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Evidence · 04

What CSLB's Approved Records Schedule Says

Secretary of State Approval No. 2023-168

Schedule

CSLB 2024

Schedule date

December 1, 2023

Approval No.

2023-168

Approved by

CalRIM / Secretary of State

SourceS023S012

Selected record series

ItemRecord seriesRetention
120Subpoena Files3 years
128Closed Complaint (Non-Legal)2 years
129Closed Complaints with Financial Injury20 years
134–138Certain citation / case-management recordsCategory-specific; some series substantially longer
136Accusation Files3 years at Investigation Center for specified paper series; case-management portions retained longer
140DA (criminal) Referrals (includes Licensee and Non-Licensee)10 years, computed from final court disposition
142Investigators Daily Logs1 year
Plaintiffs' AllegationSourceS020
Plaintiffs contend that the September 28 recording and related electronic records supported the DA criminal-referral record series because information from the interview was used in the referral.
Agency / Defendant Position
Defendants dispute the scope and application of Item 140. No court has ruled that Item 140 covered the audio.

Email Auto-Purge vs. Record Retention

Email system retention

Martinez's discovery position is that the email self-purged after two years under DCA/CSLB policy.

Agency / Defendant Position

Records retention schedule

The approved schedule sets retention by record series — e.g., 10 years from final disposition for DA criminal referrals.

SourceS012

Plaintiffs' AllegationPlaintiffs contend that an email-system purge period does not necessarily determine the legal retention period applicable to an official record contained in or transmitted through that email. This is Plaintiffs' position, not a court holding.

What the State Requires

State record
Retention schedule
Preservation period
Authorized destruction / disposition
If lost early: CalRIM documentation process

What happened here?

CalRIM

When State Records Are Lost

The California Records and Information Management Program's January 2024 “Lost or Accidentally Destroyed Records” documentation template states that Agency Records Management Coordinators are required to notify the Secretary of State if a record is lost or accidentally destroyed before its retention period. SourceS014

  1. 1

    Email CalRIM immediately.

  2. 2

    Complete documentation template.

  3. 3

    Update affected records-retention schedule as needed.

  4. 4

    Keep loss documentation with the affected series until the original retention period would have expired.

We know the process is actually used

Documented RecordSourceS015
A Department of Consumer Affairs unit documented the premature shredding of one box of obsolete administrative paper. The form states that an inexperienced analyst sent the records for confidential destruction before receiving approval from the records-management coordinator. The remedial action noted that the analyst was informed of the correct process.
Open Question

If this formal process was used for prematurely shredded obsolete administrative paper, what process was used when investigative evidence or potentially relevant ESI could no longer be accounted for?

The comparison is presented to establish that DCA had and used a formal lost-records documentation procedure — not to assert that the circumstances were identical.

Who Manages CSLB Records?

CSLB unit contact

Alex Christian

SSM I

Backup

Josh Takimoto

AGPA

SourceS016

CalRIM analyst — DCA incl. CSLB

Noel Mosqueda

SourceS017

Schedule 2023-168 approval chain

  • Ingrid Witowscki-Sedlar
  • Mac Aguilar
  • Noel Mosqueda
SourceS023

Roles are shown to explain organizational responsibility. Holding a records-management position does not imply individual wrongdoing.