image: Destroy Active Inactive Total Media Wmport Paper (OFR) (in office) (Off -site, OD Mfr) Vital? Retention Options M=Mfr after Imaged &I or S=Scan Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS. Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations sus and normal retention periods retention resumes after settlement). ACCOUNTING t PAYROLL Employee Benefit Plans, DE-6, IRS: 4 years after tax is due or DE-7, DE-9 DE-43, W-3. & DE- paid (longer for auditing & Fin. 1 166, 941 Forms, IRS 5500 Mag, Mfr, Yes: contractor delinquency); Ca. FTB: Payroll FIN-022 Forms PERS 1 FICA &Medicare 2 Years 3 years 5years OD Ppr S l I After 1 3 years; Published articles show Adjustments - Quarterly Payroll year permanent; ; IRS Reg §31.6001- Tax Returns 1 OASDI ' 1(e)(2), 26 CFR §1.6001-1, R&T 119530, GC §34090 Fay. 1 Deduction Registers, Leave F3 Department Preference; GC Payroll FIN-023 Balances, Organization Charge years 3 years Mag, Ppr Summaries Fin. 1 Indefinite _ Data is interrelated; GC §34090 et Indefinite Payroll FIN-024 Payroll Database (minimum (minimum Yes Mag 5eq' 10 years) 10 ears Retained to match other auditing periods; IRS Regulation 31-6001-1 Fin. 1 Payroll File (Changes to W-4, Separation + separation + four years after the due date of Payroll FIN-025 garnishments, deduction forms, 5 years 5 years Mag, Ppr such tax for the return period to !etc.) which the records relate, or the date such tax is paid, whichever is the later; GC §34090 Yes: Department Preference to facilitate Payroll Journal 1 Register (Detail Fin./ IMag, FIN-026 Year-end, or periodic if no detail 2 years 28 years 30 years Mfr, S l I After 1 PERS buy-back for past Payroll y OD, Ppr employees; consistent with ,year-end) year auditing standards; GC §34090 Fin 1 Payroll Journal 1 Registers When No I Considered a draft or transitory When No Yes: Payroll FIN-027 (Periodic reports, when a detail Longer Longer Ma OD, g' Mfr, Ppr S 1 I After 1 record (detail year-end is ear -end report is retained y p J Required q Re wired i year (retained); GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-63 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-7 Office of Classification Records Description Retention ! Disposition Comments l Reference Record OR _ File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement . PERS Reports / Annual Valuation Yes: Fin. / Reports, Actuarial Valuation FIN-028 3 years 3 years Mag, OD, S / I After Department Preference (Non - Payroll ,Reports, Annual Employer Mfr, Ppr records); GC §34090 Statements yearl IRS: 4 yrs after tax is due or paid; Fin. / W-2's (includes Performers State Ca. FTB: 3 years; Articles show 7 FIN-029 5 years 5 years Mag, Ppr ,years; IRS Reg §31.6001-1(e)(2), Payroll Withholding) R&T §19530; 29CFR 516.5 - 516.6, 29USC 436, GC 534090 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-64 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-8 Office of IClassification Records Description Retention !Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media I=import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods retention resumes after settlement). OFFICE OF MANAGEMENT ✓ii BUDGET OMB Department Preference; IRS: 4 years after tax is due or paid 1099's, 1096's DE542 (California Yes: (longer for auditing & contractor Fin. 1 OMB � FIN-030 Report of Independent 2 years 3 years 5 years Mag, Mfr, 5 1 I After 1 delinquency); Ca. FTB: 3 years; Contractors � OD, Ppr year Published articles show permanent; ; IRS Reg §31.6001- 1(e)(2), R&T §19530. GC §34090; Accounts Payable I Vendor Files j 29 USC 436 (All Records and Reports - Department Preference to cover Includes Invoices. Copy of Yes; Until Mag, Mfr, Yes. grant auditing requirements; Fin. I OMB FIN-031 Checks 1 Warrants, Travel 2 years 8 years 10 years Paid OD, Ppr S / I After 1 Statewide guidelines propose Expense Reimbursements, Postage, etc.) year audit + 4 years; Published articles show 3 - 7 years; GC §34090 — — 5 years Fin. !OMB FIN-006 Budget Amendments 2 years 3 years Mag, Mfr, S / I Yes' After 1 Meets auditing standards: GC OD, Ppr p §34090 i year When No When No Budget Hearing and/or Review Longer Longer Fin. I OMB FIN-059 (Development Documents & Required Required Mag, Ppr Drafts - Department Preference: Preliminary Budget) (minimum 2 (minimum 2 GC §34090.7 years) ears Fin. 1 OMB Budget Transfer Requests & FIN-060 2 years 3 years 5 years Yes' Mag, Mfr, Current S 11 Yes After 24-1auditing Department Preference; Meets Journals OD, Ppr Fiscal Yearyears standards; GC §34090 Yes- Yes: ' Fin. 1 OMB FIN-051 Budgets - Adopted P P Mag, Mfr, Current $1 I After 1 Must be filed with County Auditor; OD, Ppr Fiscal Year year GC §34090, 40802, 53901 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-65 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-9 Office of Classifications Records Description ' Retention f Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vita11 Options M=Mfr after OD or Mfr) S=Scan Imaged & Wi Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or invests gations suspend normal retention periods retention resumes after settlement). Yes: Department Preference; Statute of Checks / Warrants - Canceled Mag, Mfr, Limitations is 4 years; statewide Fin. / OMB FIN-008 (Cashed) 2 years 8 years 10 years OD Ppr S / I After 1 guidelines propose Audit + 5 year years; GC §34090, CCP § 337 Yes: Meets auditing standards; Statute Fin. I OMB FIN-009 Checks /Warrants -Voided 2 years 3 years 5 years Mag, Mfr, S / I After 1 of Limitations is 4 years; statewide OD, Ppr guidelines propose Audit + 5 year years; GC §34090, CCP § 337 Department Preference; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 Expiration of Expiration of Mag, Mfr, Yes: years from expenditure report or Fin. / OMB FIN-016 Grant Reports Grant + 2 8 years Grant + 10 ODPpr , S / I After 1 final payment of grantee or years years year subgrantee; HUD requires 3 years; statewide guidelines propose 4 years; 2 CFR 200.334: 24 CFR 91.105(h), & 570.502(a), 29 CFR 97.42; ;OMB Circular A-110 & A- 133; GC §34090 Department preference; Longest Statute of Limitations is 10 years; Insurance Certificates (for Yes: Before Mag, Mfr,' Yes: Conforms with Agreement Fin. ! OMB FIN-078 Contracts, etc.) 2 years 9 years 11 years Completion OD, Ppr S/I After 1 Retention (usually filed with year agreement); statewide guidelines ipropose permanent; CCP §337 et seq.; GC §34090 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-66 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-10 Office of Record Classification, OR Records Description Retention l Disposition I Comments 1 Reference File Number Image: Destroy Inactive Active Total Media Paper I=Import (OFR) (Off -site, (in office) Retention Vital? Options I after M=Mfr OD or Mfr ) S=Scan I Imaged & Wamin s! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fin. /OMB FIN-041 Inventory and Warehouse 2 years 2 years Mag, Ppr, GC §34090 Consistent with City-wide guidelines for contracts and agreements; Statewide guidelines Purchase Orders, Procurement & propose completion + 5 years for Contracting Records - Formal and Yes: non -capital improvement contracts Fin. !OMB FIN-049 Informal (RFPs, Specifications, Completion years Completion Yes: Before Mag, Mfr, S After & completion + 4 years for Contracts, Amendments, + 2 years + 10 years Completion OD, Ppr Inactive transportation and concessionaire Successful Bids, Notice of Award, agreements. Statute of RFQs, etc.) I Limitations is 4 years; 10 years for Errors & Omissions; CCP §§337. 337.1(a), 337.15, 343: GC §34090 Fin. I OMB FIN-050 Purchasing - Bidder I Vendor List (Companies that want to receive Superseded Mag, Ppr, Transitory Record used to mail out Superseded RFPs /RFQs) ' requests; GC §34090 et seq. 5 years _ Purchasing Card Backup 2 years 3 years Fin. !OMB FIN-051 Mag, Ppr Meets auditing standards; GC Receipts and Statements §34090 Minimum 7 Fin. I OMB FIN-091 IW-9s Minimum 7 Mag, Ppr City preference; GC §34090 years years CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-67 Ver.35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-11 Office of Classification Records Description, Retention l Disposition Comments 1 Reference Record OR File Number Active Inactive Total Image: Media I=Import _ Destroy Paper (OFR) (Off -site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S-Scan mago Id & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations sus end normal retention periods retention resumes after settlement). REVENUE 'Accounts Receivable I Revenue Includes Taxes - Transient The financial services database is Occupancy Tax (TOT), Marine I maintained for a minimum of 10 Lead FIN-065 iCharter Tax, Solid Waste � 5 years 5 years Yes: Until Mag, Ppr years; the lead department Depart. iFranchise Statements, etc. (All Paid maintains records for the audit source documents are trail; GC §34090 et seq. maintained by the Lead Dept: see City-wide schedule.) 2 years _ _ Fin.1 FIN-066 (Adjudications - Reviews, 2 years Mag, Ppr GC §34090 Revenue Hearings (e.g. Parking Citations) Adjustment Sheets: Customer When No When No Considered transitory records I Fin. ! FIN-067 Issues 1 Concerns l Adjustment Longer Longer Mag, Ppr source records (entered into the Revenue Requests l Adjustments 1 Required ! Required Financial Services database); GC - - §34090 et seq. 2 years Fin, 1 RevenueFIN-032 Armored Truck Manifests 2 years Mag, Ppr f 1GC §34090 Automatic Payment When No _ Preliminary drafts destroyed in When No Fin. 1 FIN-034 Authorizations from Checking ! Longer longer Mag, Ppr I accordance with bank regulations; Revenue Credit Cards (e.g. water Required Required GC §34090 et seq. payments) _ When No Automatic Payment Transmittals When No ! Fin. ! (originals in Daily Cash Revenue FIN-035 from Checking ! Credit Cards Longer Longer Mag, Ppr ,Copies Summaries); GC §34090.7 (e.g. water payments) Required Required CITY OF NEWPORT BEACH, CA. D2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Office of Classification Record OR File Number (OFR) 'ecord is not list whenwhenthe Records Description Retention 1 Disposition To Active Inactive Total (in office) (Off -site, Retention ; OD or Mfr) Vital? Destroy ' Image: Paper Media I=Import after Options M=Mfr Imaged 8 S=Scan Page FIN-12 Comments 1 Reference HOLDS: Liti ation, claims, com faints, audits, endina records requests, and/or investiaations suspend normal retention veriods (retention resumes after settlement). Bank Reconciliations, Bank Statements, Trustee Statements, Fin. / Fiscal Agent Statements, Revenue � FIN-004 Investment Account Statements, 2 years Outstanding Check Lists, Credit Card Statements, and Deposit Slips Fin. / Revenue FIN-036 Building Permit Deposits 2 years _ Fin. / FIN-069 Business License Applications - 5 years Revenue Cancelled Fin. / Revenue FIN-070 Business License Applications P ' Fin.. / I Indefinite ' Revenue FIN-071 Business Licenses (Database) (minimum _ 10 years) Fin. / Revenue FIN-037 Cash Receipt Books 2 years Checks deposited to Bank (City Fin. / FIN-079 scans them for the Bank, rather Follow Bank Revenue than physically taking the checks Instructions to the bank to deposit them.) Fin. / FIN-072 Collection Agency (e.g., returned Assignment Revenue checks assigned to collection) + 7 years 3 years 1 5 years Mag, Ppr 3 years 5 years Mag, Ppr 5 years Ppr P Yes (before Mag, Mfr, S termination) OD, Ppr I Indefinite Yes (before (minimum termination) Mag, Ppr 10 ears 5 years 3 years Mag, Mfr, S / I OD, Ppr Follow Bank Mag, Ppr Instructions Assignment I Yes Mag, Ppr + 7 years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Meets auditing standards; GC §34090 Meets auditing standards; GC §34090 1Meets auditing standards; GC §34090 et seq. Yes: After 1 Department Preference; GC §34090 et seq. year Department preference to match financial services; Data fields are inter -related; GC §34090 et seq. Yes: After 1 Meets auditing standards; GC §34090 year These are bank instruments, and not City records; per bank agreement. Department preference to match the length of time negative credit information remains on a consumer's credit report; GC §34090 Revision Adopted: 3/16/2022 3-69 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-13 Office of Classification: Records Description Retention 1 Disposition Comments l Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper OFR ( ) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fin. / (Meets auditing standards; GC Revenue FIN-038 Daily Cash Summaries 2 years 3 years 5 years Mag, Ppr §34090 Fin. / Department Preference (Lead Revenue FIN-039 Developer Deposit Summaries 2 years 2 years Mag, Ppr Department is OFR for backup); - — GC §34090.7 Closed + 5 Fin. I FIN-040 Imressed Account Los Closed + 5 pgs Mag, Mfr, S / I Meets auditing standards; GC Revenue years years OD, Ppr §34090 Fin. / FIN-042 Logs: Parking Permits, Zone 1, 2 years Mag, Ppr GC §34090 2 years Revenue Zone 2, etc. Medical Necessity Customers _ Fin. / (Emergencies / Shut -offs - No Longer in No Longer in Mag, Yes: Confidential; Department Revenue FIN-083 Customers who must have Effect 2 years Effect + 2 Ppr, Mfr, S After QC preference; GC §60201 !electricityor water for critical years OD I & OD medical equipment) 5 years Fin. / FIN-043 Misc. Receipts - County / State 2 years 3 years Mag, Mfr, S / I Yes: After 1 Meets auditing standards; GC Revenue OD, Ppr §34090 year When No Longer j When No Fin. / I FIN-044 Municipal Services Bill Stubs Longer Ppr Transitory Record; GC §34090 et Revenue _ Required Re uired se q. 1 year Fin. / FIN-045 Parking Citation Payments 1 year Revenue Mag, Ppr Transitory Records; GC §34090.7 Fin. / Revenue FIN-046 Parking Meter Summaries 2 years Mag, Ppr �GC §34090 2 years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-70 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-14 Office of Record Classification OR Records Description Retention 1 Disposition Comments 1 Reference File Number Destroy Inactive Image:Paper (OFR) Active (Off -site, Total Vital? Media 1=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaed & g S=Scan Warnin s! If the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti afions suspend normal retention periods retention resumes after settlement). Permits: Second Hand Fin. / Dealer/Pawnbroker, Going out of Mag, Mfr, Yes: Department Preference; GC Revenue FIN-073 Business, Adult -Oriented, Public 4 years 4 years ' OD, pr P S / I After 1 §34090 et seq. Convenience, Live Entertainment,' year Sound Amplification, Film Fin. / Statewide guidelines propose Revenue FIN-074 Receipt Books (turn-offs) 2 years 3 years 5 years Mag, Ppr audit + 4 years; Published articles show 3 - 7 years; 90 Fin. / FIN-075 Returned Check Processing ? 2 years 3 years 5 years - � Mag, Ppr f stan§34dards: Meets auditing standnd ards; GC Revenue §34090 Minimum 4 Fin. / Minimum 4 m FIN-084 Short Term Lod Permits g g Mag, Mfr, S / 1 Yes: After QC Department Preference; GC Revenue i years � years Ppr' OD, P & OD §34090 Fin. ! I Water Billing: Appeals -Payment — Account - Account — Mag, I Yes: Documented or attached to Revenue FIN-085 Delinquency & Impending Expiration + Expiration + Ppr, Mfr, S After QC Customer Record in database GC Discontinuation 2 years 2 vears OD & OD §34090; H&S §116908 Water Billing: Non-payment Fin. I FIN-086 Notices I Notice of Payment Minimum 2 Minimum 2 Mag, Ppr, Mfr, S Yes: After QC Documented or attached to Customer Record in database GC Revenue .Delinquency &Impending years years Discontinuation (Initial, Final) OD & OD §34090; H&S §116908 Minimum 2 Water Billing: NSF Checks / Minimum 2 Fin. ! Mag, Yes: Documented or attached to Revenue FIN-087 Adjustments to Customer Ppr, Mfr, S After QC Customer Record in database GC ,accounts years years OD & OD §34090; H&S §116908 Expiration on_ Expiration or Fin. / Water Billing: Payment Plans: Completion Completion Mag, Yes: Documented or attached to Revenue FIN-088 Amortization, Alternative Payment, of Payment of Payment Ppr, Mfr, S After QC Customer Record in database GC Plans, Deferrals, etc. Plan + 2 Plan + 2 OD & OD §34090; H&S §116910 years years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-71 Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-15 Office of (Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number Image:Paper Destroy Inactive Active Total Media I=Import (OFR) (Off -site, (in office) Vital? Retention Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s? if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement . Fin. / Water Billing: Policy on When � When Mag, Yes: Must post to Website; H&S Revenue FIN-089 Discontinuation of Residential Superseded ; Superseded; Ppr, Mfr, S After OC 116906; GC 34090 § § Service for Nonpayment- + 2 years + 2 ears OD & OD Fin. / Water Billing: Report of Annual Minimum 2 Minimum 2 Mag, Yes: Must post to Website; H&S Revenue FIN-090 Discontinuations of Residential years years Ppr, Mfr, S After QC §116918-, GC §34090 Service OD & OD CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-72 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-1 Office of Classification Record OR Records Description Retention I Disposition Comments 1 Reference File Number Destroy Inactive Image: Paper (OFR) Active (Off -site, Total Vital? Media 1=Impart after (in office] I OD or Mfr) Retention Options i M=Mfr $=Scan imaged & C'd Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). FIRE Application for Temporary Permit to Operate Fire Department, candles, (e.g. FR-000 weddings) candle program (e.g. Yes: Before Yes: Department Preference; &�A BI= 024 restaurants), pyrotechnic P P Event Mag, Ppr S 11 After QC GC §34090 display, open flame, tents, LPG, & OD etc.) / Provisional State regulated occupancies I temporary use permits Department Preference Authorization to Release (HIPAA allows patients to Fire FR-016 Medical Records, Disclosure 2 years 5 years 7 years Mag' Mfr' S 1 I Yes: see who has requested Log, and Required Personal OD. Ppr After QC copies of the medical Appearances records for 6 years); GC §34090; 45 CFR 164.528 Statistical Reports - Dispatch, Fire FR-001 Incidents, and Other Operational, 2 years 2 years Mag, Mfr, S/I Yes, After GC §34090 Data (All Divisions) OD, Ppr p QC Apparatus & Equipment Records Department preference to & Testing - Safety Checks, be in compliance with Tests, Inspections, and Surplus t Sale Surplus !Sale Mag, Mfr, NFPA Standards for in - Fire FR-020 Certifications (excludes 1 Disposal + 2 1 1 Disposal +-2 OD, Ppr SII No service automotive fire maintenance records maintained years years apparatus ; NFPA by MOD) 1911.4.7.3 & Annex C.5 , GC §34090 CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-73 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-2 Office of Record Classification Records Description OR Retention I Disposition Comments I Reference File Number Image: Destroy (OFR) Inactive Active (Off -site Total Vital? Media I=Import Paper after (in office) OD or Mfr) Retention Options M=Mfr ;Imaged S=Scan & C,d Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 'Billing — Paramedic Services — Billing Database Payments / Bank Deposits / Check Images HIPAA allows patients to Emergency Medical Services Mag, Mfr, Yes: see who has requested Fire FR-044 (EMS) Billing and Fire Medic 6 years 6 years Yes OD, Ppr S/I After QC copies of the medical Subscription Service (billing & OD records for 6 years; GC activity, receivables, waivers, §34090; 45 CFR 164.528 refunds, etc. 'Department Preference (no statute of limitations on Cause & Origin Reports / Fire these incidents/crimes); i Incident Reports If Arson, p ( Mag, Mfr, Yes: 1 California Fire Code Police FR-026 Homicide, Capital Crimes is 3 years P P OD, Ppr S/I year requires 3 years; Police Involved) (Also see PD-049) also retains their reports under PD-048 and PD-049; CFC §§ 104.6—104.6.4, GC §34090 Cause & Origin Reports / Fire California Fire Code Fire FR-027 Incident Reports (If Arson, 5 years 5 years Mag, Mir, S/I Yes: 1 requires 5 years; CFC §§ Homicide, Capital Crimes is OD, Ppr year 104.6 — 104.6.4, GC NOT involved) §34090 !Community Emergency Response Team (CERT) Applications Disaster Service Fire FR-039 Worker Registration Separation + Separation + 2 Mag, Ppr Department Preference authorizations, LiveScan record, 2 years years (copies); GC §34090.7 Liability Contract Equipment Distribution Form, etc.) CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-74 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-3 Office of ; Classification Records Description Retention I Disposition Comments I Reference Record OR File Number _ Image: Destroy Inactive Active Total Media I=Import Paper (OFR) i (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd Wamin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement . Community Emergency Response Team (CERT) When When Mag, Ppr, Yes: After Department Preference; Fire FR-046 Training Documentation Superseded Superseded Mfr, OD S/l OC & OD GC §34090 (Manuals, rosters, outlines and materials) Department Preference - required for 2 years after inventory or transaction; Fire FR-051 (Controlled Substance Logs 5 years 5 years Mag, Ppr Suppliers of Hemodialysis ,drugs & devices are required to keep their records 3 years: 21 CFR §1304.04, 1310.04 ( Daily Logs - Lifeguards (CAD- Pr _ - Data is Inter -related; Fire FR-006 database effective January1, Indefinite Indefinite Yes Mag P Department Preference; 2015) GC §34090 et seq. Yes: Fire FR-012 Daily Logs - Lifeguards (CAD Indefinite Indefinite Mag, Mfr, S ! I When Department Preference; Database) OD Ppr Supersed GC §34090 ed Fire FR-047 Daily Roster (Tele staff Indefinite Mag, Ppr Department preference; Indefinite Database) GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-75 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-4 Office of Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number _ Destroy Inactive Image: Paper (OFR) Active (Off -site, Total I Vital? Media 1=Import ; after (in office) OD or Mfr) Retention Options M=Mfr Imaged S=Scan C'd Warnings! If the record is not listed here, refer to the Retention for Cit -Wde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Employee Medical File ! Employee Confidential Toxic/Non-Toxic Substance Send to HR Human Exposures, Fit Testing (H Send to HR Department Preference; Resources FR-041 (Breathing Apparatus upon upon (HR-024) upon Mag, Ppr GC §34090.7 Clearance); Immunization Separation Separation Records (e.g. TB, Hepatitis), Communicable Disease exposure, etc. j IDepartment preference; Employee Training Paramedic recertification (Includes Certificates, Mag, Mfr, Yes: required every 2 years, Fire FR-038 Certifications; EMS, EMT, and 5 years 5 years OD, Ppr S After 1 ICEMA Protocol requires 4 Paramedic Training year years; Department documentation) preference (copies), GC ' §34090 et seq. Department preference for Facility Records - Hazardous Until Until Yes: some records; AQMD Materials, AQMD, EPA, Superseded, Superseded, Mag, Mfr, Permits and generator Fire FR-052 Warranties, Maintenance Minimum 5 Minimum 5 OD, Ppr S After operation logs are required Records, etc. years years OD D for 5 years; 40 CFR 70.6; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-76 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-5 Office of Classification Record OR Records Description Retention 1 Disposition Comments 1 Reference File Number - -Destroy - -- Inactive Image: Paper Active (OFR) (Off -site, Total Vital? Media 1=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaged S=Scan & QC1d Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. g, last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi afions suspend normal retention periods retention resumes after settlement). 'Department preference (Courts treat volunteers as employees); EEOC/FLSA/ADEA (Age) requires 3 years for Fire Explorer Program - Separation + Fire FR-053 Separation + 31 Mag, Ppr promotion, demotion, Applications, etc. 3 years years transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946,12960 34090 Department Preference; Fire Code requires for the Life of the Structure or Incident Database ALL includes Activity, or Minimum 5 incident reports; cause and years for Approvals, Fire FR-008 origin reports; property releases; Indefinite Indefinite MagMfr, , , Yes: 1 S/I iInspections, Fires, inspection reports; violation OD, Ppr year iI Modification / Alternative Methods or Materials;Crime notices; vehicle checks; etc. reports are retained by Police (PD-048 & PD- 049) CFC §§ 104.6 - 104.6.4. GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-77 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-6 Office of I Classification Records Description Retention l Disposition Comments 1 Reference Record OR _ File Number Image: Destroy Inactive Active Total Media I=Import Paper (OFR) (Off -site, (in office) Vital? Retention Options M=Mfr after OD or Mfr) Imaged S=Scan C'd Wamin s! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Fire Inspections (Routine), Life of the Life of the Required for the Life of the Notice of Re -Inspection, High Structure or Structure or I Structure or Activity, or Rise, Notice of Violations, Activity, or Activity, or ' Minimum 5 years for Fire inspection/fire clearance FR-025 Minimum 5 Minimum 5 Mag, Mfr, S/I Yes: 1 ',Approvals, Inspections, (certificates, Non -Compliance, OD, Ppr year Fires, Modification / Property Release, (Most files are Years, years, Alternative Methods or maintained in Incident Whichever is Whichever is Materials; CFC §§ 104.6 — Database), Longer Longer 104.6.4, GC §34090 Copies of Building Plans for Places of Public Fire Station Plans, Fire Pre- Until Until Accommodation (to be Fire FR-029 Plans (Hospitals, etc.) Superseded Superseded Mag, Ppr used for Life Safety Operations in the event of a Disaster or Emergency) GC §34090.7 Ground Emergency Medical Yes: Department preference; Fire FR-054 Transport, Intergovernmental 5 years 5 years Mag, Mfr, S After OC meets municipal Transfer Program OD, Ppr � & OD government auditing ! standards; GC §34090 'HIPAA (Health Insurance Fire Portability and Accountability FR-055 Separation + Separation + 6 Mag, Mfr, S Yes: After 45 CFR 164; GC §34090 Act) Confidentiality and 6 years years OD, Ppr 1 year Nondisclosure Agreement Superseded + HIPAA Policies and Procedures Superseded + Mag, Mfr, { Yes: �45 Fire FR-036 (Health Insurance Portability and 6 years 6 years OD, Ppr S After 1 CFR 164.5300) Accountability Act) year CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-78 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-7 Office of Classification Records Description Retention 1 Disposition Comments !Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, OD Mfr) Retention Vital? Options M=Mfr after or S=Scan IImaged i & C'd Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed. and imply a full file folder (e.g. last document + 2 ears , since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department preference; Paramedic recertification Incident Database - Employee required every 2 years; Fire FR-056 Training - Operations Separation + Separation + 5 Mag, Mfr, S Yes: After ICEMA Protocol requires 4 Includes Certificates; 5 years years OD, Ppr 1 year years; 8 CCR §3203 et Certifications seq., 29 CFR 1627.3(b)(ii), LC §6429(c); GC §§12946, 12960, 34090 Mag, Mfr, Yes: Department Preference Fire FR-010 ISO Insurance Ratings 15 years 15 years OD, Ppr S / I After QC (rated every 10 years); GC §34090 Department Preference to be in compliance with Ladder Certifications & Surplus + 2 Surplus + 2 NFPA Standards for in- Fire FR-048 Inspections years years Mag, Ppr service automotive fire apparatus ; NFPA 1911.4.7.3 & Annex C.5; GC §34090 Copies - Mutual Aid Agreements, Copies - City Clerk FR-013 Automatic Aid, Joint Power When No When No Mag, Mfr, ',Originals Maintained by City Clerk Permanently; Authorities (see City Clerk CC- Longer Longer OD, Ppr GC §34090 005) Required Required OES / Mutual Aide ( Department preference to Fire FR-014 Reimbursements (Strike Team 10 years I 10 years Mag, Ppr meet auditing standards; Incidents) GC §34090 et seq. CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-79 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-8 Office of Classification Records Description Retention 1 Disposition Comments l Reference Record OR File Number Image: Destroy Inactive Paper Active Total Media I=Import (OFR ) (in office) (Off -site, Retention Options M=Mfr after Vital? OD or Mfr) Imaged S=Scan & C'd Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). Department Preference; adults required for 7 years; minors until 1 year after age 18, but not less than 7 years; 10 years is recommended by AHIMA Indefinite for "healthcare providers": (minimum Indefinite Statute of Limitations for Adults 7 (minimum health providers is 3 years; Pre -hospital Patient Care years, Adults 7 years, CCP §340.5, GC §34090; Fire FR-019 Records: ALL (ePCR) (Image Minors 19 Minors 19 Mag, Mfr, S Yes: After H&S §§1797.98(e) Trend/Elite web base medical years of age years of age OD, Ppr OC & OD 123145; 42 CFR database) but not less but not less 482.24(b); 9 CCR 9444, 22 than 7 than 7 years) CCR 70751(c) & 71551(c); years) 22 CCR 70751(c), 71551(c), 73543(a), 74731(a), 75055(a), 75343(a), 77143(a), W&I 14124.1-1 CMS Pub. 100-4, Chapter 1, Section 110.3 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-9 Office of Classification Records Description Record OR Retention ! Disposition Comments 1 Reference File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR ) (in office) (Off -site, Vital? Retention Options M=Mfr after OD or Mfr) S=Scan Imaged & QVI Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, endin records re nests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department Preference; adults required for 7 years; minors until 1 year after age 18, but not less than 7 years; 10 years is recommended by AHIMA for "healthcare providers", - Adults: 7 Statute of Limitations for years Adults: 7 years health providers is 3 years; Pre -hospital Patient Care Minors: 7 Minors: 7 CCP §340.5, GC §34090; Fire FR-057 Records: ALL Pre-existing years or age years or age Mag, Mfr, OD, Ppr S Yes: After H&S §§1797.98(e) QC & OD 123145; 42 CFR Paper Records 19, 19, whichever whichever is is later 482.24(b); 9 CCR 9444, 22 later CCR 70751(c) & 71551(c); 22 CCR 70751(c), �71551(c), 73543(a), 74731(a), 75055(a), 75343(a), 77143(a), W&I 14124.1; CMS Pub. 100-4, (Chapter 1, Section 110.3 Report of Suspected Dependent Yes: Adult / Elder / Child Abuse Fire FR-037 Indefinite to Indefinite Yes Mag, Mfr, S Department preference; A&erOQDC (attached ePCR — OD, Ppr GC §34090 ImageTrend/Elite database ) Requests for Fire/Medical Fire FR-042 Incident Reports and Fire Cause 2 years 5 years 7 years Mag, Mfr, OD, Ppr S / I Yes: Department preference, After QC GC §34090 & Origin Reports CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-81 Ver 37.0 RECORDS RETENTION SCHEDULE - FIRE Page F-10 Office of Classification Records Description Retention I Disposition Comments / Reference Record OR File Number Image: Destroy Inactive Paper (OFR) Active � (Off -site Total Vital? Media 1=Import aver (in office) OD or Mfr) Retention Options M=Mfr Imaged S=Scan C'd Warnin s1 1f the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in when the act is completed. and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Revenue Program Records - Department preference; Fire FR-058 Fire Medics, START, Santa Ana 5 years 5 years ': Mag, Mfr, Yes S After QC meets municipal College Reimbursement: Back OD, Ppr & OD government auditing up not sent to Finance I standards; GC §34090 Fire FR-059 Ride Along Waivers, Station Tours, Community Outreach 2 years 2 years { Mag, Ppr GC §34090 Department preference; Fire FR-015 Standard Operating Procedures Indefinite Indefinite Yes: Until Mag, Mfr, Statute of Limitations for S/l No Health Providers is 3 !Fire Department Policy Manual Superseded OD, Ppr years; CCP §340.5, GC §34090 2 years Station Log Books l Station 2 years Fire FR-049 Mag, Ppr Department preference Journals (kept at Fire Stations) GC §34090 Vehicle Safety Checks, Daily Fire FR-050 Vehicle Inspections, Daily 2 years 2 years Mag, Ppr GC §34090 Equipment checks Not in Incident Database CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-82 Ver. 16.0 RECORDS RETENTION SCHEDULE: HARBOR Page HBR-1 Office of Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR — J- - - File Number Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (Off-site, (in office) OD or Mfr} Retention Vital? Options M=Mfr Imaged & S=Scan QC'd? Warnin s? if the record is not listed here, refer to the Retention for City-1/vide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed bv file folder. I HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend _normal retention periods erptention resumes after settlement . HARBOR Administrative Citations relating to Harbor Harbor Operations ' Harbor Gale Resolution + Resolution + Statute limitations is up to two Depart. HBR-002 Entorcenient Cana f Harbor 5 years 5 years Ppr o See Crime Reports; years; Also iWarniniqs, Citations and Violations GC §34090, PC §802 _ [Balboa Yacht Basin Slip and Garage Harbor Leases (includes Insurance Termination P Mag, Mfr, Yes: After 511 Department Preference; GC Depart. Certificates) Certificates) - Records held by Basin OD, Ppr OC & O❑ §34090 Marine 2 years Harbor 2 Boat Auction Records (DMV Forms, HBR 017 years Mag, Mfr,I Yes: After SII j GC §34090 Depart. etc.) OD Ppr QC & OD Department preference; 2 CFR Harbor Grants to Vessel Turn -In (Photos, End of Grant End of Grant 200.334; 4 CFR 91.105(h), Depart. HBR-Q18 BID, Proof of Payment Invoice Period 5 years Period + 5 Mag, Ppr 92,505, 570.490, & 570.502(a), 29 years CFR 97,42. OMB Circular A-110 & A-133; GC §34090: GC §8546.7 Harbor Depart. HBR-019 Harbor Databases (Mooring Management, Reservations, Indefinite Mag, Ppr Department preference (data is inter -related); GC §34090 Indefinite Incidents) End of Term Harbor Live -Aboard Permits / Vessel End of Term HBR-003 Mag, Ppr GG §34090 Depart. Inspections + 2 years + 2 ears Indefinite Harbor HBR-015 Marina Park Slip Agreements - Indefinite Mag, Mir, SlI Yes: After Department preference (data is Depart. Records held by Marina Park I OD, Ppr QC & OD]inter-related): GC §34090 Harbor HBR 016 Marine Activities Permits (MAPS) Expiration + Ma P r 9 p Department preference; GC Expiration + Depart. (Charter Boats and rentals) 2 years 2 ears , §34090 - End of End of - - Department Preference; Covers Harbor HBR-004 Mooring Records (Rentals), includes Tenancy + 5 Tenancy + 5 yes: During Mag, Mfr, Yes: After S/I auditing periods and statute of Depart, insurance certificates Tenancy OD, Ppr OC & OD limitations; GC §34090.7, CCP years years §337 et seq. CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adapted: 3/16/2022 3-83 Ver.41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES PageHR-1 Office of (Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media Paper I=Import (OFR) (in office) (Off -site, Retention Vital? Options after M=Mfr OD Mfr) imaged 8� S=Scan Warnings! If the record is not fisted here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS., Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). HUMAN RESOURCES 1095-C, 1094-C (Employer- Department Preference; IRS: 4 Human HR-049 Provided Health Insurance Offer Completion 10 years Completion Mag, Ppr years after tax is due or paid; 26 Resources and Coverage & Transmittal + 10 years CFR 31.6001-1(e)(2); GC §34090 Form) Human Benefits Agreements with -- Department preference; GC Completion ResourceHR-050 s Brokers that negotiate fringe Completion 10 years + 10 years Mag, Ppr §34090; CCP §337 benefits on the City's behalf Superseded Benefits Plan Documents for Human Superseded HR-051 dental, vision, EAP, disability, Mag, Ppr Department preference; GC Resources etc. + 2 years + 2 years §34090 Human HR-043 Civil Service Board Agenda P P Mag, Ppr Department Preference, GC Resources Packets §34090 Separation + Human Civil Service Hearings (including HR-003 Separation 30 years Mag, Ppr IDepartment Preference: GC Resources audio recordings) 30 ears §34090 Human Civil Service Rules and Superseded Yes: Until Copies; HR-004 Resources Administrative Services P P Mag, Ppr Superseded GC §34090.7 Regulations I - - -Community Emergency Response Team (CERT) — Human HR 044 Registration Documentation Separation + Separation + MaP g, pr Department Preference; GC Resources (Applications for Disaster 2 years 2 years 1§§34090, 12946, 12960 Service Workers, authorizations, LiveScan record, etc.) Human HR-061 COVID-19 Notifications to 3 years Mag, Ppr 4 LC §6409.6(k), GC §34090 3 years Resources Employees CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-2 Office of Classification; Records Description Retention I Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department preference (meets Human HR-007 Deferred Compensation 2 Years 3 years 5 years Mag, Mfr, j S / I Yes: After auditing standards); Published Resources Statements (All reports) OD, Ppr 1 year articles for bank statements show _ 4 -7 years; GC §34090 Department of Fair Employment t of FaFEH All State and Federal laws require Human 8 Housing or Eploy Final Final retention until final disposition of Resources HR-008 Claims / Harassment Claims that Disposition + Disposition + Mag, Ppr formal complaint; State requires 2 are resolved administratively 5 years 5 years years after action is taken; GC §§12946, 12960, 34090 When When Reports are cumulative, therefore Superseded Superseded older Pull Notices are transitory or Human HR-009 DMV Pull Notices or or Mag, Ppr source records not retained in the Resources Upon Upon ordinary course of business, CHP Separation Separation audits every 2 years; GC §34090 D.O.T. Requires 5 years for positive tests, refusals, annual summaries, etc, 1 year for negative tests; EEOC / FLSA / ADEA (Age) requires 3 years Human HR-010 Drug and Alcohol Testing 1 2 years 2 years Ppr physical examinations; State Law Resources D.O.T files: Negative Results requires 2 years;29 CFR 1627.3(b)(1)(v), GC §§12946, 12960, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-85 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of .Classification Record OR Records Description Retention 1 Disposition Comments I Reference File Number Image: Destroy (OFR) Inactive Active (Off -site, Total Media Vital? Paper 1=Import after (in office) OD or Mfr) Retention Options M=Mfr I Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is com leted, and im Iy a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 'D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC I FLSA I ADEA (Age) Human Drug and Alcohol Testing I requires 3 years physical Resources HR-011 D.O.T files: Positive Results 5 years 5 years Ppr examinations; State Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 12960, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 Human EEO-4 Reports and records 29 CFR 1602.30; 29 CFR Resources HR-012 required to generate EE04 3 years 3 years Mag, Ppr 1602.31, 29 CFR 1602.32; GC report-- - _.- _ .§34090 City's Preference; Lead Department is OFR for grievances resolved in their department; All Final Final State and Federal laws require Human HR-014 Employee Grievances when not Disposition +, Disposition + Yes: Before Mag, Ppr, retention until final disposition of Resources resolved by the department) 5 years 5 years Disposition formal complaint; State requires 2 years after action is taken; 29 CFR 1602.31 8 1627.3(b)(ii); GC §§12946, 12960, 12960, 34090; 29 USC 1113, LC 1174 �Department Preference; EEOC I FLSA / ADEA (Age) requires 1-3 Human Minimum 5 Minimum 5 years; State Law requires 2 - 3 Resources HR-041 Employee Investigations years after years after Mag, Ppr years; 29 CFR 1602 et seq & Termination Termination 1627.3(a)(5) and (6), 8 CCR §11040.7( c), GC §§12946, 12960, 34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-86 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR4 Office of !Classification: Records Description Retention l Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi afions suspend normal retention periods retention resumes after settlement). Human Department Preference; GC HR-052 Resources Employee Policy Manual P P Mag, Ppr - §34090_ Department Preference; EEOC / FLSA / ADEA (Age) requires 1-3 years; State Law requires 2 - 3 Human HR-013 Equal Employment Opportunity 3 years 3 years Mag, Ppr years; 29 CFR 1602 et seq & Resources Data (from applicants) 1627.3(a)(5) and (6), 8 CCR §11040.7( c), GC §§12946, 12960, 34090 Required 1 year from termination or 3 years from hiring, whichever is later; EEOC / FLSA I ADEA Human Termination Termination Yes: After (Age) requires 3 years for "any HR-015 Resources 1-9's + 3 years + 3 years Mag, Ppr S / I 1 year other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29 CFR 1627.3(b)(1); GC §§12946, 12960, 34090 Human HR-053 Injury and Illness Prevention Superseded Mag, Ppr Department preference; GC Superseded Resources Plan + 2 years + 2 ears §34090 P Human Insurance Policies (general HR-054 P Mag, Mfr, Yes: After S / I ! Department preference; GC Resources liability) OD, Ppr QC & OD §34090 Department Preference; Bureau of Human 2 years After, 2 years After Yes: Before National Affairs recommends 2 for HR-016 Resources Job Specifications Superseded Superseded Superseded Mag, Ppr years all supplementary ! Personnel records; LC 1197.5; GC §34090 CITY OF NEWPORT BEACH, CA 02003-06 Giadwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-87 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-5 Office of iClassification Records Description Retention 1 Disposition Comments / Reference' ___Record 0 1 _ File Number Image: Destroy te siInactive Paper (OFR) Active (Off-, Total Media 1=Import after OD (Off -site, (in office) Retention Vital? Options M=Mfr Imaged & or Mfr) S=Scan Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.a. last document + 2 vears), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations sus end normal retention periods retention resumes after settlement . Human LiveScan Fingerprint Clearance Department Preference to protect Resources HR-017 Log 50 years 50 years Mag, Ppr City in the event of past employee misconduct; GC § 34090 et seq. Memorandas of Understanding Copies - City Clerk HR-019 (See City Clerk Classification CC- When No 005) Longer Required Negotiations: Employee Human 1 Superseded HR-020 Associations (notes, drafts, Resources + 20 years proposals, tentative agreements) Human HR-021 OSHA Inspections & Citations, 7 years Resources Log 200 and Log 300 Personnel Files - Benefit File (all Human HR-022 employees and all benefits Separation + Resources records including Deferred 6 years Compensation) Human Personnel Files - Benefit File Date of Resources HR-023 (Retirees I Spouse) Death + 2 years Copies - When No Yes: Until Mag, Mfr, S/I Longer Superseded OD, Ppr Required Superseded Mag, Mfr,', S/I + 20 years OD, Ppr 7 ears Mag, Mfr, i S/I y OD, Ppr eparation + Yes: Until Mag, Mfr, S 6-years Separation OD, Ppr Date of i Yes: Yes: Until Mag, Mfr, Death S Separation OD, Ppr ears CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 No Copies maintained for staff iconvenience; GC §34090.7 For use in interpreting intent of MOU provisions; EEOC I FLSA Yes: After requires 3 years for MOUs; State 1 year requires 2 years; statewide guidelines propose permanent; 29 CFR 516.5, GC §§12946, 12960, 34090 Calif. Labor Division is required to keep their records 7 years; OSHA Yes: After requires 5 years; State law QC & OD 'requires 2 years; 8 CCR §3203(b)(1), 29 CFR 1904.33, OMB 1220-0029, 8 CCR 14300.33; GC §34090; LC §6429c Yes: After Department preference; GC 1 year §§12946, 12960, 34090 Yes: After Department preference; GC 1 year 1§§12946, 12960, 34090 Revision Adopted: 3/16/2022 3-88 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-6 Office of (Classification Records Description Retention l Disposition Comments l Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Whichever is Whichever is Longer: 28 Longer: Files maintained separately; years, or Separation Claims can be made for 30 years Termination r 30 years, or 'for toxic substance exposure; 8 Human HR-024 Personnel Files -Medical File Separation + , of Benefits + Termination Yes: Until Mag, Mfr, S Yes: When ,CCR §3204(d)(1) et seq., 8 CCR Resources (all employees) 2 years 5 years, or of Benefits + Separation OD, Ppr Inactive '5144, 8 CCR 15400.2, 29 CFR Death of 5 years, or 1910.1020(d)(1)(i), GC §§12946, Employee + Death of 12960, 34090 5 years Employee + 5 years Department Preference, statute of limitations for retirement benefits Personnel Files -Regular, is 6 years from last action; Active, Permanent, Non- EEOC/FLSA/ADEA (Age) requires Human Regular, Temporary and Part - Separation + Separation + Yes: Until i Mag, Mfr, Yes: After 3 years for promotion, demotion, Resources HR-025 time Employees 6 years 6 years Separation OD, Ppr S Separation transfer, selection, or discharge; State Law requires 2 -3 years; 29 Includes Backgrounds, Fingerprints, CFR 1602.14; 1602.31 & Severance Agreements, if applicable 1627.3(b)(ii), GC §§12946, 12960, 60201: 29 USC 1113 When No When o Human Program Evaluations Longer Longer Department preference; GC HR-026 Resources (participant's feedback for Required - Required - Mag, Ppr §34090 classes, etc.) Minimum 3 Minimum 3 years ears 10 years Human HR-055 Public Self Insurer's Annual 10 years Mag, Ppr Department preference; GC Resources Report §34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-89 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-7 Office of Record Classification Records Description OR Retention 1 Disposition Comments I Reference _ File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department preference; Per Human NeoGov Policy; 29 CFR Resources HR-060 Recruitment Database (NeoGov) 5 years 5 years Mag, Ppr 1627.3(b)(1), 29 CFR 1602.14 et seq.2 CCR 11013(c); GC §§12946, 12960, 34090 'Recruitment File - Advertisements, Backgrounds State Law requires 4 years; 29 Human HR-027 (Unsuccessful); Fingerprints, 4 years 4 years Mag, Ppr CFR 1627.3(b)(i)„ 29 CFR Resources Flyers, Brochures, Applications 1602.14 et seq., GC §§12946, (unsuccessful), Tests, Letters, 212960, 34090 Scantrons, Questions Human HR-042 Scholarship Program 5 years 5 years Mag, Ppr. Meets Auditing Standards; GC Resources §34090 Department preference; PERS I requires 5 years for Compensation Earnable (usually compensation is Studies / Classification ! When No When No adopted via Resolution of the City Human Compensation & Salary Studies / Longer Longer Council); Bureau of National Resources HR-005 Reorganization Studies (for Required - Required - Mag, Ppr Affairs recommends 2 years for all employee classifications and Minimum 3 Minimum 3 supplementary Personnel records; department structures) years years Wage rate tables are 1 or 2 years; State requires 2 years; 29 CFR 1516.6(2), 29 CFR 1602.14, 2 C C R 270.5; GC §§12946. 12960, 34090 CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-90 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-8 Office of Classification Records Description Retention 1 Disposition Comments !Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active (Off -site, Total Media 1=Import Vital? after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ZeaLsj, since destruction is normally performed by file folder. HOLDS: Litigation, claims complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement )+ I I 1AII State and Federal laws require Final Final retention until final disposition of Human Resources HR 057 : Unemployment Claims 1 EDD Claims Disposition + Disposition + Mag, Ppr formal complaint; State requires 2 2 years 2 years years after action is taken; GC §§12946, 12960, 34090 2 years Human HR-031 Verifications of Employment, 2 years Ppr GC §34090 Resources Child Support Claims can be made for 30 years 1 Whichever is Whichever is Longer: for toxic substance exposure; Claims for five Longer: 25 are required years Separation + after the end of compensation, or years, Termination 30 years, or injury, whichever is longer; the Human HR-030 Workers Compensation Claims p Separation + of Benefits + Termination Mag, Mir, $ Yes: After Workers Compensation Appeals Resources 5 years 5 years, of Benefits + OD, Ppr QC & OD Board may destroy their records 5 years, or )after 5 years', 8 CCR 5144, 8 CCR Death f Employeea + Death of §3204(d)(1) et seq., 8 CCR 10102, 5 years Employee + I10755, 10758, 15400.2; 29 CFR 5 years J1910,9020(d); GC §§12946, 12960 34090 RISK MANAGEMENT Accident 1 Incident 1 Injury Human Reports: EMPLOYEES WITH Department Preference; Claims Resources HR-032 possible Exposure to Toxic Mag. Mfr. can be made for 30 years for toxic Yes: When 1 Risk Materials (HazMat Responses, 2 years 28 years 30 years S OD, Ppr substance exposure; 8 CCR Inactive Manage. Clean up Responses to spills, §3204{d)(1) et seq., GC §§12946, etc.) 12960, 34090 Human Accident I Incident 1 Injury _ Resources Reports: EMPLOYEES Statute of limitations for person Risk HR-033 WITHOUT possible Exposure to 2 years 2 years Mag, Ppr' injury is 2 years; CCP §335.1, GC Manage. !Toxic Materials � §34090 CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-91 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-9 Office of Classification Records Description Retention l Disposition Comments l Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS. Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 'Recommended by State Fire Human Marshall; Statute of Limitations for Resources Accident I Incident / Injury Health Providers is 3 years; ! Risk HR-034 Reports: PUBLIC ADULTS 3 years 3 years Mag, Ppr Juveniles are required until patient Manage. (medical and non -medical.) becomes 18 years old; statewide guidelines propose 3 years; CCP §340.5, GC §34090 Recommended by State Fire Human Age 18 or Age 18 or -Marshall; Statute of Limitations for Accident I Incident / Injury :Health Providers is 3 years; Resources HR-035 Reports: PUBLIC JUVENILES 3 years, 3 years, Mag, Ppr i Juveniles are required until patient ! Risk (medical and non -medical.) whichever is whichever is becomes 18 years old; statewide Manage. longer longer guidelines propose 3 years; CCP §340.5, GC §34090 Department Preference; Claim Human must be filed within 1 year, lawsuit Resources Accident 1 Incident Reports: no HR-036 2 years 2 years Mag, Mfr, Yes: When within 2 years; Statute of S / Risk j injuries (City Vehicles) OD, Ppr Inactive Limitations for contracts is 4 years; Manage. ;CCP §§ 337 et seq.; GC §§ 911.2, 946, 34090, 34090.E CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-92 Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-10 Office of Classification, Records Description Retention l Disposition Comments l Reference Record OR File Number I Image:Paper Destroy Active Inactive Total Media I=Import (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged 8 Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations sus end normal retention periods retention resumes after settlement . If litigation is filed, the City Attorney is OFR; Claim must be ,filed within 1 year, lawsuit within 2 Human 'years; complaints against peace Resources Claims (General Liability Claim HR-037 Settlement 5 years Settle + 5 Yes: Until Mag, Mfr, S Yes: After officers within 5 years; Statute of / Risk Forms) - Adults years Settlement OD, Ppr QC & OD Limitations for contracts is 4 years; Manage. wrongful death for construction is completion + 5 years; CCP §§ 337 et seq.; GC §§ 911.2,-34090, 34090.6; PC §832.5(b) Age of Human Age of If litigation is filed, the City Resources Claims (General Liability Claim Majority Majority Yes: Until Mag, Mfr, Yes: After Attorney is OFR; Juveniles may / Risk HR-038 Forms) - Juveniles (minimum 5 years (minimum Settlement OD, Ppr S QC & OD have additional legal recourses; Manage. Settlement) Settle + 5 CCP §§ 337 et seq.; GC §§ 911.2, years) 944&� 34090, 34090.6; PC §832.5 Human Resources Disability Claims / STD & LTD Separation + Separation + Yes: Until Mag, Mfr, Department preference to be Yes: After / Risk HR-039 (no toxic substance exposures) 2 years 28 Years 30 years Final OD, Ppr S QC & OD consistent with Medical Files; CCP Manage. I Disposition §§ 337 et seq.; GC §34090 Human 1 Resources Excess Liability Coverage I Mag, Mfr, Yes: After Department preference; GC / Risk HR-058 (policies or documents) P P OD, Ppr S QC & OD §34090 Manage. - - Human Resources HR-059 Safety Inspection Logs Superseded 3 years Superseded Mag, Ppr Department preference; GC ;§34090 Manage. CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-93 Ver. 15.2 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR I File Number Image: bestroy Active Inactive Total Media i=import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for Cit -Kride Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). INFORMATION TECHNOLOGY Used for Disaster Recovery Information Backups - DAILY - Network, All When When I Purposes Only; Considered a copy Tech. IT-001 Files on Shared Drives, Superseded Superseded Yes Mag. and can be destroyed when no Applications (Enterprise -wide) longer required; GC §34090 et seq. Used for Disaster Recovery Purposes Only; Store off -site in Backups -WEEKLY Disaster When No When Na commercial storage for disaster I Information IT-002 Recovery Copy - Network, All Longer Longer Yes Mag. recovery; Considered a copy and Tech. Files on Shared Drives, Required Required can be destroyed when no longer Applications (Enterprise -wide) required; retention based on administrative value; GC §34090 et seq. Used for Disaster Recovery ,Purposes Only; Store off -site in Backups - MONTHLY - Network, When No When No commercial storage for disaster Information IT-004 All Files on Shared Drives, Longer Langer Yes Mag. recovery; Considered a copy and Tech. Applications (Enterprise -wide) Required Required can be destroyed when no longer required; retention based on administrative value; GC §34090 et seq. Department Preference (most are Information preliminary drafts not retained in Tech. IT-008 E-mail Archival 2 years 2 years Yes Mag. the ordinary course of business - see City-wide schedule); GC §34090 et seq. CITY OF NEWPORT BEACH, CA. C�2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-94 Ver. 15.2 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-2 Office of Classification Records Description Record_ OR _ Retention I Disposition Comments 1 Reference File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) Imaged & S=Scan Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Police Department Preference Information IT-005 Internet Tracking Database 1 year 1 year Yes Mag. (transitory records not retained in Tech. the ordinary course of business); GC §34090 et seq. Provide Provide Existing Existing Lead GIS database - Historical Output Output to Output to Historical records are maintained Depart. IT-006 (Zoning Map, Council Districts, Lead Lead Yes Mag. by the Lead Department; GC etc.) Department Department §34090 et seq. Prior to Prior to Change ! Chancle When Information IT-007 GIS database When Yes Mag. Department Preference (transitory Tech. Superseded Superseded records); GC §34090 et seq. CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-95 Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-1 Office of Classification Records Description Retention 1 Disposition Comments I Reference Record OR File Number —� — Destroy Inactive Image: Paper (OFR) Active (Off -site, Total Vital? Media 1=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan Cad? Warnings! !f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend nonnal retention periods retention resumes after settlement). ARTS & CULTURAL SERVICES Library Services I Historic Speeches, Historic Completion + Mag, Mfr, Department Preference; GC Arts & LS-001 Special Events and Historic P P Cultural Recordings 4 years OD, Ppr §34090 Services Library Services I Art Exhibits and Collections - Mag, Mfr, Arts & LS-002 2 years 2 years GC §34090 Cultural Community/ External Art OD Ppr Services Library Statute of Limitations for Services I Art Exhibits and Collections - Completion + Mag, Mfr, contracts is 4 years, personal Arts & LS-003 Professional '(Administration, 4 years + 4 ye + 4 years years OD, Ppr property 3 years; meets auditing Cultural etc.) requirements; CCP §§337, 338: Services GC §34090 Rights of authors extend for the Library life of the author's); State law Services 1 Art in Public Places (Art Life of the Life of the Mag, Mfr, allows a written contract to extend Arts & LS-005 Education, murals, etc.) Completion Author + 20 Author + 20 OD, Ppr rights for an additional 20 years: Cultural years years 4 years to meet auditing Services standards: 17 USC 106A(d), GC j§15813.5; GC §34090 CITY OF NEWPORT BEACH, CA, =03 Gladwell Governmental Services, Inc, - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-96 Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-2 Office of i Classification 1Records Description Retention 1 Disposition Comments I Reference Record OR File Number ! Image:Paper Destroy Active Inactive Total Media 1=Import (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged &C'd? Warnings! if the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi tions suspend normal retention periods retention resumes after settlement). Rights of authors extend for the Library 'life of the author's); State law Services ! 'Donations of Visual Art Work Life of the Life of the Mag, Mfr, allows a written contract to extend Arts & LS-009 Completion or Product (received) Author + 20 Author + 20 OD, Ppr rights for an additional 20 years: Cultural years years 4 years to meet auditing Services standards; 17 USC 106A(d); GC §15813.5; GC §34090 Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Library Grants to Local Governments is 3 Services ! Grant Program (Grants to Mag, Mfr, Yes: years from expenditure report or Arts & LS-012 5 years Others) 5 years OD, Ppr S ! I When final payment of grantee or Cultural Inactive subgrantee; HUD requires 3 Services years; statewide guidelines propose 4 years; 2 CFR 200.334; 24 CFR 91.105(h), & 570.502(a), 29 CFR 97.42; OMB CircularA- 110 & A-133; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-97 Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-3 Office of Classification Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr} S=Scan Imaged & C'd7 Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). LIBRARY SERVICES Library Facility Use Applications LS-019 4 years 4 years Yes: Before Mag, Ppr Department preference; GC Services (Room Reservations, etc.) §34090 Event Library Mag, Mfr, Yes: Thank -you and Services LS-020 Gifts & Donations (Private) 2 years 2 years OD, Ppr S When acknowledgements; GC §34090 Inactive _ LSCA (Library Grants Services and Construction), LSTA (Library Services and Technology), SLRC (State Literacy Resource Centers), CLLS (California Library Literacy Services); CLSA Library (California Library Services Final Final Mag, Mfr, Yes: Per California State Library Records Management Program Services LS-021 Act) and PLF (Public Library 2 years Expenditure Expenditure OD Ppr S I i When Requirements (April 27, 1998); Foundation) ONLY. For all + 5 years + 5 years Inactive GC §34090 others, follow City-wide Schedule. (SUCCESSFUL Reports, and Financial Information) Send copy of application and award to Administrative Services 1 (Finance Upon Upon Library Library Management Database LS-023 Withdrawal Withdrawal Yes Mag 'Department preference; GC Services I Collection Inventory from from §34090 Collection Collection CITY OF NEWPORT BEACH, CA. @2003 Gladwel[ Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3616 Revision Adopted: 311 G12022 Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-4 Office of !Classification Records Description Retention I Disposition Comments 1 Reference Record OR File Number Destroy Inactive Image: Paper (OFR) Active ite (Off -site, teMfi Total Vital? Media I=Import after (in office) OD or Retention Options M=Mfr ;Imaged & S=Scan C,d? Warnings! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi tions suspend normal retention periods retention resumes after settlement). Library LS-024 Library Management Database Indefinite Indefinite Yes Mag Department preference (records Services / Other than Listed are inter -related); GC §34090 Library Management Database Department preference; Must re - Library LS-025 !Outstanding Debt !Fines and Inactive + 3 Inactive + 3 Yes Mag register every 3 years; Services Fees Less Than $20 years years Delinquencies remain on credit reports for 7 years; GC §34090 Inactive + 7 Library Management Database Library Inactive + 7 Department preference, Services LS-026 i Outstanding Debt ! Fines and Yes Mag 1 Delinquencies remain on credit Fees More Than $20 years years reports for 7 years; GC §34090 Library Library Management Database Inactive + 3 Department preference, Must re - Inactive + 3 Services LS-027 i Patrons with no outstanding Yes Mag register every 3 years, GC debts years years _ _ §34090 When No Longer When No Library LS-028 Library Management Database Longer f Yes j Mag Retain as long as required to Services / Software upgrades Required Required read data; GC §34090 Library LS-029 Library Registration Application 2 years i Mag, Ppr GC §34090 et seq. 2 years Services Forms (Patrons) } Library LS-030 Programs (e.g. Summer 2 years r 2 years Mag, Ppr 1GC §34090 Services Reading) CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-99 Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL-1 Office of Classification Record OR Records Description Retention 1 Disposition Comments ! Reference File Number image: Destroy I. Active Inactive t Total Media I=Import Paper (OFR) (in office) CD or Mfr Retention Vital? Options M=Mfr after S=Scan Imaged & Warnings' If the record is not listed here. refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years). since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests. and/or investi alions sirs end normal retention penods retention resumes after settlement). PLANNING If part of a Consolidated Plan, records are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 Until Funds are Until Funds years from periodic expenditure Planning PL-001 Affordable Housing In -Lieu Funds Allocated are Allocated Mag' Mfr, OD. S 1 E Yes: report; CDBG is Annual (minimum 5 (minimum 5 Ppr p After QC Performance Report + 4 years; years) years) statewide guidelines propose 4 years; 2 CFR 200.334; 24 CFR 91.105(h), & 570.502(a), 29 CFR 97.42. OMB C�rcular A-110 & A- 133; GC §34090 Meets CDBG requirements; CDBG Applications Denied t Not Records are maintained by CDBG Planning PL-003 Funded (Subrecipient Grants, 5 years 5 years Mag, Vendor as Active for 3 Years, and Loans) Ppr Ithen sent to CDD for 2 year Inactive retention; 24 CFR 85.42 - & 91 A 05(h); GC §34090 2 years Planning PL-011 Banner Permits (Temporary - 2 years Yes: Before Mag, GC §34090 good for 90 days) Event Ppr {2 P48A1qiP@ RL-0 3 49R5 2- Q Yes-(* I I S Yes- Depa Fnent-P• CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do rnt duplicate or distribute without prior written permission from GG5 (909) 337-3516 Revision Adopted; 3/16/2022 3-100 Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL-2 Office of Classification Records Description Record OR Retention I Disposition Comments I Reference _ File Number Image. Destroy Active Inactive 1 Total Media I=Import Paper (OFR) (In office) CD or Mfr Vital? Retention Options M=Mfr after S=Scan Imaged & , Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by fife folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). nvironmen aDeterminations: final EIRs are kept pCioi .,i . ,uti• Environmental Impact Reports with Pt--02 'l Not all internal (EIRs), Negative Declarations, 2 years, or communications and notes are etc.) 1 CEQA 1 NEPA 2 years, or duration of required to be saved, "E-mails All written evidence or duration of administrative that do not provide insight into the correspondence submitted to, CDni 1 administrative and/or Mag, Yes: project or the agency's CEQA PL-030 or transferred from, the City and Planning and/or litigation litigation Mfr, 017. S After QC compliance with respect to the all internal agency g y proceedings, if proceedings, Ppr & OD project —are not within the scope communications, including any, whichever if any, of section 21167.6, subdivision staff notes and memoranda is longer whichever is (e) and need not be retained. related to a project or related to longer PRC 21167,6; GC §34090; the City's compliance with Golden Door v Sup. Ct., 53 Cal. CEQA _ App. 5th_733 (2020)." When No Environmental Determinations: When No Nan -records; some may be Planning PL-015 Environmental Impact Reports Longer Longer Ppr retained as matter of department (EIRs), Negative Declarations, Required Required � preference. etc) Outside City boundaries Department Preference; City Planning PL-017 General Plan Elements and P P Yes (all) Mfr, OD, S I I Yes: Clerk Maintains originals of all Amendments Ppr After QC documents that were presented to .1 Council; GC §34090 - Modification Committee I Zoning Planning PL-019 Administrator Approval Letters P P Yes (all) Mfr= OD, S 1 I Yes: GC §34090 and Minutes (see City-wide P p Aft QC schedule for all other records) P Planning Commission Agenda Planning PL-020 P I Yes (all) Mag' Mfr,p D, S Yes: Department Preference; GC Packets r, After QC §34090 CITY OF NEWPORT BEACH, CA, D2003-06 Giadwell Governmental Services. Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-101 Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL-3 Office of Classification Records Description Retention / Disposition Comments I Reference Record OR File Number Image: 'I Destroy Active Inactive I Total Media I=Import ' Paper (OFR) (in office) CD or Mfr Retention Vital? Options M=Mfr after S=Scan Imaged & Warnin s? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Planning Commission Audio Copies -Send Clerk PL (Recordings Copies - Send Mag GC City 021 to City Clerk i to City Clerk Copies; §34090.7 Planning Commission Minutes, Mag' Yes: Planning PL-022 Resolutions P P Yes (all) Mfrr,,pOD, S After QC GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-102 Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL-4 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive I Total Media I=Import Paper (OFR) vital? after (in office) CD or Mfr Retention Options M=Mfr S=Scan Imaged & Warnin s± If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Planning Applications (PA) ALL - Amendments, Appeals, Approval in Concept, Certificate of Compliance, Coastal Residential Development Permit, Compliance Letters, Condominium Conversion Permit, Creative / Comprehensive Projects have a 2 year vesting Sign Permit, Development (applicant must pull permit within Agreement, Development Plan, 2 years) —those applications in Director /Staff Approval, which the applicant does not Environmental Documents, follow through with permit may be General Plan Amendments, In- Mag, destroyed after the vesting period Planning PL-023 Lieu Parking, Lot Line Adjustment, P P Yes Mfr, OD, S Yes! has expired. Some permits must Lot Merger, Modification Permit, After QC obtain Council approval, and Ppr Off -Site Parking Agreement, therefore the City Clerk becomes Planned Community Development' office of record for material Plan, Signs (Comprehensive, presented to Council; Department Heritage, etc.), Sign Exception maintains complete files for Permit, Site Plan Review, administrative purposes; Subdivisions, Telecom Permit, GC§§34090, 34090.7 Temporary Permits, Use Permits, Variance, Zoning Compliance letters, etc. Send recorded documents to the City Clerk. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-103 Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING Page PL-5 Office of Classification, Records Description Retention f Disposition Comments 1 Reference Record I OR File Number Image: Destroy Active Inactive l (OFR) Total Vital? Media I=Import Paper after (in office) CD or Mfr Retention Options M=Mfr S=Scan Imaged & Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Regional Organizational Studies & When No When No Non -records; some may be PL-027 Programs where other Agencies Longer Longer Mag' retained as matter of department are the Lead (e.g. Rail Studies, Required Required Ppr GC §34090 et seq. etc.) ,preference; Mag' Department Preference; City Zoning Maps (Historical Only - Planning PL-028 P P Yes (all) MfrP, S Yes: Clerk Maintains originals of all New records part of zoning code) pr After OC documents that were presented to Council, GC §34090.7 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-104 Ver.36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-1 Office of Classification! Records Description Retention I Disposition Comments I Reference Record OR I File Number Image: I Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations sus end normal retention periods retention resumes after settlement). CHIEF OF POLICE 1 ADMINISTRATION Police PD-001 Inquiries Disposition + 2 years Disposition + 2 ears Mag, Ppr GC §34090 et seq. 'If a supervisor determines that records of prior discipline should �be retained beyond the applicable statutory period, approval for such retention shall be obtained through the chain of command from the Chief of Police; Consistent with Administrative Investigations- Lexipol Policy; State requires for at Civilian and Internal WITHOUT Final Final least 5 years; other State & PD-003 Sustained Finding of Disposition + Disposition + Mag Ppr Federal laws require retention until Misconduct as defined in PC 5 years 5 years final disposition of formal §832.7 complaint; State requires 2 years after action is taken; Statute of Limitations is 4 years after the discovery of the offense for misconduct in office; PC 801.5, 803(c).; EVC §1045, GC §§12946, 12960, 34090, PC §832.5, VC §2547 Administrative Investigations: Civilian and Internal - Civilian Final PD-093 Complaints WITH Sustained Disposition +' LFinalPolice Mag, PprCPC §§832.5(b}, 832.7; GC §§12946, 12960, 34090, I Finding of Misconduct as 15 years defined in PC §832.7 Palire PO-006 Carry Concealed Weapon 5 years 5 years MagPpr , Department preference; GC § (CCW) Permits 34090 et seq. 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 311 G12022 3-105 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-2 Office of 'Classification Records Description Record OR Retention 1 Disposition Comments 1 Reference i File Number ': l Destroy Image: I y (OFR) j Inactive Paper Active Total Media I=Import (Off -site, Vital? I after (in office) Retention ! Options M=Mfr OD or Mfr) , Imaged & S=Scan Warnin s! If the record is not listed here refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. g. last document + 2 ears since destruction is normally performed by file folder. HOLDS: Litigation, claims, com faints, audits, pending records requests, and/or investigations sus end normal retention periods retention resumes after settlement). When No When No Longer Police PD-002 Chiefs Subject Files Required Longer Required Mag, Ppr Department Preference; GC (minimum 2 (minimum 2 §34090 et seq. years) ears _ Emergency / Disaster Police PD-083 Superseded P — Yes: Until Supersede, S Yes: 1 year Department Preference; GC P Mag, Mfr, a_ Preparedness Plans d OD, Ppr j §34090 et seq. Police PD-004 Overtime Slips (hours) 2 years _ GC § 34090 et seq. 2 ears 1 Mag, Ppr Department Preference; Statute of Personnel Background Packets Inactive / Police or Inactive / Limitations: Public official PD-081 -Citizens Academy, Teen Separation + Personnel Separation + Mag, Mfr, OD, Ppr S / I Yes: After ! 1 misconduct is discovery of offense + 4 Academy) 3 years 3 years year years; GC §§36507, 34090; i PC §§801.5, 803(c); 29 USC _. ---- - -- r- - -- - -- -i 1113; 8 CCR §11040.7(7)(C) Department Preference; Statute of Inactive / Personnel Background Packets Police or Se + PD-011 Inactive / Separation + Mag, Mfr, Yes: After S / I Limitations: Public official !,misconduct is discovery of offense Personnel - Volunteers & Interns 6 years 6 years OD, Ppr 1 year + 4 years; GC §§36507, 34090; !PC §§801.5, 803(c); 29 USC 1113; 8 CCR §11040.7(7)(C) Copies; Consistent with HR's Personnel File; State & Federal Police PD-005 Personnel Department Separation + Separation + Mag, Mfr, S / I Yes: After laws require 2 -3 years; 29 CFR Employee File 6 years 6 years OD, Ppr QC 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, � 12960, 34090.7 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-106 Ver, 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-3 Office of Classification) Records Description Retention I Disposition Comments ! Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (Off -site Vital? after (in office) , Retention Options M=Mfr OD or Mfr} Imaged & S=Scan Wamin s! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi alions suspend normal retention periods retention resumes after settlement). Police PD-069 Preliminary Claim Investigation / 2 years 2 years Mag, Ppr GC § 34090 et seq. Potential Liability Claims Programs: Citizens Academy, Police PD-007 Teen Academy, Neighborhood 2 years 2 years Mag, Ppr GC § 34090 et seq. •, Watch, etc. — Project Assignment Memos Police PD-089 [(PAM) 2 years 2 years Mag, Ppr GC § 34090 et seq. Racial and Identity Profiling Act Department preference (consistent Police PD-094 (RIPA) Annual Report 3 years 3 years Mag, Ppr with STOP Source data); GC §34090 A report provided to the State Commission on Peace Officer Standards and Training (POST Commission) of peace officer Police PD-097 ;employment- compliant. finding, 2 years 2 years Mao Ppr UGC § 34090 et sec disposition, or ud ment pursuant to PC 13510.9. Does not include the records any such report is based on Reports and Studies regarding Police PD-008 Police Operations (not historical - 2 years 2 years Mag, Ppr GC § 34090 et seq. manpower, etc.) _ RSNP 1 OCRCFLTime Slips / Department Preference (meets _ Police PD-009 _ Billing Reports 5 years 5 years Mag, Ppr auditing standards); GC § 34090 Special Events (i.e., Police �— Police PD-088 Appreciation Breakfast, National 2 years 2 years Mag, Ppr GG § 34090 et seq. Night Out, etc.) — 3 years i Police PD-095 STOP Source Data, Audit Log 3 years Mag, Ppr 11 CCR 999.228; 11 CCR gg9.229,_GC §34090 2 ears Police PD-070 Vehicle Pursuit Reports 2 years Mag, Ppr GG § 34090 et seq. CITY OF NEWPORT BEACH, CA. Oc2003-06 Gladwell Governmental Services, Inc, -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-107 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-4 Office of '!Classification Records Description Retention I Disposition Comments I Reference Record OR File Number F Destroy Active Inactive Total Media II mport Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement . Yes: Police PD-010 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S f I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-108 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-5 Office of Classification Records Description Retention 1 Disposition r Comments I Reference Record OR File Number Imo Destroy g e: Active Inactive 'Total Media Paper I=Import (OFR) (in office) (O Retention Vital? Options M=Mfr after OD oor Mf r Mf, r) Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -tide Standards Retentions begin when the act is completed, and imply a full file folder e. q. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti afion, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). DETECTIVES Accounting Records: Yes: Until Mag, Mfr, Meets auditing standards for Yes: After Statewide Police PD-012 Investigative Expense Funds 2 years 3 years 5 years municipal governments; S I I (Confidential) Paid OD, Ppr 1 year guidelines propose audit + 4 years; GC §34090 ]Alcohol Beverage License 'Applications (Nat related to an When No When No PD-013 (Operator's Permit for a Bar, Longer Longer Ppr Non -records; GC §34090 Lounge, or Nightclub) Required Required i When No When No Longer Longer Department Preference (Federal Police PD-071 Asset Forfeiture Files Required - Required - Mag, Ppr DOJ requires 5 years - Equitable Minimum 5 Minimum 5 Sharing Guide); GC §34090 years years When No When No Loner Longer Department Preference: Does not Police I PD-077 Informant Files Requiirred - Required - Ppr, Mag contain criminal intelligence Investigat. Minimum 2 Minimum 2 information concerning individuals, GC §34090 ears ears CITY OF NEWPORT BEACH, CA. D2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/1 G12022 3-109 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-6 Office of 'Classification, Records Description Retention 1 Disposition Comments ! Reference Record OR File Number Image: Destroy Inactive Active I Total Media I=Import Paper (OFR) (Off -site, (in office) -Mfr) Retention Vital? Options M=Mfr after OD S=Scan Imaged 8 Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement). Files contain criminal intelligence information concerning an individual only if there is reasonable suspicion that the individual is involved in criminal Yes: conduct or activity and the Police / Intelligence Files (Vice, Terrorist, PD-014 5ears y 5 years Mag, Mfr, S / I When information is relevant to that Investigat. etc.) OD, Ppr Supersede criminal conduct or activity. d Misleading, obsolete or unreliable information is required to be destroyed; remaining records must not be retained longer than 5 years; 28 CFR 23.20(h); GC §34090 Operator Permits - Bar. Lounge, Police or Nightclub PD-084 (Offers alcoholic beverages for on- Termination Termination Mag, Ppr Department preference; GC site consumption in combination with + 3 years + 3 years §34090 food service with late hours) Police PD-015 Pawn Slips 2 years Mag, Ppr UGC §34090 2 ears Police PD-016 Massage Operator Permits Termination Mag, Mfr, M / S I I Department preference to match No Termination + 3 ears y + 3 ears OD, Ppr p terms; GC §34090 Permits or Licenses: _permit Police PD-018 Unsuccessful Applications 3 years 3 years Mag, Ppr 'Department preference to match (massage, etc.) — - permit terms; GC §34090 Yes: Police PD-019 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-110 Ver.36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-7 Office of Classification Records Description Retention I Disposition Record OR I Comments I Reference File Number Destroy i Image: Inactive Paper Active Total Media I=Import (OFR) (Off -site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & f S=Scan Warnin sI If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by fife folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention patiods retention resumes after settlement). PATROL Yes: Police PD-020 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S I I Yes: After Department Preference, GC § Schedule OD, Ppr 1 year 34090 _ 2 years only GC 5 34090 et seq. Police PIS-072 Ride -A -Long Waivers 2 years Maq, Ppr SUPPORT SERVICES t PERSONNEL. AND TRAINING 2 years, or 2 years, or Completion Completion Police PD-021 Supervisor Record !Counseling of Performance of Performance Mag, Ppr Drafts and notes; GC § 34090 et Jacket Evaluation, Evaluation, seq. whichever whichever occurs first occurs first Consistent with Personnel File; Personnel Background Packets Statute of Limitations: Public -Peace Officers (includes official misconduct is discovery of Police PD-023 Polygraphs) WITHOUT Separation + Separation + Mag, Mfr, S I I Yes: After offense + 4 years; GC §§36507, Sustained Finding of 6 years 6 years OD, Ppr QC 34090; 29 CFR 1627.3(b)(i), 29 Misconduct C F R 1602.14 et seq. 2 CC 11013(c); PC §§801.5, 803(c); 29 USC 1113 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-111 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-8 Office of Record_ Classification Records Description OR Retention !Disposition Comments !Reference File Number ( I Destroy Active Inactive Total Media Ilrlmgort p Paper (OFR) (Off -site, (in office) Retention Vital? I Options M=Mfr after OD or Mfr) S=Scan i Imaged 8 j Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigat' ns suspend normal retention periods retention resumes after settlement). Consistent with Personnel File; Statute of Limitations: Public Personnel Background Packets official misconduct is discovery of Police or PD-024 - Selected Employees other Separation + Separation + Mag, Mfr, S I I Yes: After 'offense + 4 years; GC §§36507, Personnel than Peace Officers 6 years 6 years OD, Ppr QC 134090; 29 CFR 1627.3(b)(i), 29 CFR 1602.14 et seq. 2 CCR 11013(c); PC §§801.5, 803(c); 29 LISC 1113 Background Packets Department Preference (only 2 Police Personnel unsuccessful / not hired PD-025 6 years 6 years Ma Mfr, S / I Yes: After ':years is required); 29 CFR lemployees or volunteers (not OD, Ppr QC 1602.14; 2 CCR 11013(c); GC _hired) ! - - §§12946,12960, 34090 - - --- - State &Federal laws require 2 -3 Personnel Department Training File (Includes POST Data, Files Police and Printouts for Training PD-026 Separation + Separation + Mag, Mfr, S / I years; 29 CFR 1602.31 & Yes: After 1627.3(b)(ii), 8 CCR §3204(d)(1) Courses) 4 years 4 years OD, Ppr QC Does Not Include Complaints et seq., GC §§12946, 12960, against Peace Officers ! 34 090 Yes: Police PD-027 Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After I Department Preference, GC § Schedule OD, Ppr 1 year 34090 only j CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-112 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-9 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Destroy Image: Inactive Paper (OFR) Active Total Media 1=Import (Off -site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investiclations sus end normal retention periods retention resumes after settlement). SUPPORT SERVICES - OTHER Police PD-028 Alarm Permits Auction Records 2 years 2 years Mag, Ppr _ GC §34090 Police PD-029 2 years 2 ears Mag, Ppr GC §34090 Department Preference: Statewide Audio Recordings - Recordings guidelines propose 180 days Police PD-030 of Telephone & Radio 2 years 2 years Mag (legally mandated for 100 days); Communications Dispatch p (may be discoverable or made Recordings public in some circumstances), GC §§34090, 34090.6 Store off -site in commercial Backup Tapes - WEEKLY storage for disaster recovery; Disaster Recovery Copy - :Considered a copy and can be Police PD-032 Network, All Files on Shared 14 days 14 days Yes Mag. (destroyed when no longer Drives .required; retention based on administrative value; recycle _ itapes; GC §34090 et_seq. Checking Account Records: Meets auditing standards for Police PD-033 DARE, Property/Evidence 2 Years 3 years 5 years Yes: Until : Mag, Mfr, S / I Yes: After municipal governments; Statewide Account, Station Fund and paid OD, Ppr 1 year guidelines propose audit + 4 Police Explorer Account years; GC §34090 Department Manual (Department Minimum 2 Minimum 2 Mag, Ppr Department Preference; GC § Police PD-034 Policies and Procedures) years years 34090 et seq. CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc, -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-113 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-10 Office of Record Classification OR Records Description Retention 1 Disposition Comments 1 Reference File Number Destroy Image: Inactive Active Total Media Paper 1=Import (OFR) (in office) (Off -site, Retention Vital? I after M=Mfran i OD or Mfr) S=ScOptions Imaged & Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ions suspend normal retention periods retention resumes after settlement). Expiration of Expiration of Statute of Statute of See appropriate Crime Report; j Evidence: Crime Scenes Limitations Limitations Mag, Mfr, Yes: After !Statute of Limitations is 1 year for Police PD-035 (includes evidentiary MVS) (minimum (minimum OD, P p r S / I I 1 year property seized by officers; GC Final Final §34090 Disposition Disposition of Case) of Case -False Alarms (alarm permits, Police PD-036 billing transactions, 2 years 2 years Mag, Ppr Finance invoices, when correspondence, alarm appropriate; GC § 34090 activations) Life of Fleet Maintenance - Equipment Life of iCovers all statute of limitations; and Vehicle Maintenance History Equipment Equipment CHIP requires life of vehicle; OSHA Police PD-037 (includes vehicle calibration or Vehicle + or Vehicle + Mag, Ppr requires 1 year; 8 Ca. Code Reg. records) 4 years 4 years 3203 b 1 I§ ()( ); CCP §337 et. Seq., - - -- - --- i-- iGC §34090 3 years Police PD-078 Jail Video 3 years I Mag Department Preference; GC - - - -- -- - - -- ----:§34090 et seq. Mobile Video and/or Audio Department Preference; Lexipol Police PD-022 Videos (MVS) Non -Evidentiary 2 years 2 years Mag Section 446.10.1 requires 1 year; GC §34090.6(a) 100 days Mobile Video and/or Audio Police PD-091 100 days Mag Lexipol Section 446.3; GC Videos (MVS) Test Recordings I 34090.E a Yes: Police PD-038 Officer Daily Logs 5 years 5 years Current Mag, Ppr Department preference; GC § Schedule 34090 - -- - _..._. only Y i _ _ 3 years Police ! PD-079 Property Video 3 years Mag Department Preference; GC - ---- §34090 et seq. Police PD-076 Solicitors Permits - - 2 years Mag, Ppr !GC § 34090 2 ears CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-114 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-11 Office of (Classification' Records Description Record OR p Retention t Disposition p Comments !Reference File Number Destroy Image: Active Inactive Total Media I=Import Paper (OFR) (Off -site, (in office) Vital? Retention Options i after M=Mfr OD or Mfr) Imaged & S=Scan I Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. fast document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement). Police PD-080 Watch Commander Video 3 years 3 years Mag Department Preference; GC - - §34090 et seq. - Yes: i Police PD-039 ',Work Assignments (Schedules) 3 years 3 years Current Mag, Mfr, S / I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-115 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-12 Office of Classification Record OR Records Description Retention 1 Disposition _ File Number Destroy Comments ! Reference Image: it Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) Imaged & S=Start Warnin s! If the record is not listed here, refer to the Retention for Ctt -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.g. last document + 2 ears , since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). SUPPORT SERVICES I RECORDS Department preference, Pursuant to PC §457.1 et seq.; required to Police PD-044 Arson Registrations: Adults 10 years P P Mag, Mfr, S I I Yes: After register for life; If released from OD, Ppr QC & OD CYA, records are destroyed after age 25 or sealing pursuant to W&I §781: GC §34090.7 Pursuant to PC §457.1 et seq.; If Arson Registrations: Juveniles Age 25 or Age 25 or Mag, Mfr, released from CYA, records are Yes: After Police PD-045 released from California Youth Sealing Date Sealing Date S l I OD, Ppr ,destroyed after age 25 or sealing QC & OD Authority + 5 years + 5 years pursuant to W&I §781; GC _ §34090.7 5 years 5 years Mag, Ppr Poke PD-046 Bicycle Licenses Department Preference; GG §34090 et seq. Department preference (the Statute of Limitation for collections Police PD-047 Citations (ALL) 2 years 2 years Ppr is 5 years from the date of the last violation); CVC 40222(b); GC §34090, H&S §11361.5, PC §802 Fully Paid, Fully Paid, Department preference (the Police 1 ;Citations - Payment Plans for Written off, Written off, Statute of Limitation for collections Records PD-092 outstanding parking citations or Forgiven or Forgiven Mag, Ppr is 5 years from the date of the last received by indigent persons + 5 years + 5 years violation); CVG 40222(b); GC §34090 PD-054 Crime Statistics /Uniform Grime 10 years Department preference; GC Police 10 years Mag, Ppr Reports - Annual Summaries §34090 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted; 3/16/2022 3-116 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-13 Office of Classification' Records Description Retention t Disposition Comments !Reference Record OR File Number Image: Destroy Inactive Active Total Media I=Import Paper (OFR) - (Off-site, (Offsite (in office) Vital? Retention Options M=Mfr after OD Mfr S=Scan Imaged 8 , Wamin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Department Preference; Provided there are no outstanding warrants, Incident Reports (DR#) - ALL unrecovered weapons, criminal deaths, they are not historically Police PD-048 Except those other specifically Indefinite Indefinite Yes: Before Mag, Mfr, S / I Yes: After significant, and it is not classified mentioned in this retention Disposition OD, Ppr QC & OD under PC §800 & 290; Stat. of ,schedule (October 1, 1999 to Limit. is 2 yrs; Destroy juvenile Current) !marijuana after age18: H&S §11361.5, GC §34090, PC §802, PC §§187, 800 et seq., 11108.2(b) Department Preference, Police PD-055 Drug / Narcotic Registrants 5 years 5 years Mag, Ppr Registration is required for 5 years; GC §34090, H&S §11590 et seq., H_&_S §11594(a) onviction Conviction Incident Reports (DR#) or Arrest (if Arrest (if [or Mag, Mfr, (Courts and other Agencies "Shall' Yes: AfterPolice PD-050 Marijuana 1 Cannabis less than No No OD, Ppr S/ I QC&ODdestroy); H&S§ 11361.5 et seq., GC§34090i 28.6 grams Conviction) onviction) + 2 years 2 ears CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-117 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-14 Office of (Classification; Record _ OR File Number (OFR) (Retentions begin when the act is Police Police Police Police Records Description Retention / Disposition Comments I Reference -- - - - — Destroy Inactive Image: � Paper � Active (Off -site, Total Vital? Media I=Import after (in office) OD or Mfr) Retention Options M=Mfr i Imaged & S=Scan g to the Retention for City -Wide Standards 0 imply a full file folder (e.g. last document + 2 years), since destruction is oendina records reauests. and/or investiaations suspend normal retention Incident Reports (DR#) Homicide, Falsification of Public Records, Kidnapping, Unsolved PD-049 Child or Elder Abuse, Sexual P Assault & Neglect, Rape, Misuse of Public Funds, Train -wrecking, Treason, Fatalities (Crimes Subject to Death Penalty or without statute of Limitations) Incident Reports (DR#) Misdemeanor or Infraction Marijuana I Cannabis Offender is PD-073 §11357(d) - Juvenile on School 18 Years Grounds during School Hours Old '(with procedure in H&S ___§11361.5) _ (Incident Reports (DR#) 2 years or PD-051 Missing Person Reports Until P (unsolved) Located Incident Reports (DR#) Date of PD-052 Sealed Cases ("Factual Arrest + 3 Innocence") years P Yes: Beforei Mag, Mfr, S / Disposition OD, Ppr i i Offender ff18 Yes: Before' Mag, Mfr, Yeerss S / Disposition OD, Ppr Old i I I Yes: Before Mag, Mfr, S / P Disposition OD, Ppr Date of Mag, Mfr, Arrest + 3 OD, Ppr years CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 �d by file folder resumes after settlement). Department Preference; Most have no limitations on Yes: After, CC & OD commencement of action; PC §§ i261, 286, 288, 288a, 288.5, 289, ;289.5, and 799 Yes: After (Courts and other Agencies "Shall" QC & OD destroy); H&S§ 11361.5 et seq., 11357(d) Yes: After Dept. Preference; Also see Crime QC & OD � Reports; GC §34090 ;Individual petitions District Attorney; PD concurs that person its factually innocent, then seals record; GC §34090; PC §851.8(a) Revision Adopted: 3/16/2022 3-118 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-15 Office of Classification Record 1, OR Records Description I Retention I Disposition Comments I Reference File Number _ Destroy Inactive Image: paper (OFR) Active (Off -site, Total Vital? Media 1=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litt ation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement . Incident Reports (DR#) Per Court Per Court r� eLIP +r..�r, e r:+., � A age ofm,.�,r. years; , - Sealing for juveniles arid WaFdf�- Order Order Mag, Mfr, i Yes- After Police PD-053 Sealed Cases (Juveniles & (Sealing (Sealing OD, Ppr S / I QC & OD th„�netained f� of Tec, CC §§340.1, GC §34090; GC Adults) date + 5 Date + 5 years) years) §68152(g)(1), VV&I-§781(d) Incident Reports (DR#) Age of Age of Mao, Mfr. Yes After Police PD-063.1 Sealed Cases {childhood sexual Ma orit + 22 Ma orit + 22 OD, Ppr S 1 ! CCP r��340.1 GC $34090 QC & OD asp. ult) Years nears Incident Reports (DR#) Police PO-096 Vacatur Relief Granted by Court Order Court Order Mag, Mfr, Yes: After Individual petitions Court ("Shall" Court + 1 year + 1 year OD, Ppr S / I QC & OD Destroy); GC §34090; PC -Victim of Human Trafficking §§236.14(k); 236.15(k) (Nonviolent Crimes) _ I When No hen No Preliminary Drafts (entered into Police PD-056 !Field Contacts Longer onger Mag, Ppr the RMS database); GC §34090 et Required rRequired MaP Mag, seq. Department Preference; GC Police PD-060 Narcotic 1 Firearm Destruction 10 years _ ears y Lists §34090 et seq. PD-061 Order after Hearing (restraining While Valid While Valid Police Mag Court records - originals retained order) _ by the Court; GC §34090 et seq. PD-062 Ip S 11 Yes: After Police Photos: Mug Shots P Mag, Mfr, Department Preference; GC OD, Ppr QC & OD I§34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-119 Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-16 Office of :Classification Record OR Records Description Retention ! Disposition Comments ! Reference File Number ! Destroy Image: Inactive Paper Active Total Media I=Import (OFR ) (in office) (Off -site, Vital? Options M=Mfr after Retention OD or Mfr) S=Scan Imaged 8 Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi af'ons suspend normal retention periods retention resumes after settlement). Yes after QC'd: City Records Destruction Lists / City Clerk / PD-063 Certificates of Records 10 years P P Mag, Mfr, S Clerk's Department Preference; GC Office is Police Destruction (Working Co ( 9 Copy) I OD, Ppr P §34090 et. seq. Office of Record for original I lDepartment Preference; After Indefinite, or Indefinite, or I2021, Offenders can petition Court Police PD-064 Sex Offender Registrations: 10 years Death of Death of Mag, Mfr, S / I Yes: After Ifor removal 10 or 20 years after Adults Registrant Registrant OD, Ppr QC ;offense, provided there are no 'subsequent offenses; Pursuant to PC §290 et seq.; W&I §781; f After 2021, Offenders can petition Indefinite Indefinite ! Court for removal 10 or 20 years Sex Offender Registrations: or Sealing or Sealing Mag, Mfr, Yes: After after offense, provided there are Police PD-065 Juveniles released from 10 years Date + 5 California Youth Authority (or Date + 5 OD, Ppr S / I i I QC ino subsequent offenses; years Court Order) years (or Court Order) ursuant to PC §290 et seq.; W&I - — - §P Yes: Current Mag, Mfr, Yes: After Department Preference; GC § Police PD-066 Work Assignments (Schedules) 3 years 3 years Schedule OD, Ppr S / I 1 year 34090 only CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-120 Ver.36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-17 Office of IClassification Records Description Retention I Disposition Comments! Reference Record OR File Number _ Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (Off -site, Vital? after (in office) Retention Options M=Mfr OD or Mfr) S=Scan Imaged & Warnin sl if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement). TRAFFIC Human Review Board Accident History Separation j Department Preference (originals Resources PD-067 Forms (PD Employees 1 City of Mag, Ppr are in personnel file); GC § Employees) Employment PEn 1 34090.7 Yes: Police PD-QB8 Wark Assignments (schedules) 3 years yeas Current Mag, Mfr, S i I Yes: After Department Preference; GC § Schedule OD, Ppr 1 year 34090 only 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: 311 G12022 3-121 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-1 Office of Classification Records Description Retention I Disposition Comments 1 Reference Record OR File Number Destroy Media Image: Paper (OFR) Active Inactive I CD Total Vital? Option ]=Import : after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan g C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement). ENGINEERING SERVICES Abandonments, Easements, Entitlements, and Vacations City Clerk PW-001 Upon P P Yes: Until Mag' Mfr, S No Department Preference; GC (Recorded Documents 1 City Completion Completed OD, Ppr §34090 7 Property) (See CC-0611CC-013) Aerial Maps (Digital Plates & Planning maintains the analog Mag, Public Works P11V-002 Software to view them - See 2 years P P Yes (all) Mfr, S No aerial maps; Department Planning for the Analog Aerial OD, Preference for historical Maps) _ Ppr purposes; GC §34090 Mag, Some master plans do not go Public Works PW-003 Master Plans P P Yes (all) Mfr, S No to Council; Department OD, Preference for historical Ppr purposes; GC §34090 Lead Dept. (General Mag' Department preference; Services, PW-004 NPDES Monitoring Reports 5 years 5 years Mfr, S Yes: 1 Monitoring records required for Public OD' Ppr year 3 years; 40 CFR §§122.21, Works, or 122,41, 122.44 Utilities) Yes: Until Mag' Mfr, Yes: 1 Orange NPDES Permit (Issued to the PW-005 5 years 5 years S Department preference; GC Count Count Y Y) Expiration Ex p' OD Ppr year §34090.7 - - When No - - -- — - Public Works, PW-006 Preliminary Studies 1 Project When No Langer Minimum 2 Langer Required - Mag, Mfr, S Yes: After Department Preference; GC Assessments (Not Acquired) years Required Minimum 2 OD, Inactive §34090 Ppr years CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-122 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-2 Office of Classification OR Records Description Retention I Disposition Comments 1 Reference Record File Number Destroy Image: Media Paper (OFR) Active Inactive 1 CD Total 1=Import (in office) or Mfr Retention Vital? Option M=Mfr Imaged & S=Scan g C'd7 Warnings! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigation s suspend normal retention periods retention resumes after settlement . Project Files: City Infrastructure Department preference; For and Facilities Projects - disaster preparedness Public Works PW-007 Administration File: Project Administration, Project Schedules, Invoices, Logs, Upon Completion P P Yes: Until Completed Mag, Mfr, S OD Ppr Yes: 1 year purposes and to cover various statute of limitations; Statewide guidelines propose Permanent Work Reports (Inspector for Infrastructure plans; GC Reports) G^F*ified ;Is -etc. §34090, CCP 337 et seq. Project Files: City Infrastructure Public Works PW-031 and Facilities Projects - Upon 3 years Completion + Mag, S Yes: 1 Department preference; GC Certified Payrolls Completion 3 years OD, Ppri year §34090 Project Files: City Infrastructure and Facilities Projects - Permanent File: Department preference; Retained for disaster Plans, Specifications, Materials Mag' preparedness purposes (City Public Works PW-008 Upon Testing Reports, Project Study P P Yes: Until Mfr' S Yes: 1 Clerk does not maintain Plans, Completion Reports (PSRs), Record R CompletedUntil OD Ppr year Materials Vesting Reports, etc.) Drawings ("As Builts"), Statewide guidelines propose Regulatory Agency Approvals, Permanent for Infrastructure Soils Reports, Structural plans; GC §34090 Calculations, Surveys, etc. Mag, Recorded Maps (Final Maps, Public Works PW-011 Record of Survey, Tract Maps, P P Yes (all) Mfr, S Yes: 1 Drafts should be destroyed; GC etc.) OD, Ppr year §34090, 34090.7 Planning maintains the analog Mag, Public Works PW-033 Standard Drawings P P Yes (all) Mfr, S Yes: After aerial maps; Department OD, QC & OD Preference for historical Ppr purposes; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Govemmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-123 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-3 Office of Classification Records Description Record OR Retention I Disposition Comments I Reference File Number Destroy . Media Image: Paper Active Inactive I CD (OFR) Total Vital? Option I=Import (in office) or Mfr Retention M=Mfr S=Scan Imaged 8� C'd? Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com faints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement). Sewer and Storm Drain Video When No When No Utilities or Inspection Reports / Video or Longer P P PW-012 Required - I Longer Required - Mag, Mfr, S Yes: 1 Department Preference; GC Public Works Digital Recordings - Regular 'Inspections Minimum 2 ' Minimum 2 OD, Ppr year §34090 et seq. years years CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-124 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-4 Office of Classification' I Records Description Retention I Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive 1 CD Total Media I=Import Paper (OFR) (in office) or Mfr Vital? Retention Option M=Mfr after s S=Scan Imo ed & 9 C'd? Warnings' If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g, last document + 2 years). since destruction is normal!y performed by file folder. HOLDS: Litigation. claims, complaitrts, audits pending records ro uests, and/orinvesti alions suspend normal retention periods retention resumes after settlement). TRANSPORTATION AND DEVELOPMENT SERVICES Assessment I Maintenance Department Preference, Statute District Projects (Maps, Mag, 1of Limitations is 4 - 10 years Public Works PW-016 Diagrams, Spreadsheets, Termination P P Yes: Until Mfr, S Yes" 1 (for Errors & Omissions); CCP Improvement Plans - e.g. roads, of District Completed OD, Ppr year §§337. 337.1(a), 337.15, 343: sewer, etc.) GC §34090.7 Life of the Life of the Minimum Encroach- Mag, ;Statewide guidelines propose Public Works PW-018 Encroachment Permits ALL Encroach- Expiration + 2 ment - Yes; until Mfr, S Yes: 1 Permanent; CCP § 337 et. ment years Minimum Revocation OD, Ppr year Seq.; GC § 34090 Expiration + 2 years Permits Residential & Commercial Docks and Piers End of End of Mag, Public Works PW-034 (Residential & Commercial) Tenancy + 10 Tenancy + 1 0 Mfr, S/I No 'Department Preference; GC Includes Permit Drawings, §34090 !Dredging permits, Coastal years years OD, Ppr Permits, etc. Public Works PW-020 Intersection File (Traffic Study, 10 years 10 years Mag, S Yes: After Department preference; GC Warranty Analysis) OD, Ppr 1 year §34090 Department preference to cover audits from all grant funding Traffic related service requests Public Completion + Yes: Mag, Yes: Upon agencies; Statute of Works PW-021 (minor projects - reports, Completion 10 years 10 years Before Mfr, S/l Comletion p Limitations for Errors & ordering of signs, etc.) Completion OD, Ppr Omissions is 10 years; CCP §§337. 337.1(a), 337.15. GC §34090 CITY OF NEWPORT BEACH, CA. 0=03 Gladwell Governmental Services, Inc, - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-125 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-5 Office of !Classification,Records Description Retention I Disposition Comments I Reference Record OR File Number Destroy Image: Media Paper (OFR) Active I Inactive l CD Total I=Import Vital? Option after (in office) or Mfr Retention s M=Mfr Imaged & S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement). Offers of Dedication (Rejected, Copies - Copies - Mag, I I Unprocessed or Unaccepted -- When No When No Mfr, Yes: After! Ensure the City Manager has City Manager PW-023 ; accepted, City Clerk is Office Longer Longer S OD, Inactive :!all originals; GC §34090.7 �'If of Record) (See CW-077) Required Required Ppr ! When When Mag, Public Works PW-025 Traffic Signal Timing Superseded + 9 years Superseded + Mfr, S Yes: After ,Department Preference; GC 1 year 10 years I OD, 1 year §34090 I Ppr When When Mag, !Department preference Superseded Superseded Mfr, Yes: After (required every 5 years, but can S Public Works PW-026 Speed Surveys (minimum 2 (minimum 2 OD, 1 year be extended to 7 or 10 years); .- years) - Ppr iGC §34090 Mag Public Works PW-028 Traffic Calming -Summary 10 years 1 10 years Mfr, S Yes: After GC §34090 ((speed humps, etc) OD, 1 year Ppr Mag, Traffic Counts, Summaries, Public Works PW-029 Minimum 10 Minimum 10 Mfr, I Yes: After'�Department Preference; GC S Reports years years OD, 1 year §34090 Ppr CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-126 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-6 Office of Classification Records Description Retention !Disposition Comments t Reference Record OR File Number Image: Destroy Media Paper (OFR) Active Inactive 1 CD Total I=Import Vital? Option after (in office) or Mfr Retention M=Mfr s Imo ed & S-Scan g C'd? Wamin sl If the record is not listed here, refer to the Retention for City- I/Vide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). ADMINISTRATION Chemical Applications (Contract Department Preference; Claims Public Works Administration or in-house) PW-035 Completion 30 Completion + Yes: Mag, can be made for 30 years for Yes: After years 1 Admin. Includes Approved Chemical 30 years Before Mfr, Sll QC & OD toxic substance exposure; 8 List, MSDS Sheets, etc. Completion OD, Ppr CCR §3204(d)(1) et seq., GC §§12946, 12960, 34090 Lead Dept. 1 Daily Division Work Diaries Division PW-036 ("Red Books") 2-years 5 years _ Department Preference; GC §34090 7 years Mag Ppr Copies - Mag, Demolition Deposit Refund Copies - Finance 1 PW_037 Payment Authorizations, When No When No Mfr, S11 Yes: After Finance maintains official Accounting Demolition Deposit Forfeit Longer Longer OD, QC & OD record; GC §34090.7 Memo Required Required Ppr Mag, Public Works PW 038 Department Activities Report 5 years 5 years Mfr, Sfl Yes; After Department preference; GC 1 Admin. OD, QC & OD §34090 Ppr Separation + 3 Public Works DL 170s 1 Certificate of Driving Separation + Department preference; DMV PW-039 1 Admin. Skill 3 years years Ppr requires Separation + 3 years; GC §34090.7 When No Mag' When No Lead Dept. 1 Preliminary Drafts not retained PW-040 Franchise List Longer Division Longer Ppr -in the ordinary course; GC Required _ Required §34090 Department Preference to Public Works Franchised Hauler Tonnage PW-041 5 years 25 years 30 years Mag cover all statute of limitations; 1 Admin. Reports Ppr 8 CCR §3204(d)(1) et seq., CCP §§337 et seq., GC §34090 Public Works Green waste Reports (Contract PW-042 10 Years Mag 10 years Department Preference; GC 1 Admin, and In-house) Ppr §34090 CITY OF NEWPORT BEACH, CA. Q2003 Giadwell Govemmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-127 Ver, 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page P1N-7 Office of Classification Records Description Retention I Disposition Comments I Reference R Record OR I File Number _ image: Destroy Media Paper (OFR) Active Inactive 1 CD Total Option 1=Import after (in office) or Mfr RetentionVital? s M=Mfr Imaged & { S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is can feted, and imply a full file folder (e.g. last document + 2 years). since destruction is normall erforrned by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement). Consistent with statute of Public Works Hazardous Waste Hauler May, limitations for employee 1 Admin. PW-043 Manifests 2 years 28 years 30 years Ppr exposure to hazardous materials; 8 CCR 3204(d)(1)(A); 22 CCR § 66262.40 P Public Works Landfill Records (City -owned - PW-044 10 years P May Mfr. S!I Yes: After Department Preference; GC 1 Admin. Closed) OD, Ppr QC & OD §34090 Department Preference - Claims can be made for 29 Public Works ! Admin. PW-045 MSDS Master List P P Mag Ppr years for toxic substance 8 CCR §3204(d)(1) lexposure; et seq., GCP §§337 et seq., GC §34090 Expiration + Public Works Transfer Station Modification Mag, Yes: After Department Preference; GC 1 Admin. PW-046 Permit Expiration 30 years 30 years Mfr, SJI QC & OD §34090 ❑D, Ppr P Public Works PW-047 Underground Storage Tanks 3 years P Yes May, Mfr, SII Yes After Department Preference; GC 1 Admin, OD, Ppr QC & OD §34090: H&S §25284.4(i) Public Works PW-048 Work Request Database 1 Indefinite Yes Mag GC §34090 et seq. Indefinite 1 Admin, Work Histo FACILITIES & EQUIPMENT MAINTENANCE CITY OF NEWPORT BEACH, CA. p2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-128 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-8 Office of Classification Record OR Records Description Retention !Disposition Comments I Reference File Number l Image: Destroy (OFR) Active Inactive I CD Total Vital? Media Option I=Import Paper after (in office) I or Mfr Retention M=Mfr s Ima ed & S=Scan g C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com laints, audits, pending records requests, and/or investigation suspend normal retention pmods retention resumes after settlement . Department Preference - Public Works Auto Body Paint Shop (records Claims can be made for 29 I Facilities & PW-049 contain paint I hazardous 10 years 20 years 30 years Mag years for toxic substance Equip. Maint. materials) Ppr exposure; 8 CCR §3204(d)(1) et seq., CCP §§337 et seq., GC §34090 Life of the Public Works Life of the I Facilities & PW-050 BIT Sheets Vehicle + 5 Vehicle + 5 Mag Department preference; GC Equip, Maint, years ears Ppr §34090 � Public Works CHP Daily Logs (Vehicle i I Facilities & PW-051 inspections) I Pre -Trip 2 years 2 years Ppr 13 CCR 1234(c); GC §34090 Equip. Maint. Inspections Public Works Estimates (Vehicles and Mag, I Facilities & PW-052 purchases) 2 years 2 years Ppr GC §34090 Equip. Maint. Department Preference; Statute of Limitations for Health Public Works Fire Apparatus & EquipmentProviders Surplus + 5 Surplus + 5 Mag, is 3 years; OSHA Irequires 1 year; State requires I Facilities & PW-053 Maintenance Records (excludes] Equip. Maint. Ladder Certifications) years years Ppr ;2 years; Statewide guidelines propose 2 years 8 CCR §3203(b)(1), CCP §340.5, GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-129 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-9 Office of Classification Records Description Retention 1 disposition Comments I Reference Record OR File Number Destroy ! Media Image: paper (OFR) Active Inactive 1 CD Total Vital? Option I=Import after (in office) or Mfr Retention s . M=Mfr Imaged & I S=Scan C'd? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, corn Taints, audits, pending records requests, and/orOvesti ations suspend normal retention periods fretention resumes after settlement). Department Preference - Public Works ! Claims can be made for 29 Hazardous Waste Hauler 1 Facilities & PW-054 10 years 20 years 30 years Mag years for toxic substance Manifests (Oil, etc.) Equip. Maint. Ppr exposure; 8 CCR §3204(d)(1) et seq., 22 CCR § 66262.40; CCP §§337 et seq., GC §34090 Public Works HVAC Records - Operations, Life of Life of Mag, 1 Facilities & PW,055 Sub equipment maintenance Equipment + Equipment + 2 Ppr GC §34090 Equip. Maint. 2 years ears Department Preference; If a motor carrier, required for 18 Life of months after vehicle is sold, Public Works Maintenance History - Vehicles Vehicle or Life of Vehicle Mag' CHP requires life of vehicle; 1 Facilities & PW-056 & Equipment - Where City is Equipment + or Equipment Ppr OSHA requires 1 year; 8 CCR § Equip. Maint. Provider 5 years + 5 years 3203(b)(1); 49 CFR 396.21(b)(1); 49 CFR 396.3(c); CCP §337 et, seq., 13 CCR 1234(0; GC §34090 Life of Vehicle Mag, Public Works Life of Smog Certificates and 1 Facilities & PW-057 Inspections Vehicle + 5 + 5 years Ppr GC §34090 Equip. Maint. years �22 Public Works Mag' CCR 66266.130(c)(5), H&S I Facilities & PW-058 Used Oil Disposal 3 years 3 years §25250.18(b), 25250.19(a)(3) Equip. Maint. Ppr let seg. FIELD MAINTENANCE Public Works PW-059 Drivers Logs 2 years ! 1 Field Maint, 2 years Mag' Ppr GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute wthout prior written permission from GGS (909) 337-3516 Revision Adopted', 311 G12022 3-130 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-10 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number _ Destroy Image: Active Inactive I CD Total Media 1=Import Paper (OFR) Vital? Option after (in office) or Mfr Retention M=Mfr s Imaged & S=Scan Cad? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normaqy performed by file folder. HOLDS: Liti ation, claims, co m laints, audits, pending records)I requests, and/or investigation suspend normal retention nods retention resumes after settlement). Public Works PW-060 Dump Tickets I Manifests - Non-1 2 years 2 years Mag, GC §34090 1 Field Maint, Hazardous Waste Sidewalk Repair Database Indefinite Ppr Data is inter -related: GC Public Works PW-O6i Indefinite Yes: Until Mag, 1 Field Maint. (Quest) Paid Ppr §34090 A record of all notifications by excavators and operators to the Public Works Underground Service Alerts Minimum Minimum Mag, regional notification center shall I Field Maint. PW-062 (USA) / Dig Alerts: Utility Cuts, 3 years 3 years Ppr be maintained for a period of etc, not less than three years; GC §§4216.2(fd) & 4216.3(d), Vehicle Inspections 2 years Mag` 34090 GC §34090 Public Works PW_063 2 years 1 Field Maint. Ppr PARKS & TREES Public Works I Street 1 >'W-064 Application to Remove Trees ! 2 years 2 years Mag UGC §34090 Parks & Petitions Ppr Trees Public Works � Street Parks &i PW-065 Demolition Permit Certification 2 years 2 years Ppg GC §34090 Trees Public Works _ --- - -- - -- 1 Street 1 PW 066 Notice of Violation (Obstruction 2 years 2 years Mag GC §34090 Parks & of Right of Way, etc.) Ppr Trees CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved ❑o not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-131 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-11 Office of 1 Classification!Records Description Retention 1 Disposition Comments 1 Reference Record OR File Number i Destroy Image: Active i Inactive 1 CD Total Media i I=Import Paper (OFR) Vital? Option: after (in office) or Mfr Retention ; M=Mfr s Imaged S=Scan C'd? Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement . Public Works Consistent with Operational / Street / I Park and Parkway Maintenance PW-067 3 years 3 years Mag Complaints and Work Orders; Parks & !(reports, records, work orders) j Ppr CCP §§338 et seq., 340 et Trees ! - - i seq., 342, GC §34090 Department Preference for toxic j (substance exposure statute of Public Works Mag, limitations; Agricultural / Street / Pesticide and Herbicide Permits PW-068 5 years 5 years Yes: After Mfr, S/I pesticide records are required Parks & .(from County) QC & OD OD, Ppr for 2 years; 3 CCR 6623, 8 Trees CCR §3204(d)(1) et seq., 16 CCR 1970;GC §34090, Department Preference for toxic Public Works substance exposure statute of / Street / Pesticide and Herbicide Mag, Yes: After limitations; Agricultural PW-069 2 years Parks & Records (in-house) i 28 years 30 years Mfr, S!I OC & OD pesticide records are required Trees OD, Ppr for 2 years;-8 CCR §3204(d)(1) et seq., 16 CCR 1970; 3 CCR 6623,-GC §34090, Public Works Consistent with Operational / Street ! PW-070 Tree Maintenance / Plantings 3 years 3 years Mag Complaints and Work Orders; Parks & Ppr !CCP §§338 et seq., 340 et Trees ;seq., 342, GC §34090 Public Works Traffic Collision Notifications [Exception to City-wide / Street / PW-071 (determine cost to bill 2 years 2 years Mag, retention; Retained in Parks & responsible parties) Ppr originating department for Trees I auditing purposes; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute Wthout prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-132 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-12 Office of Classification Records Description Retention ! Disposition Comments ! Reference Record OR File Number Image: Destroy Active Inactive l CD Total Media 1=Import Paper (OFR) V Vital? Option after (in office} or Mfr Retention M=Mfr s Imaged & S=Scan d? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. .last document + 2 ears , since destruction is normal! performed b file folder. HOLDS: Litigation, claims, com faints, audits, pending records requests, and/or investigation suspend normal retention pmods retention resumes after settlement). Public Works 1 Street 1 PW-072 Tree Inventory Database P P Meg Department Preference; Data is Parks & interrelated; GC §34090 et seq. Trees Department Preference; Covers Public Works l Street 1 Tree Removal Review 1 Meg various statute of limitations; Parks & PW-073 Inspection Reports 5 years 5 years Ppr CCP §§ 337 et seq.; GC §§ Trees 911.2, 34090, 34090.6; PC 832.5 REFUSE Public Works PW-074 Annual County Inspection 2 Years P P Yes (all) Meg, Mfr, Sll Yes: After Department Preference; GC I Refuse Reports (Old City landfill Sites) QC & OD §34090 et. seq. OD, Ppr Not all incidents are sent to Human Resources (only Public Works HazMat Incident Responses, Meg, workers compensation); GC PW-475 Clean-ups and Exposure 30 years 30 years Yes: After Mfr, S §34090; Consistent with statute 1 Refuse Records (Diesel, Oil, etc.) QC & OD OD, Ppr of limitations for employee exposure to hazardous materials; S CCR 3204(d)(1)(A); 22 CCR § 66262.40 letegfated Waste Reports 1 CaiRecycle Reports 1 Daily Meg, Public Works PW-076 Records 1 Weight Records 1 30 Years 30 years Yes: After Mfr, S/l Department Preference; GG 1 Refuse Hazardous Material Screening QC & OD OD, Ppr §34090 et. seq. (Becomes part of Waste Stream) I Ij CITY OF NEWPORT BEACH, CA, ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adapted: 3/16/2022 3-133 Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-13 Office of iClassification Records Description p Retention 1 Disposition p Comments 1 Reference Record OR File Number Image: Destroy Active Inactive I CD Total Media 1=Import Paper (OFR) (in office) or Mfr Retention Vital? Option M=Mfr S=Scan Imaged 8� C'd? i Wamin sl !f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement . Needle Collection /Sharps Mag, Department Preference; Sharps Public Works PW-076.1 Collection (OASIS Senior 5 years 5 years Mfr, S/l Yes: After injury logs are required for 5 / Refuse Center) OD, Ppr QC & OD years: 8 CCR 5193(h)(3); GC §34090 et. seq. P Public Works Recycling Program -Annual PW-077 1 year P Mag' Mfr, S/I Yes: After Department Preference; GC / Refuse Report OD, Ppr QC & OD §34090 et. seq. Public Works Ma g. Department Preference; GC I Refuse PW-078 •Refuse Receipts 3 years 3 years Ppr � 1§34090 et. seq. 30 years Public Works Transfer Station Permit PW-079 30 years Mag' Mfr, S/I Yes: After Department Preference; GC / Refuse Inspection Results (monthly) OD, Ppr QC & OD §34090 et. seq. 30 years Public Works Transfer Station Quarterly PW-080 30 years Mag' Mfr, S/I Yes: After Department Preference; GC / Refuse Tonna a Re orts g p OD, Ppr QC & OD §34090 et. seq. CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-134 Ver 16 C RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-1 Office of Classification Record Records Description OR Retention I Disposition Comments I Reference File Number Image: Destroy � Inactive Paper (OFR) Active (Off -site, Total Vital? Media 1=Import after (in office) OD or Mfr) Retention options M=Mfr Imaged & S=Scan C'd? Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 yeaLs2, since destruction is normally erformed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods retention resumes after settlement). RECREATION SERVICES Recreation Yes: & Senior RS-002 Attendance Sheets 2 years 2 years During Mag, Ppr GC §34090 Services Class or Program_ 1 Recreation Class and Camp Registrations Yes & Senior &Rasters 1 User Pay RS-003 Recreation Programs 2 years 2 years Before Mag, Ppr GC §34090 Services (Recreation Waivers) - ALL Event Recreation Yes: & Senior RS-004 Daily Facility and Activity Logs 2 years 2 years Before Mag, Ppr iGC §34090 Services Event Emergency Contact Information for Participants 1 Recreation Medical Release Forms 1 Pre- Yes: Transitory record used to contact & Senior RS-005 school Immunization Records 2 years 2 years During Ppr relatives in the event of an Services i(Given to site provider- Coach, Class or emergency; CCP §335.1. GC OASIS Transportation (Program, Program §§34090, 6252(e) Instructor, etc.) i Facility Use Requests and Recreation Permits - Includes Certificate Yes: Until & Senior RS-006 of Insurance and Alcohol 2 years 2 years Completio Mag, Ppr IGC §34090 Services Permits (Room Reservations, n Parks, Moonbounces, etc.) Recreation Fundraising Files Yes: & Senior RS-021 (Correspondence, Copies of 2 years E:1 During Mag, Ppr GC §34090 Services Checks, etc.) Class or Program CITY OF NEWPORT BEACH, CA. CD2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-135 Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-2 Office of Classification Records Description Retention I Disposition Comments t Reference Record OR File Number _ Destroy Image: (OFR) Inactive Active (Off -site, Total Vital? Media I=Emport Paper after (in office) OD or Mfr) Retention Options M=Mfr Imaged & 5=scan O,d? Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full life folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti tions suspend normal retention penods fretention resumes after settlement). Recreation & Senior RS-023 ,Incident Reports 2 years 2 years Mag, Mfr, S/I Yes: After, GC §34090 Services OD. Ppr OC & OD Yes: Recreation Playground Equipment Before Mag, Mfr, 'Yes: Upon Department Preference; CCP & Senior RS-007 Inspections 10 years 10 years Completio OD. Ppr S!I Completio §§336(a), 337 et. seq., GC Services n §34090 n Recreation & Senior RS-008 (Program Evaluations 4 years 4 years Mag, Ppr Department Preference; GC Services §34090 Recreation & Senior RS-009 Recreation Database Indefinite Indefinite Mag Data is interrelated; GC §34090 Services et seq. Recreation Yes: & Senior RS-012 Special Event Permits 2 years 2 years Before Mag, Ppr GC §34090 Services Event Recreation & Senior RS-013 Volunteer Sign -ins J Summary 2 years 2 years Mag, Ppr §34090 Services of Hours iGC SENIOR SERVICES Recreation & Senior RS-018 Program Files (e.g. OASIS, ` years 2 years Mag, Ppr GC §34090 Services Intergenerational, Events held) !Statute of Limitations any Recreation "...liability founded upon an & Senior RS-019 Sign -In Sheets for Classes 4 years 4 years Mag, Ppr instrument in writing" or not Services specifically provided for is 4 years; GC §34090, CCP §§337, 343 CITY OF NEWPORT BEACH, CA. 020o3 Gladwell Govemmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (9e9) 337-3516 Revision Adopted: 3/16/2022 3-136 Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-3 Office of j Classification Records Description Retention t Disposition Comments l Reference Record OR File Number Destroy Inactive Image: Paper Active Total I Media I=Import (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & C'd? Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement). Recreation I Department Preference to match & Senior RS-020 Volunteer Sign -ins I Summary 3 years 3 years Mag, Ppr I retention periods for other Services of Hours -A volunteer records; GC §34090 CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-137 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-1 Office of Classification Records Description Retention !Disposition Comments !Reference Record OR File Number Image: Destroy Inactive paper Active Total Media I=Impart (OFR) (Off -site, Vita17 after (in office) Retention Options M=Mfr OD or Mfr) Imaged & S=Scan Wamin st If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is com leted, and im ! a fu1! file folder e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlorinvestigations suspend normal retention periods retention resumes after settlement). ADMINISTRATION Utilities 1 Department of Transportation Expiration of Expiration o Admin. UT-001 (Highway Permits) -Cal Trans 1 Permit + 2 Permit + 2 Mag, Ppr GC § 34090 years ears Disposal Receipts ! Manifests - Consistent with statute of Utilities 1 UT-112 HAZARDOUS WASTE (e.g., 30 years 30 years limitations for employee exposure Mag. Ppr Admin. storm drain, hazardous material to hazardous materials; 8 Cal. from street sweeping, clean ups) Code Reg. 3204(d)(1)(A) PUC - Public Utilities Commission Utilities 1 UT 003 (Correspondence, Rate Changes, 2 years 2 years Mag, Ppr �GC § 34090 Admin. Applications, Gas, Electricity, Water, etc.) When No Subjects 1 Resource 1 When No Utilities I Miscellaneous Files i Files Not Longer Longer UT 004 Covered Under Other Utilities Required - Required - Mag. Ppr GC §34090 Admin. Retention Codes (subjects and Minimum 2 Minimum 2 resources will vary overtime) years years CITY OF NEWPORT BEACH, CA. @2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do nol duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-138 ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-2 Office of Classification Records Description Retention I Disposition Comments 1 Reference Record OR File Number Image: Destroy Active Inactive Total Media Paper l=Import (OFR) (in office) (Off -site, Retention vital? Options I M=Mfr after OD or Mfr) S=Scan Imaged & Warain s? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g, last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods rotention resumes after settlement). ELECTRICAL Utilities 1 AQMD Permits & Reports UT-078 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Electrical (Electrical) 2 years Lead Dept. UT 100 Confined Space Entries 2 years Mag, Ppr 8 CCR 5157(d)(14) & (e)(6); 29 i CFR 1910.146(e)(6); GC §34090 Generator Operation Logs & Department preference; AQMD Lead Dept. UT 101 Inspections - Fixed I Stationary 5 years 5 years Mag, Ppr Rule 1470; GC §34090 Generators _ Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT-1 02 inspections - Portable 1 5 years 5 years Mag, Ppr 400—E-13a instructions, GC Emergency Generators) _ §34090 Life of Manuals - Operation and Utilities 1 Life of Mag, Mfr, Electrical UT-006 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GC §34090 equipment Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Project Files: Administration Funding or After Audit Standards=4-7 years; Public Works I Files (CIP and Maintenance Upon Agency Funding Yes: Until Mag, Mfr, Statute of Limitations: Contracts Yes: After or Utilities 1 UT-008 projects): Project Administration, Completion Audit, if Agency Completed OD, Ppr S & Spec's=4 years, Wrongful QC Electrical Certified Payrolls, Invoices, required, Audit, if Death=camp. + 5 years, Relocation Assistance, etc. whichever is required, Developers=camp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §3409a CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-139 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-3 Office of I Classification Records Description Retention ! Disposition Comments ! Reference Record OR File Number 1 Image: Destroy Active Inactive Total Media I I=Import Paper (OFR) (in office) (Off -site, Vital? Retention Options M=Mfr after OD or Mfr) Imaged &S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement . Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Reports, Notice of Completion, Upon Yes: Until Mag, Mfr, Yes: After Retained for disaster Public Works. UT-007 Project Study Reports, Record Completion P P Completed OD, Ppr S QC preparedness purposes; GC Drawings ("As Builts"), Regulatory §34090.7 Agency Approvals, Soils Reports, Structural Calculations, Surveys, Str - - - 'Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities l Project Files: Utilities Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Electrical UT-009 Maintenance Projects Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful required, Audit, if Death=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Indefinite Utilities ! UT-010 Work Request Database (Quest) Indefinite Yes Mag Records are interrelated; GC Electrical §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-140 Ver 260 RECORDS RETENTION SCHEDULE - UTILITIES Page U-4 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal)gperformedby file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). A record of all notifications by excavators and operators to Utilities 1 Underground Service Alerts (USA) the regional notification center Electrical UT-012 i pig Alerts. Utility Cuts, etc. -All 3 years 3 years Mag, Ppr shall be maintained for a period of not less than three years; GC 4216.2 d & 4216.3 d 34090 LANDFILL Utilities 1 Landfill UT-079 Expiration of AQMD Permits & Reports (Landfill) Permit + 2 Expiration o Permit + 2 Mag, Ppr GC § 34090 years djars Utilities 1 UT-080 Benchmark Reports . Budget 2 years Mag, Ppr GC § 34090 2 years Landfill Reports to CNG ` Utilities I UT-081 Emergency Preparedness 1 Superseded MagPpr p Department Preference; GC Superseded Landfill Hazardo_us- Materials + 2 years + 2 ears ' §34090 Utilities I UT-082 Hazardous Materials Permits 10 years P P Mag, Mfr, S Yes After Department Preference; GC Landfill OD, Ppr QC §34090 Expiration of Utilities ! Landfill Operation Permits & Expiration of Mag, Mfr, Landfill UT-083 Reports Permit + 2 Permit + 2 OD, Ppr GC § 34090 years ears Utilities t UT-084 _ Spill Prevention Control and 5 years Yes Mag. Ppr Department Preference; GC 5 years Landfill Countermeasure Plan (SPCC) §34090 Reports 1 AB 9391 SB Department preference; SS 1383 Utilities 1 UT-116 ,Tonnage 1383 Compliance (Organic Waste 10 years 10 years Mag, Ppr compliance is required for 5 Landfill Collection and Recycling) I years; 14 CCR § 18995;.2 H&S §39730.7; GC §34090 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-141 Ver, 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-5 Office of Classification Records Description Retention l Disposition Comments ! Reference Record I OR File Number I� Destroy Image: Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods retention resumes after settlement). OIL AND GAS Utilities 1 UT-015 Abandonments - Oil Wells Upon P P Yes Mag, Mfr, S Yes: After Department Preference; GC Oil & Gas Completion 5 years OD, Ppr QC §34090 40 GFR 70.6; GC §34090 Utilities 1 Oil UT-085 AQMD Permits & Reports (Oil & 5 years Mag, Ppr & Gas Gas) UT-086 Emergency Preparedness I Superseded Mag, Ppr Utilities 1 Oil GC § 34090 & Gas Hazardous Materials 2 years + 2 ears 8 CCR 5157(d)(14) & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 Lead Dept. UT-103 Confined Space Entries 2 years Mag, Ppr Generator Operation Logs & Department preference; AQMD Lead Dept. UT-104 Inspections - Fixed I Stationary 5 years 5 years Mag. Ppr Rule 1470; GC §34090 Generators Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT-105 Inspections - Portable 1 5 years 5 years Mag, Ppr 400—E-13a instructions, GC Emergency Generators §34090 Life of Mag, Mfr, Utilities 1 Manuals - Operation and Life of Oil &Gas UT-017 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GC §34090 equipment 2 Years P Utilities 1 UT-018 Oil and Gas Production: Wells, P Mag, Mfr, S Yes, After Department Preference; GC Oil & Gas Pumps, Condemnations I OD, Ppr QC §34090 Department Preference; Claims Utilities 1 Mag, Mfr, S Yes: After can be made for 30 years for Oil & Gas UT-019 Oil and Gas Remediation 2 years P P OD, Ppr QC toxic substance exposure; 8 CCR Oil and Mineral Rights P I §3204(d)(1) et seq., GC §34090 Utilities 1 UT-020 P Yes Mag, Mfr, S No Department Preference; GC Oil & Gas OD, Ppr §34090 2 years Mag, Ppr GC §34090 Util ities 1 UT-021 Oil Production Report Tickets 1 2 years Oil &Gas Run Tickets CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute Wthout prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-142 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-6 Office of Record ! Classification OR Records Description Retention J Disposition Comments J Reference File Number - - - I Image: ' Destroy (OFR) Active Inactive (Off -site, Total Media Vital? I=Im ort Paper after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan Warnin s! If the record is not listed here, refer to the Retention for City -ode Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y i2en`ormed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Oil Well Information (Fire Utilities / UT-022 Protection System Plans, Life of the Well Life of the Mag, Mfr, Department Preference; Yes: After Oil & Gas Inspections, Sprinklers, + 10 Well + 10 Yes (all) OD, Ppr S/I Inspections required for 3 years; QC Evacuation Plans, etc.) years years UFC §103.3.4 Life of the Oil Well Information and Life of the Utilities / Inspections - All : (Fire Protection Mag, Mfr, Department Preference; Yes: After Oil &Gas UT-023 System Plans, Inspections, Well + 10 Well + 10 Yes (all) OD, Ppr S/I Inspections required for 3 years; QC Sprinklers, Evacuation Plans, etc.) years years UFC §103.3.4 Utilities ! UT-024 Oil Well Inspections (Division of 10 ears y ( ) Mag, Mfr, Yes all S/I Department Preference; Yes: After Inspections required for 3 years; 10 ears y Oil & Gas Gas, Fire, Fish & Game, etc.) OD, Ppr QC UFC §103.3.4 Expiration o Permit + 2 Expiration of Utilities / UT-025 Permits (Coastal Permits, AQMD, permit + 2 Mag, Mfr, S Yes: After Department Preference; GC Oil & Gas etc.) OD, Ppr QC §34090 years ears Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & Project Files: Administration After + 10 years !Omissions is 10 years; Published Files (CIP and Maintenance Funding or Aft er Audit Standards=4-7 years; Public Works or Utilities ! UT-027 projects): Project Administration, Upon Agency Funding Yes: Until MagMfr Statute of Limitations: Contracts Yes: After Project Schedules, Meeting Completion Audit, if Agency Completed OD,, Ppr, S & Spec's=4 years, Wrongful QC Oil & Gas Minutes, Certified Payrolls, required, Audit, if Death=comp. + 5 years, Invoices, Relocation Assistance, whichever is required, Develope rs=comp. + 10 years, etc. longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-143 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-7 Office of Record Classification Records Description OR Retention l Disposition Comments I Reference File Number l Image: Destroy { (OFR) Active Inactive (Off -site, Total Vital? Media I=Import Paper after (in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Reports, Notice of Completion, Department Preference; Public Works UT-026 Project Study Reports, Record Upon P P Yes: Until Mag, Mfr, S Yes: After Retained for disaster Drawings ("As Builts"), Regulatory Completion Completed OD, Ppr QC preparedness purposes; GC Agency Approvals, Soils Reports, §34090.7 Structural Calculations, Surveys, etc. Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities / Project Files: Utilities UT-028 Upon Agency Funding Agency Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Oil & Gas Maintenance Projects Completion Audit, if Audit, if Completed OD, Ppr S QC & Spec's=4 years, Wrongful Death=comp. + 5 required, years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC •; §34090 Reports to Regulatory Agencies - Utilities / UT-087 Oil & Gas: Reports relating to 10 years P P Mag, Mfr, S Yes: After Department preference; GC Oil & Gas Environmental (Pollution Control), OD, Ppr QC §34090 _Oil Operations, Royalties, etc. Utilities / UT-088 Reports to SCAQMD (operation of 5 years r5ye ars Mag, Ppr Department preference; GC Oil & Gas fixed generators, etc.) §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-144 Ver.26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-8 Office of Record Classification OR Records Description Retention 1 Disposition Comments I Reference File Number Destroy Image: I Active Inactive Total Media Paper I=Import (OFR) (in office) (Off -site, Retention Vital? Options after M=Mfr OD or Mfr) Imaged & S=Scan Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement). STORM DRAINS Storm Drain Video Inspection When en Utilities UT-114 Reports I Video or Digital Superseded Mag Ppr Department Preference; GC / Storm Drain Recordings - Regular (minimum 1 rSuperseded mum §34090 et seq. Inspections_ year) arStorm Drain Video Inspection _ When Transitory record; not part of en Utilities UT-1 15 Reports 1 Video Tapes or Digital Superseded Superseded Mag overall program administered by I Storm Drain Recordings - Spot Checks I (minimum 1 (minimum PW Administration; GC §34090 Inspections ear) 1 ear) et se . WASTEWATER Utilities 1 UT-089 AQMD Permits & Reports 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 (Wastewater) _Wastewater Utilities / Wastewater UT-029 Chemical Usage 3 years 3 years Mag, Mfr, a Ppr S / 1 Yes: After QC Code of Federal Regulations requires 3 years; 40 CFR 122.41(�)(2) Utilities 1 UT-031 iDaily Division Work Diaries ("Red 3 years 3 years Mag, Mfr, S l 1 Yes: After Consistent with work orders; GC Wastewater Books") (Operator's daily logs) OD, Ppr QC §34090 Lead Dept, UT-106 Confined Space Entries 2 years 2 years {Mag, Ppr 8 CCR 5157(d)(14} & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 Generator Operation Logs 8 Lead Dept. UT-107 Inspections - Fixed I Stationary 5 years 5 years Mag. Ppr Department preference; AQMD Generators Rule 1470; GC §34090 Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. UT-108 Inspections - Portable 1 5 years 5 years Mag, Ppr 400—E-13a instructions, GC Emergency Generators §34090 Life of Manuals - Operation and Utilities 1 Life of Mag, Mfr, Wastewater UT-032 Maintenance for various Equipment Equipment OD, Ppr S No Administrative value; GG §34090 equipment CITY OF NEWPORT BEACH, CA. ©2003-06 Gladmll Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/1612022 3-145 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-9 Office of Record Classification Records Description OR p Retention 1 Disposition p Comments 1 Reference File Number Destroy Image: (OFR ) Active Inactive (Off -site, Total Vital? Media Paper I=Import after (in office) OD or Mfr) Retention Options M=Mfr Imaged 8 S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Lead Dept. (General Services, Monitoring records required for 3 Public UT-033 NPDES Monitoring Reports 3 years 3 years Mag, Ppr lyears; 40 CFR §§122.21, 122.41, Works, or 122.44 Utilities) When No When No Orange 1 NPDES Permit (Issued to the Yes: Until County UT-034 County) Longer Longer Expiration Mag, Ppr GC §34090.7 Required Required - - _ - 1Some grant funding agencies require audits; Statute of (Limitations 10 years or Completion for Errors & After + 10 years Omissions is 10 years; Published Project Files: Administration Funding or After Audit Standards=4-7 years; Public Works Files (CIP and Maintenance Upon AgencyYes: Funding Until Mag, Mfr, Statute of Limitations: Contracts Yes: After or Utilities / UT-036 projects): Project Administration, Completion Audit, if Agency Completed OD, Ppr S & Spec's=4 years, Wrongful QC Wastewater C69Certified Payrolls, Invoices, required, Audit, if Death=comp. + 5 years, Relocation Assistance, etc. whichever is required, Developers=comp. + 10 years; longer whichever is I Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-146 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-10 Office of j Classification Records Description Retention / Disposition Comments ! Reference Record OR File Number Image: Destroy Active Inactive Total Media 1=Import Paper I� (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin s! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records reguests, and/or investi ations suspend normal retention periods retention resumes after settlement). Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Reports, Notice of Completion, Upon Yes: Until Mag, Mfr, Yes: After Retained for disaster Public Works UT-035 Project Study Reports, Record Completion P P Completed OD, Ppr S QC preparedness purposes; GC Drawings ("As Builts" ), Regulatory §34090.7 Agency Approvals, Soils Reports, Structural Calculations, Surveys, ;etc' - --- __ Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities / UT-037 Project Files: Utilities Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Statute of Limitations: Contracts Wastewater Maintenance Projects Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful required, Audit, if Death=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Reports to Regulatory Agencies - Utilities / Wastewater: Monthly and Mag, Mir, Hazmat discharge records are Yes: After UT-038 Wastewater Quarterly Reports, including 5 years 5 years OD, Ppr S / I required for 3-5 years; 40 CFR OC - backup data --- -P I- - 122.410)(2) 5 ears y Utilities / UT-090 Reports to SCAQMD (operation of 5 ears y Ma Ppr 9, 'Department preference; GC Wastewater fixed generators, etc. g } - §34090 5 years Utilities ! SanitarySills and Overflows UT-039 5 years 5 years Mag, Mfr, S / Yes: After If treating water, required for 5 Wastewater SSOs ( } OD, Ppr QC years; 40 CFR 122.410)(2) CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-147 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-11 Office of I Record Classification Records Description OR Retention I Disposition Comments ! Reference File Number I 1 - Destroy Image: Active Inactive Total I Media Paper 1=Import (OFR) (in office) (Off -site, Retention Vital? Options after M=Mfr i OD or Mfr) Imaged & S=Scan Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests and/or investi ations suspend normal retention periods retention resumes after settlement). Utilities / Sanitary Surveys of Drinking -040 2 years 8 years 10 years Mag, Mfr, Yes: After' S ! I 22 CCR §64470 Wastewater Water Systems OD, Ppr QC Utilities / UT-042 Sewer Line Maintenance (reports, y 10 ears Life of the - ' Mfr, I, Mag _- S ! I Yes: After Department Preference; GC Life of the Wastewater records, work orders) Sewer Sewer OD, Ppr Q_ C §34090 Sewer System Management Plan Department preference; SSOs Utilities I (SSMP) and Audits I Sanitary are required for a minimum of 5 Wastewater UT-098 (Spills Overflow Prevention Plan 5 years 5 years Mag, Ppr years; 40 CFR 122.410)(2); and Sanitary Sewer � SWRCB Order 2006-03; GC �(SSOPP) Overflow Response Plan §34090 Department preference; POTW Utilities / UT-113 Source Control ! Grease Disposal Expiration + Expiration + Ma P r g' p reports are required for 3 years; Wastewater Permits 3 years 3 years 140 CFR §§122.21, 122.41-1 40 CFR 403.12; GC §34090 Source Control ! Pretreatment Department preference; POTW Utilities / Wastewater UT-099 Annual / Semi -Annual Reports ! 3 years 3 years Mag, Ppr reports are required for 3 years; �40 CFR §§122.21, 122.41; 40 FOG (Fats, Oil & Grease) CFR 403.12; GC §34090 Life of Utilities / UT-043 Station Maintenance Logs ! Job i Life of Mag, Ppr Department Preference; GC Wastewater _ Logs (Pumps, Well Logs, etc.) Station_ Station _ §34090 When Utilities / Video Inspection Reports / Video Wastewater When Department Preference; GC or Public UT-044 or Digital Recordings - Regular Superseded Superseded Mag Ppr §34090 et seq. Works Inspections Utilities 1 Video Inspection Reports /Video When No Transitory record; not part of When No Wastewater UT-045 Tapes or Digital Recordings - Spot Longer Longer Mag overall program administered by or Public I Checks I Inspections Required Required PW Administration; GC §34090 Works et seq. Utilities / Waste Discharge Requirements jMonitoring records required for 3 Wastewater UT-091 Permit Fee 3 years 3 years Mag, Ppr !years; 40 CFR §§122.21, 122.41, 122.44 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-148 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-12 Office of Classification Record OR Records Description Retention I Disposition Comments I Reference File Number Destroy Inactive Image: Paper (OFR) Active Total (Off -site, Vital? Media I=Import offer (in office) Retention OD or Mfr) Options M=Mfr Imaged & S=Scan Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e.g. last document + 2 years), since destruction is non-naily performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records re nests, and/or investi ations suspend normal retention periods retention resumes after settlement). Wastewater Lateral Dig Out Department Preference to cover Utilities 1 UT-046 Agreements (private digging - we 7 years 7 years Mag, Mfr, 51 I Yes: After the period of time negative Wastewater have billing records) OD, Ppr QC information remains on consumer credit ratings; GC §34090 WATER Department preference; State Utilities 1 Water OT-047 Annual Water Quality Report (Consumer Confidence Report) 1 Public Water System Statistics 10 years P P Mag, Mfr, OD, Ppr S 1 I Yes: After law requires 12 years, federal 10 QC years; 40 CFR 141.33(a); 22 CCR §64470; 22 CCR §64483; _ GC §34090 Utilities 1 UT-048 AOMD Permits 5 years 5 years Yes: Until MagMfr, , , 5 1 I Yes After 40 CFR 70.6; GC §34090 Water _ Completion OD, Ppr Expiration !Department Preference; Meets Utilities / UT-049 Backflow Inspections/Approvals 5 years 5 years Ppr California Department of Health Water requirements (3 years); GC §34090; 17 CCR 7605 12 years Utilities 1 Calibration Records (Lab UT-050 2 years 10 years Mag, Mfr, S 1 I Yes: After Consistent with Chemical Water Equipment) OD, Ppr QC Reports; 40 CFR 141.33(a) 10 years Chains of Custody / Water Utilities ! UT-075 2 years 8 years Mag, Mfr, S / 1 Yes: After 40 CFR 141.33(a); 22 CCR Water Analysis & Sampling: Chemical _O_ D_, Ppr QC §64470 Lead and Copper are required for Chains of Custody 1 Water 12 years or 2 compliance cycles Utilities 1 _ UT-076 Analysis &Sampling: Lead & 2 years 10 Vears 12 years Mag, Mfr, S I I Yes: After (some compliance cycles are p y Water Copper OD, Ppr QC nine years); 22 CCR 64401 r22 CCR §64470, 40 CFR 141.33(a); 40 CFR 141.91 CITY OF NEWPORT BEACH, CA. 002003-06 Gi Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adapted 3/16/2022 3-149 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-13 Office of Record Classification i Records Description OR Retention ! Disposition Comments 1 Reference File Number Image: Destroy Inactive Active Total Media I=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 130 years if employer qualifies as Utilities / Chemical Use Report Form / Mag, Mfr, hazardous material exposure & Yes: After Water UT-051 Material Safety Data Sheet 2 years 28 years 30 years OD, Ppr S required to file MSDS; reports are QC (MSDS) / Safety Data Sheet (SDS) mailed to the County; 8 Cal. Code Reg. 3204(d)(1)(A) 2 years Lead Dept. UT-109 Confined Space Entries 2 years Mag, Ppr 18 CCR 5157(d)(14) & (e)(6); 29 CFR 1910.146(e)(6); GC §34090 Public Works UT-053 Construction Meters / Logs Expiration + Mag, Ppr ,GC 34090 § Expiration + (temporary) - 2 years 2 ears Department Preference; Records of actions taken to correct Utilities / UT-054 Correspondence with Regulatory 25 years P P Mag, Ppr violations are required for 3 Water Agencies years; Reports are required for 10 years GC §34090 40 CFR 141.33(b, c) - - Utilities / UT-055 Cross Samples Mag, Mfr, Department Preference to cover Yes: After' Water -Connection 12 years 12 years OD, Ppr S / I QC Lead and Copper retention requirements; 40 CFR 122.91 Customer Concerns /Customer 5 years is required in State and Utilities / UT-092 Complaints / Reports: Odor / Taste' 5 years 5 years Mag, Ppr Federal law for any complaints, Water / Visual Complaints - Drinking 140 CFR 122.410)(2) & 40 CFR Water .141.33(b); 22 CCR 64470 Life of Equipment Utilities / Water UT-056 Equipment Binders Life of Equipment Mag, Mfr, OD, Ppr S -S No .Administrative value; GC §34090 P Utilities / E ui ment Repair Orders UT-057 Equipment P I Ma Mfr, / I : A -- - Yes: After ,Administrative Value; GC §34090 Water includes pumps, -etc.) - �Gennerator OD. Ppr_ Operation Logs & Lead Dept. p UT-1 Inspections - Fixed l Stationary3 y ears 3 ears y Mag, Ppr g p AQMD Rule 1470; GC §34090 Generators CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-150 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-14' Office of Record j Classification I Records Description OR Retention l Disposition Comments I Reference File Number _ Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & : Warnings! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full Me folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records re nests, and/or investi ations suspend normal retention periods retention resumes after settlement). !Generator Operation Logs & IAQMD Rule 1470; Form Lead Dept. UT-111 Inspections - Portable l 5 years 5 years Mag, Ppr I400-E-13a instructions, GC Emergency Generators §34090 Utilities 1 Hydrant and Valve Maintenance, Transitory records (source Water UT-058 Hydrant Flush (Route Forms) 1 year 1 year Mag, Ppr records entered into the database); GC §34090 3 ears Utilities / Job Log Books (Operator's daily UT-059 3 ears Mag, Mfr, S / I Yes: After ,Consistent with work orders; GC Water logs)_ I -- OD, Ppr QC 11§34090 Utilities 1 UT-060 Manuals - Operation and Maintenance for various -- Life of Life of - Mag Mfr, S No 'Administrative value; GC §34090 Water equipment Equipment Equipment OD, Ppr Utilities 1 I UT-061 Meter History (Meter Service Life of the Mag, OD, S / I Yes: After Department Preference; GC Life of the Water Cards) Meter Meter Mfr, Ppr, QC §34090 P Utilities 1 UT-062 Meter Sets &Installs P Mag, OD, S / I Yes: After Department Preference; GC Water Mfr, Ppr QC §34090 5 years Utilities 1 UT-063 Monthly Water Production Reports 2 years 3 years Water Mag, Ppr Consistent with other auditing standards; GC §34090 j Covers statute of limitations for Utilities / UT-064 Permits: Natural Gas, Propane, Expiration + Expiration + Yes: Until MagPpr p !contracts (4 years); Statewide Water etc. 4 years 4 years Completion ' guidelines propose Permanent; CCP § 337 et. Seq.; GC § 34090 CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-151 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-15 Office of Classification Records Description Retention 1 Disposition Comments / Reference Record OR File Number Image: Destroy . Active Inactive Total Media Paper 1=Import OFR ( ) (in office) Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. q last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). !Some grant funding agencies require audits; Statute of 10 years or Completion Limitations for Errors & Project Files: Administration After + 10 years Omissions is 10 years; Published Files (CIP and Maintenance Funding or After Audit Standards=4-7 years; Public Works projects): Project Administration, Upon Agency Funding Yes: Until Mag, Mfr, � Yes: After Statute of Limitations: Contracts or Utilities / UT-066 Project Schedules, Meeting Completion Audit, if Agency Completed OD, Ppr S QC & Spec's=4 years, Wrongful Water Minutes, Certified Payrolls, required, Audit, if Death=comp. + 5 years, Invoices, Relocation Assistance, whichever is required, Developers=comp. + 10 years: etc. longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 Project Files: CIP Projects - Permanent File: Plans, Specifications, Materials Testing Department Preference; Public Works' Reports, Notice of Completion, UT-065 Project Study Reports, Record Upon P P Yes: Until Mag, Mfr, Yes: After S Retained for disaster Drawings ("As Builts"), Regulatory Completion Completed OD, Ppr QC preparedness purposes; GC Agency Approvals, Soils Reports, §34090.7 Structural Calculations, Surveys, etc. CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-152 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-16 Office of Classification I Records Description Retention 1 Disposition Comments / Reference Record OR File Number Image: Destroy Active Inactive Total Media I=Import Paper (OFR) (in office) (Off -site OD or Mfr) Retention Vital? Options after M=Mfr Imaged & S=Scan Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). iSome grant funding agencies 'require audits; Statute of 10 years or Completion I ;Limitations for Errors & After + 10 years Omissions is 10 years; Published Funding or After Audit Standards=4-7 years; Utilities ! Project Files: Utilities Upon Agency Funding Yes: Until Mag, Mfr, Statute of Limitations: Contracts Yes: After Water UT-067 Maintenance Projects Completion Audit, if Agency Completed OD, Ppr S OC !& Spec's=4 years, Wrongful required, Audit, if iDeath=comp. + 5 years, whichever is required, Developers=comp. + 10 years; longer whichever is Statewide guidelines propose longer termination + 5 years; CCP §§336(a), 337 et. seq., GC 5 ears Y Utilities ! Report. MWDOC 5 Year UT-093 5 ears Y Ma P r 9, P 1 (Department preference; GC Water Pro ection 1 4 §34090 Reports to Orange County Water Utilities ! !Department preference; GC Water UT-094 District: Groundwater Pumping & 5 years 5 years Mag, Ppr §34090 Billing, Annexation C95ee, etc. _ 5 years Utilities I IReports to SCAQMD (operation of UT-095 5 years Mag, Ppr ( (Department preference; GC Water fixed generators, etc.) 1§34090 P Utilities / Reservoirs: Reports, Inspections, UT-097 10 years P Mag, Mfr, Yes: After Department preference, GC S / I Water etc. OD, Ppr QC §34090 Utilities / UT-068 Routes (Reading, etc.) When Mag, Ppr ;Transitory Records, GC§34090 When Water Superseded Superseded !et seq. Indefinite Utilities ! UT-069 Service Request Database Indefinite Yes Mag :Records are interrelated; GC Water _ §34090 Life of Utilities ! UT-070 Station Maintenance Logs ! Job Life of Ma P r g' P Department Preference; GC Water Logs (Pumps, Well Logs, etc.) Station Station 34090 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-153 Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES Page U-17 Office of Record Classification OR Records Description Retention t Disposition Comments t Reference File Number Image: Destroy Active Inactive Total Media 1=Import j Paper (OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged & Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder. HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). Utilities ! UT-071 System Chlorination & Fluoridation 2 Mag, Mfr, Yes: After State law requires 12 years, Water years 10 years 12 years OD, Ppr S / I QC Federal 10 years; 40 CFR _ 141.33(a) Indefinite Utilities / UT-072 Valve Turning Data Indefinite Mag Records are interrelated; GC Water 1 §34090 Vulnerability Assessment / Utilities / UT-077 Emergency Response Plan I Risk Superseded Ma Ppr g' p Highly Confidential; 42 USC 300i- Water & Resiliency Assessment / Hazard + 5 years 2(de), GC §34090 _ Mitigation Plan Utilities / Water Districts (outside agencies) When No j _ Non -Records used for Water UT-073 / Projects outside City Boundaries Longer H5e Mag, Ppr administrative purposes; GC - Required - §34090 Department Preference; Actual laboratory reports may be kept, Utilities / UT-074 Water Reports, Sampling & Testing: Bacteriological & 2 Mag, Mfr, or data may be transferred to Yes: After Water years 3 years OD, Ppr S ! I tabular summaries; State law QC Organics requires 5 years-, 40 CFR 141.33(a) and (b)(1); 22 CCR §64470 CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-154