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ResolutionNo1417_RecordsRetentionSchedule_F_EResolution No. 1417 1 RESOLUTION NO. 1417 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ROLLING HILLS UPDATING THE CITY RECORDS RETENTION SCHEDULES AND AUTHORIZING THE DESTRUCTION OF CERTAIN CITY RECORDS AS PROVIDED BY SECTION 34090 OF THE CALIFORNIA GOVERNMENT CODE, AND RESCINDING RESOLUTION No. 1154 WHEREAS, on October 14, 2013 the City Council adopted Resolution No. 1154, A Resolution of the City Council of the City of Rolling Hills Adopting a Records Retention Schedule and Authorizing the Destruction of Certain City Records which reflects records management practices and retention requirements that have since been updated; and WHEREAS, the keeping and maintenance of numerous records is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Rolling Hills; and WHEREAS, the approval of guidelines for the ongoing disposition of obsolete City records will assist in the effective management of records as well as provide for the efficient review of records proposed for disposal; and WHEREAS, Section 34090 of the Government Code of the State of California provides parameters whereby any City record which has served its purpose and is no longer required may be destroyed; and WHEREAS, the State of California has adopted guidelines for retention period for various government records; and WHEREAS, the City Council of the City of Rolling Hills previously adopted Resolution No. 1154 which adopted a Records Retention Schedule; NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF ROLLING HILLS DOES RESOLVE, DECLARE, DETERMINE, AND ORDER AS FOLLOWS: Section 1. Resolution No.1154 is hereby rescinded. Section 2. The City Council hereby adopts the Records Retention Schedule attached hereto as Exhibit “A” and incorporated herein by this reference. Section 3. The records of the City of Rolling Hills, as set forth in the Records Retention Schedule in Exhibit “A”, are hereby authorized to be destroyed as provided by Section 34090 et seq. of the Government Code of the State of California and in accordance with the provision of said schedule. Section 4. The term “records” as used herein shall include documents, books, Resolution No. 1417 4 EXHIBIT A RECORDS RETENTION SCHEDULE (SEE FOLLOWING PAGE) RECORDS RETENTION SCHEDULE LEGEND ©1995 – 2026 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the Official (original or “record copy”) record for its retention period, then authorizes destruction. Usually, it is the department that originates the record. The official (original) record may be the paper / hard copy version of the record; however the electronic record may be the official (original) record. See the “Destroy Paper after Imaged & QC’d” below for the Legal Requirements for the electronic record to be the official (original) record. Records Description: The record series (a group of like records). Non-Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active (guideline): How long the file remains in the immediate office area Inactive (guideline): How long the file is in off-site storage, stored electronically in accordance with law (see below) Total Retention: The total number of years the record is retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated and certain data may require minimum retention. Vital? = Those records that are needed for basic operations in the event of a disaster. Media Options (guideline) terms used in State law: Mag = Electronic Computer Magnetic Media (Hard drives, Networks, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper, Mylar, Linen, “Hard Copy” OD = Optical Disk or other Unalterable Media which does not allow changes Scan / Import (guideline): “S” indicates the record should be scanned into the document imaging system; “I” indicates the record should be electronically imported into the document imaging system; “M” indicates the record was microfilmed Destroy Paper after Imaged & QC’d (quality checked) / Trustworthy Electronic Record: “Yes” means the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed, or the record may be electronically generated and never exist in paper format ) IF (these are the legal requirements for the electronic record to serve as the official (original) record) the electronic record is also placed on Unalterable Media, Immutable Cloud Media, Optical Disk (OD), DVD-R, CD-R, Blue-ray-R, or WORM, or microfilmed) which is stored in a safe & separate location. Employees are required to Quality Check (“QC’d”) both the images and the indexes, and ensure the electronic record contains all significant details from the original and be an adequate substitute for the original document for all purposes ; other legal mandates may apply. Legend for legal citations (§: Section) B&P: Business & Professions Code (CA) CBC: California Building Code CC: Civil Code (CA) CCP: Code of Civil Procedure (CA) CCR: California Code of Regulations (CA) CFC: California Fire Code CFR: Code of Federal Regulations (US) EC: Elections Code (CA) EVC: Evidence Code (CA) FA: Food & Agriculture Code FC: Family Code (CA) FTB: Franchise Tax Board (CA) GC: Government Code (CA) H&S: Health & Safety Code (CA) HUD: Housing & Urban Develop. (US) LC: Labor Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) PC: Penal Code (CA) PRC Public Resources Code R&T: Revenue & Taxation Code (CA) UFC: Uniform Fire Code USC: United States Code (US) VC: Vehicle Code (CA) W&I: Welfare & Institutions Code (CA) Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-1 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CITY-WIDE (Used By ALL Departments) Lead Dept.CW-002 Affidavits of Publications / Public Hearing Notices / Legal Advertising / Affidavits of Posting 2 years Yes: Before Payment Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Statute of Limitations for some Municipal Government actions is 3 - 6 months; CCP§335 337 et seq; GC §§34090, 65009(c)(1) Lead Dept. (Managing the Agreement / Contract) CW-005 Agreements / Contracts: ADMINISTRATIVE FILES, WITH grant funding (Correspondence, Project Administration, Project Schedules, Certified Payrolls, Insurance Certificates, Invoices, Logs, etc.) Completion + 10 years or After Funding Agency Audit, if required, whichever is longer Yes: Before Completion Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Upon Completio n Some grant funding agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; ; 2 CFR 200.334; 24 CFR 91.105(h), 92.505, & 570.502(a), 29 CFR 97.42; OMB Circular A- 133; GC §34090; GC §8546.7 Lead Dept. (Managing the Agreement / Contract) CW-006 Agreements / Contracts: ADMINISTRATIVE FILES, / NOT funded by a grant (Correspondence, Project Administration, Project Schedules, RFPs. Certified Payrolls, Insurance Certificates, etc.) Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Upon Completio n Covers E&O Statute of Limitations (insurance certificates are filed with agreement); Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; CCP §337 et. seq., GC §34090 Lead Dept. (Managing the Agreement / Contract) CW-007 Agreements / Contracts: UNSUCCESSFUL BIDS / PROPOSALS / RESPONSES to RFPs (Request for Proposals) / RFQs (Request for Qualifications) that don't result in a contract 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD The RFP / RFQ and the successful proposal becomes part of the agreement or contract (City Clerk is the Office of Record for successful contracts) GC §34090 Lead Dept.CW-012 City Attorney Opinions P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-2 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead (Responding) Dept. CW-014 Complaints / Concerns from Citizens / Correspondence When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD City preference; Statute of Limitations for personal property, fraud, etc. is 3 years; Claims must be filed in 6 months; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, GC §34090 CW-016 Copies / duplicates of any record Copies - When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090.7 Dept. that Authors Document or Receives the City's Original Document CW-017 Correspondence - ROUTINE (IF CONTENT relates in a SUBSTANTIVE way to the conduct of the public's business) (e.g. Administrative Files, Chronological Files, e-mail / email with SUBSTANTIVE content, General Files, Letters, Memorandums, Miscellaneous Reports, Press Releases, Public Records Requests, Reading Files, Working Files, etc.) IF the Content relates in a SUBSTANTIVE way to the conduct of the public's business SUBSTANTIVE synonyms: Significant, Meaningful, Considerable, Essential 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD ONLY IF the Content relates in a substantive way to the conduct of the public's business; City of San Jose v. Superior Court (2017) 2 Cal.5th 608 GC §34090; Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-3 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Dept. that Authors Document or Receives the City's Original Document CW-018 Correspondence - TRANSITORY / PRELIMINARY DRAFTS, Interagency / Intraagency Memoranda not retained in the ordinary course of business Content NOT Substantive, / NOT made / retained for the purpose of preserving the informational content for future reference (e.g. calendars, checklists, e-mail / email, / social media posting, invitations, instant messaging, logs, mailing lists, meeting room registrations, staff Teams videoconference chats, notes / recordings, supply inventories, telephone messages, texts, transmittal letters, thank yous, requests from other cities, undeliverable envelopes / returned mail, visitors logs, voice mails, webpages, etc.) When No Longer Required Mag, Ppr Electronic and paper records are filed and retained based upon their CONTENT E- mails, electronic records, or social media postings where either the CONTENT relates in a SUBSTANTIVE way to the conduct of the public's business, or ARE made or retained for the purpose of preserving the informational content for future reference are SAVED by printing them out and placing them in a file folder, or saving them electronically. If not mentioned here, consult the City Attorney to determine if a record is considered transitory / preliminary draft. GC §§34090, 7927.500, 7928.705 6252, 6254(a); 64 Ops. Cal. Atty. Gen. 317 (1981); City of San Jose v. Superior Court (2017) 2 Cal.5th 608 Lead Dept.CW-020 Drafts / Notes: Drafts that are revised (retain final version) When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD As long as the drafts and notes are not retained in the "Regular Course of Business". Consult the City Attorney to determine if a record is considered a draft. GC §§34090, 6252, 6254(a) 7927.500 Lead Dept. (Managing the Grant) CW-021 Grants (UNSUCCESSFUL Applications, Correspondence)2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-4 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept. (Managing the Grant) CW-022 Grants / CDBG / FEMA / OES Reimbursable Claims (SUCCESSFUL Reports, other records required to pass the funding agency's audit, if required) Applications (successful), grant agreement, program rules, regulations / procedures, reports to grant funding agencies, correspondence, audit records, completion records After Funding Agency Audit, if required - Minimum 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or final payment of grantee or subgrantee; 2 CFR 200.334; 24 CFR 91.105(h), 92.505, & 570.502(a), 29 CFR 97.42; OMB Circular A-133; GC §34090; GC §8546.7 Lead Dept.CW-025 Leave Requests / Vacation Requests When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Preliminary draft / transitory record; GC §34090 Lead Dept.CW-028 Newspaper Clippings When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Non-records - may be obtained from the newspaper company; GC §34090 Staffing Dept.CW-029 Notices: Public Hearing Notices / Proofs of Publications 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Statute of Limitations for some Municipal Government actions is 3 - 6 months; CCP§335 337 et seq; GC §§34090, 65009(c)(1) Human Resources CW-031 Personnel Files (Department Level Copies) Send all originals to Human Resources After Separation, Transfer to Human Resources Before Separation Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Ensure records kept in Department files comply with City policy (all originals are sent to Human Resources); GC §34090.7 Lead Dept.CW-032 Personnel Files (Supervisor's Notes) When No Longer Required Before Annual Performance Evaluation Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Notes maintained in a separate folder to be incorporated into performance evaluation, or to document progressive discipline; GC §34090 et seq. Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-5 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-033 Personnel Work Schedules 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Lead Dept.CW-033.5 Photographs, Videos of Events When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Preliminary Drafts (retention is placed on the record the photograph is used in - Brochure, Report, etc.); destroy unnecessary photographs. GC §34090 Lead Dept.CW-034 Public Relations / Press Releases 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 CW-036 Reference Materials: Policies, Procedures, Brochures, Flyers, Handbooks, Manuals, Plans (if not provided in the schedule), Standard Operating Procedures (SOPs), Studies, Reports (if not provided in the schedule), Newsletters, etc.: Produced by OUTSIDE ORGANIZATIONS (League of California Cities, Chamber of Commerce, etc.) When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Non-Records Lead Dept.CW-037 Reference Materials: Policies, Procedures, Brochures, Flyers, Handbooks, Manuals, Plans (if not provided in the schedule), Standard Operating Procedures (SOPs), Studies, Reports (if not provided in the schedule), Newsletters, etc.: Produced by YOUR Department When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Statewide guidelines propose superseded + 2 or 5 years; GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-6 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-038 Reference Materials: Policies, Procedures, Brochures, Flyers, Handbooks, Manuals, Plans (if not provided in the schedule), Standard Operating Procedures (SOPs), Studies, Reports (if not provided in the schedule), Newsletters, etc.: Produced by OTHER Departments When Superseded Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Copies; GC §34090.7 Lead Dept.CW-040 Reports, Studies (Historically significant - e.g., Zoning Studies)P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 10 years Administratively and Historically significant, therefore retained permanently; GC §34090 Lead Dept.CW-041 Reports, Studies (other than Historically significant reports - e.g. Annual Reports)10 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Information is outdated after 10 years; statewide guidelines propose 2 years; If historically significant, retain permanently; GC §34090 Lead Dept.CW-043 Special Projects / Subject Files / Issue Files When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 et seq. Lead Dept.CW-044 Subject / Reference Files: Subjects other than Specifically Mentioned in Retention Schedules When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 et seq. Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS (Used By ALL Departments) Page CW-7 Office of Record (OFR)Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-045 Surveys / Questionnaires (that the City issues). If a summary of the data is compiled, the survey forms are considered a draft / transitory record, / can be destroyed as drafts (When No Longer Required) 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Lead Dept.CW-047 UNALTERABLE MEDIA / IMMUTABLE MEDIA (Cloud Immutable Backup) / WORM / DVD-r / CD-r / Blue Ray-R / other unalterable media that does not permit additions, deletions, / changes P Follows Retention of Official Electronic Record Mag, Mfr, OD, Ppr S / I Yes: After QC & OD For legal compliance for Trustworthy Electronic Records (when the electronic record serves as the official record); must be stored in a "safe and separate location"; GC 34090, 12168.7, EVC 1550, 2 CCR 22620 et seq. Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CITY CLERK City Clerk CC-001 Agenda Packets / Staff Reports: City Council Minimum 5 years Yes: Until After Meeting Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 et seq. City Clerk CC-002 Agreements - Imaged, Infrastructure, CIPs, MOUs, MOAs (Approved by the City Council) includes all contractual obligations (e.g. Amendments / Scope of Work / Successful Proposal) Examples of Infrastructure: Architects, CalPERS, CIPs (Capital Improvement Projects,) franchise agreements, Joint Powers, MOUs, settlement, etc. P Yes: Before Completion Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Upon Completion Other contracts are maintained by the Lead Department managing the contract; Department Preference; All infrastructure, JPAs, & Mutual Aid contracts should be permanent for emergency preparedness; Statute of Limitations is 4 years; 10 years for Errors & Omissions; land records are permanent by law; CCP §§337. 337.1(a), 337.15, 343; GC §34090, Contractor has retention requirements in 48 CFR 4.703 City Clerk CC-003 Agreements - Non-Infrastructure that are NOT Imaged (Approved by the City Council) includes all contractual obligations (e.g. Amendments / Scope of Work / Successful Proposal) Examples of NON-Infrastructure: Consulting, disposal, City Manager employment contracts, leases, loans, mutual aid, professional services, services, etc. Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Upon Completion Other contracts are maintained by the Lead Department managing the contract; Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 City Clerk CC-004 Applications for Boards, Commissions / Committees - Successful Duration of Service + 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 City Clerk CC-005 Applications for Boards, Commissions / Committees - Unsuccessful 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-2 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-006 City Council Subcommittees (composed solely of less than a quorum of the City Council) 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 City Clerk CC-007 Claims (Liability Claims)Settlement + 5 years Yes: Until Resolution Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 34090, 34090.6; PC §832.5 City Clerk CC-008 Economic Interest Filings (FPPC 700 Series Forms - Statement of Economic Interests): ALL 7 years Mag, Mfr, OD, Ppr S / I Yes: After QC City maintains original statements; GC §81009(e)&(g); GC §81009(f)&(g); 2 CCR 18615(d) City Clerk CC-009 FPPC Form 801 (Gift to Agency Report) 7 years Mag, Mfr, OD, Ppr S / I Yes: After QC Must post on website; GC §81009(e) City Clerk CC-010 FPPC Form 802 (Tickets Provided by Agency Report)7 years Mag, Mfr, OD, Ppr S / I Yes: After QC Must post on website for 4 years; GC §81009(e) City Clerk CC-010.1 FPPC Form 803 (Behested Payment Report)7 years Mag, Mfr, OD, Ppr S / I Yes: After QC FPPC Regulation 18734(c); FPPC Forms Retention Summary for Filing Officers; GC §81009e City Clerk CC-011 FPPC Form 806 (Agency Report of Public Official Appointments)7 years Mag, Mfr, OD, Ppr S / I Yes: After QC Must post on website; GC §81009e&(g); 2 CCR 18702.5(b)(3) Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-3 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CITY CLERK / ELECTIONS - CONSOLIDATED City Clerk / Elections CC-012 Campaign Filings (FPPC 400 Series Forms / Form 501): SUCCESSFUL CANDIDATES (Elected Officials) Includes Oaths of Office P Mfr, OD, Ppr S / I Yes: After QC 2 years Department Preference; as of January 1, 2025, the FPPC is the Filing Officer for 87200 filers; City maintains copies only; original statements are filed with FPPC; GC §81009(f)&(g) City Clerk / Elections CC-013 Campaign Filings (FPPC 400 Series Forms / Form 501): UNSUCCESSFUL CANDIDATES 5 years Mfr, OD, Ppr S / I Yes: After QC 2 years Candidates without committees are not required to file their statements, reports or copies online or electronically; Pes without committees are not required to file their statements, reports or copies online or electronically; Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk / Elections CC-014 Campaign Filings (FPPC 400 Series Forms): THOSE NOT REQUIRED TO FILE ORIGINAL WITH City CLERK (copies) 4 years Mfr, OD, Ppr S / I Yes: After QC 2 years Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk / Elections CC-015 Campaign Filings (FPPC 400 Series Forms): OTHER COMMITTEES (PACS - not candidate-controlled) 7 years Mfr, OD, Ppr S / I Yes: After QC 2 years Paper must be retained for at least 2 years; GC §81009(c)(g) City Clerk / Elections CC-016 Candidate File: Nomination Papers, Candidate Statements, etc. - SUCCESSFUL CANDIDATES Term of Office + 4 years Mag, Ppr Statewide guidelines proposes 4 years for successful candidates, 2 years for unsuccessful; CA law states term of office and 4 years after the expiration of term for Nomination Papers and does not delineate between the two; EC §17100 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-4 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk / Elections CC-017 Candidate File: Nomination Papers, Candidate Statements, etc. - UNSUCCESSFUL CANDIDATES Election + 4 years Mag, Ppr Department Preference; Statewide guidelines proposes 4 years for successful candidates, 2 years for unsuccessful; CA law states term of office and 4 years after the expiration of term for Nomination Papers and does not delineate between the two; EC §17100 City Clerk / Elections CC-018 Elections - GENERAL, WORKING / ADMINISTRATION Files (Correspondence, Applications for Vacancies for City Council, Precinct Maps, County Election Services, Candidate Statements to be printed in the Sample Ballot, etc.) 2 years Mag, Ppr GC §34090 City Clerk / Elections CC-019 Elections - HISTORICAL (Sample ballot, copies of resolutions, final results)P Mag, Mfr, OD, Ppr S No Retained for Historical Value, GC §34090 City Clerk / Elections CC-020.1 Elections - Petitions (Initiative, Recall / Referendum) - IF INSUFFICIENT - IF Examined by Proponents Final Examination + 1 year after petition examination Ppr Not accessible to the public; The 8 month retention applies after election results, or final examination if no election, unless there is a legal or FPPC proceeding. EC §§17200(b)(3), 17400 City Clerk / Elections CC-020.2 Elections - Petitions (Initiative, Recall / Referendum) - IF INSUFFICIENT - NOT Examined by Proponents Determinatio n of Insufficiency + 8 months Ppr Not accessible to the public; The 8 month retention applies after the City Clerk makes the determination of insufficiency / examines the petitions. unless there is a legal or FPPC proceeding. EC §§17200(b)(3), 17400 City Clerk / Elections CC-020.3 Elections - Petitions (Initiative, Recall / Referendum) - IF SUFFICIENT Results + 8 months Ppr Not accessible to the public; The 8 month retention applies after election results, or final examination if no election, unless there is a legal or FPPC proceeding. EC §§17200(b)(3), 17400 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-5 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-020 Elections - Petitions (Initiative, Recall / Referendum) Results + 8 months or Final Examination + 1 year after petition examination if insufficient Ppr Not accessible to the public; The 8 month retention applies after election results, or final examination if no election, unless there is a legal or FPPC proceeding. EC §§17200(b)(3), 17400 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-6 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CITY CLERK / ELECTIONS - STAND-ALONE (use in conjunction with Consolidated elections … records series are not repeated) City Clerk / Elections CC-021 Assessment District Ballots / protest letters - Prop. 218 proceedings 2 years Ppr GC §53753(e)(2), 53755(d) City Clerk / Elections CC-022 Ballots - After Election 6 mo.Ppr EC §17302 City Clerk / Elections CC-023 Ballots - After Recount 6 mo.Ppr EC §17306 City Clerk / Elections CC-024 Challenged / Assisted Voters List 6 mo.Ppr If uncontested, EC §17304 City Clerk / Elections CC-025 Inspector Receipts for Ballots 6 mo.Ppr EC 17302, 17306 City Clerk / Elections CC-026 Precinct Officer Appointments 6 mo.Ppr EC §17503 City Clerk / Elections CC-027 Roster of Voters 5 years Mag, Mfr, OD, Ppr EC §17300 City Clerk / Elections CC-028 Tally Sheets 6 mo.Ppr EC §17304 City Clerk / Elections CC-029 Vote-by-Mail Applications, Roster of Absentee Applications 6 mo.Ppr EC §17302 City Clerk / Elections CC-030 Vote-by-Mail Identification Envelopes 6 mo.Ppr EC §17302 City Clerk / Elections CC-031 Voter Index Copies used as the Voting Record at Polling Places 6 mo.Ppr EC §17304 City Clerk / Elections CC-032 Voter Index Original 5 years Ppr EC §17001 (End of Elections Section) City Clerk CC-032.1 Enterprise System Catalogue (posted online)2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 City Clerk CC-033 Ethics Training / Fiscal & Financial Training Certificates / Harassment Prevention Training - Certificates Separation + 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §§34090, 53235.2(b), 53237.2(b); 53238.3(b); LC §1198.5, Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-7 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-034 Grand Jury Reports / Responses (Pertaining to City Operations)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference (matches the retention of the Grand Jury); GC §34090 City Clerk CC-035 Historical Records / Historical Projects (e.g. Incorporation, City Seal, Awards of significant historical interest, etc.) P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD No City Clerk determines historical significance; records can address a variety of subjects and media. Some media (e.g. audio and video tape) may be limited because of the media's life expectancy; GC §34090 City Clerk CC-036 Insurance Policies (City-owned policies) P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 City Clerk CC-037 Lawsuits / Litigation When no Longer Required - Minimum Final Resolution + 5 years Yes: Until Resolution Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 34090, 34090.6 City Clerk CC-038 List of City Council Members / Mayors P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 City Clerk CC-039 Minutes (City Council)P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD No GC §34090 City Clerk CC-040 Municipal Code Administration, Distribution, etc. When no Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Preliminary Drafts not retained in the ordinary course of business; GC §34090 City Clerk CC-041 Municipal Code Supplements P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 City Clerk CC-042 Newsletters (City-written)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 et seq. City Clerk CC-043 Ordinances (City Council)P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD No GC §34090 et. seq. Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK (Elections) Page CC-8 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-044 Proclamations / Commendations / Memoriums / Recognitions, etc.5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 City Clerk CC-045 Proof of Publication / Public Notices / Certificate of Posting (Usually kept with Project Files) 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Statute of Limitations for some Municipal Government actions is 3 - 6 months; CCP§335 337 et seq; GC §§34090, 65009(c)(1) City Clerk CC-046 Real Property - Records that Affect the Title to Real Property (Deeds, Easements, Liens, etc.) P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD No GC §34090 City Clerk CC-047 City Council Meetings: Recordings - AUDIO RECORDINGS of Meetings / Audio Tapes 5 years Tape (Mag) OD Department preference; State law only requires for 30 days; GC §54953.5(b) City Clerk CC-047.1 City Council Meetings - Recordings - VIDEO RECORDINGS of Meetings / Video Tapes 5 years Tape (Mag) OD Department preference; State law only requires for 90 days; GC §34090.7 City Clerk CC-048 Records Destruction Lists / Certificates of Records Destruction / Approval Forms Updates to Records Retention Schedules 10 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 et. seq. City Clerk CC-049 Request for Public Records 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 City Clerk CC-050 Resolutions (City Council)P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD No GC §34090 et. seq. City Clerk CC-050.1 Secretary of State Statement of Facts - Registry of Public Agencies 2 years Tape (Mag), Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 City Clerk CC-051 Subpoenas / Discovery Requests / Personal Appearance / Duces Tecum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CITY MANAGER City Manager / Lead Dept. CM-001 Projects, Programs, Events, Subject / Issues (Issues / projects will vary over time - e.g. Hotels, Developments, etc.) When No Longer Required - Minimum 2 years Yes: While Active Issues Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 City Manager CM-002 Speech Notes / PowerPoint Presentations When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Notes, drafts, or preliminary documents; GC §34090 et seq. Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE (Admin., General Accounting, Payroll) Page FIN-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). FINANCE / ADMINISTRATION Finance / Admin.FN-001 Audit Reports / Annual Comprehensive Financial Report (ACFR) / related Audit Opinions P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Finance / Admin.FN-002 Audit Work Papers 5 years Yes: Until Paid Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; meets municipal government auditing standards; Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Finance / Admin.FN-003 Bond Official Statements / Transcripts / Certificates of Participations (COPs) See Bank Statements for statement retention. Fully Defeased + 10 years Yes: Until Maturity Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Statute of Limitations for bonds, mortgages, trust deeds, notes or debentures is 6 years; Bonds issued by local governments are 10 years; IRS bond auditing regulations state, "…material records should generally be kept for as long as the bonds are outstanding, plus 3 years after the final redemption date of the bonds;” There are specific requirements for disposal of unused bonds; CCP §§336, 337.5(2); 26 CFR 1.6001- 1(e): 26 CFR § 1.148-5(d)(6)(iii)(E); GC §43900 et seq. Finance / Admin.FN-004 Bonds for Private Development / Construction Projects Release of Bond / Security Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Securities (Performance Bonds, Letters of Credit, CD's, etc.) are released after the Notice of Completion is issued and replaced with the Warranty Bond, which is released 1 year after the Notice of Completion date. GC §34090 Finance / Admin.FN-005 Budgets - Adopted / Final P Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Must be filed with County Auditor; GC §34090.7, 40802, 53901 Finance / Admin.FN-006 Budgets - Preliminary, Backup Documents When No Longer Required Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Preliminary drafts; GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE (Admin., General Accounting, Payroll) Page FIN-2 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / Admin.FN-007 Single Audits / Transportation Audits / PERS Audit, et.P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference (meets municipal government auditing standards); GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE (Admin., General Accounting, Payroll) Page FIN-3 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). FINANCE / GENERAL ACCOUNTING Finance / General Accounting FN-008 1099's / 1096 / DE542 (California Report of Independent Contractors), etc.5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; IRS: 4 years after tax is due or paid (longer for auditing & contractor delinquency); Ca. FTB: 3 years; IRS Reg §31.6001-1(e)(2), R&T §19530, GC §34090; 29 USC 436 Finance / General Accounting FN-009 Accounts Payable / Invoices / Backup (Includes Invoices, Travel Expense Reimbursements, Warrant Request, etc.) 5 years Yes: Until Paid Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; meets municipal government auditing standards; Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Finance / Accounts Receivable FN-010 Accounts Receivable - ALL - False Alarms, Parking Citations, Damage to Public Property, Invoices to Outside Entities, etc. 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Meets auditing standards; GC §34090 et seq. Finance / Accounts Receivable FN-011 Accounts Receivable: Leases / Rent / Property Management 5 years Yes: Until Paid Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; meets municipal government auditing standards; Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Finance / General Accounting FN-012 Bank Statements, Fiscal Agent Statements, Trustee Statements, Investment Account Statements, Pars Statements, Bank Reconciliations, etc. 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Published articles show 3 - 4 years; GC §34090, 26 CFR 31.6001- 1 Finance / General Accounting FN-013 Cash Receipts / Weekly Deposits 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; meets municipal government auditing standards; GC §34090, CCP § 337 Finance / General Accounting FN-014 Checks / Warrant Register Report (issued)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Finance / General Accounting FN-015 Checks / Warrants (Cashed)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; meets municipal government auditing standards; GC §34090, CCP § 337 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE (Admin., General Accounting, Payroll) Page FIN-4 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / General Accounting FN-016 Escheat (Unclaimed money / uncashed checks)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; All tangible property held by government agencies escheats after 3 years; Statute of Limitations is 1 year for seized property; CCP §§340, 1519; GC §34090 Finance / General Accounting FN-017 Financial Services Database Indefinite - Minimum 5 years Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Data Fields / Records are interrelated; GC §34090 Finance / General Accounting FN-018 Fixed Assets - Annual Listing (Source Documents)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 Finance / General Accounting FN-019 Investment Reports / Treasurer's Reports 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Meets auditing standards; GC §34090 Finance / General Accounting FN-020 Investments / Arbitrage / Certificate of Deposit / Investment Bonds (Receipts / Advisor Reports / Statements / Trade Tickets / LAIF (Local Agency Investment Fund)) 5 years Yes: Until Paid Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Meets auditing standards; Published articles show disposal + 7 years for security brokerage slips; statewide guidelines propose permanent; FTC Reg's rely on "self-enforcement"; GC§§ 34090, 43900 Finance / General Accounting FN-021 Journal Entries / Journal Vouchers 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; meets municipal government auditing standards; Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Finance / General Accounting FN-022 Reports, Finance Reports created from Database: Subsidiary Ledgers, Reconciliations, Registers, Transaction Histories, Balance Sheets, Revenue / Expenditure Reports, etc. (MONTHLY / PERIODIC) When No Longer Required Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Preliminary drafts (Financial System can reproduce reports; GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE (Admin., General Accounting, Payroll) Page FIN-5 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / General Accounting FN-023 Reports: Annual State / Federal: State Controller's Report, Street Report, Local Government Compensation Report, Gas Tax, MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report, Public Self Insurer Report (SIP Report), etc. 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Meets auditing standards; GC §34090 Finance / General Accounting FN-023.1 W-9s Vendor Inactive + 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Meets auditing standards; GC §34090 FINANCE / PAYROLL Finance / Payroll FN-024 CalPERS Reports 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Finance / Payroll FN-025 DE-6. DE-9, DE-9C, DE-43, W-3, / DE-166, / 941 Forms - Quarterly Payroll Tax Returns (Federal / State) IRS 5500 Forms (Employee Benefit Plans), PERS / FICA / Medicare Adjustments - Quarterly Payroll Tax Returns / OASDI, Federal Tax Deposits, Adjustments, etc. 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; IRS: 4 yrs after tax is due or paid; Ca. FTB: 3 years; Articles show 7 years; IRS Reg §31.6001-1(e)(2), R&T §19530; 29CFR 516.5 - 516.6, 29USC 436, GC §34090 Finance / Payroll FN-026 Deferred Compensation (City Statements)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Produced by Deferred Comp. Provider; consistent with proposed statewide guidelines; published articles for bank statements show 4 - 7 years; GC §304090, 26 CFR 31.6001.1 Finance / Payroll FN-027 Payroll Reports (includes Leave Registers, Time Transaction Reports, etc.)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference (meets auditing standards); GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE (Admin., General Accounting, Payroll) Page FIN-6 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / Payroll FN-028 Time Sheet Summaries / Time Card Summaries 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference to facilitate grant audits or claim reimbursements; Meets auditing standards (audit + 4 years); IRS requires 4 years; Ca. requires 2 yr min.; FTB keeps 3 years; Published articles show 4 -10 years; IRS Reg §31.6001-1(e)(2), R&T §19530; LC § 1174(d); 29 CFR 516.5; GC §34090 Finance / Payroll FN-029 W-2's 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; IRS: 4 yrs after tax is due or paid; Ca. FTB: 3 years; Articles show 7 years; IRS Reg §31.6001-1(e)(2), R&T §19530; 29CFR 516.5 - 516.6, 29USC 436, GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 7.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). HUMAN RESOURCES Human Resources HR-001 Benefit Plan Documents (CalPERS, etc.)6 years Yes: For Duration of Contract Mag, Mfr, OD, Ppr S / I Yes: After QC & OD EEOC / ADEA (Age) requires 1 year after benefit plan termination; Federal law requires 6 years after filing date for retirement; State Law requires 4 2 years after action; 29 CFR 1627.3(b)(1)(2); 29 USC 1027; GC §§12946, 12960, 34090 Human Resources HR-002 CalPERS Benefit Administration (Includes contract amendment, actuarial reports, service credit reports, annual employee listing, etc.) When No Longer Required - Minimum 6 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; 6 years for retirement benefits; State Law requires 2 years after action; 29 CFR 1627.3(b)(1)(2); 29 USC 1027; GC §§12946, 12960, 34090 Human Resources HR-003 Classification / Reorganization Studies (for employee classifications / department structures) When No Longer Required - Minimum 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Bureau of National Affairs recommends 2 years for all supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 2 years; 29 CFR 516.6, 29 CFR 1602.14, GC §§12946, 12960, 34090 Human Resources HR-004 Classification Specifications / Job Specifications When No Longer Required - Minimum 6 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 1 year Department Preference; statute of limitations for EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 4 2 -3 years for personnel actions; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§12946, 12960, 34090 Human Resources HR-005 Compensation Surveys / Studies When No Longer Required - Minimum 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Bureau of National Affairs recommends 2 years for all supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 2 years; 29 CFR 516.6(2), 29 CFR 1602.14, GC §§12946, 12960, 34090 Human Resources HR-005.1 COVID-19 Notifications to Employees 3 years Mag, Ppr LC §6409.6(k), GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 7.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-2 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources HR-006 California Civil Rights Department (CRD) / Department of Fair Employment / Housing (DFEH / EEOC) Claims / Harassment Claims Final Disposition + 4 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD All State and Federal laws require retention until final disposition of formal complaint; State requires 4 2 years after "fully and finally disposed"; 2 CCR 1101(c); GC §§12946, 12960, 34090 Human Resources HR-007 DMV Pull Notices When Superseded or Separated Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Transitory or source records not retained in the ordinary course of business; CHP audits every 2 years; Bureau of National Affairs recommends 2 years for all supplementary Personnel records; GC §34090 Human Resources HR-008 Drug / Alcohol Test Results (All - Positives / Negatives)5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC/FLSA/ADEA (Age) requires 3 years physical examinations; State Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 12960, 34090, 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. Human Resources HR-008.1 I-9s Separation + 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Required for 1 year from termination or 3 years from hiring, whichever is later; EEOC / FLSA / ADEA (Age) requires 3 years for "any other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29 CFR 1627.3(b)(1); GC §§12946, 12960, 34090 Human Resources HR-009 OSHA Inspections / Citations, Log 200 / Log 300, 301, 301A 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD OSHA requires 5 years; State law requires 2 years; 8 CCR 14300.33, 8 CCR §3203(b)(1), GC §34090; LC §6429c Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 7.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources HR-010 Personnel Files - Employees Separation + 30 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Separation + 1 year Department Preference; statute of limitations for retirement benefits is 6 years from last action; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 4 2- 3 years; 29 CFR 1602.31 & 1627.3(b)(1), GC §§ 3105, 12946, 12960, 34090; 53237.2(b), LC §1198.5 Human Resources HR-011 Personnel Files - Medical File (all employees) Includes Hearing Tests, Respirator Fit Tests, etc. Separation + 30 years Yes: Until Separation Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Separation + 1 year Department preference; Files maintained separately; Claims can be made for 30 years for toxic substance exposure; 8 CCR §3204(d)(1) et seq., GC §§12946, 12960, 34090; 29 CFR 1910.1020(d)(1)(i); 29 CFR 1627.3 Human Resources HR-012 Recruitment / Testing File (Includes Applications (Unsuccessful), Advertisements, Interview Notes, Job Brochures, Test Data, Testing Analysis / statistical Metric, Job Analysis, Rating Sheets, Scantrons, Rater's Profile / Confidentiality Agreement, Flowchart, Eligible Lists, etc.) Hiring Decision + 4 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD State Law requires 4 years EEOC / FLSA / ADEA (Age) requires 1-3 years; ; 29 CFR 1602 et seq & 1627.3(a)(5) and (6), 2 CCR 11013(c) 8 CCR §11040.7(c), GC §§12946, 12960, 34090 Human Resources HR-013 Studies / Surveys Conducted on Behalf of the City (Sick Leave, Attrition, Benefits, etc.) When No Longer Required - Minimum 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 7.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-4 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources HR-013.3 Training EMPLOYEE RECORDS (If Records are Created) Required Information for all Employee Training: Employee Name Training Provider’s Name Date Duration (length) Core Competencies / Skills Certifications / Qualifications Separation + 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD LC §1198.5, 6401.9(f), 6429(c); 8 CCR §3203 et seq., 29 CFR 1627.3(b)(ii), GC §§12946, 12960, 34090, 53235.2(b), 53237.2(b); 53238.3(b) Human Resources HR-013.4 Training Presented by Staff - COURSE RECORDS (Attendance Rosters / Sign-in Sheets, Outlines / Materials; includes Ethics, Fiscal & Financial, Harassment, Workplace Violence, Safety Training, Tailgates) 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Ethics, Fiscal and Financial & Harassment Prevention Training are 5 years; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 4 years for personnel actions; 8 CCR §3203 et seq., 29 CFR 1602.31; LC §6429(c); GC §§12946, 12960, 34090, 53235.2(b) 53237.2(b), 53238.3(b); LC §6401.9(f), Human Resources HR-013.8 Verifications of Employment, Child Support, etc. (From lenders / other outside companies) When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Not an Agency record / Content does NOT relate in a substantive way to the conduct of the public's business; GC §34090 et seq Human Resources HR-014 Volunteer / Unpaid Intern Timesheets 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference (Courts treat volunteers as employees); EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946, 12960, 34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 7.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-5 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources HR-015 Workers Compensation Claim Runs 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Meets auditing standards; GC §34090 Human Resources HR-016 Workers Compensation Claims Separation + 30 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Files maintained separately; Claims can be made for 30 years for toxic substance exposure; 8 CCR §3204(d)(1) et seq., GC §§12946, 12960, 34090; 29 CFR 1910.1020(d)(1)(i); 29 CFR 1627.3 Human Resources HR-017 Workplace Violence – Hazard identification, evaluation, correction, incident logs, investigations. training, etc. 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD LC §6401.9(f), GC §34090 Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 6.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). INFORMATION TECHNOLOGY Information Technology IT-001 Backups (Computer Backups (ALL Disaster Recovery Computer Backups) - ALL When No Longer Required Yes Mag. Used for Disaster Recovery Purposes Only; Considered a copy and can be destroyed when no longer required; tapes are in autochangers and are overwritten; store off-site in a commercial facility for disaster recovery purposes; GC §34090 et seq. Information Technology IT-002 Network Configuration Maps / Plans When No Longer Required Yes Mag.Preliminary documents not retained in the ordinary course of business; GC §34090 et seq. Rolling Hills, CA ©1995-2013 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 8/14/2023 Ver. 11.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PLANNING Planning PL-001 Address Files / Planning Case Project Files - Approved Permanent Entitlements / Code Enforcement (Includes associated CEQA Noticing, Conditions of Approval, Public Noticing, Environmental Determinations, Staff Reports, Plans / Maps, Site Plans) Examples: Conditional Use Permits (CUPs), Lot Line Adjustments, Parcel Maps, Site Plans, Tentative Subdivisions, Variances, Zone Changes, etc. P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preferences; Final environmental determinations are required to be kept a "reasonable period of time"; 14 CCR §15095(c); GC§§34090, 34090.7 Planning PL-001.5 Planning Project Files - Cancelled / Expired / Withdrawn Minimum Cancellation, Expiration or Withdrawal + 2 years Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Preliminary drafts not retained in the ordinary course of business; GC §34090 Planning PL-002 Address Files / View Cases (by address of tree location) (Includes application, EIR / CEQA, mediation, agreement / resolution) P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preferences; Final environmental determinations are required to be kept a "reasonable period of time"; 14 CCR §15095(c); GC§§34090, 34090.7 Planning PL-003 Annexations / Boundaries / Consolidations / LAFCO P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Land Records; GC §34090 PL-004 Census, Demographics When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD (Non-Records - Census Bureau is OFR; GC §34090 et seq. Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 11.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-2 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Planning PL-004.1 Code Enforcement Case Files Minimum Resolution + 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 Planning PL-005 Committee of Trees / Views AGENDA PACKETS 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Planning PL-006 Committee of Trees / Views AGENDAS / MINUTES / RESOLUTIONS P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 10 years Notes taken to facilitate the writing of the minutes can be destroyed after minutes have been adopted; GC §34090 et seq. Planning PL-007 Committee of Trees / Views: Recordings - AUDIO RECORDINGS of Meetings / Audio Tapes 5 years Tape (Mag)Department preference; State law only requires for 30 days; GC §54953.5(b) Planning PL-008 Construction, Demolition / Waste hauling Permits 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Planning PL-009 Environmental Determinations: Environmental Impact Reports (EIRs), Negative Declarations, etc.) Inside City boundaries P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Usually filed in the project file; Final environmental determinations are required to be kept a "reasonable period of time"; 14 CCR §15095(c); GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 11.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-3 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Planning PL-009.1 Environmental Determinations: Environmental Impact Reports (EIRs), Negative Declarations, etc.) CEQA Correspondence / staff notes that provide insight into the project / the agency’s CEQA compliance with respect to the project Project Approval or Denial + 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Not all internal communications and notes are required to be saved; "E-mails that do not provide insight into the project or the agency’s CEQA compliance with respect to the project — are not within the scope of section 21167.6, subdivision (e) and need not be retained." Golden Door Properties, LLC v. Superior Court of San Diego County (County of San Diego, et al., Real Parties in Interest) (53 Cal.App.5th 733); PRC 21167,6; GC §34090 Planning PL-010 Environmental Determinations: Environmental Impact Reports (EIRs), Negative Declarations, etc.) Outside City boundaries When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Non-records; EIRs and Negative Declarations within the City Boundaries are with the project file Planning PL-011 General Plan, Elements / Amendments P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Planning PL-012 Log of Zoning Cases / Log of Planning Entitlements P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 1 year Department Preference; GC §34090 Planning PL-013 Master Plans, Specific Plans, Bikeway Plans, etc.P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Planning PL-014 NPDES Monitoring / Inspections - Stormwater When No Longer Required - Minimum 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41; CCP §337 et seq. Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 11.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-4 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Planning PL-015 Planning Commission AGENDA PACKETS 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Planning PL-016 Planning Commission AGENDAS / MINUTES / RESOLUTIONS P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 10 years Notes taken to facilitate the writing of the minutes can be destroyed after minutes have been adopted; GC §34090 et seq. Planning PL-017 Planning Commission: Recordings - AUDIO RECORDINGS of Meetings / Audio Tapes 5 years Tape (Mag)Department preference; State law only requires for 30 days; GC §54953.5(b) Planning PL-017.5 Preliminary Application Form (required for a housing development project that includes residential units; form is provided by California Department of Housing / Community Development 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Various benchmarks are placed using the number of residential dwelling units on the project site within the last five years; GC §34090, Planning PL-018 Preliminary Review File When No Longer Required Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Preliminary Documents (no application submitted); GC §34090 Planning PL-019 Special Studies When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Planning PL-020 Zoning Maps P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD No Department Preference; City Clerk Maintains originals of all documents that were presented to Council; GC §34090.7 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 11.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-5 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Planning PL-021 Zoning Ordinance Amendments, Reclassifications / Zone Change P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 1 year Department Preference (copies); GC §34090.7 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS (Engineering, Traffic And Transportation, Operations) Page PW-1 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PUBLIC WORKS / ENGINEERING Public Works / Engineering PW-001 AB 939 Compliance, Solid Waste Diversion, Tonnage Reports / SB 1383 Compliance (Organic Waste Collection / Recycling)10 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; SB 1383 compliance is required for 5 years; 14 CCR § 18995.2; GC §34090 Public Works / Engineering PW-002 Aerial Maps / Photographs - Analog / Digital / Index to Aerials P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Public Works / Engineering PW-003 Benchmarks P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Public Works / Engineering PW-004 Capital Improvement Projects (CIP): Administration File Project Administration, Certified Payrolls, Construction Manager's Logs, Daily Inspections, Project Schedules, Progress meetings, Real Estate Appraisals, RFIs / Responses, etc. Completion + 10 years or After Funding Agency Audit, if required, whichever is longer Yes: Until Completed Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Some grant funding agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §337 et. seq., GC §34090 Public Works / Engineering PW-005 Capital Improvement Projects (CIP): Permanent File Plans, Specifications / Addenda, Agreement / Contract, Successful Proposal, Change Orders, EIRs, Negative Declarations, Categorical Exemptions, Materials Testing Reports, Grading Permits, Insurance Certificates, Hazardous Materials Plans, Notice of Completion, Photos, Soils Reports, Studies, Submittals, Surveys, etc. P Yes: Until Completed Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Complet. + 10 years Department preference; retained for disaster preparedness purposes; Statewide guidelines propose Permanent for Infrastructure plans; Final environmental determinations are required to be kept a "reasonable period of time"; 14 CCR §15095(c); CCP §337 et. seq., GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS (Engineering, Traffic And Transportation, Operations) Page PW-2 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Public Works / Engineering PW-006 Capital Improvement Projects (CIP): Unsuccessful Proposals 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090 Public Works / Engineering PW-007 Drawings, Maps, Plans / Record Drawings, Large-Format Drawings, Survey Record Maps, Capital Improvement Project "As- Builts") P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Drafts should be destroyed; Some maps are also retained by Planning; Selected maps are retained in Public Works for administrative purposes; GC §34090, 34090.7 Public Works / Engineering PW-008 Engineering Studies / Surveys P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Public Works / Engineering PW-009 Geotechnical / Soils Reports; Hydrology Reports (Authored by the City)P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS (Engineering, Traffic And Transportation, Operations) Page PW-3 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PUBLIC WORKS / TRAFFIC AND TRANSPORTATION Sheriff PW-010 Accident Reports Copies - When No Longer Required Yes: Before Payment Mag, Mfr, OD, Ppr S / I Yes: After QC & OD GC §34090.7 Public Works / Traffic & Trans. PW-011 Master Plans - Transportation P Yes (all)Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; Drafts should be destroyed; GC §34090 Public Works / Traffic & Trans. PW-012 Studies - Transportation (authored by the City) When No Longer Required - Minimum 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Drafts / source records entered into database and not retained in the ordinary course of business; GC §34090 Public Works / Traffic & Trans. PW-013 Traffic Commission AGENDA PACKETS 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Public Works / Traffic & Trans. PW-014 Traffic Commission AGENDAS / MINUTES / RESOLUTIONS P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 10 years Notes taken to facilitate the writing of the minutes can be destroyed after minutes have been adopted; GC §34090 et seq. Public Works / Traffic & Trans. PW-015 Traffic Commission: Recordings / AUDIO RECORDINGS of Meetings / Audio Tapes 5 years Tape (Mag)Department preference; State law only requires for 30 days; GC §54953.5(b) Public Works / Traffic & Trans. PW-016 Traffic Speed Surveys 15 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference (required every 5 years, but can be extended to 7 or 10 years); GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS (Engineering, Traffic And Transportation, Operations) Page PW-4 Office of Record (OFR) Retention No.Records Description Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? Comments / Reference If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Public Works / Traffic & Trans. PW-017 Traffic Studies / Traffic Counts / Traffic Calming Requests When No Longer Required - Minimum 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 PUBLIC WORKS / OPERATIONS Public Works / Operations PW-018 Operations / Maintenance Manuals (O and M Manuals) Life of Facility or Equipment Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 et. seq. Public Works / Operations PW-019 Tree Arborists Reports (City Trees) When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 Rolling Hills, CA. ©1995-2013 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 8/14/2023