HomeMy WebLinkAbout05 - Amendments to the Records Retention Schedule and City Council Policy A-11 (Recording of Open Meetings)5-1
NEWPORT BEACH
City Council Staff Report
COUNCIL STAFF REPORT
CITY OF
April 12, 2016
Agenda Item No. 5
ABSTRACT:
At the May 13, 2014 City Council meeting, the City Council approved Resolution
No. 2014-35 adopting the updated Records Retention Schedule (RRS) which, among
other things, allowed the City Clerk, City Manager and City Attorney to make minor
non-substantive revisions to the RRS, provided a copy of all changes are made
available to the City Council for review. Major or substantive revisions to the RRS are
required to be considered by the City Council for review and approval. Attached to this
staff report is a list of proposed amendments that require City Council review and
approval. Our office is also recommending revisions to City Council Policy A-11 to
promote efficiency and remove duplication associated with the storage of audio and
video files.
RECOMMENDATION:
Adopt Resolution No. 2016-48, A Resolution of the City Council of the City of Newport
Beach, California, Amending Certain Sections of the Records Retention Schedule,
Authorizing Destruction of Certain City Records, and Amending City Council Policy A-11
(Recording of Open Meetings).
FUNDING REQUIREMENTS:
There is no fiscal impact related to this item.
DISCUSSION:
In August 2003, the City adopted a RRS, which among other things, provided record
descriptions and retention periods. Since then the City Council has approved a revised
TO:HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM:Leilani I. Brown, City Clerk – 949-644-3005
lbrown@newportbeachca.gov
PREPARED BY:Cristal McDonald, Deputy City Clerk
cmcdonald@newportbeachca.gov
PHONE:949-644-3005
TITLE:Amendments to the Records Retention Schedule and City Council
Policy A-11 (Recording of Open Meetings)
Amendments to the Records Retention Schedule and
City Council Policy A-11 (Recording of Open Meetings)
April 12, 2016
Page 2
5-2
RRS in 2006 and 2014. The purpose of the revisions was to keep the RRS up-to-date.
The City’s consultant, Gladwell Governmental Services, Inc. (Gladwell), who specializes
in local government records, periodically reviews the RRS and provides recommended
updates.
On May 13, 2014, the City Council approved an amendment to City Council Policy A-11,
Recording of Open Meetings. This amendment required an increased retention of
Boards, Commissions and Committees audio recordings from 30-days to 1-year, except
for Planning Commission audio recordings, which are permanent.
City Council meetings are recorded and permanently maintained as video, it is
duplicative to retain the audio. Staff proposes to amend City Council Policy A-11 to
allow destruction of the City Council audio recordings upon verification the permanent
City Council video is loaded into the City’s document imaging system and meeting
minutes are approved. If no such video exists, the audio will become the permanent
record and will be loaded into the document imaging system.
In September 2014, the City Clerk’s Office worked with staff from various City
Departments on records management. During these sessions, staff helped the City
Clerk’s Office learn about their specific records. This collaboration generated the need
to reexamine the RRS for additional changes. Following this collaborative process, it
was apparent that another extensive update to the RRS was necessary. In October
2015, the City Clerk’s Office obtained the services of a temporary Records Manager to
assist staff with records management and proposed revisions to the RRS.
The temporary Records Manager and Gladwell have reviewed staff’s requested
revisions to the RRS. Based on best practices, they both agreed that the recommended
changes are acceptable. The requested changes have been approved through the City
Attorney’s Office.
At the City Council Study Session on March 22, 2016, City Council and the public were
provided an overview of the eight (8) changes requiring City Council approval. Although
Executive Management is authorized to make minor non-substantive changes to the
RRS, the changes outlined in Attachment A, Exhibit 1, are substantive in nature and
require City Council review and approval. In addition, the City Clerk believed this was an
opportunity for the City Council and the public to comment on the recommended action
in its entirety. Therefore, all suggested changes are attached hereto as Attachment C.
The City’s current RRS is available in the City Clerk’s Office for inspection.
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
Amendments to the Records Retention Schedule and
City Council Policy A-11 (Recording of Open Meetings)
April 12, 2016
Page 3
5-3
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).
ATTACHMENTS:
Attachment A - Resolution No. 2016-48
Exhibit 1 to Attachment A – Proposed Substantive Changes
Exhibit 2 to Attachment A – City Council Policy A-11
Attachment B – City Council Policy A-11 (redline)
Attachment C – Proposed Non-Substantive Changes
RESOLUTION NO. 2016-48
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NEWPORT
BEACH, CALIFORNIA, AMENDING CERTAIN SECTIONS OF THE RECORDS
RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF CERTAIN CITY
RECORDS, AND AMENDING CITY COUNCIL POLICY A-11
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, Sections 34090 et seq. of the Government Code of the State of California
provide a procedure whereby any City record which 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, the City Council adopted Resolution No. 2003-39, adopting the initial
Records Retention Schedule in 2003;
WHEREAS, the City Council revised the Records Retention Schedule through the
adoption of Resolution No. 2006-104, Resolution No. 2011-18, and Resolution No. 2014-35;
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;
WHEREAS, the City Council authorizes certain portions of the Records Retention
Schedule to be amended as set forth in Exhibit 1; and
WHEREAS, all previously adopted and unchanged sections of the Records Retention
Schedule shall remain in effect as adopted by Resolution No. 2014-35.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF NEWPORT BEACH
DOES RESOLVE AS FOLLOWS:
Section 1. The term “records” as used herein shall include documents, instructions,
books, microforms, electronic files, magnetic tape, optical media, papers, or other items, as
defined by the California Public Records Act.
Section 2. The amended portions of the Records Retention Schedule, as set forth in
Exhibit 1, attached hereto and incorporated herein by this reference, are hereby authorized to
be destroyed as provided by Sections 34090 et seq. of the Government Code of the State of
California and in accordance with the provision of said schedule upon the request of the
Department Directors and with the written consent of the City Attorney, without further action
by the City Council of the City of Newport Beach.
ATTACHMENT A
5-4
Resolution No. 2016-48
Page 2 of 2
Section 3. Since amendments to the Records Retention Schedule, as approved by
the City Council pursuant to this resolution, cause City Council Policy A-11(Recording of Open
Meetings) to be inconsistent, the City Council hereby adopts an amended version of City
Council Policy A-11, as set forth in Exhibit 2, attached hereto and incorporated herein by
reference.
Section 4. The City Council finds 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.
Section 5. The recitals provided above are true and correct and incorporated into the
operative part of this resolution.
Section 6. If any section, subsection, sentence, clause or phrase of this resolution is, for
any reason, held to be invalid or unconstitutional, such decision shall not affect the validity or
constitutionality of the remaining portions of this resolution. The City Council hereby declares that
it would have passed this resolution, and each section, subsection, sentence, clause or phrase
hereof, irrespective of the fact that any one or more sections, subsections, sentences, clauses or
phrases be declared invalid or unconstitutional.
Section 7. 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 12th day of April, 2016.
________________________________
Diane B. Dixon
Mayor
ATTEST:
________________________________
Leilani I. Brown
City Clerk
Exhibits:
(1) Amended Sections to the Records Retention Schedule
(2) Revised City Council Policy A-11
5-5
2016 Records Retention Schedule Update - Proposed Substantive Changes
Department/Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN (City Wide (CW) can be
included
1
X CCO CCO CC-007
Audio Recordings of
Council meetings, and all
Boards and Commission
and Committees Except
Planning Commission
and City Council
Retention requirements remain the same
2 X FIRE FR FR-017 Training Database Fire never had and/or maintained such database
3 X Library Services Lead Dept LS-022 Leave Request No longer part of Library Services business process
4 X Library Services Lead Dept LS-032 Work Schedules No longer part of Library Services business process
5
X MOD MOD MOD-003; MOD-
024
Daily Division Work
Diaries ("Red Books")
Active Retention 2 10 years; Inactive Retention 5 20
years; Total Retention 7 30 years;
Comments/References Department Preference - some
incidents could involve an exposure to toxic substances;
8 CCR §3204(d)(1) et seq., CCP §§337 et seq., GC §34090
6
X MOD MOD MOD-006
DMV ETP Renewal
Application and
Renewals
No longer part of Municipal Operations business process
7
X PD PD PD-031
Back up Tapes - Daily -
Network, all files on
Shared Drives
(Autochangers)
No longer part of Police Department business process
8 X RS RS RS-010 School District Facility
Use Forms No longer part of Recreation Services business process
Action Requested
Exhibit 1
5-6
A-11
1
RECORDING OF OPEN MEETINGS
A. All regular meetings of the City Council shall be recorded. Open and public
meetings of City Boards, Commissions and Committees (collectively, “BCC”)
may be audio recorded upon request of the chairperson or pursuant to any
procedural rule or by-law adopted by the BCC.
B. Any person attending an open and public meeting of the City Council or any
BCC shall have the right to record the proceedings with an audio or video tape
recorder or a still or motion picture camera unless the City Council or BCC
determines, based upon evidence in findings made by the Mayor or chairperson,
that continued recording would create noise, illumination, or view obstruction
problems that are disrupting or would disrupt the proceedings. The Mayor or
chairperson of any BCC may impose conditions on any recordation, which in the
absence of the conditions, would disrupt the proceedings.
C. Any audio tape or video record of any open and public meeting made by or at
the direction of the City of Newport Beach shall be subject to inspection pursuant
to the California Public Records Act (Sections 6250 et seq. of the Government
Code). Notwithstanding the provisions of Section 34090 of the Government
Code, any audio or video recording of any open or public meeting of any BCC
may be erased or destroyed one-year after the taping or recordation, excluding
Planning Commission as those are kept permanent. If a City Council meeting
has simultaneously recorded audio and video, the audio recording may be
destroyed after the City Council meeting minutes for that meeting have been
approved by the City Council and the video recording has been uploaded to the
document imaging system. Any person may inspect a video or audio recording
without charge on a recorder made available by the City of Newport Beach.
Adopted - November 13, 1967
Amended - June 13, 1977
Amended - October 25, 1977
Amended - February 9, 1981
Amended - January 24, 1994
Amended - February 27, 1995
Amended – May 13, 2014
Amended – April 12, 2016
Formerly A-6
Exhibit 2
5-7
A-11
1
RECORDING OF OPEN MEETINGS
A. All regular meetings of the City Council shall be tape-recorded. Open and public
meetings of City Boards, Commissions and Committees (collectively, “BCC”)
may be tape audio recorded upon request of the chairperson or pursuant to any
procedural rule or by-law adopted by the BCC.
B. Any person attending an open and public meeting of the City Council or any
BCC shall have the right to record the proceedings with an audio or video tape
recorder or a still or motion picture camera unless the City Council or BCC
determines, based upon evidence in findings made by the Mayor or chairperson,
that continued recording would create noise, illumination, or view obstruction
problems that are disrupting or would disrupt the proceedings. The Mayor or
chairperson of any BCC may impose conditions on any recordation, which, in the
absence of the conditions, would disrupt the proceedings.
C. Any audio tape or film video record of any open and public meeting made by or
at the direction of the City of Newport Beach shall be subject to inspection
pursuant to the California Public Records Act (Sections 6250 et seq. of the
Government Code). Notwithstanding the provisions of Section 34090 of the
Government Code, any audio tape or film video recording of any open or public
meeting of the City Council or any BCC may be erased or destroyed one-year
after the taping or recordation, excluding Planning Commission as those are kept
permanent. If a City Council meeting has simultaneously recordedbeen both
audio recording and video recording, the audio recording may be destroyed
after the City Council meeting minutes for that meeting have been approved by
the City Council and the video recording has been uploaded to the document
imaging system. Any person may inspect a video or a tape audio recording
without charge on a recorder made available by the City of Newport Beach.
Adopted - November 13, 1967
Amended - June 13, 1977
Amended - October 25, 1977
Amended - February 9, 1981
Amended - January 24, 1994
Amended - February 27, 1995
Amended – May 13, 2014
Amended – April 12, 2016
Formerly A-6
ATTACHMENT B
5-8
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Citywide Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X CW Lead Dept.CW-005 Advertising (Legal)/Advertising Log Retention requirements remain the same
2 X CW Lead Dept.CW-018
Boards, Commissions & Committees:
Citizens Advisory Formed by CITY
COUNCIL (AGENDAS, NOTICES,
AFFIDAVITS OF POSTINGS, PROOF OF
PUBLICATIONS, etc.) (i.e., Civil Service
Board, Board of Library Trustees, and
Building and Fire Board of Appeals)
Active Retention Minimum 2 Years; Total Retention
Minimum 2 Years
3 X CW Lead Dept.CW-019
Boards, Commissions & Committees:
Citizens Advisory Formed by CITY
COUNCIL (MINUTES & BYLAWS) (i.e.,
Civil Service Board, Board of Library
Trustees, and Building and Fire Board of
Appeals. except For Council and
Planning Commission - See City Clerk's
and Planning's Schedule)
Retention requirements remain the same
4 X CW Lead Dept.CW-024
Cash Reciepts Details/Backup/ Credit
Card Receipts/ Accounts Receiveable
(Except Library)
Retention requirements remain the same
5 X CW Lead Dept.CW-076 Class and Camp Registrations & Waivers
& Rosters - ALL
Active Retention 2 Years; Total Retention 2 Years; Vital
'Yes: During Class or Program Media Options: Mag, Ppr;
Comments/References GC §34090
6 X CW Lead Dept.CW-033
Correspondence -
TRANSITORY/PRELIMINARY DRAFTS,
Interagency and Intraagency
Memoranda not retained in the
ordinary course of business (e.g.,
Undeliverable Public Hearing Notices
Consult the City Clerk Attorney to determine if a record
is considered transitory/preliminary drafts. GC §34090,
GC §6252; 64 Ops. Cal. Atty. Gen 317 (1981)
Action Requested
ATTACHMENT C
5-9
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Citywide Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
7 X CW Lead Dept.CW-035
Grants/CDBG/Reimbursable Claims
(SUCCESSFUL Reports, other records
required to pass the funding agency's
audit, if required
Comments/Reference; Meets auditing standards; Grants
covered by a consolidated action plan are required for 5
years; Uniform Admin. Requirements for Grants to Local
Governments is 3 years from expenditure report or final
payment of grantee or subgrantee; statewide guidlines
propose 4 years; 2 CFR 200.33; 7 CFR 3016.42; 21 CFR
1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505,
570.490, & 570.502 (a&b), 28 CFR 66.42; 29 CFR 94.42;
40 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42 OMB Circlular
A-110 & A-133; GC §34090
8 X CW Lead Dept.CW-072
MSDS (Material Safety Data Sheets) /
Safety Data Sheets (SDS) / Chemical
Use Report Form (Or records of the
chemical/substance/agent, where &
when it was used
Retention requirements remain the same
9 X CW Lead Dept.CW-077 Dedications: Benches, Bricks, and Trees
Active Retention Permanent; Total Retention
Permanent; Media Options Mag, Mfr, OD, Ppr; Image: S;
Destroy Paper after Imaged & QC'd Yes: After QC & OD;
Comments/References GC §34090
10 X CW CCO CW-078
CC-047
Passport Transmittal Forms (Copies);
Miscellaneous Passport Information
Active Retention 1 Year; Total Retention 1 Year; Media
Option 'Ppr'; Comments/Reference U.S. State
Department, Passport Agency requires 1 Year (OFR is
U.S. Department of State); GC §34090.7
11 X CW Lead Dept.CW-054
Reference Materials: Policies,
Procedures, Brochures, Manuals,
Newsletters & Reports: Produced by
OTHER Departments
Retention requirements remain the same
12 X CW CW-055
Reference Materials: Policies,
Procedures, Brochures, Manuals,
Newsletters & Reports: Produced by
OUTSIDE ORGANIZATIONS
Retention requirements remain the same
13 X CW Lead Dept.CW-056
Reference Materials: Policies,
Procedures, Brochures, Manuals,
Newsletters & Reports: Produced by
YOUR Department
Retention requirements remain the same
Action Requested
5-10
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Citywide Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
14 X CW Lead Dept.CW-068
Training - ALL COURSE RECORDS
(Attendance Rosters, Outlines and
Materials; includes Ethics Training,
Safety Training & Tailgate Training
Meetings)
Retention requirements remain the same
Action Requested
5-11
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
City
Attorney
Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X CAO CMO CA-002 Code Enforcment No changes other than Office of Record
2
X CAO CA-004 Legal Documents:
Settlment Agreements
Destroy Paper after Imaged and QC'd? No Yes, After 10
years Comments/Reference; Department Preference;
CAO should always retain original, hard copies of all
settlement agreements; GC §34090
3
X CAO CAO CA-011
Lawsuits/Litigation/
Pitchess Motions
(Criminal - Contracted)
Retention requirements remain the same
4
X CAO CAO CA-013 Summons and
Complaints or Petitions
Active Retention 2 years; Total Retention 2 years; Media
Options Mag, Ppr; Comments/Reference GC §34090
Action Requested
5-12
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
City Clerk &
City Council
Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X COU COU COU-001 City Council
Correspondence
Record Classification move from COU-001 to CC - 062 -
Retention requirements remain the same
2 X CCO CCO CC-062 City Council
Correspondence
Active Retention; Duration of Office (minimum 2 years);
Total Retention Duration of Office (minimum 2 years)
3 X CCO CCO CC-061 Assessment District
Formation
Active Retention Permanent; Total Retention
Permanent; Vital Yes; Media Options Mag, Mfr, OD, Ppr;
Image S/I; Destory Paper after Imaged & QC'd Yes, After
QC; Comments/Reference Department Preference; GC
§34090
4 X CCO CCO CC-008
Boards, Commissions &
Committees -
Applications & Oath of
Office: Appointed
Retention requirements remain the same
5 X CCO
FIN AS/
Resource
Manag.
CC-010 Budgets (Final)Retention requirements remain the same
6 X CCO
HR/Risk
Managemen
t
CC-014 Claims (Liability Claims) HR is OFR - Refer to HR-037 & HR-038
7 X CCO CCO CC-015 Claims & Summons
Log/Database Retention requirements remain the same
8 X CCO CCO CC-016 Committee Rosters
Active Retention; When Superseded (minimum 2 years);
Inactive Retention; Permanent; Total Retention;
Permenant; Media Options Mag, Mfr, OD, Ppr; Image:
S/I; Destroy Paper after Imaged & QC'd 'Yes: After QC;
Comments/Reference Department Preference; GC
§34090
Action Requested
5-13
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
City Clerk &
City Council
Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
9 X CCO CCO CC-019
Economic Interest Filings
(FPPC 700 Series Forms -
Statement of Economic
Interests): Public
Officials/87200 Filers
(elected & not elected
includes City Council
members, Planning
Commission Members,
City Manager, City
Treasurer & City
Attorney)
Retention requirements remain the same; Department
Preference; City maintains copies only; original
statements are filed with FPPC; GC §81009(f)&(g), GC
§87200
10 X CCO CCO CC-054 FPPC Form 801 (Gift to
Agency Report)
Active Retention 7 4 years; Total Retention 7 4 years;
Media Options Mag, Mfr, OD, Ppr; Image S; Destroy
Paper after Imaged & QC'd Yes: After 2 years;
Comments/Reference - Must post on website; 2 CCR
18944.2 (c)(3)(G); GC §81009(e)
11 CCO CCO CC-055
FPPC Form 802 (Tickets
provided by Agency
Report)
Media Options Mag, Mfr, OD, Ppr; Image S; Destroy
Paper after Imaged & QC'd Yes: After 2 years;
12 X CCO CCO CC-063
FPPC Form 803
(Behested Payment
Report
Active Retention 'Permanent'; Total Retention
'Permanent'; Media Options Mag, Mfr, OD, Ppr; Image S;
Destroy Paper after Imaged & QC'd Yes: After 2 years;
Comments/References FPPC Regulation 18734(c); GC
§81009e
13 X CCO CCO CC-064 FPPC Form 804 (Agency
Report of New Positions)
Active Retention 'Permanent'; Total Retention
'Permanent'; Media Options Mag, Mfr, OD, Ppr; Image S;
Destroy Paper after Imaged & QC'd Yes: After 2 years;
Comments/References FPPC Regulation 18734(c); GC
§81009e
14 X CCO CCO CC-065 FPPC Form 805 (Agency
Report of Consultants)
Active Retention '7 years'; Total Retention '7 years';
Media Options Mag, Mfr, OD, Ppr; Image S; Destroy
Paper after Imaged & QC'd Yes: After 2 years;
Comments/References GC §34090; GC §81009e ; FPPC
Regulation 18734
Action Requested
5-14
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
City Clerk &
City Council
Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
15 X CCO CCO CC-057
FPPC Form 806 (Agency
Report of Public Official
Appointments)
Active Retention 7 2 years; Total Retention 7 2 years;
Media Options Mag, Mfr, OD, Ppr; Image S; Destroy
Paper after Imaged & QC'd Yes: After 2 years;
Comments/Reference - Must post on website; 2 CCR
18705.5; GC §81009(e)
16 X CCO CCO CC-059 Proclamations (City-
issued)Retention requirements remain the same
17 X CCO CCO CC-056 Summons Record Description moved to City Attorney Retention
Schedule as CA-013
18 X CCO CCO CC-047
Passport Transmittal
Forms (Copies);
Miscellaneous Passport
Information
Record Description moved to Citywide Retention
Schedule as CW-078
18 X CCO CCO CC-066
WORM / DVD-r / CD-r /
Blue Ray-R or other
unalterable media that
does not permit
additions, deletions, or
changes
Active Retention 'When Supersede'; Inactive Retention
'Permanent'; Total Retention 'Supersede/Permenant';
Media Options 'OD'; Comments/Reference For Legal
compliance for Trustworthly Electronic Records (when
the electronic record serves as the official record); GC
60200, 12168.7, EVC 1550, CCR 22620 et seq..
Action Requested
5-15
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
CMO/ IT Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1
X CM CM CM-002 Annexations: Working
Files
Active Retention 2 Years; Inactive Retention 3 Years;
Total Retention 5 2 Years; Media Options - Mag, Mfr, OD,
Ppr; Image: S/I; Destroy Paper after Imaged & QC'd 'Yes';
Comments/Reference - Department Preference
2
X IT IT IT-008 Email Archival
Active Retention 2 Years; Total Retention 2 Years; Vital
'Yes' Media Options - Mag; Comments/Reference -
Department Preference (most are preliminary drafts not
retained in the ordinary course of business - see City-
wide schedule); GC §34090 et seq.
3
X IT IT IT-001
Backups - DAILY -
Network, Applications
(Enterprise-wide), All
Files and on Shared
Drives (Autochangers)
Comments/Reference; Used for Disaster Recovery
Purposes Only; Considered a copy and can be destroyed
when no longer required; tapes are in autochangers and
are overwritten; GC §34090 et seq.
4
X IT IT IT-002
Backups - WEEKLY -
Network, Applications
(Enterprise-wide), All
Files and on Shared
Drives
Comments/Reference; Used for Disaster Recovery
Purposes Only; Store off-site in commerical stoarge for
disaster recovery; Considered a copy and can be
destroyed when no longer required; Retention based on
administrative value; Recycle tapes; GC §34090 et seq.
5
X IT IT IT-004
Backups - MONTHLY -
Network, Applications
(Enterprise-wide), All
Files and on Shared
Drives
Comments/Reference; Used for Disaster Recovery
Purposes Only; Store off-site in commerical storage for
disaster recovery; Considered a copy and can be
destroyed when no longer required; Retention based on
administrative value; Recycle tapes; GC §34090 et seq.
6
X IT IT IT-003 Backups - Applications
(Enterprise-wide)
This record type is maintained with IT-001, IT-002 and IT-
004
Action Requested
5-16
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
CDD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1
X PL PL PL-003
CDBG Applications
Denied/Not Funded
(Subrecipient Grants,
Loans)
Comments/References: Meets CDBG Requirements;
Records are maintained by CDBG Vendor as Active for 3
Years, then sent to CDD for 2 Year Inactive Retention
2
X PL PL PL-017 General Plan Elements
and Amendments
Active Retention 'Permanent' 5 Years; Inactive
'Permanent'; Total Retention 'Permanent'
3
X PL PL PL-019
Modification Committee
/ Zoning Adminstrator
Approval Letters and
Minutes (See City-wide
schedule for all other
records)
Active Retention 'Permanent' 5 Years; Inactive
'Permanent'; Total Retention 'Permanent'
4 X PL PL PL-020 Planning Commission
Agenda Packets
Active Retention 'Permanent' 5 Years; Inactive
'Permanent'; Total Retention 'Permanent'
5 X PL PL PL-022 Planning Commission
Minutes, Resolutions
Active Retention 'Permanent' 5 Years; Inactive
'Permanent'; Total Retention 'Permanent'
6
X PL PL PL-028
Zoning Maps (Historical
Only - New records part
of Zoning Code)
Active Retention 'Permanent' 5 Years; Inactive
'Permanent'; Total Retention 'Permanent'
Action Requested
5-17
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Finance Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X Finance FIN FIN-004
Bank Reconciliations,
Bank Statements,
Trustee Statements,
Fiscal Agent Statements,
Investment Account
Statements, Outstanding
Check Lists, Credit Card
Statements, and Deposit
Slips
Retention requirements remain the same
2 X Finance FIN FIN-030 1099's, Issued Retention requirements remain the same
3 X Finance FIN FIN-031
Accounts Payable/
Vendor Files (All Records
and Reports - Includes
Invoices, Copy of Checks
/ Warrants, P.O.s, Travel
Expense
Reimbursements,
Postage, W-9's, etc.)
Retention requirements remain the same
4 X Finance FIN FIN-078 Insurance Certificates
(For Contracts, etc.)Destroy Paper after Imaged & QC'd; Yes: After Inactive
5 X Finance FIN FIN-073
Permits: Kennel, Wild
Animal, Second Hand
Dealer/Pawnbroker,
Going out of Business,
Short-Term Lodging,
Adult-Oriented,
Newsrack, Public
Convenience, Coin
Operated, Live
Entertainment, Sound
Amplification, Film
Retention requirements remain the same
Action Requested
5-18
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X FIRE FR FR-001
Annual Reports/Fire
Incident Statistics
MetroNet's Statistical
Report / Run Statistics
(e.g. Lifeguards, Fires,
and medical calls, etc.)
Retention requirements remain the same
2 X FIRE FR FR-002
Apparatus & Equipment
Maintenance Records &
Testing (Ladder
Certifications, pump
flow test, etc.)
Record Type consolidated with FR-020
3 X FIRE FR FR-003 Certification Database Fire never had and/or maintained such database
4 X FIRE FR FR-004
Certifications - Non Toxic
Substance Exposure: E.g.
Ladder Operation
Record Type consolidated with FR-041
5 X FIRE HR FR-005
Certifications - Toxic
Substance Exposure: e.g.
Annual Fitness Testing -
SCBA (Self Contained
Breathing Apparatus)
Record Type consolidated with FR-041
6 X FIRE FR FR-006
Daily Logs - Lifeguards
(CAD Database effective
January 1, 2015)
Active Retention Indefinite 2 years; Inactive Retention
Permanent; Total Retention Indefinite Permanent
7 X FIRE FR FR-007 DMV Pull Notices OFR is HR - Refer to HR-009
Action Requested
5-19
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
8 X FIRE FR FR-008
Fire Incident Database
Fire RMS (e.g. Sunpro
Zoll) Maintains all Fire
incidents reports, fire
cause & origin reports,
inspection reports;
violations notices,
Hazmat Disclosure
notices.
Active Retention Indefinite When no longer Required
(minimum 20 years); Total Retention Indefinite When no
longer Required (minimum 20 years);
Comments/Reference Department Preference; Contains
medical records for juveniles; no statute of limitations on
Capital Crims; Arsen sentences vary between 3 years to
life, depending upon circumstances; CDF recommends
Act + 10 years; California Fire Code requires 5 years; PC
§§451 et seq., 799 CFC §§ 104.6 - 104.6.4, GC §34090
9 X FIRE FR FR-009 Fit Testing (Breathing
Apparatus Clearance)Record Type consolidated with FR-041
10 X FIRE FR FR-010 ISO Insurance Ratings Destroy Paper after Imaged & QC'd Yes: After QC When
Superseded
11 X FIRE FR FR-012
Daily Logs - Lifeguards
(CAD Database)
Lifeguard Dispatch Logs
Active Retention Indefinite When no longer Required
(minimum 5 years); Total Retention Indefinite When no
longer Required (minimum 5 years)
12 X FIRE FR FR-015
Standard Operating
Procedures / Policy and
Procedure Fire
Department Policy
Manual
Retention requirements remain the same
13 X FIRE FR FR-016
Subpoenas (all Fire Dept)
/ Discovery Requests /
Personal Appearance /
Duces Tecum /
Authorization to Release
Medical Records HIPAA
Complaint (Litigation)
Active Retention 2 7 years; Inactive Retention 5 years;
Total Retention 7 years; Media Options Mag, Mfr, OD,
Ppr; Image: S/I; Destroy Paper after Imaged & QC'd Yes,
After QC
14 X FIRE FR FR-018
EMS Equipment
Inventory and Tracking
Forms
All City Equipment/Assets maintained by Finance
Department Record Type FIN-013
Action Requested
5-20
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
15 X FIRE FR FR-019
Pre-hospital Patient Care
Records: ALL (medical
and non-medical.)
(ePCR) Image Trend/Elite
web base medical
database
Active Retention 2 years; Inactive Retention 20 18 years;
Total Retention 20 years; Destroy Paper after Imaged &
QC'd Yes, After QC & OD 1 year
16 X FIRE FR FR-020
Apparatus & Equipment
Records & Testing
Monthly Checks
Active Retention Surplus / Sale / Disposal+ 2 years; Total
Retention Surplus / Sale / Disposal + 2 years; Comments
/Reference Department Preference to be in compliance
with NFPA Standards for in-service automotive fire
apparatus; NFPA 1911.4.7.3 & Annex C.5, GC §34090
17 X FIRE FR FR-022
Hazardous Materials
Inventory / Industry Files
/ Hazardous Materials
Field Inspection Notice
(includes original Maps
and Plans, Haz Mat
Business Plans
Retention requirements remain the same
18 X FIRE FR FR-025
Fire Inspections
(Routine), Notice of Re-
Inspection, High Rise,
Notice of Violations,
inspection/fire clearance
certificates, Non-
Compliance, Property
Release, Hazardous
Material Business
Emergency Plan Field
Inspection Notice Fire
Inspection Reports and
Violations
Retention requirements remain the same
Action Requested
5-21
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
19 X FIRE FR FR-026
Cause & Origin Reports
Fire Investigation
Reports / Fire Incident
Reports (If Arson,
Homicide, Capital Crimes
is involved)
Retention requirements remain the same
20 X FIRE PD FR-027
Cause & Origin Reports
Fire Investigation
Reports / Fire Incident
Reports (If Arson,
Homicide, Capital Crimes
is NOT involved)
Retention requirements remain the same
21 X FIRE FR FR-028
New Construction Plans
(e.g. Flame Retardancy
Certificates, Floor Plan
Drawings, fire lanes, fuel
modification, business
for occupancy load,) Life
Safety Services Files
(Plan Checks, Violations,
Flame Retardancy
Certificates, Floor Plan
Drawings, etc.
Media Options: Mag, Mfr, OD, Ppr; Image: S/I;
Comments / Reference Department preference for
Disaster Preparedness; California Fire Code requires 5
years; CFC §§ 104.6 - 104.6.4, GC §34090. Copies of
Building Plans for Places of Public Accommodations (to
be used for Life Safety Operations in the event of a
Disaster or Emergency) GC §34090.7
22 X FIRE BLDG FR-029
Fire Station Plans, Fire
Pre Plans (Hospitals,
etc.)
OFR to change to Fire
23 X FIRE FR FR-030 Notice of Re-Inspection
and Non-Compliance Record Type consolidated with FR-025
Action Requested
5-22
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
24 X FIRE FR FR-032
Application for
Temporary to Operate -
Fire Dept., candles , (e.g.
weddings) candle
Program (resturants,
pyrotechnic display,
open flame, tents, LPG,
etc.)/ Provisional State
regulated occupancies/
temporary use permits
Single Event Permits
(candles, fireworks, fire
hydrant, use, open
flame, tents, etc.)
Retention requirements remain the same
25 X FIRE FR FR-033
Underground Storage
Tanks (e.g.
removal/repair)
Retention requirements remain the same
26 X FIRE FR FR-034 Emergency /Disaster
Preparedness Plans
Record Classification move to PD-083 as Police is the
Office of Record. Retention requirements remain the
same
27 X FIRE FR FR-035
Personnel Department
Training File (Includes
Certificates, EMS
Training, smallpox,
hepatitis, etc.)
Record Description consolidated with FR-038
Action Requested
5-23
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
28 X FIRE FR FR-037
Report of Suspected
Dependent
Adult/Elder/Child Abuse
(attached to ePCR -
ImageTrend/Elite
database) Mandated
Reporting: Child Abuse,
Elder Abuse, etc.
Active Retention Indefinite 2 years; Total Retention
Indefinite 2 years; Vital Yes; Media Options Mag, Mfr,
OD, Ppr; Image: S; Destory paper after Imaged & QC'd
Yes: After QC & OD; Comments / Reference Department
preference; GC §34090
29 X FIRE FR FR-038
Employee Training
(Includes Certificates;
Certifications; EMS,
EMT, and Paramedic
Training documentation)
Paramedic Training
Files/Paramedic
Certificates
Active Retention Separation + 4 years Expiration + 4
years; Total Retention Separation + 4 years Expiration + 4
years; Comments / Reference Department Preference
(copies); GC §34090.7
30 X FIRE FR FR-039
Community Emergency
Response Team (CERT)
Applications for Disaster
Service Workers
Authorizations, LiveScan
record, etc.
Active Retention Separation + 2 years 5 years; Total
Retention Separation + 2 years 5 years; Comments /
Reference Department Preference (copies); GC §34090.7
31 X FIRE FR FR-040 Fuel Modification Plans Record Description consolidated with FR-028
Action Requested
5-24
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
32 X FIRE HR FR-041
Employee Confidential
Toxic/Non-Toxic
Substance Exposures: Fit
Testing (Breathing
Apparatus Clearance);
Immunization Records
(e.g. TB, Hepatitis);
Communicable Disease
exposure, etc.
Retention requirements remain the same
33 X FIRE HR FR-042
Requests for
Fire/Medical Incident
Reports and Fire Cause &
Origin Report Incident
Report Request
Active Retention 2 years; Inactive Retention 5 years;
Total Retention 7 2 years; Media Options Mag, Mfr, OD,
Ppr; Image: S/I; Destory paper after Imaged & QC'd Yes:
After QC & OD; Comments / Reference Department
preference; GC §34090
34 X FIRE FR FR-044
Billing - Paramedic
Services - Billing
Database Payments /
Bank Deposits / Check
Images
Active Retention Indefinite; Total Retention Indefinite;
Vital Yes; Media Options Mag, Mfr, OD, Ppr; Image: S/I;
Destory paper after Imaged & QC'd Yes: After QC & OD;
Comments / Reference Department preference (data is
inter-related); GC §34090
35 X FIRE FR FR-045
Certificated Unified
Program Agencies
(CUPA) - Participating
Agency (PA) Hazardous
Materials Emergency
Business Plan,
permitting / inspection
reports / enforcement
records/
correspondence
Active Retention 5 years; Total retention 5 years; Vital
Yes: Before event; Media Options Mag, Ppr; Image: S/I;
Destroy Paper Yes: 1 year; Comments/ Reference CUPA
Self-Audits are required for 5 years; 27 CCR 15280; GC
§34090
Action Requested
5-25
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Fire Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
36 X FIRE FR FR-046
Community Emergency
Response Team (CERT)
Training Documentation
(Manuals, rosters,
outlines and materials)
Active Retention When Superseded; Total Retention
When Superseded; Media Options Mag, Ppr, Mfr, OD;
Image S/I; Destory Paper Yes: After QC; Comments
Reference Department Preference GC §34090
37 X FIRE FR FR-047 Daily Roster (Tele staff
Database)
Active Retention 3 years; Total Retention 3 years; Media
Options Mag, Ppr; Comments / Reference Department
preference; GC §34090
38 X FIRE FR FR-048 Ladder Certifications
Active Retention Surplus + 2 years; Total Retention
Surplus + 2 years; Media Options Mag, Ppr; Comments /
Reference Department preference to be in complaince
with NFPA Standards for in-service automotive fire
apparatus; NFPA 1911.4.7.3 & Annex C5; GC §34090
39 X FIRE FR FR-049
Station Log Books /
Station Journals (kept at
Fire Stations)
Active Retention Permanent; Total Retention
Permanent; Media Options Mag, Ppr; Comments /
Reference Department preference; GC §34090
40 X FIRE FR FR-050
Vehicle Safety Checks,
Daily Vehicle
Inspections, Daily
Equipment Checks
Active Retention 2 years; Total Retention 2 years; Media
Options Mag, Ppr; Comments / Reference GC §34090
Action Requested
5-26
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
HR Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
City Wide
(CW) can be
included
1 X HR HR HR-002 Civil Service Audio
Recordings Records are maintained under HR-003
2 X HR HR HR-003
Civil Service Hearings
(Including Audio
Recordings)
Retention requirements remain the same
3 X HR HR HR-043 Civil Service Board
Agenda Packets
Active Retention 'P' ; Total Retention 'P'; Media Options
Mag, Ppr; Comments / Reference Department
Preference; GC §34090
4 X HR HR HR-011
Drug and Alcohol Testing
/ D.O.T. Files: Positive
Results
Add to Comments /Reference 49 CFR 653.71
5 X HR HR HR-025
Personnel Files -
Regular, Active,
Permanent, Non-
Regular, Temporary and
Part-time Employees -
Includes Backgrounds,
Fingerprints, Severence
Agreements, if
applicable
Retention requirements remain the same
6 X HR HR HR-027
Recruitment File -
Advertisements,
Backgrounds
(Unsuccessful);
Fingerprints, flyers,
Brochures, Applications
(Unsuccessful), Test,
Letters, Scantrons,
Questions
Retention requirements remain the same
7 X HR HR HR-042 Scholarship Program for
Employees Retention requirements remain the same
8 X HR HR HR-030 Workers Compensation
Claims
Inactive Retention 25 Years or Termination of Benefits,
whichever is longer; Total Retention Separation + 30
Years or Termination of Benefits, whichever is longer
Action Requested
5-27
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Library Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X Library Services LS LS-016
Collection Agencies:
Unpaid debts assigned
to a collection agency
FINANCE is OFR - refer to FIN-072
2 X Library Services LS LS-018 Donations of Visual Art
or Product (Received)Duplicate of LS-009
Action Requested
5-28
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
MOD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X MOD MOD MOD-001
Chemical Applications
(Contract Administration
or in-house) Includes
Approved Chemical List,
MSDS Sheets, etc.
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
2 X MOD MOD MOD-002
Contract Administration
(correspondence,
certified payrolls, time
schedules, etc.)
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
3 X MOD MOD MOD-004 Department Activities
Report Destroy Paper after Imaged & QC'd? Yes: After QC & OD
4 X MOD MOD MOD-115 FOG (Fats, Oil & Grease) -
Storm Drains
Active Retention 3 Years; Total Retention 3 Years; Media
Options Mag, Mfr, OD, Ppr; Image:u; Destroy Paper after
Imaged & QC'd Yes: After QC & OD;
Comments/Reference 40 CFR 403.12
5 X MOD MOD MOD-010 Landfill Records (City-
owned - Closed)Destroy Paper after Imaged & QC'd? Yes: After QC & OD
6 X MOD MOD MOD-012
Rolling Stock: Purchase
Orders, Procurement &
Contracting Records
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
7 X MOD MOD MOD-015
Training/Tailgate
meetings (Attendance
Rosters, Outlines and
Materials; includes
safety training)
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
8 X MOD MOD MOD-016 Transfer Station
Modification Permit Destroy Paper after Imaged & QC'd? Yes: After QC & OD
9 X MOD MOD MOD-017 Underground Storage
Tanks
Destroy Paper after Imaged & QC'd? Yes: After QC & OD;
Comments/References; GC §34090; H&S §25284.4(i)
Action Requested
5-29
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
MOD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
10 X MOD MOD MOD-022
CHP Daily Logs (Vehicle
inspections) /Pre-Trip
Inspections
Comments/Reference; No Specific retention period
provided, therefore the 2 years miminum applies; 13 CCR
1234(e); GC §34090
11 X MOD MOD MOD-030
Maintenance History -
Vehicles & Equipment -
Where City is Provider
Comment/Reference; Department Preference; If a motor
carrier, required for 18 months after vehicle is sold; CHP
requires life of vehicle; OSHA requires 1 year; 8 CCR §
3203(b)(1); 49 CFR 396.21(b)(1); 49CFR 396.3(c); CCP
§337 et. Seq., 13 CCR 1234(f); GC § 34090
12 X MOD MOD
MOD-024; MOD-
037; MOD-049;
MOD-055; MOD-
063; MOD-098;
MOD-084
Daily Division Work
Diaries ("Red Books")Duplicate of MOD-003
13 X MOD MOD MOD-113 Grease Disposal Permits
Active Retention Expiration + 3 Years; Total Retention
Expiration + 3 Years; Media Options Mag, Mfr, OD, Ppr;
Image: S; Destroy Paper after Imaged & QC'd Yes: After
QC & OD; Comments/Reference 40 CFR 403.12
14 X MOD MOD MOD-065
Hazmat Incident
Responses, Clean-ups
and Exposure Records
(Diesel, Oil, etc.)
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
15 X MOD MOD MOD-114
Source Control / FOG
(Fats, Oil & Grease) /
POTW (Publicly Owned
Treatment Works) Pre-
treatment of
wasterwater -
Restaurants
Active Retention 3 Years; Total Retention 3 Years; Media
Options Mag, Mfr, OD, Ppr; Image: S; Destroy Paper after
Imaged & QC'd Yes: After QC & OD;
Comments/Reference 40 CFR 403.12
16 X MOD MOD MOD -099 Demolition Permit
Certification
17 X MOD MOD MOD-075 Pesticide and Herbicide
Permits (from County)Destroy Paper after Imaged & QC'd? Yes: After QC & OD
Action Requested
5-30
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
MOD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
18 X MOD MOD MOD-076 Pesticide and Herbicide
Records (in-house)Destroy Paper after Imaged & QC'd? Yes: After QC & OD
19 X MOD MOD MOD-108
Tree Removal Review/
Inspection Reports
Claims
Active Retention Settlement + 5 years; Total Retention
Settlement + 5 years
20 X MOD MOD MOD-081 Administrative Citations
(Spills)Destroy Paper after Imaged & QC'd? Yes: After QC & OD
21 X MOD MOD MOD-082
Annual County
Inspection Reports (Old
City Landfill Sites)
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
22 X MOD MOD MOD-085
Integrated Waste
Reports / Daily Records /
Weight Records /
Hazardous Material
Screening (Becomes part
of Waste Stream)
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
23 X MOD MOD MOD-087 Recycling Program -
Annual Report
Active Retention 1 2 year; Destroy Paper after Imaged &
QC'd? Yes: After QC & OD
24 X MOD MOD MOD-091
Transfer Station Permit
Inspection Results
(monthly)
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
25 X MOD MOD MOD-093
Transfer Station
Quarterly Tonnage
Reports
Destroy Paper after Imaged & QC'd? Yes: After QC & OD
26 X MOD MOD
MOD-034; MOD-
046; MOD-052;
MOD-059; MOD-
070; MOD-079;
MOD-094
Work Orders/Work
Requests Partial, or no
information entered into
the Work Order
Database (Department
requesting service
retains originals;
department providing
service is considered a
copy)
Duplicate of MOD-018
Action Requested
5-31
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
PD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X PD PD PD-001 Administrative Inquiries Retention requirements remain the same
2 X PD PD PD-003
Administrative Internal
Affairs Investigations;
Citizen and Internal
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;
State requires for at least 5 years; other State & Federal
laws require retention until final disposition of formal
complaint; State requires 2 years after action is taekn;
Statute of Limitations is 4 years for misconduct; IA and
Statewide guidelines recommend 25 years for officer-
involved shootings; EVC §1045, GC §§12946, 34090, PC
§§801.5, 803(c), 832.5, VC §2547
3 X PD PD PD-013
Alcohol Beverage
License Application
Operator Licenses
Active/Total Retention - When no longer required –
Termination + 3 years
4 X PD PD PD-015 Pawn Slips Active/Total Retention When no longer required 2 years
5 X PD PD PD-016
Massage Operator
Permits and Licenses:
Business Establishments
/ Managers (massage,
etc. )
Active/Total Retention Termination + 3 years / Change of
Ownership + 2 Years
6 X PD PD PD-017
Permits or Licenses:
Business Technicians /
Operators (massage,
etc.)
Consolidated with PD-016
7 X PD PD PD-021
Supervisor
Record/Counseling
Jacket
Active Retention; 2 years, or Completion of Performance
Evaluation, whichever occurs first is longer; Total
Retention; 2 years, or Completion of Performance
Evaluation, whichever occurs first is longer;
Action Requested
5-32
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
PD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
8 X PD PD PD-026
Personnel Department
Training File (Includes
POST data, files and
Printouts for Training
Courses
Active Retention Separation + 4 year Transfer to Human
Resources upon Separation; Total Retention Separation +
4 year Transfer to Human Resources upon Separation;
Comments/Reference Becomes part of employee's
medical file; State & Federal laws require 2-3 years; 29
CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq.,
GC §§ 12946, 34090
9 X PD PD PD-040
Animal Control - Bite
Reports/Rabies Control
Records
Consolidated with PD-048
10 X PD PD PD-041 Animal Control -
Citations Duplicate of PD-047
11 X PD PD PD-042
Animal Control -
Investigations (barking,
loose dogs, cruelty, etc.)
Consolidated with PD-048
12 X PD PD PD-043 Arrest Log: Detention
Facilities Consolidated with PD-048
13 X PD PD PD-047
Citations (ALL)
Infractions or
Misdemeanor
Retention requirements remain the same
14 X PD PD PD-048
Incident Reports (DR#)
ALL - Except those
otherwise specifically
mentioned in this
retention schedule
(October 1, 1999 to
Current) DR
Reports/Department
Reports/Incident
Reports/Arrest
Reports/Crime Reports
Felonies and
Misdemeanors
Active Retention Indefinite 10 years or upon DOJ
Notification; Total Retention Indefinite 10 years or upon
DOJ Notification
Action Requested
5-33
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
PD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
15 X PD PD PD-049
Incident Reports (DR#)
Homicide, Falsification
of Public Records,
Kidnapping, Unresolved
Child or Elder Abuse,
Sexual Assualt &
Neglect…
Destroy Paper after Imaged & QC’d – Yes After QC 1 year
16 X PD PD PD-050
Incident Reports (DR#)
DR Reports/Department
Reports/Incident
Reports/Arrest
Reports/Crime Reports
Marijuana less than 28.5
Destroy Paper after Imaged & QC’d – Yes After QC 1 year
17 X PD PD PD-051
Incident Reports (DR)
DR Reports/Department
Reports/Incident
Reports/Arrest
Reports/Crime Reports
Missing Person Reports
(unresolved)
Retention requirements remain the same
18 X PD PD PD-052
Incident Reports (DR#)
DR Reports/Department
Reports/Incident
Reports/Arrest
Reports/Crime Reports
Sealed Cases (Factual
Innocence)
Retention requirements remain the same
Action Requested
5-34
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
PD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
19 X PD PD PD-053
Incident Reports (DR#)
DR Reports/Department
Reports/Incident
Reports/Arrest
Reports/Crime Reports
Sealed Cases (Juveniles
& Adults)
Retention requirements remain the same
20 X PD PD PD-056 Field Contacts Interview
Cards Retention requirements remain the same
21 X PD PD PD-057 LiveScan Logs Transitory - refer to OFR HR-017
22 X PD PD PD-058 LiveScan Requests Transitory - refer to OFR HR-025
23 X PD PD PD-059
Miscellaneous Non-
Criminal Reports (Traffic
Accidents, etc)
Consolidated with PD-048
24 X PD PD PD-061 Order after Hearing
(restraining order)
Active Retention While Valid When no longer required;
Total Retention While Valid When no longer required;
25 X PD PD PD-062 Photos: Mug Shots
Active Retention Permanent 10 Years; Total Retention
Permanent 10 Years; Destroy Paper after Imaged & QC'd
Yes: After QC & OD 1 year
26 X PD CCO/PD PD-063
Records Destruction
Lists/Certificate of
Records Destruction
(working copy)
Destroy Paper after Imaged & QC'd; 'Yes' After Inactive
QC; City Clerk Office is Office of Record for Original
27 X PD PD PD-064 Sex Offender
Registrations: Adults
Inactive Retention Indefinite Permanent; Total Retention
Indefinite Permanent
28 X PD PD PD-065
Sex Offender
Registrations: Juveniles
released from California
Youth Authority
Inactive Retention Indefinite Permanent; Total Retention
Indefinite Permanent
29 X PD PD PD-069
Pre-Claim Reports
Preliminary Claim
Investigation/ Potential
Liability Claims
Retention requirements remain the same
Action Requested
5-35
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
PD Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
30 X PD PD PD-070 Pursuit Vehicle Reports Retention requirements remain the same
31 X PD PD PD-073
Incident Reports (DR#)
DR Reports/Department
Reports/Incident
Reports/Arrest
Reports/Crime Reports
Misdemeanor or
Infraction Marijuana...
Retention requirements remain the same
32 X PD PD PD-075 Fingerprint Cards Transitory - refer to OFR HR-025
33 X PD FIRE PD-083 FR-
034
Emergency /Disaster
Preparedness Plans
Record Classification move from Fire FR-034 to Police -
Retention requirements remain the same
34 X PD PD PD-084
Operator Permits - Bar,
Lounge, or Nightclub
(Offers alcoholic
beverages for on-site
consumption in
combination with food
service with late hours
Active Retention Termination + 3 years; Total Retention
Termination + 3 years; Media Options; Mag, Ppr;
Comments/Reference Department Preference; GC
§34090
35 X PD PD PD-088
Special Events (i.e, Police
Appreciation Breakfast,
National Night Out, etc.)
Active Retention 2 years; Total Retention 2 years; Media
Options Mag, Ppr; Comments/Reference GC § 34090 et
seq.
36 X PD PD PD-089 Project Assignment
Memos (PAM)
Active Retention 2 years; Total Retention 2 years; Media
Options Mag; Comments/Reference GC § 34090 et seq.
Action Requested
5-36
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
PW Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X PW PW PW-003 Master Plans
Active Retention Permanent Life of Facility; Total
Retention Permanent Life of Facility
2 X PW PW-032 Newsrack Permits
Active Retention 4 years; Total Retention 4 years; Media
Options Mag, Mfr, OD, Ppr; Image S; Destroy Paper after
Imaged & QC'd Yes: After OC & OD; Comments /
Reference Department Preference; GC §34090
3 X PW PW-033 Standard Drawings
Active Retention Permenant; Total Retention
Permanent: Vital Yes (all); Media Options Mag, Mfr, OD,
Ppr; Image S; Destroy Paper after Imaged & QC'd Yes:
After OC & OD; Comments / Reference Planning
maintains the analog aerial maps; Department
Preference for historical purposes; GC §34090
Action Requested
5-37
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
Rec Service Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X RS RS RS-003
Class and Camp
Registrations &
Rosters/User Pay
Recreation Programs
(Recreation Waivers) -
ALL Adults
Retention requirements remain the same
2 X RS RS RS-021
Fundraising Files
(Correspondence, Copies
of Checks, etc.)
Active Retention 2 Years; Total Retention 2 Years; Vital?
Yes: During Class or Program; Media Options - Mag/Ppr;
Comments/Reference GC §34090
3 X RS RS RS-022
Mayor's Youth Council
(Applications, Meeting
Notices, Interview
Notices)
Active Retention 2 Years; Total Retention 2 Years; Vital?
Yes: During Class or Program; Media Options - Mag/Ppr;
Comments/Reference GC §34090
4 X RS RS RS-009 Recreation Database
(e.g, RecWare)Retention requirements remain the same
5 X RS RS RS-016
Facility Use Applications -
Includes Certificate of
Insurance and Alcohol
Permits (Room
Reservations, Parks, etc.
)
Media Options Mag, Mfr, OD, Ppr; Image S; Destroy
Paper after Imaged & QC'd Yes: After OC & OD
Action Requested
5-38
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
UT Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
1 X UT UT UT-014
Work Orders/Work
Requests Partial, or no
information entered into
the Work Order
Database (Department
requesting service
retains originals;
department providing
service is considered a
copy)
Duplicate of MOD-018
2 X UT UT UT-030; UT-052
Confined Space Entries
(Permitted entries into
sewers and storm drains
in order to comply with
regulations
Duplicate of MOD-061
3 X UT UT UT-040 Sanitary Surveys Comments / Reference 22 CCR §64470; 40 CFR 141.33
(C)
4 X UT UT UT-041 Service Request
Database Duplicate of MOD-019
5 X UT UT UT-099
Source Control /
Pretreatment Annual /
Semi-Annual Reports /
FOG (Fats, Oil & Grease
Active Retention 3 Years; Total Retention 3 Years; Media
Options Mag, Ppr; Comments/Reference Department
preference; Monitoring records required for 3 years; 40
CFR §§122.21, 122.41; 40 CFR 403.12
6 X UT UT UT-048 AQMD Permits
Active Retention 5 years Expiration of Permit + 2 years;
Total Retention 5 years Expiration of Permit + 2 years;
Comments / Reference 40 CFR 70.6; GC §34090
7 X UT UT UT-050 Calibration Records (Lab
Equipment)
Comments / Reference Consistent with Chemical
Reports; 40 CFR 141.33(a); 22 CCR §64692
8 X UT UT UT-071 System Chlorination &
Fluoridation
Comments / Reference State law requires 12 years,
Federal 10 years; 40 CFR 141.33(a); 22 CCR §64692
Action Requested
5-39
2016 Records Retention Schedule Update - Proposed Non-Substantive Changes
UT Department/
Division Current OFR
Current
Classification
No.
Records Description Specific Request / Comments / Reference /
Information/Reasoning / Clarification Needed
A = Amend
D = Delete
AN = Add New
A D AN
(City Wide
(CW) can be
included
9 X UT UT UT-074
Water Reports, Sampling
& Testing:
Bacteriological &
Organics
Comment / Reference Department Preference; Actual
laboratory reports may be kept, or data may be
transferred to tabular summaries; State law requires 5
years; 40 CFR 141.33(a) and (b)(1); 22 CCR §64470
Action Requested
5-40