Resolution Number 17-05-02-06RESOLUTION NO. 17-05-02-06
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN
CAPISTRANO, CALIFORNIA, ADOPTING A RECORDS RETENTION
POLICY , AN UPDATED RECORDS RETENTION SCHEDULE AND
RESCINDING RESOLUTION NO. 07-12-18-02
WHEREAS, Section 34090 of the California Government Code provides that,
with the approval of the City Council and the written consent of the City Attorney, the
head of a city department may destroy any record, document, instrument, book or paper
under his or her charge without making a copy thereof, after the same is no longer
required, provided that certain records are exempt from such destruction; and ,
WHEREAS, the City Council previously adopted Resolution No . 07-12-18-02
which established a Records Retention Schedule to use as a guideline for the retention
and destruction of City records in compliance with the legal retention periods
established by the California Government Code and other State and federal laws and
regulations; and,
WHEREAS, In order to stay current with continuing changes in records retention
statutes and regulations, the City Council desires to adopt a records retention policy and
an updated records retention schedule (collectively the "Records Retention Policy") for
the orderly retention of City records and the proper destruction of obsolete records.
NOW, THEREFORE, BE IT FURTHER RESOLVED,
Section 1: The Records Retention Policy, attached hereto as Exhibit "A,"
incorpo rat ed herein by reference and made a part hereof, is hereby adopted as the
records retention policy of the City of San Juan Capistrano.
Section 2: Pursuant to Government Code section 34090.7, the City Council
hereby authorizes the City Clerk to destroy at any time any duplicate record, paper or
document of the City, while the original, whether in paper or electronic format, is
retained for the legally required time period by the City.
Section 3 : The City Council hereby finds that the Records Retention Policy
complies with the requirements of Government Code section 34090, et seq., and other
records retention statutes and regulations. The City Council further finds that any
obsolete records destroyed pursuant to the Records Policy will not adversely affect the
City or the public.
Section 4 : The City Clerk is hereby authorized to do any and all acts necessary
to give effect to and comply with the terms and intent of the Records Retention Policy.
The City Clerk shall be responsible for the administration of the retention of records and
1
the destruction of obsolete records pursuant to the Records Retention Policy. In
addition, the City Clerk is authorized to update or amend the Records Retention Policy
as needed, without further approval from the City Council, in order to stay current with
federal and State laws, as well as any other regulations, regarding records retention.
Section 5: The City Clerk shall have ongoing authority, without further approval
needed from the City Council and with the written consent of the City Attorney, to
authorize destruction of obsolete City records in accordance with the Records Retention
Policy.
Section 6: Resolution 07-12-18-02 is hereby rescinded in its entirety .
Section 7: The City Clerk shall certify to the passage and adoption of this
Resolution.
Section 8: This Resolution shall become effective immediately upon its adoption .
PASSED, APPROVED, AND ADOPTED this 51h day of May 2017 .
~~
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss .
CITY OF SAN JUAN CAPISTRANO )
I, MARIA MORRIS, appointed City Clerk of the City of San Juan Capistrano, do hereby
certify that the foregoing Resolution No. 17-05-02-06 was duly adopted by the City
Council of the City of San Juan Capistrano at the Regular meeting thereof, held the 2nd
day 2017, by t~e following vote: r I ,
AY ES: Reeve, Patterson, Maryott, Farias and Mayor Ferguson
NOES 1 None
ABSE T None
2
EXHIBIT "A"
RECORDS RETENTION POLICY
[ATTACHED]
3
CITY OF SAN JUAN CAPISTRANO
RECORDS RETENTION POLICY
I. PURPOSE
The purpose of this Policy is to provide guidelines to staff regarding the retention and
destruction of obsolete and unnecessary records of the City of San Juan Capistrano ("City");
provide for the identification, maintenance, safeguarding and destruction of records in the
normal course of business; ensure prompt and accurate retrieval of records; and ensure
compliance with legal and regulatory requirements.
II. AUTHORIZATION
Pursuant to Government Code section 34090, written consent from the City Attorney is required
before destroying any City records.
Ill. PROCEDURE
A. The Department Head completes and signs a "Request for Destruction of
Obsolete Records" form, listing the date and description of each document to be
destroyed. A sample form is attached to this Policy as Attachment "A" and
incorporated herein by reference, and the City Clerk or her designee shall have
the authority to make all changes to this form which she deems necessary from
time to time. The Department Head submits the form to the City Clerk.
B. The City Clerk checks the documents listed on the submitted form to confirm that
each document is: (1) not required to be permanently retained, or (2) has been
retained for the legally required period of time. The City Clerk also confirms that
any applicable reproduction requirements (i.e., electronic imaging, etc.) for each
document are complete. The City Clerk also verifies that the documents are not
relevant to a lawsuit, administrative charge or investigation, or similar
proceeding, which is in progress or which can reasonably be anticipated.
C. The City Clerk submits the form to the City Attorney, who reviews and signs the
form and then returns the signed form to the City Clerk.
D. After receiving the signed form, the City Clerk oversees the destruction of the
documents, indicates the method of destruction on the form and signs the form.
E. The City Clerk will retain all original signed forms requesting destruction of
records for a minimum period of two (2) years.
F. The City Clerk will create and permanently retain a master log of all destroyed
documents which includes the titles or brief descriptions of the documents that
were destroyed, the method of destruction and the date of destruction.
PAGE 1 OF6
61147.01200\23869410 2
EXHIBIT A
IV. GENERAL GUIDELINES
A. Unless otherwise provided by law or this Policy, the obsolete and unnecessary
records of the City are authorized to be destroyed as provided by Government
Code sections 34090 -34090.7 and as those sections may be added to and
amended from time to time by the California Legislature. However, the following
conditions apply to all City records: (1) no record may be destroyed without prior
written consent from the City Attorney, and (2) no record may be destroyed if it is
relevant to: (a) a lawsuit, administrative charge or investigation, or similar
proceeding which is in progress or which can reasonably be anticipated; (b) a
pending subpoena; (c) a pending request for records made under the Public
Records Act; or (d) an active litigation hold.
B. The City Clerk shall be responsible for the administration of this Policy and shall
assist all City personnel to comply with the provisions of this Policy and with the
Records Retention Schedule, set forth in Attachment "8" attached hereto and
incorporated herein by reference . The City Clerk may make minor amendments
to this Policy from time to time, in accordance with changes to State and federal
laws and regulations which may affect retention periods for City records .
C. The following general guidelines apply to all City records :
1. Pursuant to Government Code section 34090, the City shall not destroy
any of the following records:
(a) Records affecting the title to real property or liens thereon.
(b) Court records .
(c) Records required to be kept by statute.
(d) Records less than two years old.
(e) The minutes, ordinances, or resolutions of the City or of a City board
or commission.
2. The City Clerk is authorized to destroy any duplicate records less than
two (2) years old at any time, pursuant to the procedures listed in this
Policy. (Gov . Code§ 34090.7 .)
3. Unless otherwise provided by State or federal law, the City Clerk may
authorize the destruction of any original document which has reached the
end of, or exceeded, its minimum retention period with the written consent
from the City Attorney, without retaining a copy of the document as long
as the retention and destruction of the document complies with the
retention schedule as set forth in this Policy (Gov. Code § 34090.)
4 . The City Clerk may authorize the destruction of City records upon
complying with all of the requirements of Government Code section
34090 .5, including having the records reproduced either: (i) electronically,
PAGE20F6
61147.01200\23869410.2
(ii) recorded on optical disk, (iii) reproduced on film or other medium that
is a trusted system and that does not permit additions, deletions, or
changes to the original document, (iv) reproduced on film, optical disk, or
other medium complying with standards found in Government Code
section 12168.7 for recording permanent and nonpermanent documents
in electronic media.
5. The records preserved pursuant to Government Code section 34090.5
shall be made accessible for public reference. A true copy of archival
quality of the electronic medium reproductions shall be kept in a safe and
separate place for security purposes. Any page of a record that cannot
be reproduced electronically with full legibility shall be permanently
preserved in a manner that will afford easy reference.
6 . The reproduction of an original record made in accordance with
Government Code section 34090.5 shall be deemed to be an original
record and a transcript, exemplification, or certified copy of such
reproduction shall be deemed to be a transcript, exemplification, or
certified copy of the original.
7. In addition to the retention period required under this Policy, the City
shall, when necessary, retain administrative, legal, fiscal and/or historical
records with continued value (e.g., records for long-term transactions
and/or special projects), until all matters pertaining to such records are
completed or resolved.
V. RECORDS RETENTION SCHEDULE
The "Records Retention Schedule" is attached to this Policy as Attachment "8" and is
incorporated herein by reference.
Attachments :
Attachment "A"-Request for Destruction of Obsolete Records (sample form)
Attachment "8" -Records Retention Schedule
PAGE 3 OF 6
61147.01200\23869410.2
ATTACHMENT "A"
REQUEST FOR DESTRUCTION OF OBSOLETE RECORDS
[See Attached Form]
PAGE40F6
61147.01200\23869410 .2
CITY OF SAN JUAN CAPISTRANO
To: City Clerk
From: Department Head
Subject: Request for Destruction of Obsolete Records
I am requesting approval to destroy the obsolete records listed below .
DATE OF RECORD DESCRIPTION OF RECORD
APPROVED
Department Head Date
City Attorney Date
The obsolete records described above were destroyed under my supervision using the
following method: 0 Shredding 0 Burning 0 Other (specify
method)
I certify that such destruction meets the requirements of the Records Retention Policy of
the City of San Juan Capistrano and all applicable requirements of State and federal
law.
City Clerk Date of Records Destruction
PAGE5 OF6
61147.01200\23869410.2
61147.01200\23869410.2
ATTACHMENT "8"
RECORDS RETENTION SCHEDULE
[See Attached Schedule]
PAGE6 OF 6
City of San Juan Capistrano Records Retention Schedule
Table of Contents
USING THE RECORDS RETENTION SCHEDULE ............................................................. 2
CITYWIDE SCHEDULE ................................................................................................. 4
BUILDING AND INSPECTION SERVICES DIVISION ................................................... 17
CITY ATTORNEY ....................................................................................................... 21
CITY CLERK .............................................................................................................. 23
CITY MANAGER ........................................................................................................ 32
COMMUNITY SERVICES DEPARTMENT ...................................................................... 34
CUSTOMER SERVICE DIVISION ................................................................................ 35
DEVELOPMENT SERVICES DEPARTMENT ................................................................... 37
FINANCE DEPARTMENT ............................................................................................ 42
HOUSING DIVISION ................................................................................................. 47
HUMAN RESOURCES/RISK MANAGEMENT DIVISION ................................................ 49
INFORMATION TECHNOLOGY DIVISION ................................................................... 55
PUBLIC WORKS DEPARTMENT .................................................................................. 58
SAFETY 8r. EMERGENCY SERVICES DIVISION ............................................................ 62
UTILITIES DEPARTMENT .......................................................................................... 64
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
Using the Records Retention Schedule
The retention schedule is intended to direct City staff on when and how to dispose of City
records after they have exceeded their lifecycle. Below is a sample of a record from the
schedule, with category explanations:
Record #
Also Called :
Function :
Content:
Total Retention :
Reference/Note :
Location :
Image:
Approval Date :
Function, Category and Subcategories -May be filed under additional
record numbers.
File numbers function is assigned by a "hundreds" number from 100 to
1000. The first number in this system identifies the major function, where
that file is located. The following two numbers identify the category. The
subcategory of documents within the category identifies specific types of
records.
When records go by more than one name, the alternative names are listed
here.
In this section the purpose or function of the records is described.
A series of records may be comprised of several document types,
documents that most likely will be found in this series are listed.
This is the total amount of time that the City is required to retain a
document, either by federal, state, local statue or internal policy.
Any other reference or notes, exceptions, or special instructions relating to
the record are listed here.
The physical place where a hard copy or digital copy of the record resides.
This is determined based on outlines set in Records Management
Guidelines.
This is the date that the specific records was approved or updated.
If a record type is not listed within your Departmental Retention Schedule, refer to the
Citywide Retention Schedule.
Litigation, complaints and/or claims suspend normal retention periods. Retention
begins after settlement.
MODIFICATIONS AND ADDITIONS
Because records reflect activities that are constantly changing, the retention requirements for
records sometimes require revisions as well. Consequently, records retention and disposition
schedules often need modification or additional in order to be realistic and effective. There
may be some retention periods and disposition requirements within their schedule that may
change between major reviews of the schedules. The Office of the City Clerk welcomes all
comments and suggestions concerned with improvement of records retention schedules
through modifications and additions.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
RETENTION DEFINITIONS
ADMIN
CAGC
CA H&S
CALC
CaiEMA
CP
CCP
CCR
CFR
HUD
IRS Reg
OMB
R&T
-Administrative Decision
-California Government Code
-California Health and Safety Code
-California Labor Code
-California Emergency Management Agency
-City Council Policy
-California Code of Civil Procedures
-California Code of Regulations
-Code of Federal Regulations
-Department of Housing and Urban Development
-Internal Revenue Service Regulations
-Office of Management and Budget
-Revenue and Taxation Code
ACKNOWLEDGMENTS
Many people assisted with the creation of this schedule, we appreciate their time, input and
expertise. The Office of the City Clerk would like to extend special thanks to the City of
Sacramento, the City of Irvine and, the City of Lake Forest, for providing the format and some
content of the City of San Juan Capistrano Records Retention Schedule.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retent i on Schedule
Citywide Schedule
ADMINISTRATIVE POLICIES/PROCEDURES
Record # 100-20
Also Called: • AP
Function: Documents the policies, procedural directives and manuals developed by
the City to govern its internal management functions.
Content: May include, but is not limited to: signed administrative policy.
Total Retention: Superseded +2 years
Statutory: CA GC §34090
Location:
Image:
Approval Date:
Copy of policies located citywide and at the department level. Original
held with the Office of the City Manager.
Yes
ANNUAL & SPECIAL REPORTS
Record #
Function:
Content:
Total Retention :
Statutory:
Reference/Note :
Image:
Approval Date :
400-40, 440-70, 460-50, 470-40, 515-60, 590-60, 800-40, 940-60,
1040-70
Reports documenting the program or primary activities and/or
accomplishments of the City of a program, division, department, of the City.
May include, but is not limited to: statistical analysis, narratives, graphs,
diagrams, annual reports, status or progress reports, and similar
information.
Permanent
CA GC §34090
This does not include agenda reports created and/or presented to the City
Council or other legislative body.
Yes
AUDIO & VISUAL RECORDINGS (BROWN ACT MEETING BODIES)
Record #
Function:
Content:
Total Retention:
Statutory:
Location:
Approva I Date:
610-10
Documents the proceedings of a City Council, board, commission and
committee meeting
May include, but is not limited to: tape recording, VHS recordings, digital
recordings.
Tapes and/or VHS recordings - 2 years
Digital recordings -Permanent
CA GC §34090; CP 125
Digital recordings of meetings accessible on City's website. City's
contracted programmer, Granicus, hosts and stores recordings.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
CALENDAR & SCHEDULING RECORDS
Record # 100-60
Also Called:
Function:
Content:
Tota I Retention:
Statutory:
Location:
Approval Date:
Appointment books, work schedules, planners, daily assignment sheets,
shift schedules
Records kept that document and facilitate the routine planning and
scheduling of meetings, appointments, daily tasks, work assignments, sift
assignments, vacation and/or day off schedules.
May include, but is not limited to: weekly schedule sheets, work
schedules, appointment logs, and work assignment memos. Does not
include: City Council, board, commission and committee meeting
schedules.
2 years
CA GC §34090
At department level.
CAPITAL IMPROVEMENT PROGRAM/PROJECTS
Record # 200-30, 210-30, 220-30, 230-30, 240-30, 250-30, 260-30, 840-20,
850-XX, 1040-40
Also Called:
Functions:
Content:
Total Retention:
Statutory :
Location:
Image:
Approval Date :
CIP
A Capital Improvement Program is a long range planning document that
provides consistency with the requirements of the State Congestion
Management Program and the County Measure M Program, and the City's
General Plan. The CIP is programmed for 7 years and identifies all projects
and funding sources for that time period. Projects identified within the
CIP generally result in improvements to City buildings, streets, gutters,
sidewalks, parks, water systems, sanitary sewer systems, drainage
facilities and other needed public improvements.
May include, but is not limited to: 7-Year Capital Improvement Program;
City Council and commission agenda reports and exhibits; plans and
specifications; funding source information; copies of construction
contracts and consultant agreements; copies of bid opening reports;
copies of award bids; publications; notices; certified payroll records; EIRs;
material testing reports; energy calculations; and communications.
Copies of documents -discard when no longer needed.
All other records -permanent
CA GC §34090, CA GC §34090.7
Original CIP related agreements, bid opening report, awarded bid
documents on file with the Office of the City Clerk.
Yes
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
CERTIFIED MAIL RECEIPTS/RETURNED MAIL,
Record #
Function:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
Varies
Receipts verifying the delivery of mail and the receipt of returned mail
envelopes
May include, but is not limited to: United States Postal Service Certified
Mail Receipts; returned mail.
2 years
CA GC §34090
Some certified mail receipts and/or returned mail should be kept longer
depending on the purpose of the mailer.
CHEMICAL & HAZARDOUS MATERIALS
Record # 530-20
Function:
Content:
Total Retention:
Statutory:
Approval Date:
Documents chemicals and hazardous materials owned, used, in the
possession in the course of City business.
May include, but is not limited to: material safety data sheets, disposal,
use storage of records; incident reports; and, complaints.
Last use + 30 years
Complaints -Permanent
CA GC §34090; 8 CCR § 3204
COMPLAINT FILES -GENERAL
Record#
Function:
Content:
Total Retention:
Statutory:
Approval Date:
Varies
Documents complaints about a City service, maintenance, repairs or
materials.
May include, but is not limited to: general services provided by the City,
health, noise, traffic, solid waste and nuisances (non-code enforcement).
Resolution of complaint + 3 years
CA GC §34090
COMPLAINT FILES -PERSONNEL
Record#
Function:
Content:
Tota I Retention:
Statutory:
Approval Date:
730-40
Documents complaints about customer service, employees, employee
actions or employee conduct.
May include, but is not limited to: complaint forms and correspondence.
Resolution of complaint + 5 years
CA GC §12946
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
CONTRACTS, LEASES, AND AGREEMENTS (DEPARTMENT LEVEL)
Record # 600-20, 600-30, 600-40, 600-50, 600-60, 600-70
Also Called:
Function:
Content:
Tota I Retention:
Statutory:
Reference/Note :
Location:
Image:
Approval Date:
Memorandums of Understanding (MOU), Leases, Rental Agreements,
Personal (Professional) Services Agreements (PSA), contracts.
Official agreements enforceable by law to acquire or provide services,
equipment, or maintenance.
May include, but is not limited to: exhibits, bid documents, change orders,
amendments and signification related correspondence. May also include
copies of payments, receipts and other supporting papers used in
management of the contract.
Personal (Professional) Services Agreements end of contract terms + 10
years.
Contract Administration Records -After termination + 2 years.
All other agreements permanent.
CA GC §34090
These are contracts approved at the Executive level as identified in City
Council Policy 126. Contracts authorized by the City Council and/or City
Manager are held by the Office of the City Clerk. See also page 26, City
Clerk Contract, Leases and Agreements for retention.
With the authorizing department.
Yes
COPIES/DUPLICATION OF RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
Varies
An original record reproduced for reference and/or distribution.
May included, but is not limited to: copy of an original document.
Duplicate records (copies) may be destroyed if the record is no long
required except for the following:
Petty Cash Reports and Vouchers - 5 years
Reimbursement Claims - 5 years
Proclamation Requests - 2 years
CA GC §34090; ADMIN
Depending on the content of the copied record, secured destruction
practices apply.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
CORRESPONDENCE
Record #
Also Called:
Function:
Content:
Total Retention:
Statutory:
Approval Date:
100-40
Emails, memos, letters, requests, acknowledgements.
Correspondence that pertains to routine matters.
May include, but is not limited to: incoming and outgoing general
correspondence not related to a project, audit, or complaint.
2 years
CA GC §34090
DEPARTMENT MEMORANDUMS/REPORTS
Record # 100-50, 730-60
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
Documents use to provide information relevant to work activities.
May include but is not limited to: administrative reports, inter/intra office
memorandums, departmental newsletters
2 years
CA GC §34090
Yes
DRAFTS/PRELIMINARY DOCUMENTS
Record#
Function:
Content :
Total Retention:
Statutory:
Approval Date:
Varies
Documents the various stages in the development of a final document.
May include, but is not limited to: handwritten notes, and/or electronic
documents labeled as draft.
Destroy when no longer relevant
CA GC §6254 (a)
EMPLOYEE RECORDS (DEPARTMENT LEVEL)
Record #
Function:
Content:
Total Retention:
Statutory:
Approval Date:
700-Personnel
Records documenting an employee's history and daily activities at the
department level.
May include, but is not limited to: copies of personnel action form, leave
of absence forms, safety and training records, correspondence, time off
requests, documented counseling, commendations, citations, and other
employee related information.
Separation + 3 years
CA GC §12946, §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Ju~n r.~pistrano Records Retention Schedule
EQUIPMENT OWNERSHIP AND MAINTENANCE RECORDS
Record#
Also Called:
Function:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
380-XX
Legal titles, warranties, maintenance log
Records documenting the legal ownership and maintenance of all office-
owned equipment.
May include, but is not limited to: date of purchase or lease, purchase
price, warrantee information, ownership information, make and model,
owner's manual, maintenance/services agreements, maintenance service
requests, maintenance logs, and reference materials.
Maintenance/services agreements -completion of the agreement + 5
years.
Reference materials -disregard when no longer relevant.
All other records -retain for the life of the equipment, but shall not be less
than 2 years.
CA GC §34090
See also page 60, Public Works Vehicle Ownership and Maintenance
Record.
EVENTS -CITY SPONSORED
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
FORMS (UNUSED)
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note :
Approval Date :
150-60
Festival, Galas, Anniversary Celebrations, Receptions
Records documenting the planning and history of events sponsored by the
City.
May include, but is not limited to: mailing lists, invitations, photographs,
media releases, correspondence, and event diagrams
5 years
CA GC §34090
160-20
Applications
An incomplete printed document with blank spaces for information to be
inserted.
May include, but is not limited to: unused forms for internal processes.
Unused Forms -Destroy when no longer relevant
CA GC §34090
Completed forms and/or applications will have an identified retention.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
GIFTS, CONTRIBUTIONS, AND DONATIONS
Record # 150-10, 950-40
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
GRANT RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Memorials, Fundraising Records.
Records documented gifts and contributions to the City that result from
fundraising efforts, donations, memorials, or tributes by private
individuals or corporations.
May include, but is not limited to: donor and acknowledgement letters,
acquisition lists itemizing purchased materials with contributed money
(books, art, equipment, etc), checks, receipts, conditions or restrictions,
history of fundraising events and related administrative records.
Permanent
CA GC §34090
480-XX
CDBG, Home Grants, Measure M, Proposition SO, Block Grants,
Community Organization Grant Program, Proposition 16 Transit Grant
Documents the applications, evaluation, awarding, administration,
monitoring, and statues of grants in which a local government entity is the
recipient, grantor, allocator, or administer. Grants may come from federal
or state governments, foundations or other private funding sources.
May included, but is not limited to: applications including project
proposals, summaries, objectives, activities, budgets, exhibits, an aware
notification, grant evaluation records and recommendations concerning
grant applications, grant administration records including progress
reports, budgets, project objective, proposals, summaries, allocations,
contracts, records minority project plans and measuring achievement,
equipment inventories, financial reports, accounting records, audit
reports, expenditure reports, and related correspondence and
documentation.
Unsuccessful grant records - 2 years
Successful grant records shall be held until the completion of grant
program + 10 years. If the grant requires an audit, the records shall be
held for the total retention + completion of the audit; whichever is longer.
Project Records -Permanent
Proposition 16 Transit Grant -35 years upon project closeout*
CA GC §34090; ADMIN; 24 CFR 570.502; 24 CFR 85.42; 24 CFR 570.502(a);
241 CFR 85.42 & OMB Cir . A-110; OMB Cir. A-102 & 128, HUD Regs; CaiEMA
*All grantees who receive Proposition 1B funding hall maintain records for
35 years upon project close out. These documents listed are required but
are not limited to the following: Documents evidencing the granting of all
bond funds, including copies of invoices, bills, draw/disbursement requests
and claim schedules; accounting records and reports for the bonds funds
accounts from which the funds were deposited; grant agreements, award
letters, letters of no prejudice, notice of project eligibility, workbooks,
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retent i on Schedule
Approval Date:
approved/denied grant award modifications, investment justifications,
contracts, MODs, governing body resolution for each grant year, grant
assurances, monitoring/site visit findings letter, etc; and list or schedule
of the facilities and equipment being financed by the disbursement of
bond funds and the expected useful-life of such facilities and equipment.
MASTER, SPECIFIC AND AFFIRMATIVE ACTION PLANS
Record #
Functions:
Content:
Tot a I Retention:
Statutory:
Approval Date:
Varies
Documents that set a policy statement and implementation tools used for
a single project or planning area. These documents set standards, goals
and/or development criteria.
May included, but is not limited to: approved plan; City Council and
Commission agenda reports and exhibits; administrative records; and,
communications.
Permanent
CA GC §34090; Executive Order 11246
MEETING RECORDS FOR BROWN ACT BODIES (CITY COUNCIL, AND COUNCIL
APPOINTED BOARDS, COMMISSIONS AND COMMITTEES)
Record #
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
610-XX, 440-40, 590-20, 910-60, 920-20
Documents the proceedings of public bodies governed by the Brown Act.
May included, but not limited to: minutes, agendas, exhibits, agenda
reports, correspondence, speaker slips, meeting notices, hearing notices
(non-public hearings), certification of posting and meeting administration
records (mailing lists, meeting room schedules, etc).
Meeting Minutes permanent; all other records 2 years.
CA GC §34090
The Office of the City Clerk is the office of record for meeting records
pertaining to the City Council. All other meeting records are held in the
department that supports the board, commission or committee.
MEETING RECORDS FOR NON-BROWN ACT BODIES
Record # 610-60
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Staff meetings, sub-committees
Documents the proceedings of meeting bodies that are not governed by
the Brown Act.
May include, but is not limited to: minutes, agendas, exhibits, agenda
reports, audio and visual recordings.
2 years
CA GC §34090
These are meetings of any meeting body that is not open to the public
City of San Juan Capistrano I Office of the City Clerk I
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Approval Date:
NEWS RELEASES
Record #
Functions:
Content:
Total Retention :
Statutory:
Approval Date:
and/or subject to the Brown Act .
150-40
Prepared statements and announcements issued to the news media by the
City.
May include, but is not limited to: news releases, media advisories.
5 years
CA GC §34090
PARTICIPANT REGISTRATION AND ATTENDANCE RECORDS
Record #
Functions:
Content :
Total Retention:
Statutory:
Approval Date:
Varies
Documents the registration and attendance of participants in sponsored
events, activities, and classes .
May include but is not limited to: registration forms or cards, class or
activity rosters, consent/waiver forms and related documer:'ts.
2 years
CA GC §34090
PHOTOGRAPHS, AND CLIPPINGS
Record # 150-25
Also Called :
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
News clipping, Biograph ical data
Documents an event, time period, department, or the City, generally in
chronological order, or similar records of the City's history.
May include, but is not limited to: news clippings, photographs, timeline
graphs, and other memorabilia that commemorates an event.
Permanent
CA GC §34090
PROJECT & ADMINISTRATIVE FILES (EXECUTIVE STAFF)
Record #
Also Called:
Functions:
Content:
Varies
Admin Files
Records created by executive City staff that documents the research,
creations, applications of community projects, programs, or that
document the leadership role and decision making process of city
executives.
May include, but is not limited to: project or program files, executive
administration files.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
Total Retention:
Statutory:
Approval Date:
Project Completion + 2 years
CA GC §34090
PROPERTY ACQUISITION
Record # 670-20
Functions:
Content:
Total Retention :
Statutory:
Image:
Approval Date:
Documents the City's investigation and purchasing of real property.
May include, but is not limited to: title reports, litigation guarantees,
appraisal reports, inventories, condemnations and correspondence.
Not acquired properties -2 years
All other records -permanent
CA GC §34090
Yes
PUBLIC HEARINGS
Record#
Also Called:
Functions:
Content:
Tota I Retention:
Statutory:
Image:
Approval Date :
Varies
PH
A quasi-judicial styled hearing with weighted evidence and testimony.
May include, but is not limited to: public hearing notice, mailer,
notification list, publication affidavit, City Council and Commission agenda
reports and exhibits, correspondence, and testimony.
Permanent
CA GC §34090
Yes
PUBLIC RECORDS/INFORMATION REQUESTS
Record #
Also Called :
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
150-10
Sunshine Law Requests, Open Records Requests, Public Records Act
Requests, California Public Records Request, PRA and CPRA.
Request for information pursuant to California Government Code §6250.
May include, but is not limited to: a description of the records being
requested, City's Public Records Request From, correspondence, request
tracking records.
2 years
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
PUBLICATIONS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
150-XX
Publications produced by the City and made available to the public.
May include, but is not limited to: newsletters, pamphlets, brochures,
leaflets, reports, studies, proposals, and similar published records.
Superseded + 2 years
CA GC §34090
PURCHASING RECORDS (DEPARTMENT LEVEL)
Record #
Also Called:
Functions:
Content:
Tota I Retention:
Statutory:
Location:
Approval Date:
370-XX
Purchase orders, purchasing requests, receipts.
Records orders, authorizations, and evidence of receipt of the purchase of
goods and services by the City.
May include, but is not limited to: description of goods and services,
shipping instructions, bills of lading, and receipts.
4 years
CA GC §34090; CCP §337
Original purchase orders and receipts reside with the Finance Department.
Copies maintained at the department level for reference.
REFERENCE DOCUMENTS -NON-CITY
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Varies
Documents used as a source of information to conduct business.
May include, but is not limited to: studies, procedures, newsletters,
bulletins, policy, regulations, guidelines, regulations, rate schedules,
master plans, instructions, general plan/elements/reports, rosters,
announcements, and directories.
Until superseded or no longer relevant.
CA GC §34090
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REQUESTS FOR QUALIFICATIONS, PROPOSALS & BIDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date :
STUDIES
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date :
370-30, 600-10
RFP, RFQ or Bids
Records related to successful and unsuccessful contracted proposals for
City projects and/or purchases.
May include, but is not limited to: requests for proposals (RFP), requests
for qualification (RFQ), bid exemption documents, bid and quote lists,
notices of bid opening and award, comparison summaries, spreadsheets,
tabulation worksheets, bid advertising records, tally sheets, bid
specifications, bid award letter and other related correspondence or
records.
Unsuccessful RFP, RFQ, and/or bid reside with department and shall be
held through the close of solicitation period +2 years.
Successful RFP, RFQ, and/or bid for contracts held at the department level
shall be retained with the contract for the completion of contract +10
years. If contract requires an audit the records shall be held the total
retention + completion of the audit or the completion of the contract + 10
years; whichever is longer. Successful RFP, RFQ, and/or bid should be
filed with original contract/agreement.
Successful bid documents for capital improvement construction projects
are permanent and should be filed with original contract/agreement.
CCP§§337, 337.1(a), 337.15, 343; CA GC §34090
Yes
Varies
Feasibility, Traffic, Planning, Land Use, Housing Utilities Corridor.
A detailed investigation and analysis of a subject or situation.
May included, but is not limited to: notes, City Council and Commission
agenda reports and exhibits, draft and final documents.
Permanent -studies conducted by the City that assist with policy
decisions.
All other studies -Study Completion + 2 years.
CA GC §34090
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.City of San Juan Capistrano Records Retention Schedule
SURVEYS AND QUESTIONNAIRES
Record #
Functions:
Content:
Total Retention:
Statutory:
Approva I Date:
Varies
Records related to data collection.
May include, but is not limited to: notes or papers used to develop survey
tools, data collection tools, results or analysis of collected data, and
reports.
2 years
CA GC §34090; CA GC §12946; 29CRF 516.6(2)
TELECOMMUNICATIONS RECORDS
Record #
Also Called:
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
WORK ORDERS
Record#
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
1030-XX
Telephone message, call logs
Records of incoming and outgoing telephone calls.
May include, but is not limited to: telephone message, log of calls received
and or made.
2 years
CA GC §34090
200-XX
Maintenance Requests, Service Requests
Internal records document requests and authorization for needed services,
including repair of government owned property.
May include, but is not limited to: service and installation requests, repair
authorizations, orders for scheduled and unscheduled maintenance, and
similar records.
Resolution of Work Order + 2 years
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
Building and Inspection Services Division
BUILDING PERMITS
Record # 450-60
Functions:
Content:
Tota I Retention :
Statutory:
Image:
Approval Date:
Records serve as official authorization for construction including
installation of plumbing, electrical and mechanical equipment and other
related work.
May include, but is not limited to: permit application, plan sheets and
supporting documents.
Permanent
CA GC §34090; 34090 .5
The record may be destroyed only if the electronically imaged record
accurately and legibly reproduces the original in all details and that does
not permit additions, deletions, or changes to the original document
images. Government Code§ 34090.5
BUILDING REPORTS
Record # 410-50
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Records monthly building activity.
May include, but is not limited to: original monthly building activity.
2 years
CA GC §34090(d)
COMMERCIAL BUILDING FILES
Record # 450-60
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
Building Plans, Building Permits, Certificate of Occupancy
Records documenting request and authorizations for property owners to
erect new structures, including signs or make structural modifications to
existing ones. Serves as official authorization o.f construction including
installation of plumbing, electrical and mechanical equipment and other
related work.
May include, but is not limited to : permit application, plan sheets and
supporting documents, receipts, project correspondence, *building permit,
inspection certifications, certification of occupancy, hold harmless
agreement, flood certification, and all required.
Abandoned application for permit -180 days after the date of filing
Permanent for life of building.
CA GC §34090; CA H&S §19850; California Building Code 105.3.2
See Building Permit retention.
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City of San Juan Capistrano Records Retention Schedule
CODE ENFORCEMENT & INVESTIGATION
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
450-40,460-40,590-40
Notice of Violation (NOVs), Administrative Citations
Records documenting the investigation of reported Municipal Code
violations.
May include, but is not limited to: complaint, communications, notice of
violations and administrative citations.
Close of case + 3 years
CA GC §34090; ADMIN
GRADING PERMITS
Record # 450-90
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
GRADING PLANS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Document to change the contour of the land.
May include, but is not limited to: permit and plans.
Permanent
CA GC §34090
450-90
A document, often a contour plan, which directs a grading process. This
applies to plans for private properties.
May include, but is not limited to: plans, supporting documentation and
communications.
Permanent
CA GC §34090 (a); ADMIN
HOME WARRANTY PROGRAM
Record #
Also Called:
Functions:
Content:
Tot a I Retention:
Statutory:
Approval Date:
450-80
HWP
Home service contract covering repair and/or replacement costs of certain
components of a home/structure.
May include, but is not limited to: home warranty contract, administration
records, and communications.
After expiration of warranty + 2 years
CA GC §34090; ADMIN
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City of San Juan Capistrano Records Retention Schedule
INSPECTIONS
Record #
Functions:
Content:
Total Retention :
Statutory:
Approval Date:
450-XX
Documents inspections completed by the department for purposes of
permit requirements or compliance, internal department process or
procedures.
May include, but is not limited to: inspection approvals and violations.
Permanent for life of structure.
CA GC §34090
RESIDENTIAL BUILDING FILES
Record # 450-60
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
Building Plans, Building Permits, Certificates of Occupancy.
Records documenting request and authorizations for property owners to
erect new structures, including signs, or make structural modifications to
existing ones. Serves as official authorization for construction including
installation of plumbing, electrical and mechanical equipment and other
related work.
May include, but is not limited to : permit application, plan sheets and
supporting documents, receipts, project correspondence, *building permit,
inspection certifications, hold harmless agreement, flood certification, and
all required forms.
Abandoned application for permit -180 days after the date of filing
Building Certificates -Life of building + 2 years
Building Permits -Permanent
Flood Certifications -Superseded + 2 years
Hold Harmless Agreements -Length of time contemplated by Agreement
+ 2 years.
All Other Documents -Completion of project + 2 years
CA H&S §19580; CA Residential Code, Part 2.5, Chapt. 1, Div. 2, Sec.
R105.3.2
See Building Permit retention on page 17.
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City of San Juan Capistrano Records Retention Schedule
UNIFORM BUILDING CODES
Record # 450-30
Also Called :
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Location:
Image:
Approval Date:
UBC
Documents the City's adoption of the California Uniform Building Code.
The adopted code promotes public safety and provides standardized
requirements for safe construction.
May include, but is not limited to: copy of the California Uniform Building
Code; City Council and commission agenda reports and exhibits; copies of
adopted ordinances; and, communications.
City Council and Commission Agenda Reports -Building Code superseded
+2 years
Ordinances adopting Building Code -Permanent
All other documents -Building Code superseded +2 years
CA GC §34090; ADMIN
Retain 1 copy for research value
A copy of the California . Uniform Building Code is on file with the
Development Services Department. Three (3) copies of the UBC on file
with the Office of the City Clerk.
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City of San Juan Capistrano Records Retention Schedule
City Attorney
LITIGATION FILES
Record # 640-30
Also Called:
Functions :
Content:
Total Retention:
Statutory:
Location:
Image :
Approval Date :
Lawsuits
Civil case files.
May included, but is not limited to: all documents relating to a case.
High profile cases -Permanent
All other cases -until no longer required -minimum 7 years.
CCP 337 et seq.; CA GC §911.2, §945, §34090, §34090.6, PC 832.5
Records maintain with the City Attorney's office until completion of case.
Records then forwarded to the office of the City Clerk to archive off-site
until retention is met.
Yes
CLOSED SESSION MATERIALS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
LEGAL OPINIONS
Record #
Also Called:
Functions:
Content:
Total Retention :
Statutory:
Reference/Note :
Image:
Approval Date:
610-90
Brown Act requirement and tracking council actions.
May include, but is not limited to: itemized actions requested agenda
reports.
When no longer requ i red -Minimum 2 years.
CA GC §34090
640-20
Opinion Memos
Advice memoranda to client depar.tments.
May include, but is not limited to: memoranda in written or electronic
format.
Indefinite
Statewide guidelines propose superseded + 2 years; CA GC §34090;
department preference.
These records are confidential-not a public record.
Yes
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City of San Juan Capistrano Records Retention Schedule
OUTSIDE COUNSEL AGREEMENTS
Record # 600-30
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Retainer letters, RFQ/Proposal for legal services.
Active list of counsel which provide specific expertise.
May included, but is not limited to: agreement, letter agreement, RFQ
Lifetime of mater for which firm is retained + 10 years.
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
City Clerk
AGENCY FORMATION RECORDS
Record # 620-XX
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date :
ANNEXATIONS
Record#
Functions:
Content:
Tot a I Retention :
Statutory:
Approval Date :
APPEALS
Record#
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Community Redevelopment Agency (CRA), San Juan Capistrano Housing
Authority (SJCHA), Successor Agency to the Community Redevelopment
Agency (SACRA), San Juan Capistrano Public Finance Authority (SJCPFA),
San Juan Capistrano Sewer Maintenance District 1 (SMD), Capistrano
Valley Water District (CVWD), Water Works District #4.
Documents the history of agency formations and dissolutions.
May include, but is not limited to: formation certification, policies
Permanent
CA GC §34090
620-20
Documents the history of land annexations.
May include, but is not limited to: correspondence, recorded maps,
reports, sphere of influence annexations and procedures.
Sphere of influence annexations -minimum 2 years
Procedure manuals -until superseded
All other records -permanent
CA GC §34090
Varies
An application to reverse a decision made at the Commission or Director
authority level.
May included, but is not limited to: the application and exhibits (if any
provided), City Council agenda reports and exhibits, receipts and
correspondence.
Permanent
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
ARTICLES OF INCORPORATION
Record #
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
BONDS
Record#
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Image:
Approval Date:
620-10
A written instrument that creates and defines the rights and privileges of
the City.
May include, but is not limited to:· original article of incorporation,
petitions for incorporation, constitution, and amendments.
Permanent
CA GC §34090, §34458-60
Yes -Held in Citywide Records Management System
340-XX, 355-XX
Mortgage Revenue Bonds, General Obligation Bonds, Tax Allocation Bonds
Records documenting a debt security for financing a program and/or
purchase.
May include, but is not limited to: bond; City Council and Commission
agenda reports and exhibits; and communications.
Permanent
CA GC §34090
See page 26, for under Contracts, Leases, and Agreements -City Council,
City Manager & Agency, for Performance Bond and Labor and Material
Bond retention.
Yes
BOARD, COMMISSION, AND COMMITTEE RECRUITMENT
Record # 110-10
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
Documents the recruitment process of person who have applied to serve
on a City Board, Commission or Committee.
May include, but is not limited to: applications of City Board, Commission,
or Committee applicants, recruitment administrative records,
announcements, and correspondence.
Unsuccessful applications shall be retained the duration of the selection
process + 2 years.
CA GC §34090
See to page 29, for the retention of Members Appointed to a City Board,
Commission or Committee.
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City of San Juan Capistrano Records Retention Schedule
BY-LAWS
Record #
Functions:
Content:
Tota I Retention:
Statutory:
Image:
Approval Date:
CITY COUNCIL
Record #
Functions:
Content:
Total Retention :
Statutory:
Approval Date:
CITY EMBLEMS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note .
Approval Date :
400-10, 435-10, 440-40, 910-60
Regulations set by a governing body setting controls and conducted for
conducting business.
May include but is not limited to: original by-law; City Council and
Commission agenda reports and exhibits; and, resolutions.
Permanent
CA GC §34090
Yes
610-50, 610-80, 150-25
Documents the appointment and resignation of a City Council member.
May include, but is not limited to: Appointment, resignations,
reorganization, biographical data, City Council agenda reports and exhibits
and communications.
Appointment and resignation records -Permanent
All other records - 2 years
CA GC §34090
120-XX
Seal, Flag, Song, Flower, Tree, Poet Laureate, Cowboy Poet.
Record the history of currently in use City emblems.
May include, but is not limited to: drawings, drafts, lyrics; any supporting
documentation for the adoption of a City emblem.
Permanent
CA GC §34090
The City Seal is the official mark of the City, generally used to embossed
forms to guarantee the authenticity of a City document. This is different
than a logo or brand.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
CONFLICT OF INTEREST AND HISTORY
Record #
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
640-40
Documents the history of the City's Conflict of Interest Code.
May include, but is not limited to: conflict of interest code; City Council
agenda report and exhibits; and, administrative files.
Permanent
CA GC §34090
Yes
CONTRACTS, LEASES, AND AGREEMENTS -CITY COUNCIL, CITY MANAGER & AGENCY
Record # 600-20, 600-30, 600-40, 600-50, 600-60, 600-70
Also Called:
Functions :
Content :
Total Retention :
Statutory:
Image:
Approval Date :
Memorandum of Understanding {MOU), Lease, Rental Agreement,
Personal {Professional) Services Agreement (PSA), Construction Contract,
Contract.
Official agreements enforceable by law to acquire or provide services
equipment or maintenance. Documents the terms and conditions of
agreement between the City, private companies, other public agencies
and individuals.
May include, but is not limited to: contract/agreement, exhibits, notice of
completion, bid documents, City Council agenda reports and exhibits,
change orders and amendments, performance bond, labor and material
bond, prevailing wage scales and significant related correspondence.
Information in contracts usually includes date, terms, parties involved,
period covered, and signatures. May include copies of payments, receipts,
and other supporting papers used in management of the contract.
Personal (Professional) Services Agreements end of contract terms + 10
years.
Prevailing wage scales - 2 years
Performance bond, Labor and Material bond -permanent
All other agreements permanent
CCP 337, 337.1(a), 337.15, 343; CA GC §34090
Yes-Held in Citywide Records Management System.
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City of San Juan Capistrano Records Retention Schedule
DEEDS, EASEMENTS, QUITCLAIMS AND RELINQUISHMENTS
Record #
Functions:
Content:
Total Retention:
Statutory:
Refe renee/Note:
Image:
Approval Date:
ELECTIONS
Record #
Also Called:
Functions:
Content:
Tot a I Retention:
Statutory:
Reference/Note:
Location:
Image:
Approval Date:
670-50, 670-55
Documents the acceptance or relinquishment of property.
May include, but is not limited to: deed, easement, quitclaim,
relinquishment; City Council and/or Commission agenda report and
exhibits; and, communications.
Permanent
CA GC §34090
See page 47, for Grant Deeds related to Affordable Housing Loans.
Yes -Held in Citywide Records Management System.
630-XX
General Election, Special Election
Record the activities of primary and general elections.
May include, but is not limited to: nomination papers, candidate
statements, ballot designation worksheet, statement of acceptance or
rejection of public financing, code of air campaign practices form, oath of
office, manner of payment form, biographical form, candidate image, and
arguments/rebuttals for measures.
Affidavits of Publication, sample ballots, certification of vote, Oaths of
Office -Permanent.
Unsuccessful Candidate Nomination Papers -4 years after the expiration
of the term for which they are filed.
Successful Candidate Nomination Papers -4 years after the expiration of
the term for which they are filed.
Precinct materials, election returns -6 months from date of election.
Non-City forms, manuals and regulations-keep until superseded.
CA GC §34090, §81009(b), EC §17503, §17100
A historical roster will be established for each election at the conclusion of
the election. This file will contain the number of register voters, name of
candidates, voters per candidate, measures, voters per measure and shall
be retained permanently.
Office of the City Clerk.
Yes
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City of San Juan Capistrano Records Retention Schedule
FAIR POLITICAL PRACTICES COMMISSION (FPPC) FILINGS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Image:
Approval Date:
640-50
FPPC Filings, Form 400, 500, 700 and 800 series.
Documents the history of candidate financing and economic interest
statements of elected officials, appointed members and employee
specified in the Conflict of Interest Code.
May included, but is not limited to: FPPC form 400 -Campaign Disclosure
Forms, Form 500 -Candidate Intention Statement, Form 700 -
Statements of Economic Interest, Form 800 -Gifts, Tickets, Behest
Payments; and communications.
Form 400 Series -Campaign Disclosure Forms (successful candidates) -
Permanent.
Form 400 Series -Campaign Disclosure Forms (unsuccessful candidates)
-filing date + 7 years.
Form 500 Series -Candidate Intention Statement (successful candidates)
-Permanent.
Form 500 Series -Candidate Intention Statement (unsuccessful
candidates) -filing date + 7 years.
Form 700 Series -Statement of Economic Interests (Elected Officials) -
filing date + 7 years
Form 700 Series -Statement of Economic Interests (Specified Employees
and appointed officials) -filing date + 7 years.
Form 800 Series -Gifts, Tickets, Behest Payments -Filing Date + 7
years.
CA GC §81009(b)
These records must be maintained in hard copy/paper form for at least
two years. After such time has passed the records may be retained on
"microfilm or other space-saving materials available for public inspection
instead of the original report or statement or copy." CA GC §81009 (g)
Yes -Held in Citywide Records Management System
HISTORY OF ELECTED AND APPOINTED OFFICIALS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
610-80
City Officials Roster
Documents the names and terms of elected City Officials; appointed
board, commission and committee members; and, City executives.
May include, but is not limited to: a listing of officials and dates of service.
Permanent
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
INITIATIVE, RECALL, OR REFERENDUM PETITIONS
Record # 630-XX
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Location:
Approval Date:
Documents the submission and processing of initiatives, recall efforts, or
referendum petitions.
May include, but is not limited to: published certification, petition, ballot
turn in, correspondence, notice of intent, ballot title.
Petitions shall be retained until election results are certified, or final
examination if no election + 8 months.
Petition administration records shall be retained permanently.
EC §17200, §17400; CA GC s;81009(f)(g)
Petitions shall remain locked at all times within the Office of the City Clerk
until disposition is approved and document is scheduled for destruction.
Office of the City Clerk.
LEGISLATION RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date :
Varies
Documents County, State and Federal proposed legislation and advocacy
efforts
May include, but is not limited to: proposed legislation; reports; City
Council agenda reports and exhibits; and communications.
2 years
CA GC §34090
MEMBERS APPOINTED TO A CITY BOARD, COMMISSION OR COMMITTEE
Record # 110-20, 710-60
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
Administrative files of person appointed to the City of San Juan Capistrano
board, commission or committee.
May include, but is not limited to: member's application, ethics training
certificate, and correspondence.
Ethics certifications -date of training + 5 years.
All other records are held the duration of appointed services + 4 years.
CA GC §34090; CA GC §53235.2(b)
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City of San Juan Capistrano Records Retention Schedule
MUNICIPAL CODE
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
OATHS OF OFFICE
Record #
Also Called:
Functions:
Content:
Total Retention :
Statutory:
Reference/Note :
Location :
Approval Date:
660-20
MC, Muni Code
The Municipal Code documents all ordinances passed by the San Juan
Capistrano City Council. The Municipal Code is updated bi-annually as
new ordinances are adopted by the City Council.
May include, but is not limited to: all ordinances for the City of San Juan
Capistrano; code holder rosters/subscriptions.
Code administration records shall be retained for a minimum of 2 years.
Ordinances shall be permanently retained.
CA GC §34090
640-60
Oaths, Deputize, Affirmation
Is an oath of office, affirmation of office or deputized oath a person takes
before undertaking the duties of an office or position.
May include, but is not limited to: oath, affirmation or deputized oath.
Permanent
CA GC §34090
Employee oaths are recommended for 6 years retention after end of term,
per Secretary of State guidelines.
Employee oaths are maintained in the individual's personnel file. All other
oaths or deputize oaths documents with the Office of the City Clerk.
RECORDS MANAGEMENT
Record #
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
160-XX
Documents the authorize retention, scheduling, inventory and disposition
of public records.
May include, but is not limited to: procedural guidelines, records retention
schedules, inventory reports, transfer forms, disposal lists, destruction
authorizations, records system index, inactive records locator logs, record
audits.
Records retention schedules, disposal lists, destruction authorizations and
record transfer forms shall be retained permanently.
Policies and procedures shall be retained until superseded + 2 years.
All other administrative record management records shall be retained for a
minimum of 2 years.
CA GC §34090(d)
These files are management by the Office of the City Clerk, contact the
Deputy City Clerk for assistance.
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City of San Juan Capistrano Records Retention Schedule
RESOLUTIONS AND ORDINANCES
Record#
Also Called:
Functions:
Content :
Total Retention:
Statutory :
Image:
Approval Date :
660-10
Reso, Ord
Legislative and non-legislative actions that document the City's policy
development. An ordinance defines a law set forth by the City Council, a
resolution is formal expression of opinion, will or intent voted by the
official body.
May include, but is not limited to: final numbered, signed resolutions and
ordinances.
Permanent
CA GC §34090(e)
Yes-Held in Citywide Records Management System.
SUBPOENAS AND SUMMONS
Record # 640-30
Also Called:
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date :
Demand for Records
Documents related to court ordered demand for records; and legal action
involving the city .
May include, but is not limited to: subpoena; and, summons.
6 years
CA GC §34090
VACATIONS/ABANDONMENTS
Record # 670-50, 820-40
Functions:
Content:
Total Retention:
Statutory :
Approval Date:
Records documenting the vacation and/or abandonment of streets,
alleyways and/or trails.
May include, but is not limited to: recorded easement; City Council
agenda report and exhibits; communications.
Permanent
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
City Manager
CEREMONIAL DOCUMENTS
Record #
Also Called:
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
610-40
Proclamations, Commendations, Acknowledgements
The Mayor and/or City Council may issue ceremonial documents in
recognition of significant local group, business, civic organization or
individuals outstanding accomplishment, regarding issues with widespread
community interested, and in acknowledgement of significant events,
celebrations, donations, cultural contributions or volunteer efforts.
May include, but is not limited to: ceremonial resolutions, letters of
welcome or congratulations, and certificates of recognition.
Original Proclamation -Permanent
All other records -2 years.
CA GC §34090
CORRESPONDENCE-ELECTED OFFICIALS
Record # 610-25
Functions:
Content:
Total Retent ion:
Statutory:
Reference/Note:
Approval Date :
Documents of a general nature that were created or received in the course
of leading and managing the Office of the Mayor and City Council, which
are not included in another record series.
May include, but is not limited to: interoffice or interdepartmental
communications which do not subsequently result in the formulation of
policy; incoming and outgoing letters, memoranda, notes,
acknowledgements, announcements, or publications, enclosures, or
attachments.
End of Elected Services + 2 years
CA GC §34090(d)
Due to the historical nature of the work done in the Office of the City
Manager and City Council, these records have a longer retention than
similar records of the City and/or City Staff.
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City of San Juan Capistrano Records Retention Schedule
SPEECHES -ELECTED OFFICIALS
Record # 150-75
Functions: Final copies of speeches given by elected officials. Speeches may concern
policy issues, strategic planning, legislation concerning the agency, and
· other related topics.
Content: May include, but is not limited to: speech in any form, any audio visual
content, and/or transcript.
Total Retention: Permanent
Statutory: CA GC §34090
Reference/Note: Due to the historical nature of the work done in the Office of the City
Manager and City Council, these records have a longer retention than
similar records of the City and City staff.
Approval Date:
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City of San Juan Capistrano Records Retention Schedule
Community Services Department
ACTIVITY REGISTRATION APPLICATIONS AND FACILITY USE FORMS
Record#
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
960-10
Documents the use of Community Services programs and facilities.
May include, but is not limited to: applications submitted for leisure
programs and youth programs; forms submitted for the use of City parks,
building and·sports fields.
2 years
CA GC §34090
SENIOR SERVICES PROGRAMS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
595-XX
Documents enrichment programs and activities for senior aged residents.
May include, but is not limited to: records documenting program and
activity planning, copies of contracts, receipts, invoices, correspondence,
announcements, and brochures.
2 years
CA GC §34090
SPECIAL EVENTS 8t PROGRAMS -RECREATIONAL ACTIVITIES
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
960-30
Documents history of recreational events hosted at the Community
Center.
May include, but is not limited to: announcements, programs, brochures,
summary of events, event planning records, copies of contracts, receipts,
invoices and correspondence for booked and potential events.
Date of event + 2 years
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
Customer Service Division
APPLICATION FOR WATER SERVICE
Record # 1050-10
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
Documents the requests for new water service connection, disconnection
and other related services.
May include, but is not limited to: applications for water service
connection, and water meter application forms.
7 years
CA GC §34090
Yes -Only retained in electronic format
BUSINESS LICENSES
Record # 390-60
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
OTHER PERMITS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
BL
Records documenting licenses issued to businesses and non-profits
performing work within City limits.
May include, but is not limited to: application for license, renewal of
license copy of issued license, correspondence including penalty letters.
5 years
CA GC §34090; CCP 337
570-70
Mobile Home Permit to Operate, Food Vendor Permit, Filming Permit
Records documenting permits issued for variety of other programs.
May include, but is not limited to: permit application, notices, copy of
issued permit and correspondence.
5 years
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
PARKING PERMITS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
570-70
A permit that allows access to a designated parking lot or neighborhood.
May include, but is not limited to: permit application, notices and
correspondence.
2 years
CA GC §34090
UTILITY BILLING CORRESPONDENCE
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
100-40
Documents pertaining to all Utility Billing customer correspondence for
water, sanitary sewer,.
May include, but is not limited to: back-bill notices, lien releases, vacancy
forms, bill tenant forms, auto-pay forms, bill disputes, voluntary metered
billing, and other customer correspondence related to utility billing.
Documents pertaining to financial adjustments -adjustment + 3 112 years.
All other correspondence -3 years after account becomes inactive.
Document and correspondence retained in CIS database -retain as long
as database is active.
CA GC §34090
UTILITY BILLING JOURNALS
Record # 300-XX
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Documents financial transactions related to water customers.
May include, but is not limited to: CIS journals, billing and account
adjustments, disconnect journals, move in/out, late charge.
5 years
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
Development Services Department
ARCHITECTURAL RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date:
CENSUS RECORDS
Record #
Functions :
Content:
Total Retention:
Statutory:
Location:
Approval Date:
410-30, 410-60
AC
Records documenting the standards, application and case files related to
architectural controls
May include, but is not limited to: design selection records; design
guidelines; case files; architectural controls; City Council and Commission
agenda reports and exhibits; and, communications.
Permanent
CA GC §34090; ADMIN
Development Services Department
Yes
440-15
Records documenting the demographical statistics for the City of San Juan
Capistrano.
May include, but is not limited to: United States census reports; and
California Department of Finance population reports
Permanent
CA GC §34090; ADMIN
Development Services Department
ENVIRONMENTAL PROTECTIONS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Location:
Image:
Approval Date:
410-80, 910-10
EPs
Documents the review process for case files, archeology and geological
hazards reports.
May include, but is not limited to: case files, applications, agricultural
preservation, archeological reports, geological hazard reports; City Council
and Commission agenda reports and exhibits; and, communications.
Permanent
CA GC §34090
Archeological reports are not a public record.
Development Services Department
Yes
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City of San Juan Capistrano Records Retention Schedule
ENVIRONMENTAL IMPACT REPORTS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date:
410-20
EIR
Documents a project that may have a significant effect on the
environment.
May include, but is not limited to: noticing documents, recorder
documents, project correspondence, City Council and commission agenda
reports and exhibits and all required forms.
Permanent
CA GC §34090
Development Services Department
Yes
GENERAL PLAN/ AMENDMENTS/ELEMENTS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date:
440-25
GP,GPA
Records documenting preparation and adoption of the general plan,
housing element, community plans, neighborhood plans, specific plan,
functional master plans, and land use and infrastructure studies, policies
and ordinances.
May include, but is not limited to: file routing documents, noticing
documents, project correspondence, records of decision, City Council and
commission agenda reports and exhibits, invoices, receipts, environmental
documents (if required by project), all require forms.
Permanent
CA GC §34090
Development Services Department
Yes
HISTORIC 8r. CULTURAL PRESERVATION
Record #
Also Called:
Functions:
Content:
Total Retention:
410-50, 410-60, 420-90, 910-40
Site Plan Reviews (SPRs), Historic Depiction Programs (HOPs), Inter-
Jurisdictional Project Reviews (IHLs), Mills Act Contracts (MACs)
Records documenting the historical and cultural preservation of City
landmarks.
May include, but is not limited to: information related to cultural heritage;
inventory of historic sites; information on historic sites and/or landmarks;
rehabilitation and restoration records; City Council and Commission
agenda reports and exhibits.
Permanent
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C i t y o f S a n J u a n C a p i s t r a n o R e c o r d s R .e t e n t i o n S c h e d u I e
Statutory:
Location:
Image:
Approval Date:
CA GC §34090
Development Services Department
Yes
HOME OCCUPANCY PERMIT APPLICATION
Record # 390-60
Also Called:
Functions:
Content:
Total Retention :
Statutory:
Location:
Image:
Approval Date :
PARCEL MAPS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date :
PERMITS
Record #
Also Called:
Functions:
Content:
HOP
Applications for conducting a business out of a residence within the City of
San Juan Capistrano.
May include, but is not limited to: Home Occupancy Permit application,
correspondence.
2 years from submission
CA GC §34090
Development Services Department
Yes
420-40, 420-50, 420-70
LLA, TIM, TPM
A substitute for a subdivision map for 1 to 4 parcel (lots) with no common
area.
May include, but is not limited to: lot line adjustments, tentative tract
maps, tentative parcel maps, City Council and commission agenda reports
and exhibits.
Permanent
CA GC §34090.5; 34090
Development Services Department; Records Lot Line Adjustments are on
file in the City Clerk's Office.
Yes
410-40,410-90,420-30,450-90,460-70
CUP, DUP, LUP, SAP, TUP
Documents application for permits issued by the Development Services
department related to planning.
May include, but is not limited to: Discretionary Use Permits, Floodplain
Use Permits, Land Use Permits, Grading Permits, Sign Permits, Special
Activity Permits, Tree Removal Permits, Temporary Use permits and
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Total Retention :
Statutory:
Location:
Image:
Approval Date:
Alcoholic Beverage License Applications.
Temporary Use Permits and Alcoholic Beverage License Application -Life
of permit/license + 2 years
All other permits -permanent.
CA GC §34090
Development Services Department
Yes
PLANNING PROJECT FILES
Record # 420-10
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date:
AC,CUP,CA, DA,GPM
Records documenting planning applications for entitlements required by
title 9 of the San Juan Capistrano Municipal Code.
May include, but is not limited to: Architectural Controls, Conditional Use
Permits, Code amendment case files, Development Agreements, Grading
Plan Modifications, development project files, land use division records,
tracts and subdivision case records, project notices, project
correspondence, City Council and comm1ss1on agenda reports with
exhibits, environmental documents (if required by project), and all
required forms.
Permanent
CA GC §34090
Development Services Department; Originally recorded Development
Agreements on file in the City Clerk's Office.
Yes
PRE-APPLICATIONS/ PRELIMINARY OOCU M ENTS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date:
400-XX
PA
A preparatory document used to introduce or provide adjectives/direction
to a matter.
May include, but is not limited to: preliminary reports, pre-project
applications, draft reports, hand written notes or plans.
Destroy when no longer relevant but no less than 2 years.
CA GC §34090
Development Services Department
No
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City of San Juan Capistrano Records Retentior] Schedule
TRACTS & SUBDIVISION FILES
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Image :
Approval Date:
ZONING FILES
Record#
Also Called:
Functions:
Content:
Total Retention :
Statutory:
Location:
Image:
Approval Date :
420-40
TR, TTM
Records regarding the development of tract housing and subdivided land
into individual small lots.
May include, but is not limited to: recorded tract maps, subdivision maps,
and tentative tract maps; City Council and commission agenda reports
and exhibits; and, communications.
Permanent
CA GC §34090
Original, record Tract Maps are on file with the Public Works department.
City Council approvals on file with the City Clerk's Office.
Yes
460-20, 460-60
RZ,ZA,ZV
Records regarding, but not limited to, the regulations and use of land,
buildings, or other structures for residents, commerce, industry, and other
uses require by the community; the regulation of the locations, height,
and size of building or structures.
May include, but is not limited to: rezones, zone changes, zone variances,
file routing documents, noticing documents, project correspondence, City
Council and commission agenda reports and exhibits, invoices, receipts,
environmental documents (if required by project), variance case records
and all required forms.
Permanent
CA GC §34090; 14 Cal Code Regs §15095(c)
City Council approved zoning documents located in the City Clerk's Office.
All other documents w ith the Development Services department.
Yes
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City of San Juan Capistrano Records Retention Schedule
Finance Department
ACCOUNTS PAYABLE RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note :
Approval Date:
300-20
Vouchers, vendor payments
Documents vendor information and support for payments to vendors for
goods, services, or other obligations.
May include, but is not limited to: vendor invoices, check copies, purchase
requisitions, purchase orders, check registers, IRS 1099 forms IRS W9
forms, accounts payable reports, personnel expense reports, and
unclaimed property records (escheat notifications, etc).
7 years
IRS Reg §31.6001-1(e)(2), R&T §19530, CCP 337, CA GC §34090,
CaiEMA, ADMIN*
*Per City Council action on September 3, 2013, retention increase to 5
years in which OCTA may perform an audit of City's files as it relates to
Measure M.
ACCOUNTING RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
300-10, 320-20, 340-10, 380-10, 390-70
Monthly, Quarterly, Yearly Accounting Records
Documents financial information necessary to prepare financial statement
and demonstrate adequate internal controls over accounting and financial
reporting.
May include, but is not limited to: financial statement compilations, lead
and detail schedules, journal entries, accounting procedures, balance
reports, bank statements, general ledger reconciliations, capital asset
schedules, debt amortization schedules, unclaimed property records, chart
of accounts, administration records, revenue/expense reports, State
Controller's Office annual reports, sales and use tax returns, and EDD DE-
9forms.
General Ledger and State Controller reports -Permanent
Final annual balance sheet reports, revenue and expenditure reports,
audited financial statements -Permanent
All other records - 7 years
IRS Reg §31.6001-1(e)(2), R&T §19530, 26 CFR §1.6001-1
CA GC
Image: Yes
Approval Date :
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City of San Juan Capistrano Records Retention Schedule
AUDIT REPORTS -CITY & AGENCY
Record #
Content:
Total Retention:
Statutory:
Image:
Reference/Note:
Approval Date:
BANK RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
BOND FILES
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note :
Approval Date:
310-XX
May include, but is not limited to: Audit reports and other annual filings;
Air Quality Management District (AQMD) reports; State Controller reports.
7 years
CA GC §34090, §34090.5; ADMIN
Yes
Refer to page 45 for retention of Comprehensive Annual Financial Report
320-XX
Documents the administration of banking records.
May include, but is not limited to: cancelled checks, cash and revenue
receipts, reconciliations, , signature cards, statements,.
Signature cards-After termination + 4 years.
Checks -Destroy monthly after bank reconciliation.
All other records - 5 years.
CA GC §34090, §34090.5; CCP 337; 26 CFR 16001-1; ADMIN
340-XX
Debt service
Documents debts against the City.
May include, but is not limited to: fiscal agent statements; bond issuance
documents.
Fiscal agent records, debt service to maturity schedules, bond issuance
documents -retain for 10 years
CA GC §34090, §34090.5, §53921; CCP 337.5; CaiEMA
See page 26, Contracts, Leases, Agreements -City Council and City
Manager for Performance Bond and Labor and Material Bond retention.
See page 10, Grant Records for Proposition lB grant bond funds retention.
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City of San Juan Capistrano Records Retention Schedule
CITY AND AGENCY BUDGETS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
330-XX
Annual Operating Budget, Capital Improvement (CIP) Budget, Agency
Budget.
Documents the projection of revenues and expenditures.
May include, but is not limited to: adopted City budget, Agency budget,
CIP budget; department budgets and work papers; and budget
adjustments.
Adopted City, Agency, CIP budgets-permanent.
Budget adjustments - 5 years after adoption.
CA GC §34090; ADMIN
Yes
COMPREHENSIVE ANNUAL FINANCIAL REPORTS
Record # 310-30, 310-40
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
FEE SCHEDULE
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
CAFRs, Annual Financial Statements
Documents the fiscal condition, results of operations, and fiscal
accountability.
May include, but is not limited to: comprehensive annual financial reports.
Permanent
CA GC §34090
390-10
Schedule of Fees and Charges
Identifies general fees and charges, as well as developer impact fees.
May include, but is not limited to: agenda reports, public notices,
affidavits of publication, and studies.
Resolution and studies -Permanent
All other documents -retained until superseded + 2 years
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
FINANCE DEPARTMENT DATABASES
Record # 300-10
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Documents databases used by the Finance Department.
May include, but is not limited to the following: GEMS, CRW, and
cashiering.
Retain for utilization of software
CA GC §34090
INVESTMENT RECORDS
Record # 350-XX
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
LIENS
Record #
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
Records documenting the City's investments and investment activities.
May include, but is not limited to: investment reports, investment policy,
City Council agenda reports and exhibits.
5 years
CA GC §34090; ADMIN
670-80
Records documenting liens issued and released related to real property.
May include, but is not .limited to: recorded lien and lien release; and
communications.
Permanent
CA GC §34090
Yes
PAYROLL RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
360-XX
Documents the earnings, deductions and withholdings of employees.
May include, but is not limited to: payroll registers, direct deposit forms,
Employment Development Department (EDD) garnishments forms, labor
distribution reports; IRS W-2; IRS W-4 forms; address changes; employee
attendance records; severance pay records; tax withholding forms; time
cards; cleared payroll checks; and vacation/sick leave reports.
Payroll registers -permanent
All other records-10 years
CA GC §34090, IRS Reg §31.6001-1(e)(2), 26 CFR §1.6001-1,
R&T §19530
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
REVENUE AND TAXATION RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
390-XX
Records documenting revenues owed to the City , by citizens,
organizations, vendors and other to be credited to accounts. Also
documents billing and collection of monies.
May include, but is not limited to: account adjustment sheets; collection
enforcement; collection agency records; leans processing; payment stubs;
return check processing; cash receipts, credit, debit and purchase card
receipts; authorization forms; transient occupancy tax; monthly reports;
city related billings; mandated cost and recovery claims and
documentation; revenue receipts; county and state tax records; and tax
apportionment notifications.
Liens-permanent
Collection agency reports - 7 years
Cost and recovery claims -completion + 4 years
Payment stubs -2 years
All other revenue records -5 years
CA GC §34090; ADMIN
WARRANT /CHECK REGISTERS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
300.30
Check Registers
Documents financial transactions.
May include, but is not limited to: warrant registers, check registers, City
Council agenda reports.
7 years
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
Housing Division
GRANT DEED
Record #
Also Called:
Functions:
Content:
Total Retention :
Statutory:
Reference/Note :
Locat ion:
Approval Date:
670-50
Documents the grant deed issued as part of the Affordable Housing Loan
Program.
May include, but is not limited to : grant deed; administrative records and
communications.
Completion of the loan
Copy maintained for 2 years after completion.
CA GC §34090
Grant deed released to the owner on payment of the loan.
Development Services Department
FIRST TIME HOME BUYER
Record#
Functi ons:
Content:
Total Retention :
Statutory:
Reference/Note:
Locat ion:
Approval Date :
430-40
Documents request for housing assistance related to the First Time Home
Buyer program.
May include, but is not limited to: application, payments, invoices,
receipts, and communications.
Permanent
CA GC §34090
Development Services Department
Yes
HOUSING ELEMENT
Record #
Functions:
Content:
Total Retention:
Statutory:
Location:
Image:
Approval Date:
440-25
Documents the City's adoption of the Housing Element. The Housing
Element is a mandated element within the City's General Plan. This
element requires local governments to adequately plan to meet the
existing and projected housing needs of the City.
May include, but is not limited to : adopted Housing Element; City Council
and commission agenda reports and exhibits; copies of adopted
resolutions; and, communications .
Permanent
CA GC §34090; ADMIN
Development Services Department
Yes
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
HOUSING ASSISTANCE/ ADVISORY PROGRAMS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
430-20,430-25,430-30,430-50
Preservation, Rehabilitation, Funding, Enhancement Programs; Advisory
Groups
Documents requests for housing assistance related to programs offered by
the City.
May include, but is not limited to: applications for assistance, invoices,
receipts; reports; recommendations; statistics; and, communications.
Advisory Group reports and recommendations -Life of project/program +
2 years
All other records -permanent.
CA GC §34090, §34090.5; ADMIN
Development Services Department
LITTLE HOLLYWOOD AFFORDABLE HOUSING PROGRAM
Record # 400-30, 600-10
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
Records documenting the housing assistance through the Little Hollywood
Housing program.
May include, but is not limited to: applications for assistance; tenant
policies; reports; recommendations; and, communications.
Completion of the program + 10 years
CA GC §34090
Development Services Department
MOBILE HOME RENT CONTROL CASE FILES
Record # 430-70
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
Documents the petition and hearing process related to rent increases.
May include, but is not limited to: petition; City Council and commission
agenda reports and exhibits; notices; and, communications.
Permanent
CA GC §34090
Development Services Department
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Cap i strano Records Retention Schedule
Human Resources/Risk Management Division
ACCIDENT, INCIDENT &. INJURY REPORTS
Record # 170-80
Functions:
Content:
Tot a I Retention:
Statutory:
Approval Date:
Documents non-vehicle accidents and injuries involving the public, vehicle
accidents by City employees.
May include, but is not limited to: vehicle accident reports (City vehicle
involved) and incident/loss reports involving the public.
Resolution of accident, incident, and injury Reports + 7 years
CA GC §34090; 29 CFR 1904.2, 1904.6
CAL-OSHA RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
760-XX
California Occupational Safety and Health Administration
Documents work related illnesses and injuries. Inspection and citations
document regulatory inspections or investigations. Building material test
data for lead and asbestos.
May include, but is not limited to: inspections, citations, logs and
monitoring of employee exposure.
Regulatory inspection reports and citations -End of the year the
inspection report/citation occurred +5 years
Logs - 7 years
Exposure monitoring records-30 years
Building material test data -permanent.
8 CCR §§3203(b)(1), 3204(d)(1); CALC §6429c; CA GC §12946
CLAIMS AGAINST CITY
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
170-70
Tort Claims
Documents various types of claims filed against the City.
May include, but is not limited to: claim and records related to cost
recovery being claimed by persons or entities; and, unemployment claims.
Permanent
Claims statistics and status reports - 2 years
CA GC §34090
Original claims are filed with the Office of the City Clerk. Administrative
and investigative documents held with the Office of the City Manager.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
CLAIMS BY CITY
Record #
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
170-60
Documents various types of claims filed on behalf of the City.
May include, but is not limited to: claims, records related to cost recovery
against persons or entities responsible for damage to City property.
Permanent
Claim statistics and status reports - 2 years.
CA GC §34090
Administrative and investigative documents held with the Office of the City
Manager.
EMPLOYEE AGREEMENTS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
600.30
An agreement with an individual separate from the Classified Employees
Association and Management & Professional Employees Association
Memorandum of Understanding.
May include, but is not limited to: employment agreements/contracts.
Permanent, if in personnel file.
CA GC 34090.5; 29 CFR 516.5; ADMIN
EMPLOYEE BENEFITS RECORDS
Record #
Functions:
Content:
Total Retention :
Statutory:
Approval Date:
750-XX
Documents an individual employee's benefit information such as selection
of insurance plans, retirement, pension and disability plans, deferred
compensation plans and other benefit information.
May include, but is not limited to: plan selection and application forms,
enrollment records, contribution and deduction summaries, personal data
records, authorizations, beneficiary information, year-end leave balance
reports and related documentation.
Permanent, if in personnel file.
29 CRF 1627.3(b)(2); CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
EMPLOYEE DISCIPLINE & GRIEVANCE RECORDS
Record #
Functions:
Content:
Total Retention :
Statutory:
Approval Date :
730-40
Employee disciplines are the document process of corrective action taken
when an employee has fallen below the required performance standards
or behavior expectations.
May include, but is not limited to: administrative law hearings and
arbitration records.
Permanent, if in personnel file .
CA GC §34090
EMPLOYEE PERSONNEL RECORDS
Record # 750-XX
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
HR File
This is the master personnel record maintained for each employee at the
direction of the Human Resources Manager.
May include, but is not limited to: job application, notices of appointment,
position/staffing requests, payroll withholding information, employee
eligibility verifications forms (19), leave summary records, performance
documentation, employee service awards, oaths of office, leaves of
absence (paid or unpaid), FLMA records, separation agreements, and
other records related to an individual's employment.
Permanent
CA GC §34090; 29 CFR 1627.3
HEALTH PLANS/POLICIES -EMPLOYEE
Record#
Functions:
Content:
Total Retention :
Statutory:
720-XX
Documents the available assistance programs; deferred compensation
programs; medical, vision and dental programs; retirement benefits; and
life insurance benefits.
May include, but is not limited to: benefits information, brochures and
manuals; deferred compensation plan; all health plans/policies; life
insurance policies; health insurance proposals; assistance programs; and
insurance procedures and manuals.
Deferred compensation plans-termination + 10 years
Life insurance policies -termination + 5 years
Health insurance policies -after expiration + 1 year
Health insurance proposals - 2 years
All other records -until superseded + 2 years
CA GC §34090; 29 USC 1027; 29 CFR 1627.3; ADMIN
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
INSURANCE POLICES-CITY
Record # 170-XX
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Liability, Unemployment, Workers' Compensation, Disability
Documents the terms and condition of insurance policies issued to the
City. Types of insurance include liability, property, motor vehicle,
workers' compensation, flood and other.
May include, but is not limited to: policies, insurance certificate,
endorsements, premium rate notices, agent of record, and relate
documents.
Permanent
CA GC §34090
LABOR AGREEMENTS AND NEGOTIATIONS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
730.30
MOU
Records contracts and agreements between the City and recognized
employee unions and associations.
May include, but is not limited to: agreements, side letters,
interpretations, amendments, letters of understanding, contracts, contract
administration records, labor negation records and by-laws.
Negotiation records -50 years
All other records -permanent.
CA GC §34090; 29 USC 211(c), 203(m), 207 (g)
Originally executed MOUs on file with the Office of the City Clerk.
POSITION DESCRIPTION, CLASSIFICATION & COMPENSATION RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
700-20, 700-30
Records that document the description, classification and compensation of
jobs and positions.
May include, but is not limited to: detail of duties and responsibilities of
each position, time percentage break downs of task, skills and abilities
needed for each position and related records documenting the
development, modification or redefinition of each job or position. Records
often include reports, position descriptions, position evaluations,
compensation studies, wage determination surveys, job analyses,
interview data, selection criteria authorizations, agreement and related
records. This category includes compensation records related to the City
Council.
City Council compensation records-Left office + 5 years
All other records -30 years
CA GC 12946, 34090; 29 CFR 516(a)(2); ADMIN
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
RECRUITMENT, EXAMINATION 8r. TESTING
Record # 740-30, 740-40, 740-50
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
Records use during the employee recruitment, examination and testing
process.
May include, but is not limited to:
tests, scoring tools, eligibility
announcements.
Close of position opening + 3 years
applications, resumes, examinations,
lists, rejection letter, and job
CA GC §12946, §6250 et seq.; 29 CFR 1607, 1627.3
These records do not apply to hired employees. Please refer to page 47
(Employee Personnel Records)
TRAINING AND EMPLOYMENT PROGRAMS
Record #
Functions:
Content:
Total Retention:
Statutory:
Location:
Approval Date:
710-XX
Records associated with or documenting the job-related instruction of
employee/official for job proficiency, enhancement or for the promotion of
skill attainment or improvement. Applies to City and non-city sponsored
trainings and programs.
May include, but is not limited to: reports, course descriptions, manuals,
textbooks, worksheets, handouts, film, videos, course outlines, instructor
rosters, certifications, course planning and development documentation,
course evaluations, class enrollment, attendance records, announcements,
retreats and youth employment program records.
Class enrollment and attendance records maintained for 5 years.
Course work, tests, quizzes, certificates of completion and youth
employment program records are maintained for 3 years.
All other records shall be kept for the life of the course until superseded or
discontinued, but shall not be less than 2 years.
CA GC §12945, §34090
Course work, tests, quizzes, certificates of completion are maintain with
the employees personnel file.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
VOLUNTEER PROGRAM
Record # 770-XX
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Documents the application, activities and administration of volunteer
programs, and documents work performed by citizens without
compensation for their services.
May include, but is not limited to: successful and unsuccessful
applications, adopted volunteer program and policy manual, time sheets.
Successful candidates -separation +3 years
Unsuccessful candidates -2 years
Program and policy manual -Until superseded + 2 years
CA GC §34090
WORKERS' COMPENSATION RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
170-55
Documents workers' compensation claims filed against the City.
May include, but is not limited to: indemnity claims, medical only claims,
employee exposures, first aid and pre-designation doctors.
From date of injury:
Workers' Compensation indemnity claims-90 years
Pre-designation doctors -75 years
Work related exposure records-30 years
Medical only claims -30 years
Employee first aid records-10 years
Workers' compensation incidents -10 years
8 CCR §32048 CCR §10102, 15400.2; GC §§12946, 6410; CA LC §110-
139.6
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
Information Technology Division
DISASTER RECOVERY TAPES
Record # 190-XX
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
File Recovery; Disaster Recovery
File and system restores for disaster preparedness.
May include, but is not limited to: copies all contents of targeted servers
into tape.
Full annual back-up to tape - 2 years
Physical host server, domain controllers, exchange server -backed-up
weekly on tape and retained for four weeks*
CA GC §34090
Stored and retained by an off-site vendor.
*Tapes are erased and rotated for cost efficiency
ELECTRONIC COMMUNICATION -BUSINESS RECORD
Record #
Also Called:
Functions:
Content:
Tot a I Retention:
Statutory :
Reference/Note:
Approval Date:
Varies
E-mail
Records routine communication pertaining to City business sent over e-
mail software system. This type of e-mail is deemed as a business record.
May include, but is not limited to: e-mail that provides direction of an
official duty, directs policy, authorizes payment, makes decisions or gives
approval, requests and replies to request for public information, direction
to staff or consultants, etc.
Minimum 2 years.
Admin Policy 615; CA GC §§6254 et seq; CA GC §34090
E-mails identified as a business records shall be printed and saved with
the appropriate file. E-mail records should not be maintained on the City's
intranet (network) equipment longer than 90 days. Every 30 days, all e-
mails that exceed 90 days retention will be automatically deleted from all
employees' e-mail program files. Prior to deletion, a minimum of 5
working days an electronic notice will be issued to all computer users.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
ELECTRONIC COMMUNICATION-NON-RECORD
Record # 190-XX
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
E-mail
Routine communication not related to City business sent over e-mail
software system. This type of e-mail is considered a non-record.
May include, but is not limited to: emails that provide general information
not related to the City, meeting announcement from another agency, list
serves, advertisements, and informal communication.
Deleted once the information is read, understood and communicated (if
needed).
Admin Policy 615; CA GC §§6254 et seq
E-mail records should not be maintained on the City's intranet (network)
equipment longer than 90 days. Every 30 days, all e-mails that exceed 90
days retention will be automatically deleted from all employees' e-mail
program files. Prior to deletion, a minimum of 5 working days an
electronic notice will be issued to all computer users.
PROGRAM FILES & DIRECTORIES
Record #
Also Called:
Content:
Total Retention:
Statutory:
Reference/Note:
Approval Date:
190-XX
Server, Business Systems, Virtual Server
May include, but is not limited to: back-up and replays* of content on
servers.
Drives: "S" drive, "H" drive.
Business systems: GEMS, CIS Infinity, RecTrac, Trakit.
Customer data within Business Systems is retained permanently. Replays
on the City's storage area network is retained as follows:
Daily replay -retain for 1 week
Monthly replay -retain for 5 weeks
Quarterly replay -retain for 100 days
Annual replay-retain for 366 days
CA GC §34090; 34090.7
*A replay is a copy over existing data.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
VIDEO MONITORING -ROUTINE
Record#
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
190-XX
Video Cameras
Recordings of regular and ongoing operations within City facilities.
May include, but is not limited to: video and electronic imaging.
1 year
CA GC §34090.6
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
Public Works Department
ASSESSMENT DISTRICTS
Record #
Also Called:
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
345-XX
Landscape Maintenance Districts, Improvement Districts, Sewer
Maintenance Districts, Underground Utility Districts (UUD), Improvement
Districts, Geological Hazards Districts.
Documents the formation/dissolution of districts; financial assessments
issued for the districts.
May include, but is not limited to: formation/dissolution records; City
Council and commission agenda reports and exhibits; assessment ballots;
financial records; copies of resolutions and ordinances; and,
communications.
Assessment financial records-5 years.
All other records -permanent.
CA GC §34090, §34090. 5
CONSTRUCTION PROJECT RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
App rova I Date:
FLOOD CONTROL
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Varies
Documents the administration and monitoring of construction projects.
May include, but is not limited to: City Council and Commission agenda
reports and exhibits; and communications.
Permanent for life of the structure
CA GC §34090
550-XX
Documents the history and methods used to reduce or prevent the effects
of flood waters.
May include, but is not limited to: flood damage claims; flood damage
reports; and floodplain maps.
Floodplain maps -permanent
All other records -superseded I closed + 5 years
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
FUNDING PROGRAM FINANCIAL RECORDS
Record # 800-70, 820-25
Functions:
Content:
Tot a I Retention:
Statutory:
Location:
Approval Date:
Documents the applications, administration and monitoring of funds
received.
May include, but is not limited to: copies of agreements for funding; City
Council and Commission agenda reports and exhibits; and
communications.
Completion of project + 5 years
CA GC §34090
Original agreements on file with the Office of the City Clerk.
IMPROVEMENT PROJECTS (NOT CAPITAL IMPROVEMENT PROJECTS)
Record #
Functions:
Content:
Total Retention :
Statutory:
Location:
Approval Date:
850-XX
Document records related to Improvement Projects that do not qualify as
a Capital Improvement Project.
May include, but is not limited to: improvement projects related to traffic,
parking, freeways, highways, bridges, facilities, storm drains and parks;
copies of agreements; City Council and Commission agenda reports and
exhibits; and communications.
Permanent
CA GC §34090
Original agreements on file with the Office of the City Clerk.
OPERATIONS AND MAINTENANCE RECORDS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
200-XX
Documents minor facility improvements and routine maintenance of City
owned facilities and property.
May include, but is not limited to: internal requests for service, copies of
invoices, quotes, maintenance records and correspondence .
End of current year+ 2 years
CA GC §34090
Citv of San Juan Capistrano I Office of the Citv Clerk I
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City of San Juan Capistrano Records Retention Schedule
PERMITS
Record #
Also Called :
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
SPEED SURVEYS
Record #
Functions:
Content:
Total Retention :
Statutory:
Location:
Approval Date:
STREETS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
820-50, 820-70
Encroachment Permit, Street Closure Permit, Vehicle Overload Permits,
Parade Permits
Documents permits applied for and issued by the Public Works
Department for the purposes of street closures or encroachment.
May include, but is not limited to: issued permit; insurance; City Council
agenda reports and exhibits; notices; and communications
Street Closure and Vehicle Overload Permits - 3 years
Parade Permits-5 years
Encroachment Permits and Insurance -Permanent
CA GC §34090
590-30
Legally required surveys used to set speed limits.
May include, but is not limited to: speed survey; copy of resolution
adopting survey; City Council and commission agenda reports and
exhibits; notices; and communications.
When superseded, but no less than 2 years.
CA GC §34090
Original resolution on file with the Office of the City Clerk.
820-XX
Records documenting regulations and standards related to streets.
May include, but is not limited to: street system records; street name
change records; street standards and regulations and communications.
Permanent
CA GC §34090
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City of San Juan Capistrano Records Retention Schedule
TRAFFIC CONTROL AND ENGINEERING
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approva l Date:
TRAFFIC CALMING
590-XX
Records relating to traffic engineering, signage, investigations and history
of traffic signal timing at the City's intersections.
May include, but is not limited to: traffic investigations; ordering of signs;
traffic counts; traffic summaries; other traffic reports; control device
inventories; and, crossing guard requests.
Traffic signal timing -until superseded, but not less than 10 years
Crossing guard requests - 2 years
All other records -10 years
CA GC §34090(d)
Record # 590-XX
Functions:
Content:
Total Retention:
Statutory:
Approval Date :
Documents traffic calming measure implemented and investigations by
the City.
May include, but is not limited to: resident requests; City Council and
commission agenda reports and exhibits; notices; copies of resolutions;
and communications.
Closed + 5 years
CA GC §34090
VEHICLE OWNERSHIP 8t MAINTENANCE RECORDS
Record # 370-XX
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Documents the purchase, ownership, licensing and maintenances of all
City-owned vehicles.
May include, but is not limited to: legal titles, registration documents,
purchase invoice, contracts, warranties, inspections, maintenance logs.
Life of the vehicle + 2 years
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
Safety 8t Emergency Services Division
AMBULANCE SERVICE RECORDS
Record # 560-40
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Documents licensing and administration records as it relates to ambulance
services.
May include, but is not limited to: licenses; copies of agreements; City
Council agenda reports and exhibits; administration records; and
communications.
After termination + 2 years
CA GC §34090; ADMIN
ANIMAL CONTROL/COMPLAINTS
Record #
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
500-40
Documents complaints and investigations related to animals.
May include, but is not limited to: activity reports, complaint, memos,
citations, reports, City Council agenda reports and exhibits and
communications.
Resolution of complaint + 2 years
CA GC §34090
DISASTER ASSISTANCE FINANCIAL RECORDS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
520-40
FEMA
Documents the application, administration and monitoring of monies in
which the City is the receipt in the event of an emergency and/or disaster.
May include, but is not limited to: applications, emergency logs, City
Council declaration, City Council agenda reports and exhibits, and
communications.
7 years after Federal and State dissolution
CA GC §34090; ADMIN
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retent i on Schedule
DISASTER PLANNING AND EMERGENCY PLANS
Record # 520-50
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date :
Safety & Emergency Preparedness
Procedures adopted that clearly detail what needs to be done before and
after an anticipated disastrous event occurs.
May include, but is not limited to: emergency preparedness
manuals/plans; disaster planning records; other agency manuals; general
emergency information; drills; and, emergency personnel rosters.
Original emergency manuals/plans -permanent
Disaster planning records/drills - 3 years
Emergency personnel rosters -3 years
Emergency plans from other agencies -until superseded
CA GC §34090
SAN ONOFRE NUCLEAR GENERATING PLANT
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date :
1060-XX
SONGS
Procedures adopted that clearly define what needs to be done before and
after an anticipated disastrous event occurs with the San Onofre Nuclear
Generating Plant.
May include, but is not limited to: emergency preparedness
manuals/plans; disaster planning records; other agency manuals; general
emergency information; drills; and emergency personnel rosters.
Original emergency manuals/plans -permanent
Disaster planning records/drills -3 years
Emergency personnel rosters -3 years
Emergency plans from other agencies -until superseded
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
Questions about records or this document? Email: cityclerk@sanjuancapistrano.org or (949} 493-1171
City of San Juan Capistrano Records Retention Schedule
Utilities Department
FIELD SERVICES CMMS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
190-XX
Computerized Maintenance Management System
Used to capture work order tasks on unscheduled repairs, maintenance
activities, inventory and equipment usage and staff labor pertaining to
Department of Utilities for water meters, as well as water, sewer and
drainage assets.
May include, but is not limited to: inspections; maintenance; repair and
replacement of: water, sanitary sewer and drainage infrastructure;
inventory of all related materials received and issued to work orders
and/or CIPs.
Permanent
CA GC §34090
IMPROVEMENT PROJECTS {NOT CAPITAL IMPROVEMENT PROJECTS)
Record #
Functions:
Content:
Total Retention :
Statutory:
Location:
Approval Date:
INSPECTIONS
Record #
Functions:
Content:
Total Retention :
Statutory:
Approval Date:
Varies
Document records related to Improvement Projects that do not qualify as
a Capital Improvement Project.
May include, but is not limited to: improvement projects related to plant
upgrades, water, wastewater and wells; copies of agreements; City
Council and Utilities Commission agenda reports and exhibits; and
communications.
Permanent
CA GC §34090
Original agreements on file with the Office of the City Clerk.
450-XX
Documents inspections completed by the department for purposes of
permit requirements or compliance, internal department process or
procedures.
May include, but is not limited to: stormwater industrial inspections,
inspection approvals and violations, backflow inspections, pump station
and flood inspections; and video inspection reports.
Stormwater inspections and video inspection reports - 5 years
All other records - 2 years
40 CFR 122.41(j)(2); CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
PERMITS
Record #
Functions:
Content:
Total Retention:
Statutory:
Image:
Approval Date:
1000 series
Documents permits applied for and issued by the Department of Utilities.
May include, but is not limited to: water rights, discharge and permits,
NPDES permits (and all supporting documents), construction water
permits, limited hydrant use permits, solid waste permits, administrative
documents for all permits, such as applications, approvals, etc.
Water rights, discharge and permits, NPDES permits (and supporting
documents) -permanent
Solid waste permits -expiration of permit + 30 years
Application and administration records - 2 years
All other permits-expiration of permit +2 years
CA GC §34090
Yes
PLANT OPERATIONS
Record #
Also Called:
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
1050-XX
Groundwater Recover Plant (GWRP)
Documents the activities of the Ground Water Recovery Plant and
operations.
May include, but is not limited to: plant administration and operation
records, ground water levels, data trends, water level data sheets, daily
log books, hazardous material plans, water production reports, index
maps, sampling forms, and sanitation surveys.
Well and water reports, index maps, water level data and hazardous
material plans -permanent
Log books and production records -12 years
Sanitary surveys -10 years
All other records -5 years
CA GC §34090; 40 CFR 141.33
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
REGULATORY REQUIREMENTS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
REPORTS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
1040-XX, 1050-XX
Documents relating to regulatory compliance for the Utilities Department.
May include, but is not limited to: routine (such as annual reports) records
and significant reports, variances, waivers or exceptions from regulatory
agencies, confined space entries, plans and flood maps, and
correspondence.
Correspondence with regulatory agencies, variances waiver and
exceptions -permanent
Confined space entries - 3 years
All other records - 5 years
CA GC §34090
Varies
Regulatory reports as they relate to water and waste water.
May include, but is not limited to: corrosion control compliance; drinking
water corrections; lead service line; hydrograph; public education; quality
parameters; sanitary surveys; source water; state certification; water
system variances; well levels; and drinking water violations.
Hydrograph-permanent
Corrosion control compliance, lead service line, public education, quality
parameters, source water, state certifications -12 years
Drinking water corrections, sanitary surveys -10 years
Water system variances - 5 years
Drinking water violations - 3 years
Well levels - 2 years
CA GC §34090; 40 CFR 141.91, 141.33
City of San Juan Capistrano I Office of the City Clerk I
Questions about records or this document? Email: cityclerk@sanjuancapistrano.org or (949) 493-1171
City of San Juan Capistrano Records Retention Schedule
SOLID WASTE OPERATIONS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
1040-XX
Records pertaining to solid waste services including landfill operation and
waste disposal.
May include, but is not limited to: work orders, receipt books,
implementation of State regulations, recycling programs, landfill
management reports, related administrative files.
Hazardous waste related records, landfill management reports -
permanent
Work orders and administrative files - 5 years.
Recycling programs -until superseded + 2 years
All other records -2 years
CA GC §34090
UTILITIES COMMISSION
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
UTILITY REBATES
1000-XX
Records documenting the Commission's review and recommendations
regarding City utilities, including water systems, wastewater systems, and
sanitary sewer systems.
May include, but is not limited to: Public Utilities Commission notifications,
applications; reports; and communications.
Close of application + 2 years
CA GC §34090
Record # 300-XX
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
Documents toilet retrofit program.
May include, but is not limited to: notices of rebates, application for
rebate, and correspondence.
End of current year + 2 years.
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
WASTEWATER & DRAINAGE
Record #
Functions:
Content:
Tot a I Retention:
Statutory:
Approval Date:
1040-XX
Records pertaining to wastewater and drainage operations, infrastructure
and maintenance.
May include, but is not limited to: reports and studies, monitoring
samples, sludge handling logs, weight hauling, biosolids, chemical usage,
SSO's, daily logs, rainfall records, samples, studies and testing.
Rainfall records and SSO's -permanent
Biosolid reports -10 years
Chemical usage - 3 years
All others - 5 years
40 CFR 122.41(j)(2); CA GC §34090
WATER, METERS AND VALVE MAINS
Record # 1050-XX
Functions:
Content:
Tota I Retention:
Statutory:
Approval Date:
Documents the use and install of water meters and valve mains.
May include, but is not limited to: connection records, maps, meter
service cards, notifications, reading, operations checklists, replacements,
shop log sheets, sets and install records, and all other paper records
pertaining to meters/valves and readings not stored in CMMS.
Permanent
CA GC §34090
WATER QUALITY REPORTS AND ANALYSIS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
1050-90
Documents relating to water quality testing and equipment for the GWRP.
May include, but is not limited to: water quality reports, bacteriological
sampling, lab analysis, connection samples, daily work sheets, daily logs,
chemical reports and chemical sampling, compliance reports, as well as
equipment operation and maintenance manuals.
Chemicals reports, daily worksheets, monthly reports, lab analysis, water
quality reports, water reports monitoring, testing and sampling -12
years.
Chain of custody -10 years
All other documents - 5 years
CA GC §34090; 40CFR 122.41, 141.91, 141.33; ADMIN.
City of San Juan Capistrano I Office of the City Clerk I
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City of San Juan Capistrano Records Retention Schedule
WATER SYSTEMS SUPERVISORY CONTROL AND DATA ACQUISITION SERVER
Record#
Also Called:
Functions:
Content:
Total Retention :
Statutory:
Approval Date:
190-XX
SCAD A
Documents the remote monitoring and control of the water and sewer
systems.
May include, but is not limited to: 6 month back-ups.
5 years
CA GC §34090; ADMIN
WELL OPERATIONS
Record #
Functions:
Content:
Total Retention:
Statutory:
Approval Date:
1050-50
Documents relating to specific monitoring of wells within the City.
May include, but is not limited to: well logs, graphs, measurements,
record books, maps.
Life of the well + 2 years
CA GC §34090
City of San Juan Capistrano I Office of the City Clerk I
Questions about records or this document? Email: cityclerk@sanjuancapistrano.org or (949) 493-1171