Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Home
My WebLink
About
CC Reso No 2016-082 CC Reso Records Management Program & Retention Schedule
RESOLUTION NO. 2016 -082 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LAKE ELSINORE, CALIFORNIA, APPROVING AND ADOPTING THE RECORDS MANAGEMENT PROGRAM AND RETENTION SCHEDULE WHEREAS, the City Clerk of the City of Lake Elsinore is the official Custodian of Records for the City and in that capacity is responsible for the Records Management and Records Retention program; and, WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Lake Elsinore; and, WHEREAS, Section 34090 of the Government Code of the State of California provides a procedure whereby any City record which has served its purpose and is no longer required may be destroyed; and, WHEREAS, the City Council of the City of Lake Elsinore previously adopted Resolution No. 2012- 018, adopting a records retention schedule in 2012. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF LAKE ELSINORE DOES HEREBY RESOLVE, DETERMINE AND ORDER AS FOLLOWS: SECTION 1: Resolution No. 2012 -018 is hereby rescinded. SECTION 2: The management of records, in the City of Lake Elsinore, shall be maintained per the policies set forth in the Records Management Program, which shall be maintained and updated by the City Clerk, City Manager and City Attorney, without further action by the City Council of the City of Lake Elsinore. SECTION 3: The records of the City of Lake Elsinore, as set forth in the Records Retention Schedule Exhibit A, attached hereto and incorporated herein by this reference, 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 upon the request of the Department Head and with the consent in writing of the City Clerk and City Attorney, without further action by the City Council of the City of Lake Elsinore. SECTION 4: With the consent of the City Clerk, City Manager, and City Attorney, updates are hereby authorized to be made to the Records Retention Schedule without further action by the City Council of the City of Lake Elsinore. SECTION 5. The City Council hereby finds and determines that the following definitions apply to the Records Retention Schedule: Record — is any paper, map, exhibit, magnetic or paper tape, photographic film and print, punched card, or other document produced, received, owned or used by an agency, regardless of physical form or characteristic. Office of Record — is the department responsible for the safekeeping of the record identified. Reso. No. 2016 - 082 Page 2 of 2 Retention Period — is the minimum length of time a record must be retained to fulfill its administrative, operation, fiscal and /or legal function. SECTION 6. The City Clerk shall certify to the passage and adoption of this resolution and enter it into the book of original resolutions. SECTION 7. This Resolution shall take effect immediately upon its adoption. PASSED AND ADOPTED at a regular meeting of the City Council of the City of Lake Elsinore held on June 28, 2016, Robert E. Magee, , ayor Pro Tern ATTEST: Susan M. Domen, MMC City Clerk STATE OF CALIFORNIA ) COUNTY OF RIVERSIDE ) ss. CITY OF LAKE ELSINORE ) APP OVED AS FO Barbara Leibold City Attorney I, Susan M. Domen, MMC, City Clerk of the City of Lake Elsinore, California, do hereby certify that Resolution No. 2016 -082 was adopted by the City Council of the City of Lake Elsinore, California, at the regular meeting of June 28, 2016, and that the same was adopted by the following vote: AYES: Council Members Johnson and Manos; Mayor Pro Tem Magee NOES: None ABSENT: Council Member Hickman and Mayor Tisdale ABSTAIN: None Susan M. Domen, MMC City Clerk HOW TO USE RETENTION SCHEDULES ©1995-2016 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided. The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed. Copies or duplicates of records should never be retained longer than the prescribed period for the original record. STRUCTURE: CITYWIDE, DEPARTMENTS & DIVISIONS The City-wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining the original record for the prescribed length of time. Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference. BENEFITS This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits: • Reduce administrative expenses, expedite procedures • Free filing cabinet and office space • Reduce the cost of records storage • Eliminate duplication of effort within the City • Find records faster • Easier purging of file folders • Determine what media should be used to store records For questions, please contact the City Clerk. Authorization to Destroy Records: All original records that have exceeded their retention period must be authorized for destruction according to City Policies & Procedures prior to destroying them. Copies, drafts, notes and non-records do NOT require authorization, and can be destroyed “When No Longer Required.” If there is a minimum retention (“ Minimum 2 years"), it must be authorized for destructionbefore it is destroyed, as it is an original record. If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy. On every page of the schedules (near the top, just under the column headings) are important instructions, including instructions regarding holds on destroying records. “Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).” Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-001 Affidavits of Publications / Public Hearing Notices / Legal Advertising / Affidavits of Posting 2 years 2 years Mag, Mfr, OD, Ppr Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal Government actions is 3 - 6 months; CCP §§337 et seq, 349.4; GC §§34090, 54960.1(c)(1) Lead Dept.CW-002 Agreements & Contracts: ADMINISTRATIVE FILES (Correspondence, Project Administration, Project Schedules, Certified Payrolls, Insurance Certificates, Invoices, Logs, RFP, etc.) Completion 10 years Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: 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; Statewide guidelines propose termination + 5 years; CCP §337 et. seq., GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-003 Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) (Correspondence, Project Administration, Project Schedules, Certified Payrolls, Insurance Certificates, Invoices, Logs, RFP, etc.) Completion 10 years or After Funding Agency Audit, if required, whichever is longer Completion + 10 years or After Funding Agency Audit, if required, whichever is longer Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: 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; Statewide guidelines propose termination + 5 years; CCP §337 et. seq., 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, & 570.502(b), 28 CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A-133GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-004 Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL PROPOSALS or RESPONSES to RFPs (Request for Proposals) and/or RFQs (Request for Qualifications) that don't result in a contract 2 years 2 years Mag, Ppr The RFP / RFQ and the successful proposal becomes part of the agreement or contract (City Clerk is OFR); GC §34090 Staffing Dept.CW-005 Boards and Committees: AUDIO RECORDINGS of Meetings / Audio Tapes 30 days, or After Minutes are Adopted, Whichever is longer 30 days, or After Minutes are Adopted, Whichever is Longer Tape (Mag) City preference; State law only requires for 30 days; GC §54953.5(b) Staffing Dept.CW-006 Boards, Commissions, & Committees: City Council Subcommittees (Composed solely of less than a quorum of the City Council) 2 years 2 years Mag, Ppr All recommendations are presented to the City Council; GC §34090 et seq. Staffing Dept.CW-007 Boards, Commissions, & Committees: Residents Advisory Bodies Formed by CITY COUNCIL AGENDAS, AGENDA PACKETS. 2 years When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 54960.1(c)(1) LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Staffing Dept.CW-008 Boards, Commissions, & Committees: Residents Advisory Bodies Formed by CITY COUNCIL MINUTES, RESOLUTIONS & BYLAWS P P Yes Mag, Mfr, OD, Ppr S No Notes taken to facilitate the writing of the minutes can be destroyed after minutes have been adopted; GC §34090 et seq. Lead Dept.CW-009 Brochures, Flyers 2 years 2 years Mag, Ppr GC §34090 Lead Dept. & Finance CW-010 Cash Receipts Detail / Backup / Accounts Receivable Detail / Refund Detail 2 years 2 years Mag, Ppr City preference (not all detail is sent to Finance); GC §34090 Lead Dept.CW-011 City Attorney Opinions 2 years 2 years Yes Mag, Mfr, OD, Ppr S GC §34090 Lead Dept.CW-012 Committees Internal - Attended by employees: All Records (e.g. Records Management Committee, In-House Task Forces, etc.) 2 years 2 years Mag, Ppr GC §34090 Lead (Responding) Dept. CW-013 Complaints / Concerns from Citizens Computer Tracking Software or Correspondence 2 years 2 years Mag, Ppr GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-014 Copies Copies - When No Longer Required Copies - When No Longer Required Mag, Ppr GC §34090.7 Dept. that Authors Document or Receives the City's Original Document CW-015 Correspondence - ROUTINE (e.g. Administrative, Chronological, General Files, Letters, Memorandums, Reading File, Working Files, etc.) 2 years 2 years Mag, Ppr GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, 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-016 Correspondence - TRANSITORY / PRELIMINARY DRAFTS, Interagency and Intraagency Memoranda not retained in the ordinary course of business (e.g. calendars, checklists, e-mail or social media posting NOT made or retained for the purpose of preserving the informational content for future reference, invitations, instant messaging, inventories, logs, mailing lists, meeting room registrations, supply inventories, telephone messages, transmittal letters, thank yous, requests from other cities, undeliverable envelopes, visitors logs, voice mails, webpages, etc.) When No Longer Required 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 that ARE made or retained for the purpose of preserving the informational content for future reference are saved outside the e-mail system 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 drafts. GC §34090, GC §6252; 64 Ops. Cal. Atty. Gen. 317 (1981)) Lead Dept.CW-017 Drafts & Notes: Drafts that are revised (retain final version) When No Longer Required When No Longer Required Mag, Ppr 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) LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-018 Facility Use Applications / Facility Use Permits 2 years 2 years Mag, Ppr GC §34090 Lead Dept.CW-019 Grants (UNSUCCESSFUL Applications, Correspondence)2 years 2 years Mag, Ppr GC §34090 Lead Dept.CW-020 Grants / CDBG / Reimbursable Claims / FEMA 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 Excludes State Prop 1B (2006 Transportation Projects), which the State requires for 35 years 2 years After Funding Agency Audit, if Required - 5 years After Funding Agency Audit, if required - 5 years Mag, Ppr Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or final payment of grantee or subgrantee; statewide guidelines propose 4 years; 7 CFR 3016.42; 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, 570.490, & 570.502(a&b), 28 CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A- 110 & A-133; GC §34090 Lead Dept.CW-021 Leave Slips 5 years 5 years Mag, Ppr Originals are signed by the employee, and not forwarded to Finance; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-022 Material Safety Data Sheet (MSDS) / Safety Data Sheet (SDS) Chemical Use Report Form (or records of the chemical / substance / agent, where & when it was used) While Chemical In Use 30 years 30 years Mag, Mfr, OD, Ppr S Yes - After QC & OD Previous MSDS may be obtained from a service; MSDS may be destroyed as long as a record of the chemical / substance / agent, where & when it was used is maintained for 30 years; Applies to qualified employers; Claims can be made for 30 years for toxic substance exposures; 8 CCR 3204(d)(1)(B)(2 and 3), 29 CFR 1910.1020(d)(1)(i), GC §34090 Staffing Dept.CW-023 Notices: Public Hearing Notices and Proofs of Publications 2 years 2 years Mag, Ppr Statute of Limitations on Municipal Government actions is 3 - 6 months; CCP§337 et seq; GC §34090 Lead Dept.CW-024 Overtime Sheets / Overtime Cards 5 years 5 years Mag, Ppr Originals are signed by the employee, and not forwarded to Finance; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / Human Resources CW-025 Personnel Files Send to Human Resources Upon Separation or Transfer Send to Human Resources Upon Separation or Transfer Before Separation Mag, Ppr Ensure records kept in Department files comply with City policy (all originals are sent to Human Resources); GC §34090.7 Lead Dept.CW-026 Personnel Files (Supervisor's Notes) After Incorporation into Performance Evaluation After Incorporation into Performance Evaluation Before Annual Evaluation Mag, Ppr Notes maintained in a separate folder to be incorporated into performance evaluation, or to document progressive discipline; GC §34090 et seq. Lead Dept.CW-027 Personnel Work Schedules 2 years 2 years Mag, Ppr GC §34090 Lead Dept.CW-028 Prop. 218 Fees & Charges: Ballots and/or protest letters, Mailing List 2 years 2 years Ppr GC §53753(e)(2) Lead Dept.CW-029 Prop. 218 Fees & Charges: Undeliverable Mail 3 months 3 months Ppr Transitory records not retained in the ordinary course of business; GC §34090 Lead Dept.CW-030 Public Relations / Press Releases 2 years 2 years Mag, Ppr GC §34090 Lead Dept. (Who Ordered the Appraisal) CW-031 Real Estate Appraisal Reports: Property NOT purchased, Loans not funded, etc. 2 years 2 years Mag, Ppr Not accessible to the public; Statewide Guidelines show 2 years; GC §§34090, 6254(h) LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept. (Who Ordered the Appraisal) CW-032 Real Estate Appraisal Reports: Purchased Property, Funded Loans 2 years Minimum 3 years Minimum 5 years Yes: Before Purchase Mag, Mfr, OD, Ppr S Yes: After Inactive Not accessible to the public until purchase has been completed; meets grant auditing requirements; 24 CFR 85.42 & 91.105(h), & 570.502(b); 29 CFR 97.42, GC §34090 CW-033 Reference Materials: Policies, Procedures, Manuals, etc: Produced by OUTSIDE ORGANIZATIONS (League of California Cities, Chamber of Commerce, etc.) When No Longer Required When No Longer Required Mag, Ppr Non-Records Lead Dept.CW-034 Reference Materials: Policies, Procedures, Manuals, etc: Produced by YOUR Department Superseded + 2 years Superseded + 2 years Mag, Ppr Statewide guidelines propose superseded + 2 or 5 years; GC §34090 Lead Dept.CW-035 Reference Materials: Policies, Procedures, Manuals, etc: Produced by OTHER Departments When Superseded When Superseded Mag, Ppr Copies; GC §34090.7 Lead Dept.CW-036 Reports and Studies (Historically significant - e.g., Zoning Studies) 5 years P P Mag, Mfr, OD, Ppr S/I Yes: After 10 years Administratively and Historically significant, therefore retained permanently; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-037 Reports and Studies (other than Historically significant reports - e.g. Annual Reports) 2 years 3 years 5 years Mag, Ppr Information is outdated after 10 years; statewide guidelines propose 2 years; If historically significant, retain permanently; GC §34090 Lead Dept.CW-038 Special Projects / Subject Files / Issue Files Completion + 2 years Completion + 2 years Mag, Ppr Department Preference; GC §34090 et seq. Lead Dept.CW-039 Subject / Reference Files: Subjects other than Specifically Mentioned in Retention Schedules 2 years 2 years Mag, Ppr Department Preference; GC §34090 et seq. Lead Dept.CW-040 Surveys / Questionnaires (that the City issues). If a summary of the data is compiled, the survey forms are considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) 2 years 2 years Mag, Ppr GC §34090 Lead Dept.CW-041 Time Sheets / Time Cards / Overtime Sheets / Overtime Cards / Leave Slips 5 years 5 years Mag, Ppr Originals are signed by the employee, and not forwarded to Finance; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CW-042 Training - ALL COURSE RECORDS (Attendance Rosters, Outlines and Materials; includes Ethics & Safety training & Tailgates) 2 years 3 years 5 years Mag, Mfr, OD, Ppr S Yes: When Inactive Department preference; Ethics Training is 5 years; Statewide guidelines propose 7 years; Calif. Labor Division is required to keep their OSHA records 7 years; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years for personnel actions; 8 CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC §6429(c); GC §§12946, 34090, 53235.2(b) LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Page Number Retention Schedule Index – Lake Elsinore Page 1 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent INDEX – RECORDS RETENTION SCHEDULES Abbreviations: CW – City Wide AS – Finance AS – Human Resources & Risk CC – City Clerk CD – Building & Code CD – Planning CM – City Manager CS – Community Services PW – Engineering PW – Operations 1095-C (Employer-Provided Health Insurance Offer and Coverage) .............................................................................................. HR-1 1095-C (Employer-Provided Health Insurance Offer And Coverage) ............................................................................................. HR-7 1099's / 1096's Issued / W -9s ....................................................................................................................................................... FIN-2 941 Forms, IRS 5500 Forms (Employee Benefit Plans), PERS / FICA & Medicare Adjustments ................................................. FIN-6 A Abandonments - Private Land Development Projects / Job Files: Permanent Files ................................................................... ENG-5 Accident, Incident, Injury Reports That do NOT Result in a Claim (Potential Claims - Members of the Public) .............................. CC-1 Accidents - Personnel Files - Medical File (all employees) ............................................................................................................ HR-4 Accounts Payable / Invoices and Backup (Includes Invoices, Travel Expense Reimbursements, Warrant Request, etc.) ............ FIN-2 Accounts Receivable - ALL - TOT Applications & Returns, Damage to Public Property, Invoices to Outside Entities ................... FIN-7 Accounts Receivable Detail / Refund Detail .................................................................................................................................. CW -4 Active Net, Rec1 - Recreation Database ....................................................................................................................................... CS-2 Activity / Special Programs / Special Events Working files ............................................................................................................. CS-1 Actuarial reports, service credit reports, annual employee listing, etc.) - CalPERS Benefit Administration ..................................... HR-1 Actuarial Valuation Reports - CalPERS Reports ........................................................................................................................... FIN-6 Page Number Retention Schedule Index – Lake Elsinore Page 2 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Actuarial Valuation Reports ........................................................................................................................................................... FIN-2 Actuarials ....................................................................................................................................................................................... HR-7 ADA Accommodations, Incidents / Accidents - Personnel Files - Medical File (all employees) ..................................................... HR-4 Address Files (Includes Fire Services Permits that are Permanent Uses) .................................................................................... BLD-1 Adjustments ................................................................................................................................................................................. FIN-6 Administration File - Capital Improvement Projects (CIP) ......................................................................................................... ENG-1 ADMINISTRATION Files - Elections (Correspondence, Precinct Maps, County Election Services) ............................................... CC-8 ADMINISTRATIVE FILES - Agreements & Contracts ................................................................................................................... CW -1 ADMINISTRATIVE FILES (with Grant Funding) - Agreements & Contracts ............................................................................... CW -2 Administrative, Chronological, General Files, Letters, Memorandums, Reading File - ROUTINE Correspondence ...................... CW -5 Adopted / Final Budgets ................................................................................................................................................................ FIN-1 Advertisements, Applications for Unsuccessful Candidates, Job Brochures - Recruitment and Testing File .................................. HR-5 Advisor Reports / Trade Tickets / LAIF (Local Agency Investment Fund) ..................................................................................... FIN-4 Aerial Maps / Photographs - Analog or Digital & Index to Aerials ................................................................................................ ENG-1 Affidavits of Posting ....................................................................................................................................................................... CC-1 Affidavits of Posting ...................................................................................................................................................................... CW -1 Affidavits of Publications / Legal Advertising / Affidavits of Posting ................................................................................................ CC-1 Affidavits of Publications / Public Hearing Notices / Legal Advertising / Affidavits of Posting ........................................................ CW -1 Affordable Housing Projects, Rehabilitation, etc. WITH a Recapture / Resale Restriction - Housing Programs ........................... PL-2 Affordable Housing Projects, Rehabilitation, etc. WITHOUT a Recapture / Resale Restriction - Housing Programs ................... PL-3 Agency Report of Consultants - FPPC Form 805 ........................................................................................................................... CC-6 Agency Report of Public Official Appointments - FPPC Form 806 ................................................................................................. CC-6 AGENDA PACKETS - Public Safety Advisory Commission ........................................................................................................... CM-1 AGENDA PACKETS & AGENDAS - Planning Commission ........................................................................................................... PL-3 Agenda Report of New Positions - FPPC Form 804 ....................................................................................................................... CC-6 AGENDAS - Public Safety Advisory Commission .......................................................................................................................... CM-2 Agendas / Agenda Packets - LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT ................... CC-1 Agendas / Agenda Packets – OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL ...................... CC-2 AGENDAS, AGENDA PACKETS - Boards, Commissions, & Committees: Residents Advisory Bodies Formed by COUNCIL ..... CW -3 Agreement / Contract, Successful Proposal - Capital Improvement Projects (CIP): Permanent File ........................................ ENG-2 Contract, Successful Proposal - Capital Improvement Projects (CIP): Permanent File ............................................................. ENG-2 Successful Proposal - Capital Improvement Projects (CIP): Permanent File ............................................................................ ENG-2 Change Orders, EIRs, Negative Declarations, Categorical Exemptions - CIP: Permanent File ................................................ ENG-2 EIRs, Negative Declarations, Categorical Exemptions - CIP: Permanent File .......................................................................... ENG-2 Page Number Retention Schedule Index – Lake Elsinore Page 3 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Negative Declarations, Categorical Exemptions - CIP: Permanent File .................................................................................... ENG-2 Categorical Exemptions - CIP: Permanent File ......................................................................................................................... ENG-2 Operations & Maintenance Manuals (O&M Manuals) - Capital Improvement Projects (CIP): Permanent File ......................... ENG-2 O&M Manuals - Capital Improvement Projects (CIP): Permanent File ..................................................................................... ENG-2 Materials Testing Reports, Grading Permits - Capital Improvement Projects (CIP): Permanent File ....................................... ENG-2 Grading Permits - Capital Improvement Projects (CIP): Permanent File .................................................................................. ENG-2 Hazardous Materials Plans, Notice of Completion - Capital Improvement Projects (CIP): Permanent File .............................. ENG-2 Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ................................................................................ CW -2 Agreements & Contracts: ADMINISTRATIVE FILES .................................................................................................................... CW -1 Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL PROPOSALS................................................................. CW -3 Agreements & Contracts: UNSUCCESSFUL RESPONSES to RFPs (Request for Proposals) .................................................... CW -3 Agreements & Contracts: UNSUCCESSFUL RESPONSES to RFQs (Request for Qualifications) ............................................. CW -3 Agreements / Contracts - ALL - Professional Services, Non-Infrastructure that are NOT Imaged ........................................... CC-3 Agreements / Contracts - ALL - Projects, Development, If Imaged, Infrastructure, CIPs, DDAs, OPAs, MOUs, MOAs .......... CC-4 Alcohol Test Results (All - Positives and Negatives) ...................................................................................................................... HR-3 ALL - Professional Services, Non-Infrastructure that are NOT Imaged - Agreements / Contracts ........................................... CC-3 ALL - Projects, Development, If Imaged, Infrastructure, CIPs, DDAs, OPAs, MOUs, MOAs - Agreements / Contracts .......... CC-4 ALL COURSE RECORDS - Training .......................................................................................................................................... CW -12 Amendments to Records Retention Schedules ............................................................................................................................ CC-12 Amendments ................................................................................................................................................................................... PL-2 Amendments, Scope of Work or Successful Proposal & Insurance Certificates - Agreements / Contracts Non-Infrastructure .... CC-3 Amendments, Scope of Work or Successful Proposal & Insurance Certificates – Agreements / Contracts Infrastructure ........... CC-4 Analog or Digital & Index to Aerials - Aerial Maps / Photographs ................................................................................................ ENG-1 Annexations / Boundaries / Consolidations / LAFCO ...................................................................................................................... PL-1 Annual Detail - Payroll Reports .................................................................................................................................................... FIN-6 Annual employee listing - CalPERS Benefit Administration ............................................................................................................ HR-1 Annual Employer Statements - Annual Employer Statements ........................................................................................................ HR-1 Annual Reports ........................................................................................................................................................................... CW -11 Annual State or Federal Reports: MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report .................... FIN-5 Annual State or Federal Reports: Public Self Insurer Report (SIP Report), Street Report, Jet Fuel Tax, Smog / Green Fee. ....... FIN-5 Annual State or Federal Reports: State Controller's Report, Local Government Compensation Report, Gas Tax ........................ FIN-5 Annual Valuation Reports, Actuarial Valuation Reports - CalPERS Reports ................................................................................. FIN-6 Application Forms / Fee & Charge / Liability Forms ....................................................................................................................... CS-2 Application, Evaluations, Policies Oaths of Office, Transaction Forms, etc. - Personnel Files - Employee File ............................ HR-4 Page Number Retention Schedule Index – Lake Elsinore Page 4 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Application: Facility Use ................................................................................................................................................................ CW -7 Applications (successful), grant agreement, program rules, regulations & procedures, reports to grant funding agencies ........... CW -7 Applications for Unsuccessful Candidates, Job Brochures - Recruitment and Testing File ............................................................ HR-5 Applications, correspondence, notices, etc. - Board & Commission Recruitments ....................................................................... CC-5 Approved & Unapproved Temporary Entitlements: Christmas Tree Lots, Banner Permits, Pumpkin Lots, etc. ......................... PL-5 Approved Permanent Entitlements .............................................................................................................................................. PL-4 AQMD Permits (Generators, etc.) ......................................................................................................................................... PW/OPS-1 Arbitrage / Certificate of Deposit / Investment Bonds .................................................................................................................... FIN-4 Architects, CIPs (Capital Improvement Projects,) - Agreements / Contracts Infrastructure .......................................................... CC-4 AS / FINANCE / ADMINISTRATION ............................................................................................................................................. FIN-1 AS / FINANCE / GENERAL ACCOUNTING ...................................................................................................................... FIN-2 – FIN-5 Assessment District / Community Facilities Districts / Maintenance District / Landscape & Lighting ........................................... ENG-1 Assessment Districts / Community Facilities Districts, etc. - Assessor Rolls ................................................................................ CC-5 Associated CEQA Noticing, Conditions of Approval - Planning Project Files - Approved Permanent Entitlements ................... PL-4 Attendance Rosters, Outlines and Materials; includes Ethics & Safety training & Tailgates ........................................................ CW -12 Attrition, Benefits, etc. - Studies & Surveys Conducted on Behalf of the City ................................................................................. HR-5 Audio Recordings - Recordings / Tapes of City Council Meetings ............................................................................................. CC-11 AUDIO RECORDINGS of Meetings / Audio Tapes - Boards and Committees .............................................................................. CW -3 AUDIO RECORDINGS of Meetings / Audio Tapes - Planning Commission .................................................................................... PL-3 Audit Reports / CAFR - Comprehensive Annual Financial Reports and related Audit Opinions .................................................... FIN-1 Audit Work Papers ........................................................................................................................................................................ FIN-1 Awards of significant historical interest, etc. - Historical Records & Historical Projects .................................................................. CC-9 B Backup (Includes Invoices, Travel Expense Reimbursements, Warrant Request, etc.) ................................................................ FIN-2 Backup / Accounts Receivable Detail / Refund Detail ................................................................................................................... CW -4 Backup Documents - Budgets ....................................................................................................................................................... FIN-1 Balance Sheets (MONTHLY OR PERIODIC)................................................................................................................................ FIN-5 Ballots and/or protest letters, Mailing List - Prop. 218 Fees & Charges................................................................................... CW -9 Bank Reconciliations, Bank Deposits, Bank Transmittal Advice .................................................................................................... FIN-2 Bank Statements and Trustee Statements, Fiscal Agent Statements, Investment Account Statements ....................................... FIN-2 Bankruptcies - NOT pursued ......................................................................................................................................................... FIN-7 Bankruptcies - Where a claim is filed .......................................................................................................................................... FIN-7 Banner Permits, Pumpkin Lots, Temporary Signs, etc. - Temporary Entitlements (Approved & Unapproved) ............................. PL-5 Behested Payment Report - FPPC Form 803 ................................................................................................................................ CC-6 Page Number Retention Schedule Index – Lake Elsinore Page 5 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Benchmarks ................................................................................................................................................................................ ENG-1 Benefit Plan Documents (CalPERS, Optical, Dental, etc.) ............................................................................................................. HR-1 Benefits - Studies & Surveys Conducted on Behalf of the City ....................................................................................................... HR-5 Benefits File - Personnel Files (Includes Benefit Enrollment Forms) ............................................................................................ HR-4 Bid Files: Unsuccessful Proposals ................................................................................................................................................. CC-5 BIDS, PROPOSALS - UNSUCCESSFUL - Agreements & Contracts ........................................................................................... CW -3 Bikeway Plans ................................................................................................................................................................................. PL-3 Binders of Historic Actions .............................................................................................................................................................. PL-5 Board & Commission Members: Oath of Office, etc. .................................................................................................................... CC-5 Board & Commission Recruitments: Applications, correspondence, notices, etc. ....................................................................... CC-5 Boards & Commissions: Residents Advisory Bodies Formed by CITY COUNCIL - MINUTES, RESOLUTIONS & BYLAWS ....... CW -4 Boards and Committees: AUDIO RECORDINGS of Meetings / Audio Tapes ............................................................................... CW -3 Boards, Commissions and Committees (Maddy Act) ..................................................................................................................... CC-5 Boards, Commissions, & Committees: City Council Subcommittees ......................................................................................... CW -3 Boards, Commissions, & Committees: Residents Advisory Bodies Formed by CITY COUNCIL - AGENDA PACKETS .............. CW -3 Bond Official Statements / Transcripts / Certificates of Participations (COPs) - Includes Continuing Disclosure Reports ............. FIN-3 Boundaries / Consolidations / LAFCO ............................................................................................................................................. PL-1 BOUNDARIES, ENGINEERS REPORTS, MAPS ....................................................................................................................... ENG-1 Brochures, Flyers .......................................................................................................................................................................... CW -4 Budgets – Adjustments ................................................................................................................................................................. FIN-1 Budgets - Adopted / Final ............................................................................................................................................................. FIN-1 Budgets - Preliminary, Backup Documents ................................................................................................................................... FIN-1 BUILDING & SAFETY ..................................................................................................................................................... BLD-1 - BLD-3 Building Activity Reports ............................................................................................................................................................. BLD-2 Building Permit Database ............................................................................................................................................................ BLD-1 Building Permits / Address Files (Includes Fire Services Permits that are Permanent Uses) ....................................................... BLD-1 Building Plans - Expired or Withdrawn ...................................................................................................................................... BLD-1 Building Plans – Finalled - PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS ........................................ BLD-2 Building Plans & Construction Documents - Finalled - SINGLE FAMILY RESIDENTIAL - SFR and APPURTENANCES .......... BLD-1 Building Plans and Construction Documents – Finalled - INDUSTRIAL, COMMERCIAL, MULTI-FAMILY DWELLINGS .......... BLD-2 Business License Applications & Renewals .................................................................................................................................. FIN-3 Business License Database ......................................................................................................................................................... FIN-7 BUSINESS LICENSE .................................................................................................................................................................... FIN-7 BYLAWS - Planning Commission ................................................................................................................................................... PL-4 Page Number Retention Schedule Index – Lake Elsinore Page 6 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent BYLAWS - Residents Advisory Bodies Formed by CITY COUNCIL – Boards, Commissions, & Commissions ............................ CW -4 C CAFR - Comprehensive Annual Financial Reports and related Audit Opinions ............................................................................. FIN-1 Calendars, checklists, e-mail or social media posting - Correspondence - TRANSITORY / PRELIMINARY DRAFTS .................. CW -6 California Building Codes ............................................................................................................................................................. BLD-3 CalPERS Benefit Administration (contract amendment, actuarial reports, service credit reports, annual employee listing, etc.) .... HR-1 CalPERS Reports - Annual Employer Statements ......................................................................................................................... HR-1 CalPERS Reports - Annual Valuation Reports, Actuarial Valuation Reports ................................................................................. FIN-6 CalPERS, Optical, Dental, etc. - Benefit Plan Documents.............................................................................................................. HR-1 Campaign Filings (FPPC 400 Series Forms & Form 501): SUCCESSFUL CANDIDATES (Elected Officials) ............................... CC-7 Campaign Filings (FPPC 400 Series Forms & Form 501): UNSUCCESSFUL CANDIDATES ....................................................... CC-7 Campaign Filings (FPPC 400 Series Forms): OTHER COMMITTEES (PACS - not candidate-controlled) ..................................... CC-7 Campaign Filings (FPPC 400 Series Forms): THOSE NOT REQUIRED TO FILE ORIGINAL WITH CITY CLERK (copies) ......... CC-7 Campgrounds & Classes / Application Forms / Fee & Charge / Liability Forms ............................................................................. CS-2 Candidate File: Nomination Papers, Candidate Statements, etc. - SUCCESSFUL CANDIDATES ................................................ CC-7 Candidate File: Nomination Papers, Candidate Statements, etc. - UNSUCCESSFUL CANDIDATES ........................................... CC-8 Candidate Statements - Candidate File - SUCCESSFUL CANDIDATES ....................................................................................... CC-7 Candidate Statements - Candidate File - UNSUCCESSFUL CANDIDATES .................................................................................. CC-8 Candidate Statements to be printed in the Sample Ballot - Elections - GENERAL, WORKING or ADMINISTRATION Files ......... CC-8 Capital Improvement Project "As-Builts," "Mylars" ..................................................................................................................... ENG-3 Capital Improvement Projects (CIP): Administration File ........................................................................................................ ENG-1 Capital Improvement Projects (CIP): Permanent File .............................................................................................................. ENG-2 Cash Receipts / Daily Cash Summaries / Cashiers Reports / Cash Reports / Business License Applications & Renewals .......... FIN-3 Cash Receipts Detail / Backup / Accounts Receivable Detail / Refund Detail ............................................................................... CW -4 Cashiers Reports / Cash Reports / Business License Applications & Renewals ........................................................................... FIN-3 CDBG / Reimbursable Claims / FEMA Claims (SUCCESSFUL Reports) ...................................................................................... CW -7 CDBG-funded Housing Projects WITH a Recapture / Resale Restriction - Housing Programs .................................................... PL-2 CDBG-funded Housing Projects WITHOUT a Recapture / Resale Restriction - Housing Programs ............................................ PL-3 Certificate of Deposit / Investment Bonds ..................................................................................................................................... FIN-4 Certificate of Posting / Legal Advertising ...................................................................................................................................... CC-11 Certificates of Disposal ......................................................................................................................................................... PW/OPS-2 Certificates of Occupancy ........................................................................................................................................................... BLD-2 Certificates of Participations (COPs) - Includes Continuing Disclosure Reports ............................................................................ FIN-3 Page Number Retention Schedule Index – Lake Elsinore Page 7 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Certificates of Records Destruction .............................................................................................................................................. CC-11 Certificates: Ethics Training ........................................................................................................................................................... CC-5 Certified Payrolls, Construction Manager's Logs - Capital Improvement Projects (CIP): Administration File ........................... ENG-1 Certified Payrolls, Insurance Certificates, Invoices, Logs, RFP - Agreements & Contracts: ADMINISTRATIVE FILES ................ CW -1 Checklists, e-mail or social media posting - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ................................... CW -6 Checks / Warrants (Cashed) ......................................................................................................................................................... FIN-3 Chemical Use Report Form ........................................................................................................................................................... CW -8 CHP Inspections / Vehicle Safety Checks ............................................................................................................................ PW/OPS-3 CHP Inspections / Vehicle Safety Checks ...................................................................................................................................... CS-1 Christmas Tree Lots, Banner Permits, Pumpkin Lots, etc. - Temporary Entitlements (Approved & Unapproved) ...................... PL-5 Chronological, General Files, Letters, Memorandums, Reading File, Working Files - ROUTINE Correspondence ....................... CW -5 CIPs (Capital Improvement Projects,) - Agreements / Contracts Infrastructure ........................................................................... CC-4 CIPs, DDAs, OPAs, MOUs, MOAs - Agreements / Contracts ....................................................................................................... CC-4 Citizens, Legislative Positions, Organizations, etc. - City Manager Correspondence ..................................................................... CM-1 City Attorney Opinions .................................................................................................................................................................. CW -4 City Council Agenda Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT ........ CC-1 City Council Agenda Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL ............ CC-2 City Council Correspondence ......................................................................................................................................................... CM-1 City Council Subcommittees - Boards, Commissions, & Committees ........................................................................................ CW -3 City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority - Minutes .................................. CC-10 City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority - Resolutions ............................ CC-12 City Manager / Economic Development Projects, Programs, Subject & Issues – (Hotels, Developments) - COPIES ONLY .......... CM-1 City Manager Correspondence (Interoffice, Citizens, Legislative Positions, Organizations, etc.) ................................................... CM-1 City Manager employment contracts, franchise agreements - Agreements / Contracts Infrastructure ......................................... CC-4 City Manager, City Attorney & City Clerk Agreements - Agreements / Contracts NON-Infrastructure .......................................... CC-3 City Seal, Awards of significant historical interest, etc. - Historical Records & Historical Projects .................................................. CC-9 City-owned Policies - Insurance Policy Applications / Insurance Policies ....................................................................................... CC-9 Claims (Liability Claims) ................................................................................................................................................................. HR-7 Claims: Department of Fair Employment & Housing (DFEH or EEOC) .......................................................................................... HR-2 Claims: Workers Compensation..................................................................................................................................................... HR-6 Classification / Reorganization Studies (for employee classifications and department structures) ................................................. HR-1 Classification Specifications ........................................................................................................................................................... HR-2 CMMS DATABASE (Computerized Maintenance Management System) - Work Orders / Service Requests ....................... PW/OPS-4 Page Number Retention Schedule Index – Lake Elsinore Page 8 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Code Enforcement / Abatement Case Files (Includes appeals and Code Enforcement Complaint Letters) ................................. BLD-4 Abatement Case Files (Includes appeals and Code Enforcement Complaint Letters) .................................................................. BLD-4 Appeals and Code Enforcement Complaint Letters - Code Enforcement / Abatement Case Files ............................................... BLD-4 Code Enforcement Complaint Letters - Code Enforcement / Abatement Case Files .................................................................... BLD-4 Affidavits of Publications / Public Hearing Notices / Legal Advertising (Planning) ........................................................................... PL-1 CODE ENFORCEMENT .............................................................................................................................................................. BLD-4 Collections / Collection Agency Statements .................................................................................................................................. FIN-7 Commercial structural plans, Hazardous Materials Questionnaire - Building Plans and Construction Documents ....................... BLD-2 COMMERCIAL, MULTI-FAMILY DWELLINGS - Building Plans and Construction Documents – Finalled.................................. BLD-2 Commission Members: Oath of Office, etc................................................................................................................................... CC-5 Commission Recruitments: Applications, correspondence, notices, etc. ..................................................................................... CC-5 Commissions & Committees: City Council Subcommittees ....................................................................................................... CW -3 Commissions & Committees: Residents Advisory Bodies Formed by CITY COUNCIL - AGENDA PACKETS ............................. CW -3 Commissions & Committees: Residents Advisory Bodies Formed by CITY COUNCIL MINUTES, RESOLUTIONS & BYLAWS . CW -4 Commissions and Committees (Maddy Act) .................................................................................................................................. CC-5 Committee Rosters / Boards, Commissions and Committees (Maddy Act) ................................................................................... CC-5 Committees Internal - Attended by employees: All Records ...................................................................................................... CW -4 Committees: AUDIO RECORDINGS of Meetings / Audio Tapes .................................................................................................. CW -3 Community Facilities Districts - Assessor Rolls ............................................................................................................................ CC-5 Community Facilities Districts / Maintenance District / Landscape & Lighting ............................................................................. ENG-1 Community Outreach / Notification of Projects ...................................................................................................................... PW/OPS-1 Compensation Surveys & Studies .................................................................................................................................................. HR-2 Complaints ........................................................................................................................................................................... PW/OPS-1 Complaints / Concerns from Citizens Computer Tracking Software or Correspondence ............................................................... CW -4 Compliance orders, stop work notices, etc. - Construction Notices / Inspection Notices ........................................................ BLD-2 Comprehensive Annual Financial Reports and related Audit Opinions (CAFR) ............................................................................. FIN-1 Computerized Maintenance Management System - Work Orders / Service Requests .......................................................... PW/OPS-4 Concerns from Citizens Computer Tracking Software or Correspondence ................................................................................... CW -4 Conditional Use Permits (CUPs), Design Review - Planning Project Files - Approved Permanent Entitlements ...................... PL-4 Conditional Use Permits (CUPs), Design Review, Lot Line Adjustments - Planning Project Files - Not Exercised / Expired ...... PL-4 Conditions of Approval - Planning Project Files - Approved Permanent Entitlements ............................................................... PL-4 Confidentiality Agreement, Flowchart, Eligible Lists, etc. - Recruitment and Testing File ............................................................... HR-5 Confined Space Entries ........................................................................................................................................................ PW/OPS-1 Page Number Retention Schedule Index – Lake Elsinore Page 9 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Consolidations / LAFCO .................................................................................................................................................................. PL-1 Construction Documents – Finalled - INDUSTRIAL, COMMERCIAL, MULTI-FAMILY DWELLINGS ......................................... BLD-2 Construction Documents - Finalled - PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS ......................... BLD-2 Construction Documents - Finalled - SINGLE FAMILY RESIDENTIAL - SFR and APPURTENANCES..................................... BLD-1 Construction Manager's Logs - Capital Improvement Projects (CIP): Administration File ........................................................ ENG-1 Construction Notices / Inspection Notices (correction notices, compliance orders, stop work notices, etc.) ........................... BLD-2 Construction Standards .............................................................................................................................................................. ENG-2 Consulting, disposal, leases, loans, mutual aid, professional services - Agreements / Contracts NON-Infrastructure ................. CC-3 Contract amendment, actuarial reports, service credit reports, annual employee listing, etc.) - CalPERS Benefit Administration .. HR-1 Contracts - ALL - Professional Services, Non-Infrastructure that are NOT Imaged ................................................................. CC-3 Contracts - ALL - Projects, Development, If Imaged, Infrastructure, CIPs, DDAs, OPAs, MOUs, MOAs ................................ CC-4 Contracts: ADMINISTRATIVE FILES (with Grant Funding) ........................................................................................................ CW -2 Contracts: ADMINISTRATIVE FILES ............................................................................................................................................ CW -1 Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL PROPOSALS ........................................................................................ CW -3 Contracts: UNSUCCESSFUL RESPONSES to RFPs (Request for Proposals) ........................................................................... CW -3 Contracts: UNSUCCESSFUL RESPONSES to RFQs (Request for Qualifications) .................................................................... CW -3 Copies (copies) ............................................................................................................................................................................ CW -5 Copies of checks - Grant Folders .................................................................................................................................................. FIN-4 Correction notices, compliance orders, stop work notices, etc. - Construction Notices / Inspection Notices ........................... BLD-2 Correspondence - Grants ............................................................................................................................................................. CW -7 Correspondence - Regulatory Agencies ................................................................................................................................... ENG-2 Correspondence - Regulatory Agencies ............................................................................................................................. PW/OPS-1 Correspondence – ROUTINE (Administrative, Chronological, General Files, Letters, Memorandums, Reading File) ................... CW -5 Correspondence - TRANSITORY / PRELIMINARY DRAFTS, Interagency and Intraagency Memoranda .................................... CW -6 Correspondence, audit records, completion records ..................................................................................................................... CW -7 Audit records, completion records ................................................................................................................................................. CW -7 Completion records ....................................................................................................................................................................... CW -7 Correspondence, Certified Payrolls - Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ...................... CW -2 Correspondence, Interpretation of MOU Provisions, Documentation, etc. - Labor Relations Files ................................................. HR-3 Correspondence, notices, etc. - Board & Commission Recruitments ........................................................................................... CC-5 Correspondence, Precinct Maps, County Election Services - Elections - GENERAL, WORKING or ADMINISTRATION Files ..... CC-8 Correspondence, Project Administration, Project Schedules - Agreements & Contracts: ADMINISTRATIVE FILES .................... CW -1 County Election Services - Elections - GENERAL, WORKING or ADMINISTRATION Files .......................................................... CC-8 Page Number Retention Schedule Index – Lake Elsinore Page 10 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent CUPs, Lot Line Adjustments, Parcel Maps - Private Land Development Projects / Job Files: Permanent Files ......................... ENG-5 D Daily Cash Summaries / Cashiers Reports / Cash Reports / Business License Applications & Renewals .................................... FIN-3 Daily Inspections, Progress meetings, Punch Lists - Construction Manager's Logs - (CIP): Administration File ..................... ENG-1 Daily Vehicle Inspections / Daily Equipment Checks ............................................................................................................ PW/OPS-3 Daily Vehicle Inspections / Daily Equipment Checks ...................................................................................................................... CS-1 Damage to Public Property, Invoices to Outside Entities - Accounts Receivable - ALL ................................................................ FIN-7 Data / Layers (both City-wide and Specialized) ............................................................................................................................... PL-2 Database: Building Permit ........................................................................................................................................................... BLD-1 Database: Business License ........................................................................................................................................................ FIN-7 Database: Financial Services ....................................................................................................................................................... FIN-3 Database: Vehicle & Equipment............................................................................................................................................ PW/OPS-4 DDAs, OPAs, MOUs, MOAs - Agreements / Contracts ................................................................................................................. CC-4 DE-6, DE-7, DE-9, DE-43, W -3, & DE-166, 941 Forms, IRS 5500 Forms (Employee Benefit Plans) ........................................... FIN-6 Dedications, Easements, Abandonments - Private Land Development Projects / Job Files: Permanent Files........................... ENG-5 Deduction Registers, Leave Registers, Time Transaction Reports, etc. - Payroll Reports - Periodic ........................................... FIN-6 Deeds, Easements, Liens (City Clerk is the Office of Record for all Recorded Documents) ....................................................... ENG-2 Deeds, Easements, Liens, Rights of Way, etc. - Recorded Documents / Real Property .............................................................. CC-11 Dental - Benefit Plan Documents ................................................................................................................................................... HR-1 Department of Fair Employment & Housing (DFEH or EEOC) Claims ........................................................................................... HR-2 Deposits - Private Land Developer ................................................................................................................................................ FIN-5 Design & Construction Standards ............................................................................................................................................... ENG-2 Design Review - Planning Project Files - Approved Permanent Entitlements ........................................................................... PL-4 Design Review, Lot Line Adjustments - Planning Project Files - Not Exercised / Expired .......................................................... PL-4 Development, If Imaged, Infrastructure, CIPs, DDAs, OPAs, MOUs, MOAs - Agreements / Contracts .................................... CC-4 Development, Joint Powers, MOUs - Agreements / Contracts Infrastructure ............................................................................... CC-4 DFEH or EEOC Claims .................................................................................................................................................................. HR-2 Digital & Index to Aerials - Aerial Maps / Photographs ................................................................................................................ ENG-1 Disposal, leases, loans, mutual aid, professional services - Agreements / Contracts NON-Infrastructure ................................... CC-3 Distribution, Municipal Code Administration, etc. ....................................................................................................................... CC-10 DMV Pull Notices ........................................................................................................................................................................... HR-2 Documentation - Labor Relations Files .......................................................................................................................................... HR-3 DOT Program / CHP Inspections / Vehicle Safety Checks ................................................................................................... PW/OPS-3 DOT Program / CHP Inspections / Vehicle Safety Checks ............................................................................................................. CS-1 Page Number Retention Schedule Index – Lake Elsinore Page 11 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Drafts & Notes: Drafts that are revised (retain final version) ......................................................................................................... CW -6 Drainage, Driveway, Encroachments - Private Land Development Projects / Job Files: Permanent Files ................................. ENG-5 Drawings, Maps, Plans and Record Drawings, Large-Format Drawings, Survey Record Maps .................................................. ENG-3 Drug & Alcohol Test Results (All - Positives and Negatives) .......................................................................................................... HR-3 DVD-R - Recordings / Tapes of City Council Meetings ................................................................................................................ CC-11 E Easements, Abandonments - Private Land Development Projects / Job Files: Permanent Files ............................................... ENG-5 Easements, Liens (City Clerk is the Office of Record for all Recorded Documents) .................................................................... ENG-2 Easements, Liens, Rights of Way, etc. - Recorded Documents / Real Property .......................................................................... CC-11 Economic Development Projects, Programs, Subject & Issues – (Hotels, Developments) - COPIES ONLY .................................. CM-1 Economic Interest Filings (FPPC 700 Series Forms - Statement of Economic Interests): ALL ..................................................... CC-5 EEO-4 Reports and records required to generate EEO-4 report (Self-Identification Form, etc.) .................................................... HR-3 EEOC Claims ................................................................................................................................................................................. HR-2 ELECTIONS – CONSOLIDATED ....................................................................................................................................... CC-7 – CC-8 Elections - GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Precinct Maps, County Election Services) ..... CC-8 Elections - HISTORY Files (Sample Ballot, Results) ...................................................................................................................... CC-8 Elections - Petitions (Initiative, Recall or Referendum) ................................................................................................................... CC-8 Elements and Amendments ............................................................................................................................................................ PL-2 Eligible Lists - Recruitment and Testing File .................................................................................................................................. HR-5 E-mail or social media posting - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ..................................................... CW -6 Emergency Call Out Logs / Storm Call Out Logs ................................................................................................................. PW/OPS-1 Employee File - Personnel Files (Includes Application, Evaluations, Policies Oaths of Office, Transaction Forms, etc.) .............. HR-4 Employer-Provided Health Insurance Offer And Coverage - 1095-C ............................................................................................. HR-7 Employer-Provided Health Insurance Offer and Coverage – 1095-C ............................................................................................. HR-1 Encroachment Permits: Temporary (Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts) . ENG-3 Encroachments - Permanent (Permanent structures in the City's Right of Way)........................................................................ ENG-3 Encroachments - Private Land Development Projects / Job Files: Permanent Files .................................................................. ENG-5 Engineering Studies / Surveys - Preliminary Studies / Project Assessments (Not Acquired or Developed) .............................. ENG-3 Engineering Studies / Surveys (City Built Projects) .................................................................................................................. ENG-3 ENGINEERS REPORTS, MAPS ................................................................................................................................................. ENG-1 Environmental Determinations Inside City boundaries ................................................................................................................. PL-1 Environmental Determinations, Staff Reports - Planning Project Files - Approved Permanent Entitlements ............................ PL-4 Environmental Impact Reports, Negative Declarations Inside City boundaries ............................................................................ PL-1 Environmental Technical Studies Inside City boundaries ............................................................................................................. PL-1 Page Number Retention Schedule Index – Lake Elsinore Page 12 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Equipment Database ............................................................................................................................................................ PW/OPS-4 Equipment History Files Maintenance, Smog Certificates, Registrations .............................................................................. PW/OPS-4 Equipment History Files ........................................................................................................................................................ PW/OPS-1 Escheat (Unclaimed money / uncashed checks) ........................................................................................................................... FIN-3 Ethics & Safety training & Tailgates ............................................................................................................................................ CW -12 Ethics Training Certificates ............................................................................................................................................................ CC-5 Evaluation Committee, Records Management Committee, In-House Task Forces, etc. - Internal Committees............................ CW -4 Evaluations / Surveys (Program Evaluations) ................................................................................................................................ CS-1 Evaluations, Policies Oaths of Office, Transaction Forms, etc. - Personnel Files - Employee File ................................................ HR-4 Event Ticket / Pass Distributions Agency Report - FPPC Form 802 ............................................................................................... CC-6 Expenditure Reports (MONTHLY OR PERIODIC) ........................................................................................................................ FIN-5 Expenses per Vehicle ........................................................................................................................................................... PW/OPS-2 Expired or Withdrawn Building Plans ........................................................................................................................................ BLD-1 F Facility History / Lake History / Park History Files ................................................................................................................. PW/OPS-1 Facility Use Agreement .................................................................................................................................................................. CS-1 Facility Use Applications / Facility Use Permits ............................................................................................................................. CW -7 Facility Use Rental Contracts / Field Use Contracts / Facility Use Agreement ............................................................................... CS-1 Federal or State Reports: MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report ................................ FIN-5 Federal or State Reports: Public Self Insurer Report (SIP Report), Street Report, etc. ................................................................. FIN-5 Federal or State Reports: State Controller's Report, Local Government Compensation Report, Gas Tax .................................... FIN-5 Federal Tax Deposits, Adjustments, etc. ...................................................................................................................................... FIN-6 Fee & Charge / Liability Forms ....................................................................................................................................................... CS-2 FEMA Claims (SUCCESSFUL Reports) ....................................................................................................................................... CW -7 Field Use Contracts / Facility Use Agreement ................................................................................................................................ CS-1 Final Budgets ................................................................................................................................................................................ FIN-1 Finalled Building Plans - PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS ........................................... BLD-2 Finalled Building Plans & Construction Documents - SINGLE FAMILY RESIDENTIAL - SFR and APPURTENANCES ............ BLD-1 Finalled Building Plans and Construction Documents - INDUSTRIAL, COMMERCIAL, MULTI-FAMILY DWELLINGS ............. BLD-2 Finalled Construction Documents - PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS ........................... BLD-2 Financial Services Database ........................................................................................................................................................ FIN-3 Fire Code Permits ........................................................................................................................................................................ BLD-3 Fire Services Permits that are Permanent Uses .......................................................................................................................... BLD-1 First Time Home Buyers, Life/Safety, Rehabilitation, HOME, etc. - Housing Loan Applications Rejected ..................................... CM-1 Page Number Retention Schedule Index – Lake Elsinore Page 13 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Fiscal Agent Statements, Investment Account Statements ........................................................................................................... FIN-2 Fixed Charge Special Assessment Report - Reports: Annual State or Federal ............................................................................. FIN-5 Fleet Management Database / Expenses per Vehicle ........................................................................................................... PW/OPS-2 Flowchart, Eligible Lists, etc. - Recruitment and Testing File ......................................................................................................... HR-5 Flyers ............................................................................................................................................................................................ CW -4 FORMATION, BOUNDARIES, ENGINEERS REPORTS, MAPS ................................................................................................ ENG-1 FPPC 400 Series Forms - Campaign Filings: OTHER COMMITTEES (PACS - not candidate-controlled) ..................................... CC-7 FPPC 400 Series Forms - Campaign Filings: THOSE NOT REQUIRED TO FILE ORIGINAL WITH CITY CLERK (copies) ......... CC-7 FPPC 400 Series Forms & Form 501 - Campaign Filings: SUCCESSFUL CANDIDATES (Elected Officials) ................................ CC-7 FPPC 400 Series Forms & Form 501 - Campaign Filings: UNSUCCESSFUL CANDIDATES ....................................................... CC-7 FPPC 700 Series Forms - Statement of Economic Interests: ALL ................................................................................................ CC-5 FPPC Form 801 (Gift to Agency Report) ........................................................................................................................................ CC-6 FPPC Form 802 (Event Ticket / Pass Distributions Agency Report) .............................................................................................. CC-6 FPPC Form 803 (Behested Payment Report) ................................................................................................................................ CC-6 FPPC Form 804 (Agenda Report of New Positions) ...................................................................................................................... CC-6 FPPC Form 805 (Agency Report of Consultants) .......................................................................................................................... CC-6 FPPC Form 806 (Agency Report of Public Official Appointments) ................................................................................................. CC-6 Franchise agreements - Agreements / Contracts Infrastructure ................................................................................................... CC-4 Funded Loans - Real Estate Appraisal Reports .......................................................................................................................... CW -10 G Garnishments, Transaction Forms, etc. - Personnel Files - Payroll File ........................................................................................ HR-5 Gas Tax - Reports: Annual State or Federal ................................................................................................................................. FIN-5 General Files, Letters, Memorandums, Reading File, Working Files - ROUTINE Correspondence .............................................. CW -5 General Plan, Elements and Amendments ..................................................................................................................................... PL-2 GENERAL, WORKING or ADMINISTRATION Files - Elections (Correspondence, Precinct Maps, County Election Services) ..... CC-8 Generator Operation Logs (for fixed / stationary generators) / Inspections ........................................................................... PW/OPS-2 Generators, etc. - AQMD Permits ......................................................................................................................................... PW/OPS-1 Geotechnical and Soils Reports; Hydrology Reports (Authored by the City or their contractors) ................................................. ENG-3 Gift to Agency Report - FPPC Form 801 ........................................................................................................................................ CC-6 GIS Database / Data / Layers (both City-wide and Specialized) ...................................................................................................... PL-2 Grading Plans ............................................................................................................................................................................. ENG-3 Grading Plans, Rights of Way, Stormwater - Private Land Development Projects / Job Files: Permanent Files ........................ ENG-5 Grant agreement, program rules, regulations & procedures, reports to grant funding agencies ................................................... CW -7 Grant Folders (invoices, copies of checks, etc.) ............................................................................................................................ FIN-4 Page Number Retention Schedule Index – Lake Elsinore Page 14 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Grants (UNSUCCESSFUL Applications, Correspondence) .......................................................................................................... CW -7 Grants / CDBG / Reimbursable Claims / FEMA Claims (SUCCESSFUL Reports) ........................................................................ CW -7 Green Fee - Reports: Annual State or Federal .............................................................................................................................. FIN-5 H Hazardous Materials Questionnaire - Building Plans and Construction Documents ..................................................................... BLD-2 Hazardous Waste Manifests / Certificates of Disposal .......................................................................................................... PW/OPS-2 Historian / SCADA Database ................................................................................................................................................ PW/OPS-3 Historical Records & Historical Projects (e.g. Incorporation, City Seal, Awards of significant historical interest, etc.) .................... CC-9 HISTORICAL Special Event Permits & Programs .......................................................................................................................... CS-2 Historically significant Reports and Studies - Zoning Studies ...................................................................................................... CW -10 History File and Municipal Code (always retain 1 supplement) ................................................................................................... CC-10 HISTORY Files (Sample Ballot, Results) - Elections ...................................................................................................................... CC-8 History Files: Lake, Park & Recreation Facility ............................................................................................................................... CS-1 HOME, etc. - Housing Loan Applications Rejected ....................................................................................................................... CM-1 Housing Authority Agenda Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL ........................... CC-1 Housing Authority Agenda Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL ... CC-2 Housing Authority, Lake Elsinore Recreation Authority - Minutes ................................................................................................. CC-10 Housing Authority, Lake Elsinore Recreation Authority - Resolutions........................................................................................... CC-12 Housing Loan Applications Rejected (First Time Home Buyers, Life/Safety, Rehabilitation, HOME, etc.) ..................................... CM-1 Housing Programs: Affordable Housing Projects, Rehabilitation, etc. WITH a Recapture / Resale Restriction ............................ PL-2 Housing Programs: Affordable Housing Projects, Rehabilitation, etc. WITHOUT a Recapture / Resale Restriction..................... PL-3 Housing Programs: CDBG-funded Housing Projects WITH a Recapture / Resale Restriction ..................................................... PL-2 Housing Programs: CDBG-funded Housing Projects WITHOUT a Recapture / Resale Restriction .............................................. PL-3 HUMAN RESOURCES ...................................................................................................................................................... HR-1 – HR-6 Hydrology Reports (Authored by the City or their contractors) .................................................................................................... ENG-3 I I-9s................................................................................................................................................................................................. HR-3 Incident, Injury Reports That do NOT Result in a Claim (Potential Claims - Members of the Public).............................................. CC-1 Incidents / Accidents - Personnel Files - Medical File (all employees) ........................................................................................... HR-4 Incorporation, City Seal, Awards of significant historical interest, etc. - Historical Records & Historical Projects ........................... CC-9 INDUSTRIAL, COMMERCIAL, MULTI-FAMILY DWELLINGS - Building Plans and Construction Documents – Finalled .......... BLD-2 Infrastructure: Architects, CIPs (Capital Improvement Projects,) - Agreements / Contracts ......................................................... CC-4 Infrastructure: City Manager employment contracts, franchise agreements - Agreements / Contracts ........................................ CC-4 Infrastructure: Retirement, water rights, etc. - Agreements / Contracts ....................................................................................... CC-4 Page Number Retention Schedule Index – Lake Elsinore Page 15 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Infrastructure: Subdivision improvement agreements, development, Joint Powers, MOUs - Agreements / Contracts ................. CC-4 In-House Task Forces - Internal Committees ............................................................................................................................... CW -4 Initiative, Recall or Referendum – Elections - Petitions .................................................................................................................. CC-8 Injury Reports That do NOT Result in a Claim (Potential Claims - Members of the Public) ............................................................ CC-1 Inspection Notices (correction notices, compliance orders, stop work notices, etc.) .................................................................. BLD-2 Inspections / Generator Operation Logs (for fixed / stationary generators) ........................................................................... PW/OPS-2 Inspections, Violations - Stormwater .................................................................................................................................... PW/OPS-2 Insurance Certificates – Agreement / Contract Infrastructure ...................................................................................................... CC-4 Insurance Certificates - Agreements / Contracts Non-Infrastructure ............................................................................................ CC-3 Insurance Certificates - Miscellaneous (from outside companies, that cannot be matched with a contract or agreement) ......... CC-9 Insurance Certificates, Invoices - Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ............................ CW -2 Insurance Certificates, Invoices, Logs, RFP - Agreements & Contracts: ADMINISTRATIVE FILES ............................................. CW -1 Insurance Policy Applications / Insurance Policies (City-owned Policies) ....................................................................................... CC-9 Interagency and Intraagency Memoranda - Correspondence ....................................................................................................... CW -6 Internal Committees - Attended by employees: All Records ...................................................................................................... CW -4 Interoffice, Citizens, Legislative Positions, Organizations, etc. - City Manager Correspondence.................................................... CM-1 Interpretation of MOU Provisions, Documentation, etc. - Labor Relations Files ............................................................................. HR-3 Investment Account Statements ................................................................................................................................................... FIN-2 Investment Bonds ......................................................................................................................................................................... FIN-4 Investment Reports / Treasurer's Reports .................................................................................................................................... FIN-4 Investments / Arbitrage / Certificate of Deposit / Investment Bonds .............................................................................................. FIN-4 Invitations, instant messaging, inventories, logs - Correspondence - TRANSITORY / PRELIMINARY DRAFTS .......................... CW -6 Invoices - Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ................................................................ CW -2 Invoices and Backup (Includes Invoices, Travel Expense Reimbursements, Warrant Request, etc.) ........................................... FIN-2 Invoices to Outside Entities - Accounts Receivable - ALL ............................................................................................................. FIN-7 Invoices, copies of checks, etc. - Grant Folders ............................................................................................................................ FIN-4 Invoices, Logs, RFP - Agreements & Contracts: ADMINISTRATIVE FILES ................................................................................. CW -1 IRS 5500 Forms (Employee Benefit Plans), PERS / FICA & Medicare Adjustments - Quarterly Payroll Tax Returns .................. FIN-6 Issue Files ................................................................................................................................................................................... CW -11 J Jet Fuel Tax, Smog / Green Fee - Reports: Annual State or Federal ............................................................................................ FIN-5 Job Analysis, Rating Sheets, Scantrons - Recruitment and Testing File ........................................................................................ HR-5 Job Brochures - Recruitment and Testing File ............................................................................................................................... HR-5 Job Files: Permanent Files - Private Land Development Projects ............................................................................................. ENG-5 Page Number Retention Schedule Index – Lake Elsinore Page 16 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Joint Powers, MOUs - Agreements / Contracts Infrastructure ...................................................................................................... CC-4 Journal Entries / Journal Vouchers ............................................................................................................................................... FIN-5 K L Labor Relations Files (Negotiation Notes, Correspondence, Interpretation of MOU Provisions, Documentation, etc.) ................... HR-3 LAFCO ............................................................................................................................................................................................ PL-1 LAIF (Local Agency Investment Fund) .......................................................................................................................................... FIN-4 Lake Elsinore Recreation Authority - Minutes............................................................................................................................... CC-10 Lake Elsinore Recreation Authority - Resolutions ........................................................................................................................ CC-12 Lake Elsinore Recreation Authority Agenda Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, ....................... CC-1 Lake Elsinore Recreation Authority Agenda Staff Reports -OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, CC-2 Lake History / Park History Files ........................................................................................................................................... PW/OPS-1 Lake Water Quality Reports ................................................................................................................................................. PW/OPS-2 Lake, Park & Recreation Facility History Files ................................................................................................................................ CS-1 Landscape & Lighting ................................................................................................................................................................. ENG-1 Landscaping Plans .......................................................................................................................................................................... PL-3 Large-Format Drawings, Survey Record Maps ........................................................................................................................... ENG-3 Lawsuits ........................................................................................................................................................................................ CC-9 Lawsuits / Litigation ........................................................................................................................................................................ HR-7 Layers (both City-wide and Specialized) ......................................................................................................................................... PL-2 Leases, loans, mutual aid, professional services - Agreements / Contracts NON-Infrastructure .................................................. CC-3 Leave Registers, Time Transaction Reports, etc. - Payroll Reports - Periodic ............................................................................. FIN-6 Leave Slips ................................................................................................................................................................................. CW -11 Leave Slips ................................................................................................................................................................................... CW -7 Legal Advertising (Planning) ........................................................................................................................................................... PL-1 Legal Advertising / Affidavits of Posting ......................................................................................................................................... CC-1 Legal Advertising / Affidavits of Posting ........................................................................................................................................ CW -1 Legal Advertising ......................................................................................................................................................................... CC-11 Legislative Positions, Organizations, etc. - City Manager Correspondence .................................................................................... CM-1 Letters ............................................................................................................................................................................................. PL-5 Letters, Memorandums, Reading File, Working Files - ROUTINE Correspondence ..................................................................... CW -5 Liability Claims ............................................................................................................................................................................... HR-7 Liability Forms ................................................................................................................................................................................ CS-2 Liens (City Clerk is the Office of Record for all Recorded Documents) ....................................................................................... ENG-2 Page Number Retention Schedule Index – Lake Elsinore Page 17 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Liens, Rights of Way, etc. - Recorded Documents / Real Property .............................................................................................. CC-11 Life/Safety, Rehabilitation, HOME, etc. - Housing Loan Applications Rejected ............................................................................. CM-1 Litigation / Lawsuits ....................................................................................................................................................................... CC-9 Litigation ........................................................................................................................................................................................ HR-7 Loans not funded - Real Estate Appraisal Reports........................................................................................................................ CW -9 Local Agency Investment Fund ..................................................................................................................................................... FIN-4 Local Government Compensation Report, Gas Tax - Reports: Annual State or Federal ............................................................... FIN-5 Log 200 and Log 300, 301, 301A .......................................................................................................................................... PW/OPS-3 Logs - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ............................................................................................ CW -6 Logs, RFP - Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ............................................................ CW -2 Logs, RFP - Agreements & Contracts: ADMINISTRATIVE FILES ................................................................................................ CW -1 Loss Runs ...................................................................................................................................................................................... HR-8 Lot Line Adjustments - Planning Project Files - Not Exercised / Expired ................................................................................... PL-4 Lot Line Adjustments, Parcel Maps - Planning Project Files - Approved Permanent Entitlements ............................................ PL-4 Lot Line Adjustments, Parcel Maps - Private Land Development Projects / Job Files: Permanent Files .................................... ENG-5 M Maddy Act ...................................................................................................................................................................................... CC-5 Mailing List - Prop. 218 Fees & Charges ..................................................................................................................................... CW -9 Mailing lists, meeting room registrations, supply inventories - Correspondence - TRANSITORY / PRELIMINARY DRAFTS........ CW -6 Maintenance District / Landscape & Lighting .............................................................................................................................. ENG-1 Manuals: Produced by OTHER Departments - Reference Materials ......................................................................................... CW -10 Manuals: Produced by YOUR Department - Reference Materials ............................................................................................. CW -10 Manuals: Produced by OUTSIDE ORGANIZATIONS - Reference Materials............................................................................... CW -10 Maps - Planning Project Files - Approved Permanent Entitlements .......................................................................................... PL-4 MAPS ......................................................................................................................................................................................... ENG-1 Maps, Plans and Record Drawings, Large-Format Drawings, Survey Record Maps ................................................................... ENG-3 Master Plans, Specific Plans, Bikeway Plans .................................................................................................................................. PL-3 Material Safety Data Sheet (MSDS) / Safety Data Sheet (SDS) Chemical Use Report Form........................................................ CW -8 Medical File - Personnel Files (all employees) - Pre-employment Clearances, ADA Accommodations, Incidents / Accidents ....... HR-4 Meeting room registrations, supply inventories - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ............................ CW -6 Memorandums, Reading File, Working Files - ROUTINE Correspondence .................................................................................. CW -5 Minutes - City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority .................................. CC-10 Minutes - Housing Authority, Lake Elsinore Recreation Authority ................................................................................................. CC-10 MINUTES - Public Safety Advisory Commission ............................................................................................................................ CM-2 Page Number Retention Schedule Index – Lake Elsinore Page 18 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent MINUTES RESOLUTIONS & BYLAWS - Planning Commission .................................................................................................... PL-4 MINUTES, RESOLUTIONS & BYLAWS - Residents Advisory Bodies Formed by CITY COUNCIL - Boards & Commissions ...... CW -4 Miscellaneous Insurance Certificates (from outside companies, that cannot be matched with a contract or agreement) ........... CC-9 Mitigation .................................................................................................................................................................................... ENG-5 MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report - Reports: Annual State or Federal .................. FIN-5 MOUs - Agreements / Contracts Infrastructure ............................................................................................................................ CC-4 MOUs, MOAs - Agreements / Contracts ........................................................................................................................................ CC-4 MULTI-FAMILY DWELLINGS - Building Plans and Construction Documents – Finalled ............................................................ BLD-2 Municipal Code Administration, Distribution, etc. ....................................................................................................................... CC-10 Municipal Code and History File (always retain 1 supplement) ................................................................................................... CC-10 Mutual aid, professional services - Agreements / Contracts NON-Infrastructure .......................................................................... CC-3 N Negative Declarations Inside City boundaries .............................................................................................................................. PL-1 Negotiation Notes, Correspondence, Interpretation of MOU Provisions, Documentation, etc. - Labor Relations Files ................... HR-3 Nomination Papers, Candidate Statements, etc. - Candidate File - SUCCESSFUL CANDIDATES ............................................... CC-7 Nomination Papers, Candidate Statements, etc. - Candidate File - UNSUCCESSFUL CANDIDATES .......................................... CC-8 Non-Infrastructure that are NOT Imaged - Agreements / Contracts ........................................................................................... CC-3 NON-Infrastructure: Consulting, disposal, leases, loans, mutual aid, professional services - Agreements / Contracts ................ CC-3 NON-Infrastructure: Settlement, services, City Manager, City Attorney & City Clerk Agreements - Agreements / Contracts ....... CC-3 Not Exercised / Expired Planning Project Files .......................................................................................................................... PL-4 NOT HISTORICAL Special Event Permits & Programs ................................................................................................................. CS-3 Notes: Drafts that are revised (retain final version) ....................................................................................................................... CW -6 Notice of Completion - Capital Improvement Projects (CIP): Permanent File .......................................................................... ENG-2 Notices - Board & Commission Recruitments ............................................................................................................................... CC-5 Notices: Public Hearing Notices and Proofs of Publications .......................................................................................................... CW -8 Notification of Projects .......................................................................................................................................................... PW/OPS-1 NPDES Monitoring, Inspections, Violations - Stormwater .................................................................................................... PW/OPS-2 NPDES Permits - Stormwater ............................................................................................................................................... PW/OPS-2 O O&M Manuals ................................................................................................................................................................................ CS-1 O&M Manuals ....................................................................................................................................................................... PW/OPS-2 OASDI, Federal Tax Deposits, Adjustments, etc. ......................................................................................................................... FIN-6 Oath of Office - Board & Commission Members ........................................................................................................................... CC-5 Page Number Retention Schedule Index – Lake Elsinore Page 19 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent OPAs, MOUs, MOAs - Agreements / Contracts ............................................................................................................................ CC-4 Operations & Maintenance Manuals (O&M Manuals) ........................................................................................................... PW/OPS-2 Operations & Maintenance Manuals (O&M Manuals) ..................................................................................................................... CS-1 Optical, Dental, etc. - Benefit Plan Documents .............................................................................................................................. HR-1 Ordinances (City Council) ............................................................................................................................................................ CC-10 Organizations, etc. - City Manager Correspondence ...................................................................................................................... CM-1 OSHA Inspections & Citations, Log 200 and Log 300, 301, 301A ......................................................................................... PW/OPS-3 Outlines and Materials; includes Ethics & Safety training & Tailgates ......................................................................................... CW -12 Oversight Board Agenda Staff Reports – LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT CC-1 Oversight Board Agenda Staff Reports – OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL .... CC-2 Oversight Board, Public Financing Authority - Minutes ................................................................................................................. CC-10 Oversight Board, Public Financing Authority - Resolutions .......................................................................................................... CC-12 Overtime Sheets / Overtime Cards / Leave Slips ........................................................................................................................ CW -11 Overtime Sheets / Overtime Cards ............................................................................................................................................... CW -8 P Parcel Maps - Planning Project Files - Approved Permanent Entitlements ............................................................................... PL-4 Parcel Maps - Private Land Development Projects / Job Files: Permanent Files ....................................................................... ENG-5 Parcel Maps, Planned Unit Developments (PUD), Site Plans - Planning Project Files - Not Exercised / Expired ....................... PL-4 Park & Recreation Facility History Files ......................................................................................................................................... CS-1 Park History Files .................................................................................................................................................................. PW/OPS-1 Pass Distributions Agency Report - FPPC Form 802 ..................................................................................................................... CC-6 Payroll File - Personnel Files (Includes W -4s, Garnishments, Transaction Forms, etc.) ............................................................... HR-5 Payroll Reports - Annual Detail .................................................................................................................................................... FIN-6 Payroll Reports - Periodic (includes Deduction Registers, Leave Registers, Time Transaction Reports, etc.) ............................. FIN-6 Payroll Tax Returns ..................................................................................................................................................................... FIN-6 PAYROLL ..................................................................................................................................................................................... FIN-6 Periodic Payroll Reports (includes Deduction Registers, Leave Registers, Time Transaction Reports, etc.) ............................... FIN-6 Permanent Encroachments (Permanent structures in the City's Right of Way) .......................................................................... ENG-3 Permanent File - Capital Improvement Projects (CIP): ............................................................................................................ ENG-2 Plans, Specifications & Addenda, Agreement / Contract, Successful Proposal - CIP: Permanent File ..................................... ENG-2 Specifications & Addenda, Agreement / Contract, Successful Proposal - CIP: Permanent File ................................................ ENG-2 Permissions to Receive Copies of Plans (to and from Architects) ................................................................................................ BLD-2 Permissions to Receive Copies of Plans (to and from Architects) ................................................................................................ CC-12 Permissions, etc.: Camps, Field Trips, Authorization to give Medicine, etc. .................................................................................. CS-2 Page Number Retention Schedule Index – Lake Elsinore Page 20 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Permits: AQMD (Generators, etc.) ........................................................................................................................................ PW/OPS-1 Permits: Facility Use ..................................................................................................................................................................... CW -7 Permits: Special Event / Fire Code .............................................................................................................................................. BLD-3 PERS / FICA & Medicare Adjustments - Quarterly Payroll Tax Returns ....................................................................................... FIN-6 PERS Audit. .................................................................................................................................................................................. FIN-1 Personnel Files - Benefits File (Includes Benefit Enrollment Forms) ............................................................................................ HR-4 Personnel Files - Employee File Includes Application, Evaluations, Policies Oaths of Office, Transaction Forms, etc. ................ HR-4 Personnel Files - Medical File (all employees) - Pre-employment Clearances, ADA Accommodations, Incidents / Accidents ....... HR-4 Personnel Files - Payroll File Includes W -4s, Garnishments, Transaction Forms, etc. ................................................................. HR-5 Personnel Files (Supervisor's Notes) .......................................................................................................................................... CW -9 Personnel Files ............................................................................................................................................................................. CW -9 Personnel Work Schedules ........................................................................................................................................................... CW -9 Petitions (Initiative, Recall or Referendum) - Elections ................................................................................................................... CC-8 Petitions (submitted to Council on any subject - Dog Parks, Parking, Traffic Calming, etc.) ........................................................ CC-10 Dog Parks, Parking, Traffic Calming, etc. - Petitions ................................................................................................................... CC-10 Parking, Traffic Calming, etc. - Petitions ...................................................................................................................................... CC-10 Traffic Calming, etc. - Petitions .................................................................................................................................................... CC-10 Photographs - Analog or Digital & Index to Aerials...................................................................................................................... ENG-1 Photos, Soils Reports, Studies, Submittals, Surveys - Capital Improvement Projects (CIP): Permanent File .......................... ENG-2 Soils Reports, Studies, Submittals, Surveys - Capital Improvement Projects (CIP): Permanent File ....................................... ENG-2 Pink Slips ..................................................................................................................................................................................... CC-12 PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS – Finalled Building Plans........................................... BLD-2 PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS – Finalled Construction Documents .......................... BLD-2 Plan Checks for Building Permits ................................................................................................................................................ ENG-4 Planned Unit Developments (PUD), Site Plans - Planning Project Files - Approved Permanent Entitlements .......................... PL-4 Planned Unit Developments (PUD), Site Plans - Planning Project Files - Not Exercised / Expired ............................................ PL-4 Planning Commission AGENDA PACKETS & AGENDAS .............................................................................................................. PL-3 Planning Commission AUDIO RECORDINGS of Meetings / Audio Tapes ...................................................................................... PL-3 Planning Commission MINUTES RESOLUTIONS & BYLAWS ...................................................................................................... PL-4 Planning Project Files - Approved Permanent Entitlements ..................................................................................................... PL-4 Planning Project Files - Not Exercised / Expired ........................................................................................................................ PL-4 Plans & Maps - Planning Project Files - Approved Permanent Entitlements............................................................................. PL-4 Plans and Record Drawings, Large-Format Drawings, Survey Record Maps .............................................................................. ENG-3 Page Number Retention Schedule Index – Lake Elsinore Page 21 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Plans: Landscaping ......................................................................................................................................................................... PL-3 Playground Inspections ........................................................................................................................................................ PW/OPS-3 Policies Oaths of Office, Transaction Forms, etc. - Personnel Files - Employee File .................................................................... HR-4 Policies, Procedures, Manuals, etc: Produced by OTHER Departments - Reference Materials ................................................ CW -10 Policies, Procedures, Manuals, etc: Produced by YOUR Department – Reference Materials ................................................... CW -10 Policies, Procedures, Manuals: Produced by OUTSIDE ORGANIZATIONS - Reference Materials ............................................ CW -10 PowerPoint Presentations .............................................................................................................................................................. CM-1 Pre-Application Review / Preliminary Review File / Letters ............................................................................................................. PL-5 Precinct Maps, County Election Services - Elections - GENERAL, WORKING or ADMINISTRATION Files ................................. CC-8 Precise Alignment, Specific Plans, Split Lots, Subdivisions-Private Land Development Projects / Job Files: Permanent Files . ENG-5 Pre-employment Clearances, ADA Accommodations, Incidents / Accidents - Personnel Files - Medical File (all employees) ....... HR-4 PRELIMINARY DRAFTS, Interagency and Intraagency Memoranda - Correspondence .............................................................. CW -6 Preliminary Review File / Letters ..................................................................................................................................................... PL-5 Preliminary Studies / Project Assessments (Not Acquired or Developed) - Engineering Studies / Surveys .............................. ENG-3 Preliminary, Backup Documents - Budgets ................................................................................................................................... FIN-1 Press Releases ............................................................................................................................................................................. CW -9 Pre-Trip Inspections / DOT Program / CHP Inspections / Vehicle Safety Checks .......................................................................... CS-1 Pre-Trip Inspections / DOT Program / CHP Inspections / Vehicle Safety Checks ................................................................ PW/OPS-3 Private Land Developer Trust Accounts / Deposits ..................................................................................................................... FIN-5 Private Land Development Bonds: Subdivision Bonds/ Letters of Credit ................................................................................ CC-11 Bonds: Private Land Development - Subdivision Bonds/ Letters of Credit ............................................................................. CC-11 Subdivision Bonds/ Letters of Credit - Private Land Development Bonds ............................................................................... CC-11 Letters of Credit - Private Land Development Bonds ................................................................................................................. CC-11 Private Land Development Projects / Job Files: Administration File ......................................................................................... ENG-4 Job Files: Administration File - Private Land Development Projects ......................................................................................... ENG-4 Construction Inspections, Photos, Private Lab Verifications - Private Land Development Projects Administration File ............ ENG-4 Photos, Private Lab Verifications - Private Land Development Projects Administration File ..................................................... ENG-4 Private Lab Verifications - Private Land Development Projects Administration File .................................................................. ENG-4 Testing Lab Final Reports - Private Land Development Projects / Job Files: Administration File ............................................. ENG-4 CUPs, Lot Line Adjustments, Parcel Maps - Private Land Development Projects / Job Files: Administration File .................... ENG-4 Lot Line Adjustments, Parcel Maps - Private Land Development Projects / Job Files: Administration File ............................... ENG-4 Parcel Maps - Private Land Development Projects / Job Files: Administration File .................................................................. ENG-4 Page Number Retention Schedule Index – Lake Elsinore Page 22 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Precise Alignment, Specific Plans, Split Lots - Private Land Development Projects / Job Files: Administration File................. ENG-4 Specific Plans, Split Lots, Subdivisions - Private Land Development Projects / Job Files: Administration File ......................... ENG-4 Tracts, TPMs, TSMs - Private Land Development Projects / Job Files: Administration File ..................................................... ENG-4 Private Land Development Projects / Job Files: Permanent Files .............................................................................................. ENG-5 Professional services - Agreements / Contracts NON-Infrastructure............................................................................................ CC-3 Professional Services, Non-Infrastructure that are NOT Imaged - Agreements / Contracts ..................................................... CC-3 Program Contracts: Class Instructors Includes Insurance Certificates and Administration Records .............................................. CS-1 Program Evaluations ...................................................................................................................................................................... CS-1 Program rules, regulations & procedures, reports to grant funding agencies ................................................................................ CW -7 Programs, Subject & Issues – (Hotels, Developments) - COPIES ONLY ....................................................................................... CM-1 Progress meetings, Punch Lists - Construction Manager's Logs - Capital Improvement Projects (CIP): Administration File ... ENG-1 Project Administration, Project Schedules - Agreements & Contracts: ADMINISTRATIVE FILES ................................................ CW -1 Project Administration, Project Schedules - Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ............ CW -2 Project Administration, Project Schedules, Certified Payrolls, Construction Manager's Logs - (CIP): Administration File ....... ENG-1 Project Log Index / Spreadsheet / Binders of Historic Actions......................................................................................................... PL-5 Projects, Development, If Imaged, Infrastructure, CIPs, DDAs, OPAs, MOUs, MOAs - Agreements / Contracts .................... CC-4 Proof of Publication / Public Hearing Notices / Certificate of Posting / Legal Advertising ............................................................. CC-11 Proofs of Publications - Notices .................................................................................................................................................... CW -8 Prop. 218 Fees & Charges: Ballots and/or protest letters, Mailing List ................................................................................... CW -9 Prop. 218 Fees & Charges: Undeliverable Mail ......................................................................................................................... CW -9 Property NOT purchased, Loans not funded, etc. - Real Estate Appraisal Reports....................................................................... CW -9 PROPOSALS - UNSUCCESSFUL - Agreements & Contracts ..................................................................................................... CW -3 Protest letters, Mailing List - Prop. 218 Fees & Charges ........................................................................................................... CW -9 Public Financing Authority - Minutes ............................................................................................................................................ CC-10 Public Financing Authority - Resolutions ...................................................................................................................................... CC-12 Public Financing Authority Agenda Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, .................................... CC-1 Public Financing Authority Agenda Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, ............ CC-2 Public Hearing Notices / Certificate of Posting / Legal Advertising ............................................................................................... CC-11 Public Hearing Notices / Legal Advertising (Planning) .................................................................................................................... PL-1 Public Hearing Notices / Legal Advertising / Affidavits of Posting ................................................................................................. CW -1 Public Hearing Notices and Proofs of Publications ........................................................................................................................ CW -8 Public Noticing, Environmental Determinations, Staff Reports - Planning Project Files - Approved Permanent Entitlements ... PL-4 Public Relations / Press Releases ................................................................................................................................................ CW -9 Page Number Retention Schedule Index – Lake Elsinore Page 23 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Public Safety Advisory Commission AGENDA PACKETS ............................................................................................................. CM-1 Public Safety Advisory Commission AGENDAS ............................................................................................................................. CM-2 Public Safety Advisory Commission MINUTES .............................................................................................................................. CM-2 Public Self Insurer Report (SIP Report), Street Report, Jet Fuel Tax, Smog / Green Fee - Reports: Annual State or Federal ...... FIN-5 Pumpkin Lots, Temporary Signs, etc. - Temporary Entitlements (Approved & Unapproved) ........................................................ PL-5 Punch Lists - Construction Manager's Logs - Capital Improvement Projects (CIP): Administration File .................................. ENG-1 Purchased Property, Funded Loans - Real Estate Appraisal Reports ........................................................................................ CW -10 Q Quarterly Payroll Tax Returns ...................................................................................................................................................... FIN-6 R Rater's Profile & Confidentiality Agreement, Flowchart, Eligible Lists, etc. - Recruitment and Testing File .................................... HR-5 Rating Sheets, Scantrons - Recruitment and Testing File .............................................................................................................. HR-5 Reading File, Working Files - ROUTINE Correspondence ............................................................................................................ CW -5 Real Estate Appraisal Reports: Property NOT purchased, Loans not funded, etc. ....................................................................... CW -9 Real Estate Appraisal Reports: Purchased Property, Funded Loans ........................................................................................ CW -10 Real Estate Appraisals, RFIs & Responses, etc - Capital Improvement Projects (CIP): Administration File ........................... ENG-1 Real Property - (Deeds, Easements, Liens, Rights of Way, etc.) ................................................................................................. CC-11 Rec1 - Recreation Database ......................................................................................................................................................... CS-2 Recall or Referendum – Elections - Petitions ................................................................................................................................. CC-8 Receipts / Advisor Reports / Trade Tickets / LAIF (Local Agency Investment Fund) ..................................................................... FIN-4 Reconciliations, Registers, Transaction Histories, Balance Sheets (MONTHLY OR PERIODIC) .................................................. FIN-5 Record Drawings, Large-Format Drawings, Survey Record Maps .............................................................................................. ENG-3 Recorded Documents / Real Property - (Deeds, Easements, Liens, Rights of Way, etc.) ............................................................ CC-11 Recordings / Tapes of City Council Meetings - Audio Recordings ............................................................................................. CC-11 Recordings / Tapes of City Council Meetings - Video Recordings / DVD-R ............................................................................... CC-11 Records Destruction Lists / Certificates of Records Destruction .................................................................................................. CC-11 Records Management Committee, In-House Task Forces, etc. - Internal Committees ................................................................ CW -4 Records Retention Schedules / Amendments to Records Retention Schedules .......................................................................... CC-12 Recreation Brochures .................................................................................................................................................................... CS-2 Recreation Database (Safari, Active Net, Rec1) ............................................................................................................................ CS-2 Recreation Facility History Files ..................................................................................................................................................... CS-1 Recruitment and Testing File (Advertisements, Applications for Unsuccessful Candidates, Job Brochures) .................................. HR-5 Recruitment and Testing File (Rater's Profile & Confidentiality Agreement, Flowchart, Eligible Lists, etc.) .................................... HR-5 Page Number Retention Schedule Index – Lake Elsinore Page 24 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Recruitment and Testing File (Test Data, Testing Analysis & statistical Metric, Job Analysis, Rating Sheets, Scantrons) ............. HR-5 Recycling, etc. - Solid Waste Management ................................................................................................................................. ENG-5 Redevelopment Agenda Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT .. CC-1 Redevelopment Agenda Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL ...... CC-2 Redevelopment Plans ..................................................................................................................................................................... PL-5 Redevelopment Project Files & Project Plans ................................................................................................................................. PL-5 Redevelopment, Successor Agency, Oversight Board, Public Financing Authority - Minutes ....................................................... CC-10 Redevelopment, Successor Agency, Oversight Board, Public Financing Authority - Resolutions ................................................ CC-12 Reference Files: Subjects other than Specifically Mentioned in Retention Schedules ................................................................ CW -11 Reference Materials: Policies, Procedures, Manuals etc: Produced by OUTSIDE ORGANIZATIONS ........................................ CW -10 Reference Materials: Policies, Procedures, Manuals, etc: Produced by YOUR Department ..................................................... CW -10 Reference Materials: Policies, Procedures, Manuals, etc: Produced by OTHER Departments ................................................. CW -10 Refund Detail ................................................................................................................................................................................ CW -4 Registers, Transaction Histories, Balance Sheets (MONTHLY OR PERIODIC) ........................................................................... FIN-5 Registration Forms / Reservation Forms / Campgrounds & Classes / Application Forms / Fee & Charge / Liability Forms............ CS-2 Registrations ......................................................................................................................................................................... PW/OPS-4 Regulations & procedures, reports to grant funding agencies ....................................................................................................... CW -7 Regulatory Agencies - Correspondence ............................................................................................................................. PW/OPS-1 Regulatory Agencies Correspondence ..................................................................................................................................... ENG-2 Rehabilitation WITH a Recapture / Resale Restriction - Housing Programs ................................................................................ PL-2 Rehabilitation WITHOUT a Recapture / Resale Restriction - Housing Programs ......................................................................... PL-3 Rehabilitation, HOME, etc. - Housing Loan Applications Rejected ................................................................................................ CM-1 Reimbursable Claims / FEMA Claims (SUCCESSFUL Reports) ................................................................................................... CW -7 Rejected Housing Loan Applications (First Time Home Buyers, Life/Safety, Rehabilitation, HOME, etc.) ..................................... CM-1 Release of Liability Forms / Permissions / etc.: Camps, Field Trips, Authorization to give Medicine, etc. ..................................... CS-2 Relocation Files Where Redevelopment was the Lead ................................................................................................................... PL-5 Reorganization Studies (for employee classifications and department structures) ......................................................................... HR-1 Reports and Studies (Historically significant - e.g., Zoning Studies)............................................................................................ CW -10 Reports and Studies (other than Historically significant reports - e.g. Annual Reports) ............................................................... CW -11 Reports, Subsidiary Ledgers, Reconciliations, Registers, Transaction Histories, Balance Sheets (MONTHLY OR PERIODIC) ... FIN-5 Reports: Building Activity ........................................................................................................................................................... BLD-2 Reports: Actuarial Valuation .......................................................................................................................................................... FIN-2 Reports: Annual State or Federal: MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report ................... FIN-5 Reports: Annual State or Federal: Public Self Insurer Report (SIP Report), Street Report, Jet Fuel Tax, Smog / Green Fee. ...... FIN-5 Page Number Retention Schedule Index – Lake Elsinore Page 25 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Reports: Annual State or Federal: State Controller's Report, Local Government Compensation Report, Gas Tax ....................... FIN-5 Reports: CalPERS - Annual Employer Statements ........................................................................................................................ HR-1 Reports: CalPERS - Annual Valuation Reports, Actuarial Valuation Reports ................................................................................ FIN-6 Reports: Lake Water Quality ................................................................................................................................................. PW/OPS-2 Reports: Payroll - Annual Detail ................................................................................................................................................... FIN-6 Reports: Payroll - Periodic (includes Deduction Registers, Leave Registers, Time Transaction Reports, etc.) ............................ FIN-6 Reports: Real Estate Appraisal - Property NOT purchased, Loans not funded, etc....................................................................... CW -9 Reports: Real Estate Appraisal - Purchased Property, Funded Loans ....................................................................................... CW -10 Request for Public Records / Subpoenas .................................................................................................................................... CC-12 Requests & Permissions to Receive Copies of Plans (to and from Architects) ............................................................................. BLD-2 Requests & Permissions to Receive Copies of Plans (to and from Architects) ............................................................................. CC-12 Requests from other cities, undeliverable envelopes - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ................... CW -6 Residents Advisory Bodies Formed by CITY COUNCIL - AGENDA PACKETS - Boards, Commissions, & Committees .............. CW -3 Residents Advisory Bodies Formed by CITY COUNCIL - MINUTES, RESOLUTIONS & BYLAWS - Boards & Commissions ...... CW -4 Resolutions - City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority ............................ CC-12 Resolutions - Housing Authority, Lake Elsinore Recreation Authority........................................................................................... CC-12 RESOLUTIONS & BYLAWS - Planning Commission ..................................................................................................................... PL-4 RESOLUTIONS & BYLAWS - Residents Advisory Bodies Formed by CITY COUNCIL - Boards & Commissions ....................... CW -4 RESPONSES to RFPs (Request for Proposals) - UNSUCCESSFUL - Agreements & Contracts ................................................. CW -3 RESPONSES to RFQs (Request for Qualifications) - UNSUCCESSFUL - Agreements & Contracts ........................................... CW -3 Results – Elections - HISTORY Files ............................................................................................................................................. CC-8 Retirement, water rights, etc. - Agreements / Contracts Infrastructure ......................................................................................... CC-4 Revenue & Expenditure Reports (MONTHLY OR PERIODIC) ...................................................................................................... FIN-5 Revised Drafts (retain final version) .............................................................................................................................................. CW -6 RFIs & Responses, etc - Capital Improvement Projects (CIP): Administration File ................................................................ ENG-1 RFP - Agreements & Contracts: ADMINISTRATIVE FILES (with Grant Funding) ...................................................................... CW -2 RFP - Agreements & Contracts: ADMINISTRATIVE FILES .......................................................................................................... CW -1 Rights of Way, etc. - Recorded Documents / Real Property......................................................................................................... CC-11 Rights of Way, Stormwater - Private Land Development Projects / Job Files: Permanent Files ................................................ ENG-5 RISK MANAGEMENT ........................................................................................................................................................ HR-7 – HR-8 ROUTINE Correspondence (Administrative, Chronological, General Files, Letters, Memorandums, Reading File) ...................... CW -5 S Safari, Active Net, Rec1 - Recreation Database ............................................................................................................................ CS-2 Safety Data Sheet (SDS) Chemical Use Report Form .................................................................................................................. CW -8 Page Number Retention Schedule Index – Lake Elsinore Page 26 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Safety Inspections.......................................................................................................................................................................... HR-8 Safety training & Tailgates .......................................................................................................................................................... CW -12 Sample Ballot, Results – Elections - HISTORY Files ..................................................................................................................... CC-8 SCADA Database / Historian ............................................................................................................................................... PW/OPS-3 Scantrons - Recruitment and Testing File ...................................................................................................................................... HR-5 Scope of Work or Successful Proposal & Insurance Certificates - Agreements / Contracts Non-Infrastructure ........................... CC-3 Scope of Work or Successful Proposal & Insurance Certificates – Agreements / Contracts Infrastructure .................................. CC-4 Season Brochures / Recreation Brochures .................................................................................................................................... CS-2 Self-Identification Form - EEO-4 Reports and records required to generate EEO-4 report ............................................................ HR-3 Service credit reports, annual employee listing, etc.) - CalPERS Benefit Administration ................................................................ HR-1 Service Requests - All Information Entered in CMMS Database (Paper drafts) ................................................................ PW/OPS-4 Service Requests - NOT entered in CMMS Database (or partial information entered into CMMS Database) ...................... PW/OPS-5 Service Requests CMMS DATABASE (Computerized Maintenance Management System) ................................................. PW/OPS-4 Settlement, services, City Manager, City Attorney & City Clerk Agreements - Agreements / Contracts NON-Infrastructure ........ CC-3 Sick Leave, Attrition, Benefits, etc. - Studies & Surveys Conducted on Behalf of the City .............................................................. HR-5 Sidewalk Repairs, Traffic Control, Utility Cuts - Encroachment Permits: Temporary .................................................................. ENG-3 Single Audits / Transportation Audits / PERS Audit, etc. ............................................................................................................... FIN-1 SINGLE FAMILY RESIDENTIAL - SFR and APPURTENANCES - Building Plans & Construction Documents - Finalled .......... BLD-1 SIP Report, Street Report, Jet Fuel Tax, Smog / Green Fee - Reports: Annual State or Federal ................................................. FIN-5 Site Clearance / Soil Remediation / Mitigation ............................................................................................................................. ENG-5 Site Plans - Planning Project Files - Approved Permanent Entitlements .................................................................................. PL-4 Site Plans - Planning Project Files - Not Exercised / Expired ..................................................................................................... PL-4 Smog / Green Fee - Reports: Annual State or Federal ................................................................................................................. FIN-5 Smog Certificates, Registrations ........................................................................................................................................... PW/OPS-4 Social media posting - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ................................................................... CW -6 Soil Remediation / Mitigation ....................................................................................................................................................... ENG-5 Soils Reports; Hydrology Reports (Authored by the City or their contractors) ............................................................................. ENG-3 Solid Waste Management: Tonnage Reports, Recycling, etc. .................................................................................................... ENG-5 Special Event Permits & Programs – HISTORICAL ....................................................................................................................... CS-2 Special Event Permits & Programs - NOT HISTORICAL ............................................................................................................... CS-3 Special Event Permits / Fire Code Permits .................................................................................................................................. BLD-3 Special Programs / Special Events Working files ........................................................................................................................... CS-1 Special Projects / Subject Files / Issue Files ............................................................................................................................... CW -11 Specific Plans, Bikeway Plans ........................................................................................................................................................ PL-3 Page Number Retention Schedule Index – Lake Elsinore Page 27 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Specific Plans, Split Lots, Subdivisions - Private Land Development Projects / Job Files: Permanent Files .............................. ENG-5 Speech Notes (final) ...................................................................................................................................................................... CM-2 Spreadsheet / Binders of Historic Actions ....................................................................................................................................... PL-5 Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT ......................................... CC-1 Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT ................. CC-2 Staff Reports - Planning Project Files - Approved Permanent Entitlements ............................................................................. PL-4 State Controller's Report, Local Government Compensation Report, Gas Tax - Reports: Annual State or Federal ...................... FIN-5 State or Federal Reports: MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report ................................ FIN-5 State or Federal Reports: Public Self Insurer Report (SIP Report), Street Report, Jet Fuel Tax, Smog / Green Fee .................... FIN-5 State or Federal Reports: State Controller's Report, Local Government Compensation Report, Gas Tax .................................... FIN-5 Statement of Economic Interests - FPPC 700 Series Forms - Economic Interest Filings ALL ....................................................... CC-5 Statewide Integrated Traffic Records System Reports ................................................................................................................ ENG-5 Stop work notices - Construction Notices / Inspection Notices ............................................................................................... BLD-2 Storm Call Out Logs ............................................................................................................................................................. PW/OPS-1 Storm Tickets ................................................................................................................................................................................. CM-2 Stormwater - NPDES Permits ............................................................................................................................................... PW/OPS-2 Stormwater - Private Land Development Projects / Job Files: Permanent Files ........................................................................ ENG-5 Street Improvement District Projects / Underground Utility Districts ............................................................................................ ENG-1 Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts - Encroachment Permits: Temporary . ENG-3 Street Report, Jet Fuel Tax, Smog / Green Fee - Reports: Annual State or Federal ..................................................................... FIN-5 Studies & Surveys Conducted on Behalf of the City (Sick Leave, Attrition, Benefits, etc.) ............................................................. HR-5 Studies (Historically significant - e.g., Zoning Studies) ................................................................................................................ CW -10 Studies (other than Historically significant reports - e.g. Annual Reports) ................................................................................... CW -11 Subdivision improvement agreements, development, Joint Powers, MOUs - Agreements / Contracts Infrastructure .................. CC-4 Subject & Issues – (Hotels, Developments) - COPIES ONLY ........................................................................................................ CM-1 Subject / Reference Files: Subjects other than Specifically Mentioned in Retention Schedules ................................................. CW -11 Subject Files / Issue Files ........................................................................................................................................................... CW -11 Subpoenas ................................................................................................................................................................................... CC-12 Subsidiary Ledgers, Reconciliations, Registers, Transaction Histories, Balance Sheets (MONTHLY OR PERIODIC) ................. FIN-5 SUCCESSFUL CANDIDATES (Elected Officials) - Campaign Filings (FPPC 400 Series Forms & Form 501) .............................. CC-7 Successor Agency Agenda Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICAL .. CC-2 Successor Agency, Agenda Staff Reports – LAND USE, CAPITAL IMPROVEMENT PROJECTS, .............................................. CC-1 Successor Agency, Oversight Board, Public Financing Authority - Minutes ................................................................................. CC-10 Successor Agency, Oversight Board, Public Financing Authority - Resolutions ........................................................................... CC-12 Page Number Retention Schedule Index – Lake Elsinore Page 28 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Supply inventories - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ....................................................................... CW -6 Survey Record Maps ................................................................................................................................................................... ENG-3 Surveys - Preliminary Studies / Project Assessments (Not Acquired or Developed) ................................................................ ENG-3 Surveys & Studies: Compensation ................................................................................................................................................. HR-2 Surveys (City Built Projects) ..................................................................................................................................................... ENG-3 Surveys (Program Evaluations) ...................................................................................................................................................... CS-1 Surveys / Questionnaires (that the City issues) ........................................................................................................................... CW -11 Questionnaires (that the City issues) .......................................................................................................................................... CW -11 SWITRS - Statewide Integrated Traffic Records System Reports ............................................................................................... ENG-5 T Tailgates ..................................................................................................................................................................................... CW -12 Tapes of City Council Meetings - Audio Recordings .................................................................................................................. CC-11 Tapes of City Council Meetings - Video Recordings / DVD-R .................................................................................................... CC-11 Telephone messages, transmittal letters, thank yous - Correspondence - TRANSITORY / PRELIMINARY DRAFTS .................. CW -6 Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts - Encroachment Permits: Temporary .......................... ENG-3 Temporary Encroachment Permits (Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts) .. ENG-3 Temporary Entitlements (Approved & Unapproved): Christmas Tree Lots, Banner Permits, Pumpkin Lots, etc. ....................... PL-5 Temporary Signs - Temporary Entitlements (Approved & Unapproved) ....................................................................................... PL-5 TENANT IMPROVEMENTS – Finalled Building Plans ................................................................................................................ BLD-2 TENANT IMPROVEMENTS – Finalled Construction Documents ................................................................................................ BLD-2 Tentative Subdivisions, Variances, Zone Changes, etc. - Planning Project Files - Approved Permanent Entitlements ............ PL-4 Tentative Subdivisions, Variances, Zone Changes, etc. - Planning Project Files - Not Exercised / Expired ............................... PL-4 Test Data, Testing Analysis & statistical Metric, Job Analysis, Rating Sheets, Scantrons - Recruitment and Testing File ............. HR-5 Test Results: Drug & Alcohol (All - Positives and Negatives) ......................................................................................................... HR-3 Testing Analysis & statistical Metric, Job Analysis, Rating Sheets, Scantrons - Recruitment and Testing File ............................... HR-5 Testing File (Advertisements, Applications for Unsuccessful Candidates, Job Brochures)............................................................. HR-5 Testing File (Rater's Profile & Confidentiality Agreement, Flowchart, Eligible Lists, etc.) ............................................................... HR-5 Testing File (Test Data, Testing Analysis & statistical Metric, Job Analysis, Rating Sheets, Scantrons) ........................................ HR-5 Thank yous - Correspondence - TRANSITORY / PRELIMINARY DRAFTS .................................................................................. CW -6 Time Sheets / Time Cards / Overtime Sheets / Overtime Cards / Leave Slips ............................................................................ CW -11 Time Transaction Reports - Payroll Reports - Periodic ................................................................................................................ FIN-6 Tonnage Reports, Recycling, etc. - Solid Waste Management ................................................................................................... ENG-5 Tracts, TPMs, TSMs - Private Land Development Projects / Job Files: Permanent Files .......................................................... ENG-5 Page Number Retention Schedule Index – Lake Elsinore Page 29 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Trade Tickets / LAIF (Local Agency Investment Fund).................................................................................................................. FIN-4 Traffic Complaints ....................................................................................................................................................................... ENG-5 Traffic Control, Utility Cuts - Encroachment Permits: Temporary ............................................................................................... ENG-3 Traffic Master Plans ................................................................................................................................................................... ENG-6 Traffic Signal Inventory ............................................................................................................................................................... ENG-6 Traffic Signal Locations ............................................................................................................................................................... ENG-6 Traffic Signal Timing ................................................................................................................................................................... ENG-6 Traffic Speed Surveys ................................................................................................................................................................. ENG-6 Traffic Studies / Traffic Counts / Transportation Studies ............................................................................................................. ENG-6 Training - ALL COURSE RECORDS .......................................................................................................................................... CW -12 Transaction Forms - Personnel Files - Employee File .................................................................................................................. HR-4 Transaction Forms - Personnel Files - Payroll File ....................................................................................................................... HR-5 Transaction Histories, Balance Sheets (MONTHLY OR PERIODIC) ............................................................................................ FIN-5 Transcripts / Certificates of Participations (COPs) - Includes Continuing Disclosure Reports ....................................................... FIN-3 Transient Occupancy Tax (TOT) Applications & Returns, Damage to Public Property, Invoices to Outside Entities ..................... FIN-7 TRANSITORY / PRELIMINARY DRAFTS, Interagency and Intraagency Memoranda - Correspondence .................................... CW -6 Transmittal letters, thank yous - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ..................................................... CW -6 Transportation Audits / PERS Audit, etc. ...................................................................................................................................... FIN-1 Transportation Master Plans / Traffic Master Plans ................................................................................................................... ENG-6 Transportation Studies ................................................................................................................................................................ ENG-6 Travel Expense Reimbursements, Warrant Request, etc.............................................................................................................. FIN-2 Treasurer's Reports ..................................................................................................................................................................... FIN-4 Trust Accounts / Deposits - Private Land Developer ................................................................................................................... FIN-5 Trustee Statements, Fiscal Agent Statements, Investment Account Statements .......................................................................... FIN-2 U Unapproved Temporary Entitlements: Christmas Tree Lots, Banner Permits, Pumpkin Lots, Temporary Signs, etc. ................ PL-5 Unclaimed money / uncashed checks - Escheat ........................................................................................................................... FIN-3 Undeliverable envelopes - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ............................................................. CW -6 Undeliverable Mail - Prop. 218 Fees & Charges ......................................................................................................................... CW -9 Underground Service Alerts (USA's) .................................................................................................................................... PW/OPS-3 Underground Utility Districts ........................................................................................................................................................ ENG-1 Uniform Building Codes / California Building Codes ..................................................................................................................... BLD-3 Unpaid Intern Applications & Agreements – Successful ............................................................................................................... CS-3 Unpaid Intern Applications & Agreements - Unsuccessful or Pending Applicants ........................................................................ CS-3 Page Number Retention Schedule Index – Lake Elsinore Page 30 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent UNSUCCESSFUL Applications, Correspondence - Grants ........................................................................................................... CW -7 UNSUCCESSFUL BIDS, UNSUCCESSFUL PROPOSALS - Agreements & Contracts ............................................................... CW -3 UNSUCCESSFUL CANDIDATES - Campaign Filings (FPPC 400 Series Forms & Form 501) ...................................................... CC-7 Unsuccessful Proposals - Bid Files ................................................................................................................................................ CC-5 UNSUCCESSFUL RESPONSES to RFPs (Request for Proposals) - Agreements & Contracts ................................................... CW -3 UNSUCCESSFUL RESPONSES to RFQs (Request for Qualifications) - Agreements & Contracts ............................................. CW -3 USA's - Underground Service Alerts ..................................................................................................................................... PW/OPS-3 Used Oil Disposal ................................................................................................................................................................. PW/OPS-3 Utility Cuts - Encroachment Permits: Temporary ....................................................................................................................... ENG-3 V Variances, Zone Changes, etc. - Planning Project Files - Approved Permanent Entitlements .................................................. PL-4 Variances, Zone Changes, etc. - Planning Project Files - Not Exercised / Expired .................................................................... PL-4 Vehicle & Equipment Database............................................................................................................................................. PW/OPS-4 Vehicle & Equipment History Files Maintenance, Smog Certificates, Registrations .............................................................. PW/OPS-4 Vehicle Safety Checks ......................................................................................................................................................... PW/OPS-3 Vehicle Safety Checks ................................................................................................................................................................... CS-1 Vehicle Titles ("Pink Slips") .......................................................................................................................................................... CC-12 Video Recordings / DVD-R - Recordings / Tapes of City Council Meetings ............................................................................... CC-11 Violations - Stormwater ........................................................................................................................................................ PW/OPS-2 Visitors logs, voice mails, webpages - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ........................................... CW -6 Voice mails, webpages - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ................................................................ CW -6 Volunteer / Unpaid Intern Applications & Agreements – Successful ............................................................................................. CS-3 Volunteer / Unpaid Intern Applications & Agreements - Unsuccessful or Pending Applicants ...................................................... CS-3 W W -2's ............................................................................................................................................................................................ FIN-6 W -3, & 941 Forms, IRS 5500 Forms ............................................................................................................................................ FIN-6 W -4s, Garnishments, Transaction Forms, etc. - Personnel Files - Payroll File ............................................................................. HR-5 W -9s ............................................................................................................................................................................................. FIN-2 Waivers of Liability ......................................................................................................................................................................... CS-3 Warrant Request .......................................................................................................................................................................... FIN-2 Warrants (Cashed) ....................................................................................................................................................................... FIN-3 Water rights, etc. - Agreements / Contracts Infrastructure ........................................................................................................... CC-4 Webpages - Correspondence - TRANSITORY / PRELIMINARY DRAFTS ................................................................................... CW -6 Weed Abatement .................................................................................................................................................................. PW/OPS-4 Page Number Retention Schedule Index – Lake Elsinore Page 31 of 31 ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written consent Withdrawn Building Plans ........................................................................................................................................................... BLD-1 Work Orders / Service Requests - All Information Entered in CMMS Database (Paper drafts) ......................................... PW/OPS-4 Work Orders / Service Requests - NOT entered in CMMS Database (or partial information entered in CMMS) ................. PW/OPS-5 Work Orders / Service Requests CMMS DATABASE (Computerized Maintenance Management System) ......................... PW/OPS-4 Workers Compensation Claim Runs .............................................................................................................................................. HR-5 Workers Compensation Claims...................................................................................................................................................... HR-6 Working Files - ROUTINE Correspondence .................................................................................................................................. CW -5 WORKING or ADMINISTRATION Files - Elections (Correspondence, Precinct Maps, County Election Services) ........................ CC-8 X Y Z Zone Changes - Planning Project Files - Approved Permanent Entitlements ........................................................................... PL-4 Zone Changes - Planning Project Files - Not Exercised / Expired ............................................................................................. PL-4 Zoning Studies ............................................................................................................................................................................ CW -10 RECORDS RETENTION SCHEDULE LEGEND ©1995 – 2016 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or “record copy.” Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.) Records Description: The record series (a group of like records). Transitory Records not retained in the ordinary course of business: Preliminary drafts, notes, or interagency or intra-agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a “trusted system”, etc. Non-Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off-site storage, stored on Unalterable Media / Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated. Vital? = Those records that are needed for basic operations in the event of a disaster. Media Options (guideline) – the form of the record: Mag = Computer Magnetic Media (hard drives, tapes, USB Drives, thumb drives, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper OD = Optical Disk, CD-r, DVD-r, WORM, or other media which does not allow changes Scan / Import (guideline): “S” indicates the record should be scanned into the document imaging system; “I” indicates the record should be electronically imported into the document imaging system; “M” indicates the record should be microfilmed Destroy Paper after Imaged & QC’d (guideline, if record is imaged): QC’d=Quality Checked. “Yes” indicates the paper version may be destroyed if the document has been imaged (microfilmed, scanned or imported) in accordance with the Trustworthy Electronic Records / ECMS / Document Imaging Policy and stored on Unalterable Media (Optical Disk – CD-R, WORM or DVD-R), and both the images and indexing Quality Checked (“QC’d”). 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 (CA) 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) 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) WC: Water Code Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page ENG-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PW / Engineering ENG-001 Aerial Maps / Photographs - Analog or Digital & Index to Aerials P P Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; GC §34090 PW / Engineering ENG-002 Assessment District / Community Facilities Districts / Maintenance District / Landscape & Lighting / Street Improvement District Projects / Underground Utility Districts (FORMATION, BOUNDARIES, ENGINEERS REPORTS, MAPS) P P Yes: Until Completed Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; Statute of Limitations is 4 - 10 years (for Errors & Omissions); CCP §§337. 337.1(a), 337.15, 343; GC §34090.7 PW / Engineering ENG-003 Benchmarks P P Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; GC §34090 PW / Engineering ENG-004 Capital Improvement Projects (CIP): Administration File Project Administration, Certified Payrolls, Construction Manager's Logs, Daily Inspections, Project Schedules, Progress meetings, Punch Lists, Real Estate Appraisals, RFIs & Responses, etc. Upon Completion 1 years or After Funding Agency Audit, if required, whichever is longer Completion + 10 years or After Funding Agency Audit, if required, whichever is longer Yes: Until Completed Mag, Ppr 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 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page ENG-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PW / Engineering ENG-005 Capital Improvement Projects (CIP): Permanent File Plans, Specifications & Addenda, Agreement / Contract, Successful Proposal, Change Orders, EIRs, Negative Declarations, Categorical Exemptions, Operations & Maintenance Manuals (O&M Manuals,) Materials Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soils Reports, Studies, Submittals, Surveys, etc. Upon Completion P P Yes: Until Completed Mag, Mfr, OD, Ppr S/I Yes: Complet. + 10 years Department preference; retained for disaster preparedness purposes; Statewide guidelines propose Permanent for Infrastructure plans; GC §34090 Lead Dept.ENG-006 Correspondence - Regulatory Agencies Minimum 2 years Minimum 2 years Yes: While Active Issues Mag, Mfr, OD, Ppr S Yes: After QC Department preference; Some correspondence from Regulatory Agencies need to be retained for long periods of time; GC §34090 City Clerk ENG-007 Deeds, Easements, Liens (City Clerk is the Office of Record for all Recorded Documents) P P Yes (all) Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Finals are maintained by City Clerk; Department file may include correspondence; GC §34090 et seq. PW / Engineering ENG-008 Design & Construction Standards P P Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page ENG-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PW / Engineering ENG-009 Drawings, Maps, Plans and Record Drawings, Large-Format Drawings, Survey Record Maps, Capital Improvement Project "As-Builts," "Mylars" P P Yes (all) Mag, Mfr, OD, Ppr S No 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 / Land Develop. ENG-010 Encroachment Permits: Temporary (Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts etc.) Expiration + 4 years Expiration + 4 years Yes: Until Completion Mag, Ppr Covers statute of limitations for contracts (4 years); Statewide guidelines propose Permanent; CCP § 337 et. Seq.; GC § 34090 PW / Engineering ENG-011 Encroachments - Permanent (Permanent structures in the City's Right of Way) P P Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 PW / Engineering ENG-012 Engineering Studies / Surveys - Preliminary Studies / Project Assessments (Not Acquired or Developed) 5 years 5 years Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; GC §34090 PW / Engineering ENG-013 Engineering Studies / Surveys (City Built Projects) Project Completion P P Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; GC §34090 PW / Engineering ENG-014 Geotechnical and Soils Reports; Hydrology Reports (Authored by the City or their contractors) Project Completion P P Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 PW / Engineering ENG-015 Grading Plans P P Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page ENG-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Building ENG-016 Plan Checks for Building Permits When No Longer Required When No Longer Required Mag, Ppr Preliminary drafts; GC §34090 et seq. PW / Engineering ENG-017 Private Land Development Projects / Job Files: Administration File Construction Inspections, Photos, Private Lab Verifications, Testing Lab Final Reports Examples: CUPs, Lot Line Adjustments, Parcel Maps, Precise Alignment, Specific Plans, Split Lots, Subdivisions, Tracts,. TPMs, TSMs Upon Completion 10 years Completion + 10 years Yes: Until Completed Mag, Ppr 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 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page ENG-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PW / Engineering ENG-018 Private Land Development Projects / Job Files: Permanent Files Drainage, Driveway, Encroachments, Grading Plans, Rights of Way, Stormwater, etc. Dedications, Easements, Abandonments (City Clerk is OFR) Examples: CUPs, Lot Line Adjustments, Parcel Maps, Precise Alignment, Specific Plans, Split Lots, Subdivisions, Tracts, TPMs, TSMs Upon Completion P P Yes: Until Completed Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department preference; retained for disaster preparedness purposes; Statewide guidelines propose Permanent for Infrastructure plans; GC §34090 PW / Engineering ENG-019 Site Clearance / Soils Remediation / Mitigation P P Yes: Before Completion Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; GC §34090 PW / Engineering ENG-020 Solid Waste Management: Tonnage Reports, Recycling, etc.3 years 7 years 10 years Mag, Ppr Department Preference; GC §34090 State of California ENG-021 SWITRS - Statewide Integrated Traffic Records System Reports When No Longer Required When No Longer Required Mag Ppr Non-Records (Sheriff) PW / Engineering ENG-022 Traffic Complaints 2 years 2 years Mag, Ppr GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / ENGINEERING Page ENG-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PW / Engineering ENG-023 Traffic Signal Inventory Superseded Superseded Yes Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Drafts should be destroyed; GC §34090 PW / Engineering ENG-024 Traffic Signal Locations When Superseded When Superseded Yes Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Drafts should be destroyed; GC §34090 PW / Engineering ENG-025 Traffic Signal Timing When Superseded 2 years Superseded + 2 years Yes Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Drafts should be destroyed; GC §34090 PW / Engineering ENG-026 Traffic Speed Surveys When No Longer Required - Minimum 10 years When No Longer Required - Minimum 10 years Mag, Ppr Department preference (required every 5 years, but can be extended to 7 or 10 years); GC §34090 PW / Engineering ENG-027 Traffic Studies / Traffic Counts / Transportation Studies 5 years 5 years Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; GC §34090 PW / Engineering ENG-028 Transportation Master Plans / Traffic Master Plans P P Yes Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Drafts should be destroyed; GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / OPERATIONS Page PW/OPS-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Public Works / Operations PW-001 AQMD Permits (Generators, etc.)Current + 2 years Current + 2 years Mag, Ppr Department Preference; GC §34090; 40 CFR 70.6 Public Works / Operations PW-002 Community Outreach / Notification of Projects 2 years 2 years Mag, Ppr GC §34090 Public Works / Operations PW-003 Complaints 2 years 2 years Mag, Ppr GC §34090 Public Works / Operations PW-004 Confined Space Entries 3 years 3 years Mag, Ppr Code of Federal Regulations requires 3 years; 40 CFR 122.41(j)(2) Public Works / Operations PW-005 Correspondence - Regulatory Agencies Minimum 10 years Minimum 10 years Yes: While Active Issues Mag, Ppr Department Preference; Some correspondence from Regulatory Agencies need to be retained for long periods of time; GC §34090 Public Works / Operations PW-006 Emergency Call Out Logs / Storm Call Out Logs / 5 years 5 years Mag, Ppr Department preference (used for FEMA / OES reimbursements); GC §34090 Public Works / Operations PW-007 Equipment History Files (See Fleet for Vehicles) Disposal of Equipment + 2 years Disposal of Equipment + 2 years Mag, Ppr Department Preference; GC §34090 Public Works / Operations PW-008 Facility History / Lake History / Park History Files P P Mag, Ppr Department Preference; GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / OPERATIONS Page PW/OPS-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Public Works / Operations PW-009 Fleet Management Database / Expenses per Vehicle 5 years Indefinite Indefinite Yes Mag Data Fields / Records are interrelated; GC §34090 Public Works / Operations PW-010 Generator Operation Logs (for fixed / stationary generators) / Inspections 2 years 2 years Mag, Ppr Department Preference (2 years is required by AQMD); GC §34090 Public Works / Operations PW-011 Hazardous Waste Manifests / Certificates of Disposal 3 years P P Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference (test results for hazardous waste generators are required for 3 years); 40 CFR 262.40, 8 CCR 3204(d)(1)(A), 22 CCR 66262.40 Public Works / Operations PW-012 Lake Water Quality Reports 5 years 5 years Mag, Ppr Department Preference; GC §34090 Public Works / Operations PW-013 NPDES Monitoring, Inspections, Violations - Stormwater 3 years 7 years 10 years Mag, Ppr Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41; CCP §337 et seq. Public Works / Operations PW-014 NPDES Permits - Stormwater Expired Superseded + 3 years Superseded + 3 years Yes: Until Expiration Mag, Ppr Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41; CCP §337 et seq. Lead Dept.PW-015 Operations & Maintenance Manuals (O&M Manuals) Life of Facility or Equipment Life of Facility or Equipment Mag, Ppr Department Preference; GC §34090 et. seq. LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / OPERATIONS Page PW/OPS-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Public Works / Operations PW-016 OSHA Inspections & Citations, Log 200 and Log 300, 301, 301A 5 years 5 years Ppr Calif. Labor Division is required to keep their records 7 years; OSHA requires 5 years; State law requires 2 years; 8 CCR §3203(b)(1), GC §34090.7; LC §6429c Public Works / Operations PW-017 Playground Inspections 2 years 2 years Ppr GC §34090 Public Works / Operations PW-018 Playground Inspections 2 years 2 years Ppr GC §34090 Lead Dept.PW-019 Pre-Trip Inspections / DOT Program / CHP Inspections / Vehicle Safety Checks / Daily Vehicle Inspections / Daily Equipment Checks 2 years 2 years Ppr GC §34090; 3 CCR 1234(3) Public Works / Operations PW-020 SCADA Database / Historian 3 years Indefinite Indefinite Yes Mag Data Fields / Records are interrelated; GC §34090 Lead Dept.PW-021 Underground Service Alerts (USA's)3 years 3 years Mag, Ppr Department Preference (required for 3 years); GC §§4216.2(d) & 4216.3(d), 34090 Public Works / Operations PW-022 Used Oil Disposal 3 years 3 years Mag, Ppr 22 CCR 66266.130(c)(5), H&S §25250.18(b), 25250.19(a)(3) et seq. LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / OPERATIONS Page PW/OPS-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Public Works / Operations PW-023 Vehicle & Equipment Database 3 years Indefinite Indefinite Yes Mag Data Fields / Records are interrelated; GC §34090 Public Works / Operations PW-024 Vehicle & Equipment History Files Maintenance, Smog Certificates, Registrations Disposal of Vehicle or Equipment + 2 years Disposal of Vehicle or Equipment + 2 years Mag, Ppr Department Preference; If a motor carrier, required for 18 months after vehicle is sold; CHP requires life of vehicle; OSHA requires 1 year; 8 CCR § 3203(b)(1); 49 CFR 396.21(b)(1); 49 CFR 396.3(c); CCP §337 et. seq., 3 CCR 1234(f); GC §34090 Public Works / Operations PW-025 Weed Abatement 2 years 2 years Mag, Ppr GC §34090 Division Providing Service / Work PW-026 Work Orders / Service Requests CMMS DATABASE (Computerized Maintenance Management System) 3 years Indefinite Indefinite Mag Data is interrelated; GC §34090 Division Providing Service / Work PW-027 Work Orders / Service Requests - All Information Entered in CMMS Database (Paper drafts) After Entry into Database After Entry into Database Mag Ppr Preliminary drafts (the database is the original); GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / OPERATIONS Page PW/OPS-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Division Providing Service / Work PW-028 Work Orders / Service Requests - NOT entered in CMMS Database (or partial information entered into CMMS Database) (Division providing service retains originals; Division requesting service is considered a copy) 2 years 3 years 5 years Mag Ppr City Preference; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Manager CM-001 City Council Correspondence 2 years When No Longer Required - Minimum 2 years Mag, Ppr Department Preference; GC §34090 Lead Dept.CM-002 City Manager / Economic Development Projects, Programs, Subject & Issues (Issues and/or projects will vary over time - e.g. Hotels, Developments, etc.) - COPIES ONLY Completion + 2 years Completion + 2 years Yes: While Active Issues Mag, Ppr Department Preference; GC §34090 City Manager CM-003 City Manager Correspondence (Interoffice, Citizens, Legislative Positions, Organizations, etc.) 2 years When No Longer Required - Minimum 2 years Mag, Ppr Department Preference; GC §34090 City Manager CM-004 Housing Loan Applications Rejected (First Time Home Buyers, Life/Safety, Rehabilitation, HOME, etc.) 2 years 2 years Mag, Ppr GC §34090 City Manager CM-005 PowerPoint Presentations 2 years 2 years Mag, Ppr Notes, drafts, or preliminary documents; GC §34090 et seq. City Manager CM-006 Public Safety Advisory Commission AGENDA PACKETS 2 years Indefinite Indefinite Mag, Mfr, OD, Ppr S / I Yes: After 2 years Original Staff Reports are filed in the project file; Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 54960.1(c)(1) City Manager CM-007 Public Safety Advisory Commission AGENDAS 2 years 5 years 7 years Mag, Mfr, OD, Ppr S / I Yes: After 2 years Original Staff Reports are filed in the project file; Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 54960.1(c)(1) LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Manager CM-008 Public Safety Advisory Commission MINUTES P P Yes Mag, Mfr, OD, Ppr S No GC §34090 City Manager CM-009 Speech Notes (final)Completion Completion Mag, Ppr Notes, drafts, or preliminary documents; GC §34090 et seq. City Manager CM-010 Storm Tickets 2 years 2 years Mag, Ppr GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMMUNITY SERVICES Page CS-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Community Services CS-001 Activity / Special Programs / Special Events Working files 2 years 2 years Mag, Ppr GC §34090 Community Services CS-002 Evaluations/Surveys (Program Evaluations)2 years 2 years Mag, Ppr Department Preference (Transitory record not retained in the ordinary course of business); GC §34090 Community Services CS-003 Facility Use Rental Contracts / Field Use Contracts / Facility Use Agreement Completion + 1 year 4 years Completion + 5 years Yes: Before Event Mag, Mfr, OD, Ppr S/I Yes: Upon Completio n GC §34090 Community Services CS-004 Lake, Park & Recreation Facility History Files P P Mag, Mfr, OD, Ppr S/I No Department preference; GC §34090 Lead Dept.CS-005 Operations & Maintenance Manuals (O&M Manuals) Life of Facility or Equipment Life of Facility or Equipment Mag, Ppr Department Preference; GC §34090 et. seq. Lead Dept.CS-006 Pre-Trip Inspections / DOT Program / CHP Inspections / Vehicle Safety Checks / Daily Vehicle Inspections / Daily Equipment Checks 2 years 2 years Ppr GC §34090; 3 CCR 1234(3) Community Services CS-007 Program Contracts: Class Instructors Includes Insurance Certificates and Administration Records Completion + 1 year 4 years Completion + 5 years Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: Upon Completio n Department preference; Statute of Limitations: Contracts & Spec's=4 years; CCP §337 et. seq., GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMMUNITY SERVICES Page CS-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Community Services CS-008 Recreation Database (Safari, Active Net, Rec1)Indefinite Indefinite Mag Department Preference; data is interrelated; GC §34090 Community Services CS-009 Registration Forms / Reservation Forms / Campgrounds & Classes / Application Forms / Fee & Charge / Liability Forms / Release of Liability Forms / Permissions / etc.: Camps, Field Trips, Authorization to give Medicine, etc. 2 years 2 years Ppr GC §34090 Community Services CS-010 Season Brochures / Recreation Brochures (none)P P Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department Preference; GC §34090 Community Services CS-011 Special Event Permits & Programs - HISTORICAL 2 years P P Mag, Mfr, OD, Ppr S/I Yes: After QC & OD Department preference; GC §34090 Community Services CS-012 Special Event Permits & Programs - NOT HISTORICAL 2 years When No Longer Required - Minimum 2 years Mag, Ppr Department preference; GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMMUNITY SERVICES Page CS-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Lead Dept.CS-013 Volunteer / Unpaid Intern Applications & Agreements - Successful Inactive / Separation + 3 years Inactive / Separation + 3 years Ppr 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, 34090 Lead Dept.CS-014 Volunteer / Unpaid Intern Applications & Agreements - Unsuccessful or Pending Applicants 3 years 3 years Ppr 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, 34090 Community Services CS-015 Waivers of Liability 2 years 2 years Mag, Ppr GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Risk Manage. CC-001 Accident, Incident, Injury Reports That do NOT Result in a Claim (Potential Claims - Members of the Public) 1 year 1 year Mag, Ppr Copies GC §34090.7 Lead Dept.CC-002 Affidavits of Publications / Legal Advertising / Affidavits of Posting 2 years 2 years Mag, Mfr, OD, Ppr Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal Government actions is 3 - 6 months; CCP §§337 et seq, 349.4; GC §§34090, 54960.1(c)(1) City Clerk CC-003 Agendas / Agenda Packets / Staff Reports - LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT: City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority, Housing Authority, Lake Elsinore Recreation Authority 2 years P P Yes: Until After Meeting Mag, Mfr, OD, Ppr S Yes: After 2 years Department Preference; GC §34090 et seq. LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-004 Agendas / Agenda Packets / Staff Reports - OTHER THAN LAND USE, CAPITAL IMPROVEMENT PROJECTS, HISTORICALLY SIGNIFICANT City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority, Housing Authority, Lake Elsinore Recreation Authority 2 years 3 years 5 years Yes: Until After Meeting Mag, Mfr, OD, Ppr S Yes: After 2 years Department Preference; GC §34090 et seq. LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-005 Agreements / Contracts - ALL - Professional Services, Non- Infrastructure that are NOT Imaged Agreement or Contract includes all contractual obligations (e.g. Amendments, Scope of Work or Successful Proposal) & Insurance Certificates Examples of NON-Infrastructure: Consulting, disposal, leases, loans, mutual aid, professional services, settlement, services, City Manager, City Attorney and City Clerk Agreements etc.. Completion 5 years Completion + 5 years Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: Upon Completion Department Preference; 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 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. 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 Agreements / Contracts - ALL - Projects, Development, If Imaged, Infrastructure, CIPs, DDAs, OPAs, MOUs, MOAs Agreement or Contract includes all contractual obligations (e.g. Amendments, Scope of Work or Successful Proposal) & Insurance Certificates Examples of Infrastructure: Architects, CIPs (Capital Improvement Projects,) City Manager employment contracts, franchise agreements, subdivision improvement agreements, development, Joint Powers, MOUs, retirement, water rights, etc. Completion P P Yes: Before Completion Mag, Mfr, OD, Ppr S Yes: Upon Completion 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 et. seq., GC §34090; Contractor has retention requirements in 48 CFR 4.703 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-007 Assessment Districts / Community Facilities Districts, etc. - Assessor Rolls 2 years 3 years 5 years Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S / I Yes: Audit + 1 Prior Year Department Preference (meets municipal government auditing standards); Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 City Clerk CC-008 Bid Files: Unsuccessful Proposals 2 years 2 years Mag, Ppr GC §34090 City Clerk CC-009 Board & Commission Members: Oath of Office, etc. Term of Office + 2 years Term of Office + 2 years Mag, Ppr Department preference; GC §34090 City Clerk CC-010 Board & Commission Recruitments: Applications, correspondence, notices, etc. 2 years 2 years Mag, Ppr GC §34090 City Clerk CC-011 Committee Rosters / Boards, Commissions and Committees (Maddy Act) 2 years 2 years Mag, Ppr GC §34090 City Clerk CC-012 Economic Interest Filings (FPPC 700 Series Forms - Statement of Economic Interests): ALL 2 years 5 years 7 years Mag, Mfr, OD, Ppr S / I Yes: After 2 years City maintains original statements; GC §81009(e)&(g); GC §81009(f)&(g); 2 CCR 18615(d) City Clerk CC-013 Ethics Training Certificates 5 years 5 years Mag, Mfr, OD, Ppr S / I Yes: After 1 year GC §§12946, 29 USC 1113 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-014 FPPC Form 801 (Gift to Agency Report) 7 years 7 years Mag, Ppr Must post on website; FPPC Opinion; 2 CCR 18944(c)(3)(G) City Manager CC-015 FPPC Form 802 (Event Ticket / Pass Distributions Agency Report) 7 years 7 years Mag, Ppr Should post on website for 4 years; GC §81009(e) City Clerk CC-016 FPPC Form 803 (Behested Payment Report)P P Mag, Ppr FPPC Regulation 18734(c); GC §81009e City Clerk CC-017 FPPC Form 804 (Agenda Report of New Positions)P P Mag, Ppr FPPC Regulation 18734(c); GC §81009e City Clerk CC-018 FPPC Form 805 (Agency Report of Consultants)7 years 7 years Mag, Ppr GC §34090; GC §81009(e) City Clerk CC-019 FPPC Form 806 (Agency Report of Public Official Appointments) 7 years 7 years Mag, Ppr Must post on website; 2 CCR 18705.5; GC §34090; GC §81009(e) LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-7 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). ELECTIONS - CONSOLIDATED City Clerk CC-020 Campaign Filings (FPPC 400 Series Forms & Form 501): SUCCESSFUL CANDIDATES (Elected Officials) Termination P P Mag, Mfr, OD, Ppr S Yes: After 2 years Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk CC-021 Campaign Filings (FPPC 400 Series Forms & Form 501): UNSUCCESSFUL CANDIDATES 2 years 3 years 5 years Mag, Mfr, OD, Ppr S Yes: After 2 years Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk CC-022 Campaign Filings (FPPC 400 Series Forms): THOSE NOT REQUIRED TO FILE ORIGINAL WITH CITY CLERK (copies) 2 years 2 years 4 years Mag, Ppr Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk CC-023 Campaign Filings (FPPC 400 Series Forms): OTHER COMMITTEES (PACS - not candidate-controlled) 4 years 3 years 7 years Mag, Ppr Paper must be retained for at least 2 years; GC §81009(c)(g) City Clerk CC-024 Candidate File: Nomination Papers, Candidate Statements, etc. - SUCCESSFUL CANDIDATES Term of Office + 4 years Term of Office + 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 and does not delineate between the two; EC §17100 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-8 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-025 Candidate File: Nomination Papers, Candidate Statements, etc. - UNSUCCESSFUL CANDIDATES Election + 4 years Election + 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 and does not delineate between the two; EC §17100 City Clerk CC-026 Elections - GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Precinct Maps, County Election Services, Candidate Statements to be printed in the Sample Ballot, etc.) 2 years 2 years Mag, Ppr GC §34090 City Clerk CC-027 Elections - HISTORY Files (Sample Ballot, Results) P P Mag, Mfr, OD, Ppr S No Department preference; GC §34090 City Clerk CC-028 Elections - Petitions (Initiative, Recall or Referendum) Results or Final Examination if No Election + 8 mo. Results or Final Examination if No Election + 8 mo. 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, 17400 (End of Elections Section) LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-9 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-029 Historical Records & Historical Projects (e.g. Incorporation, City Seal, Awards of significant historical interest, etc.) P P Mag, Mfr, OD, Ppr S 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-030 Insurance Certificates - Miscellaneous (from outside companies, that cannot be matched with a contract or agreement) 11 years 11 years Yes: Before Completion Mag, Mfr, OD, Ppr S Yes - After QC & OD Longest Statute of Limitations is 10 years; Conforms with Agreement Retention (usually filed with agreement); statewide guidelines propose permanent; CCP §337 et seq.; GC §34090 City Clerk CC-031 Insurance Policy Applications / Insurance Policies (City-owned Policies) P P Yes: Until Separation Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department preference; GC §34090 City Clerk CC-032 Litigation / Lawsuits Final Resolution + 2 years 10 years Final Resolution + 12 years Yes: Until Resolution Mag, Ppr Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 34090, 34090.6; PC §832.5 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-10 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-033 Minutes - City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority, Housing Authority, Lake Elsinore Recreation Authority P P Yes (all)Mag, Mfr, OD, Ppr S No GC §34090 City Clerk CC-034 Municipal Code Administration, Distribution, etc. Supplement Publication When No Longer Required Mag, Ppr Preliminary drafts not retained in the ordinary course of business; GC §34090 City Clerk CC-035 Municipal Code and History File (always retain 1 supplement) 2 years P P Mag, Mfr, OD, Ppr S No GC §34090 City Clerk CC-036 Ordinances (City Council)P P Yes (all)Mag, Mfr, OD, Ppr S No GC §34090 et. seq. City Clerk CC-037 Petitions (submitted to Council on any subject - Dog Parks, Parking, Traffic Calming, etc.) See Elections for Initiative, Recall or Referendum Petitions 1 year 1 year Ppr Law requires 1 year for petitions; GC §50115 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-11 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk CC-038 Private Land Development Bonds: Subdivision Bonds/ Letters of Credit Release of Bond / Letter of Credit Release of Bond / Letter of Credit Mag, Mfr, OD, Ppr S No 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 Lead Dept.CC-039 Proof of Publication / Public Hearing Notices / Certificate of Posting / Legal Advertising (Usually kept with Project Files) 2 years 2 years Mag, Ppr Statute of Limitations on Municipal Government actions is 3 - 6 months; CCP§337 et seq; GC §34090 City Clerk CC-040 Recorded Documents / Real Property - Records that Affect the Title to Real Property (Deeds, Easements, Liens, Rights of Way, etc.) 2 years P P Mag, Mfr, OD, Ppr S / I No GC §34090 City Clerk CC-041 Recordings / Tapes of City Council Meetings - Audio Recordings 1 year 1 year Mag, OD Department Preference; State law only requires for 30 days; GC §54953.5(b) City Clerk CC-042 Recordings / Tapes of City Council Meetings - Video Recordings / DVD-R P P Mag, OD Department preference; Video recording of meetings are only required for 90 days; GC §§34090.7, 34090 City Clerk CC-043 Records Destruction Lists / Certificates of Records Destruction P P Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 et. seq. LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-12 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. 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 Records Retention Schedules / Amendments to Records Retention Schedules 10 years P P Mag, Mfr, OD, Ppr I GC §34090 et. seq. City Clerk CC-045 Request for Public Records / Subpoenas 2 years 2 years Mag, Ppr GC §34090 Comm. Develop. / Building or City Clerk CC-046 Requests & Permissions to Receive Copies of Plans (to and from Architects) 2 years 2 years Mag, Ppr GC §34090 et seq. City Clerk CC-047 Resolutions - City Council, Redevelopment, Successor Agency, Oversight Board, Public Financing Authority, Housing Authority, Lake Elsinore Recreation Authority P P Yes (all)Mag, Mfr, OD, Ppr S No GC §34090 et. seq. City Clerk CC-048 Vehicle Titles ("Pink Slips")Sale or Disposal Sale or Disposal Mag, Ppr Department Preference; GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). BUILDING & SAFETY Comm. Develop. / Building BL-001 Building Permit Database P P Yes (all)Mag Department Preference - Data is interrelated; GC §34090, H&S §19850 Comm. Develop. / Building BL-002 Building Permits / Address Files (Includes Fire Services Permits that are Permanent Uses) 5 years P P Yes (all) Mag, Mfr, OD, Ppr S Yes: After QC & OD Statewide guidelines propose permanent; GC §34090, H&S §19850 Comm. Develop. / Building BL-003 Building Plans - Expired or Withdrawn Upon Expiration Upon Expiration Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Preliminary drafts not retained in the ordinary course of business; CBC §104.7; H&S§19850, GC §34090 Comm. Develop. / Building BL-004 Building Plans and Construction Documents - Finalled - SINGLE FAMILY RESIDENTIAL - SFR and APPURTENANCES Completion P P Yes Mag, Mfr, OD, Ppr S Yes: After QC & OD Law does not require plans to be filed for dwellings less than 2 stories, garages & appurtenances, farms/ranches, 1-story with bearing walls less than 25'; CBC requires 180 days from completion date; CBC 104.7 & 107.5, H&S§19850, GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Comm. Develop. / Building BL-005 Building Plans and Construction Documents - Finalled - INDUSTRIAL, COMMERCIAL, MULTI-FAMILY DWELLINGS, PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS (includes commercial structural plans, Hazardous Materials Questionnaire, etc.) Life of the Building Life of the Building Yes (all) Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; Law requires for the life of the building for commercial and common interest dwellings only; Statewide guidelines propose 2 years for blueprints & specifications; CBC 104.7 & 107.5, H&S§19850, GC §34090 Comm. Develop. / Building BL-006 Certificates of Occupancy P P Yes (all) Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 Comm. Develop. / Building BL-007 Construction Notices / Inspection Notices (correction notices, compliance orders, stop work notices, etc.) When No Longer Required When No Longer Required Mag, Ppr Preliminary Drafts; GC §34090 Comm. Develop. / Building BL-008 Reports: Building Activity When No Longer Required When No Longer Required Mag, Ppr Preliminary drafts not retained in the ordinary course of business; GC §34090 et seq. Comm. Develop. / Building or City Clerk BL-009 Requests & Permissions to Receive Copies of Plans (to and from Architects) 2 years 2 years Mag, Ppr GC §34090 et seq. LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Comm. Develop. / Building or City Clerk BL-010 Special Event Permits / Fire Code Permits 5 years 5 years Mag, Ppr California Fire Code requires 5 years for those permits issued pursuant to the Fire Code;; CFC §§ 104.6 – 104.6.4, GC §34090 et seq. Comm. Develop. / Building BL-011 Uniform Building Codes / California Building Codes When Superseded When Superseded Mag, Ppr GC §50022.6 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CODE ENFORCEMENT Comm. Develop. / Code Enforce. CE-001 Code Enforcement / Abatement Case Files (Includes appeals and Code Enforcement Complaint Letters) Send Liens to City Clerk Resolved + 2 years Life of the Building Life of the Building Yes: Until Resolution Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; Case is open until satisfactorily resolved (some cases are not resolved); CFC §104.3.4, GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMM. DEVELOP. / PLANNING Page PL-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Comm. Develop. / Planning PL-001 Affidavits of Publications / Public Hearing Notices / Legal Advertising (Planning) 2 years 2 years Mag, Ppr Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal Government actions is 3 - 6 months; CCP §§337 et seq, 349.4; GC §§34090, 54960.1(c)(1) Comm. Develop. / Planning PL-002 Annexations / Boundaries / Consolidations / LAFCO 5 years P P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Land Records; GC §34090 Comm. Develop. / Planning PL-003 Environmental Determinations Inside City boundaries Project Completion P P Mag, Mfr, OD, Ppr S 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 Comm. Develop. / Planning PL-004 Environmental Impact Reports, Negative Declarations Inside City boundaries Project Completion P P Mag, Mfr, OD, Ppr S 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 Comm. Develop. / Planning PL-005 Environmental Technical Studies Inside City boundaries Project Completion P P Mag, Mfr, OD, Ppr S 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 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMM. DEVELOP. / PLANNING Page PL-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). City Clerk PL-006 General Plan, Elements and Amendments P P Yes (all) Mag, Mfr, OD, Ppr S / I Yes: After QC & OD City Clerk Maintains all Agenda Packets Permanently; GC §34090.7 Comm. Develop. / Planning PL-007 GIS Database / Data / Layers (both City-wide and Specialized)Indefinite Indefinite Yes Mag The Lead Department should print out historical documents (or save source data) prior to replacing the data, if they require the data or output for historical purposes; Department Preference (Preliminary documents); GC §34090 et seq. Comm. Develop. / Planning PL-008 Housing Programs: Affordable Housing Projects, Rehabilitation, CDBG-funded Housing Projects, etc. WITH a Recapture / Resale Restriction Deeds are sent to City Clerk 5 years After the Affordability Period Terminates, or the Written Agreement Terminates, Whichever is Longer 5 years after the Affordability Period Terminates, or the Written Agreement Terminates, Whichever is Longer Mag, Mfr, OD, Ppr S / I Yes: When Inactive HUD requires 5 years after the project completion; documents imposing recapture / resale restrictions are 5 years after the affordability period terminates; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report; statewide guidelines propose 4 years; 24 CFR 85.42, 92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, GC §34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMM. DEVELOP. / PLANNING Page PL-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Comm. Develop. / Planning PL-009 Housing Programs: Affordable Housing Projects, Rehabilitation, CDBG-funded Housing Projects, etc. WITHOUT a Recapture / Resale Restriction Deeds and Insurance are sent to City Clerk Loan Pay-off OR Forgiveness + 5 years Loan Pay-off OR Forgiveness + 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD HUD requires 5 years after the agreement terminates; Consistent with Consolidated Plan Requirements; Required for 3-4 years from expenditure or performance report; 24 CFR 85.42, 92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, GC §34090 Comm. Develop. / Planning PL-010 Landscaping Plans Project Completion 2 years Project Completion + 2 years Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Comm. Develop. / Planning PL-011 Master Plans, Specific Plans, Bikeway Plans When Superseded P P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference; GC §34090 Comm. Develop. / Planning PL-012 Planning Commission AGENDA PACKETS & AGENDAS P P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Original Staff Reports are filed in the project file; Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 54960.1(c)(1) Comm. Develop. / Planning PL-013 Planning Commission AUDIO RECORDINGS of Meetings / Audio Tapes 10 years 10 years Tape (Mag) City preference; State law only requires for 30 days; GC §54953.5(b) LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMM. DEVELOP. / PLANNING Page PL-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Comm. Develop. / Planning PL-014 Planning Commission MINUTES RESOLUTIONS & BYLAWS P P Yes Mag, Mfr, OD, Ppr S No GC §34090 Comm. Develop. / Planning PL-015 Planning Project Files - Approved Permanent Entitlements (Includes Associated CEQA Noticing, Conditions of Approval, Public Noticing, Environmental Determinations, Staff Reports, Plans & Maps) Examples: Conditional Use Permits (CUPs), Design Review, Lot Line Adjustments, Parcel Maps, Planned Unit Developments (PUD), Site Plans, Tentative Subdivisions, Variances, Zone Changes, etc. Project Completion + 2 years P P Yes Mag, Mfr, OD, Ppr S 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 Comm. Develop. / Planning PL-016 Planning Project Files - Not Exercised / Expired Examples: Conditional Use Permits (CUPs), Design Review, Lot Line Adjustments, Parcel Maps, Planned Unit Developments (PUD), Site Plans, Tentative Subdivisions, Variances, etc. Vested 6 months Vested + 6 months Yes Mag, Ppr Projects have a 2 year vesting (applicant must pull permit within 2 years) -- those applications in which the applicant does not follow through with permit may be destroyed after the vesting period has expired; GC§§34090, 34090.7 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 3.0 RECORDS RETENTION SCHEDULE: COMM. DEVELOP. / PLANNING Page PL-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Comm. Develop. / Planning PL-017 Pre-Application Review / Preliminary Review File / Letters 2 years When No Longer Required - Minimum 2 years Mag, Ppr Department preference; Preliminary Documents (no application submitted); GC §34090 Comm. Develop. / Planning PL-018 Project Log Index / Spreadsheet / Binders of Historic Actions P P Yes Mag, Mfr, OD, Ppr S / I Yes: After 1 year Department Preference; GC §34090 Comm. Develop. / Planning PL-019 Redevelopment Plans 5 years 5 years Yes: Before Completion Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 Comm. Develop. / Planning PL-020 Redevelopment Project Files & Project Plans 5 years 5 years Yes: Before Completion Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; GC §34090 Comm. Develop. / Planning PL-021 Relocation Files Where Redevelopment was the Lead Settle + 1 year Settle + 4 years Settle + 5 years Yes: Until Settlement Mag, Ppr Consistent with Claims; CCP §§ 337 et seq.; GC §§ 945, 34090, 34090.6; PC §832.5 Comm. Develop. / Planning PL-022 Temporary Entitlements (Approved & Unapproved): Christmas Tree Lots, Banner Permits, Pumpkin Lots, Temporary Signs, etc. 2 years 2 years Yes: During Event Mag, Ppr Temporary uses; Department maintains complete files for administrative purposes; GC§§34090 LAKE ELSINORE, CA. ©1995-2015 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). HUMAN RESOURCES Admin. Services / Human Resources HR-001 1095-C (Employer-Provided Health Insurance Offer and Coverage) 5 years 5 years Mag, Ppr Department Preference; IRS: 4 years after tax is due or paid; R&T §19530, GC §34090 Admin. Services / Human Resources HR-002 Benefit Plan Documents (CalPERS, Optical, Dental, etc.) Duration of the Contract + 6 years Duration of the Contract + 6 years Yes: For Duration of Contract Mag, Ppr EEOC / ADEA (Age) requires 1 year after benefit plan termination; Federal law requires 6 years after filing date for retirement; State Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC §§12946, 3409 Admin. Services / Human Resources HR-003 CalPERS Benefit Administration (Includes contract amendment, actuarial reports, service credit reports, annual employee listing, etc.) 6 years 6 years Mag, Ppr Department Preference; 6 years for retirement benefits; State Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC §§12946, 3409 Admin. Services / Human Resources HR-004 CalPERS Reports - Annual Employer Statements 5 years 5 years Mag, Ppr Department Preference; Retained to match other auditing periods; GC §34090 Admin. Services / Human Resources HR-005 Classification / Reorganization Studies (for employee classifications and department structures) 3 years When No Longer Required - Minimum 3 years Mag, Ppr 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, 34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Human Resources HR-006 Classification Specifications 3 years 3 years 6 years Mag, Mfr, OD, Ppr S / I Yes: After 1 year Department preference; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 - 3 years; retirement benefits is 6 years from last action; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090; 29 USC 1113 Admin. Services / Human Resources HR-007 Compensation Surveys & Studies 2 years When No Longer Required - Minimum 3 years Mag, Ppr 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, 34090 Admin. Services / Human Resources HR-008 Department of Fair Employment & Housing (DFEH or EEOC) Claims Final Disposition + 3 years Final Disposition + 3 years Mag, Ppr All State and Federal laws require retention until final disposition of formal complaint; State requires 2 years after "fully and finally disposed"; 2 CCR 7287.0; GC §§12946, 34090 Admin. Services / Human Resources HR-009 DMV Pull Notices When Superseded or Separated When Superseded or Separated Mag Ppr 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 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Human Resources HR-010 Drug & Alcohol Test Results (All - Positives and Negatives)5 years 5 years Mag Ppr 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, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 Admin. Services / Human Resources HR-011 EEO-4 Reports and records required to generate EEO-4 report (Self-Identification Form, etc.) 3 years 3 years Mag, Ppr 29 CFR 1602.30 Admin. Services / Human Resources HR-012 I-9s Separation + 3 years Separation + 3 years Mag, Ppr Non-citizens must re-certify periodically; 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)(i); GC §§12946, 34090 Admin. Services / Human Resources HR-013 Labor Relations Files (Negotiation Notes, Correspondence, Interpretation of MOU Provisions, Documentation, etc.) 2 years 8 years 10 years Mag, Ppr Department Preference; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Human Resources HR-014 Personnel Files - Benefits File Includes Benefit Enrollment Forms Separation + 1 year 5 years Separation + 6 years Mag, Mfr, OD, Ppr S Yes: After 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 2 - 3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§12946, 34090; 29 USC 1113 Admin. Services / Human Resources HR-015 Personnel Files - Employee File Includes Application, Evaluations, Policies Oaths of Office, Transaction Forms, etc. Separation + 1 year 5 years Separation + 6 years Mag, Mfr, OD, Ppr S Yes: After 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 2 - 3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§12946, 34090; 29 USC 1113 Admin. Services / Human Resources HR-016 Personnel Files - Medical File (all employees) Pre-employment Clearances, ADA Accommodations, Incidents / Accidents where no medical services were provided, etc. Separation + 1 year 29 years Separation + 30 years Yes: Until Separation Mag, Mfr, OD, Ppr S Yes: After 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., 29 CFR 1910.1020(d)(1)(i), GC §§12946, 34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Human Resources HR-017 Personnel Files - Payroll File Includes W-4s, Garnishments, Transaction Forms, etc. Separation + 1 year 29 years Separation + 30 years Mag, Mfr, OD, Ppr S Yes: After 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 2 - 3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§12946, 34090; 29 USC 1113 Admin. Services / Human Resources HR-018 Recruitment and Testing File (Includes Advertisements, Applications for Unsuccessful Candidates, Job Brochures, Test Data, Testing Analysis & statistical Metric, Job Analysis, Rating Sheets, Scantrons, Rater's Profile & Confidentiality Agreement, Flowchart, Eligible Lists, etc.) 3 years 3 years Mag, Ppr Department preference; EEOC / FLSA / ADEA (Age) requires 1-3 years; State Law requires 2 - 3 years; 29 CFR 1627.3(b)(i), 29 CFR 1602.14 et seq. 2 CCR 7287.0(c)(2), GC §§12946, 34090 Admin. Services / Human Resources HR-019 Studies & Surveys Conducted on Behalf of the City (Sick Leave, Attrition, Benefits, etc.) 3 years When No Longer Required - Minimum 3 years Mag, Ppr Department preference; GC §34090 Admin. Services / Human Resources HR-020 Workers Compensation Claim Runs 5 years 5 years Mag Ppr Meets auditing standards; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Human Resources HR-021 Workers Compensation Claims Separation + 10 years 20 years Separation + 30 years Yes: Until Separation Mag, Mfr, OD, Ppr S Yes: After 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., 29 CFR 1910.1020(d)(1)(i), GC §§12946, 34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-7 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). RISK MANAGEMENT Admin. Services / Human Resources / Risk Manage. RM-001 1095-C (Employer-Provided Health Insurance Offer And Coverage) 4 years 4 years Ppr Department Preference; IRS: 4 years after tax is due or paid; R&T §19530, GC §§34090 Admin. Services / Human Resources / Risk Manage. RM-002 Actuarials 2 years 8 years 10 years Ppr Department preference; GC §34090 Admin. Services / Human Resources / Risk Manage. RM-003 Claims (Liability Claims) Final Resolution + 2 years 3 years Final Resolution + 5 years Yes: Until Resolution Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; meets auditing standards; Claim must be filed within 1 year, lawsuit within 2 years; complaints against peace officers within 5 years; Statute of Limitations for contracts is 4 years; wrongful death for construction is completion + 5 years; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 34090, 34090.6; PC §832.5(b) Admin. Services / Human Resources / Risk Manage. RM-004 Lawsuits / Litigation Final Resolution + 2 years 3 years Final Resolution + 5 years Yes: Until Resolution Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; meets auditing standards; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 34090, 34090.6; PC §832.5(b) LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-8 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Admin. Services / Human Resources / Risk Manage. RM-005 Loss Runs 5 years 5 years Mag Ppr Department preference (meets auditing standards); GC §34090 Admin. Services / Human Resources / Risk Manage. RM-006 Safety Inspections 5 years 5 years Ppr Department preference (Meets OSHA requirements); GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / FINANCE / ADMINISTRATION AS / Finance / Admin. FN-001 Audit Reports / CAFR - Comprehensive Annual Financial Reports and related Audit Opinions 5 years P P Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department Preference (copies); GC §34090.7 AS / Finance / Admin. FN-002 Audit Work Papers 2 years 3 years 5 years Yes: Until Paid Mag, Ppr Department Preference (meets municipal government auditing standards); Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 AS / Finance / Admin. FN-003 Budgets - Adjustments 5 years 5 years Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department preference (Approved by the City Council); GC §34090 et seq. AS / Finance / Admin. FN-004 Budgets - Adopted / Final 2 years P P Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department Preference; Must be filed with County Auditor; GC §34090.7, 40802, 53901 AS / Finance / Admin. FN-005 Budgets - Preliminary, Backup Documents Upon Final Adoption When No Longer Required Yes: Current Fiscal Year Mag, Ppr Preliminary drafts; GC §34090 AS / Finance / Admin. FN-006 Single Audits / Transportation Audits / PERS Audit, etc.5 years 6 years 11 years Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department Preference (meets municipal government auditing standards); GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / FINANCE / GENERAL ACCOUNTING AS / Finance / General Accounting FN-007 1099's / 1096's Issued / W-9s 5 years 5 years Mag, Ppr 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 AS / Finance / General Accounting FN-008 Accounts Payable / Invoices and Backup (Includes Invoices, Travel Expense Reimbursements, Warrant Request, etc.) 2 years 3 years 5 years Yes: Until Paid Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department Preference (meets municipal government auditing standards); Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 AS / Finance / General Accounting FN-009 Actuarial Valuation Reports 10 years 10 years Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department Preference; GC §34090 AS / Finance / General Accounting FN-010 Bank Statements and Trustee Statements, Fiscal Agent Statements, Investment Account Statements, Bank Reconciliations, Bank Deposits, Bank Transmittal Advice 2 years 3 years 5 years Mag, Ppr Department Preference; Published articles show 3 - 4 years; GC §34090, 26 CFR 31.6001-1 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / Finance / General Accounting FN-011 Bond Official Statements / Transcripts / Certificates of Participations (COPs) - Includes Continuing Disclosure Reports See Bank Statements for statement retention. Fully Defeased 10 years Fully Defeased + 10 years Yes: Until Maturity Mag, Ppr Department Preference; Statute of Limitations for bonds, mortgages, trust deeds, notes or debentures is 6 years; Bonds issued by local governments are 10 years; There are specific requirements for disposal of unused bonds; CCP §§336 et seq. 337.5(a); GC §43900 et seq. AS / Finance / General Accounting FN-012 Cash Receipts / Daily Cash Summaries / Cashiers Reports / Cash Reports / Business License Applications & Renewals 2 years 3 years 5 years Mag, Mfr, OD, Ppr S / I Yes: After 2 years Department Preference; Published articles show 3 - 4 years; GC §34090, 26 CFR 31.6001-1 AS / Finance / General Accounting FN-013 Checks / Warrants (Cashed)2 years 3 years 5 years Mag, Mfr, OD, Ppr S Yes: After QC & OD Department Preference; meets municipal government auditing standards; GC §34090, CCP § 337 AS / Finance / General Accounting FN-014 Escheat (Unclaimed money / uncashed checks)5 years 5 years Mag, Ppr Department preference; All tangible property held by government agencies escheats after 3 years; Statute of Limitations is 1 year for seized property; CCP §§340(d), 1519; GC §34090 AS / Finance / General Accounting FN-015 Financial Services Database Indefinite Indefinite Yes Mag Data Fields / Records are interrelated; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / Finance / General Accounting FN-016 Grant Folders (invoices, copies of checks, etc.)2 years After Funding Agency Audit, if Required - Minimum 5 years (per Grant Requirements) After Funding Agency Audit, if required - Minimum 5 years (per Grant Requirements) Mag, Ppr Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or final payment of grantee or subgrantee; statewide guidelines propose 4 years; 7 CFR 3016.42; 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, 570.490, & 570.502(a&b), 28 CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A- 110 & A-133; GC §34090 AS / Finance / General Accounting FN-017 Investment Reports / Treasurer's Reports 5 years 5 years Mag, Ppr Department Preference; Meets auditing standards; GC §34090 AS / Finance / General Accounting FN-018 Investments / Arbitrage / Certificate of Deposit / Investment Bonds (Receipts / Advisor Reports / Trade Tickets / LAIF (Local Agency Investment Fund)) 5 years 5 years Yes: Until Paid Mag, Ppr 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 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / Finance / General Accounting FN-019 Journal Entries / Journal Vouchers 2 years 3 years 5 years Mag, Mfr, OD, Ppr S / I No Department Preference; meets municipal government auditing standards; Statute of Limitations is 4 years; statewide guidelines propose Audit + 5 years; GC §34090, CCP § 337 AS / Finance / General Accounting FN-020 Private Land Developer Trust Accounts / Deposits Close + 5 years Close + 5 years Mag, Ppr Department Preference; (meets municipal government auditing standards); GC §34090 AS / Finance / General Accounting FN-021 Reports, Subsidiary Ledgers, Reconciliations, Registers, Transaction Histories, Balance Sheets, Revenue & Expenditure Reports, etc. (MONTHLY OR PERIODIC) When No Longer Required When No Longer Required Mag, Ppr Department preference (Financial System qualifies as a trusted system); GC §34090 AS / Finance / General Accounting FN-022 Reports: Annual State or Federal: State Controller's Report, Local Government Compensation Report, Gas Tax, MOE (Maintenance of Effort) Report, Fixed Charge Special Assessment Report, Public Self Insurer Report (SIP Report), Street Report, Jet Fuel Tax, Smog / Green Fee, etc. 5 years 5 years Mag, Ppr Department Preference; Meets auditing standards; GC §34090 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PAYROLL AS / Finance / Payroll FN-023 CalPERS Reports - Annual Valuation Reports, Actuarial Valuation Reports 2 years 3 years 5 years Mag, Ppr Department Preference; Retained to match other auditing periods; GC §34090 AS / Finance / Payroll FN-024 DE-6, DE-7, DE-9, DE-43, W- 3, & DE-166, 941 Forms, IRS 5500 Forms (Employee Benefit Plans), PERS / FICA & Medicare Adjustments - Quarterly Payroll Tax Returns / OASDI, Federal Tax Deposits, Adjustments, etc. 2 years 3 years 5 years Mag, Ppr Department Preference; IRS: 4 yrs after tax is due or paid; Ca. FTB: 3 years; Articles show 7 years; 26 CFR §31.6001-1(e)(2), R&T §19530; 29 CFR 516.5 - 516.6, 29 USC 436, GC §34090 AS / Finance / Payroll FN-025 Payroll Reports - Annual Detail 2 years 3 years 5 years Mag, Mfr, OD, Ppr S Yes: After QC & OD Department preference; GC §34090 AS / Finance / Payroll FN-026 Payroll Reports - Periodic (includes Deduction Registers, Leave Registers, Time Transaction Reports, etc.) 2 years 3 years 5 years Mag, Ppr Department preference; GC §34090 AS / Finance / Payroll FN-027 W-2's 2 years 3 years 5 years Mag, Ppr 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 LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016 Ver. 4.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / FINANCE Page FIN-7 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Records Center) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? 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. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). AS / Finance / Business License FN-028 Accounts Receivable - ALL - Transient Occupancy Tax (TOT) Applications & Returns, Damage to Public Property, Invoices to Outside Entities, etc. 2 years 3 years 5 years Mag, Ppr Department preference; Meets auditing standards; GC §34090 et seq. AS / Finance / Business License FN-029 Bankruptcies - NOT pursued When No Longer Required When No Longer Required Mag, Ppr Preliminary drafts not retained in the ordinary course of business; GC §34090 AS / Finance / Business License FN-030 Bankruptcies - Where a claim is filed 2 years 3 years 5 years Mag, Ppr Department Preference (negative information remains on credit ratings for 7 years); GC §34090 AS / Finance / Revenue Services FN-031 Business License Database 10 years 5 years 15 years Yes Mag Data Fields / Records are interrelated; GC §34090 AS / Finance / Revenue Services FN-032 Collections / Collection Agency Statements 5 years 2 years 7 years Mag, Ppr Department preference; Delinquencies remain on credit reports for 7 years; GC §34090 et seq. BUSINESS LICENSE LAKE ELSINORE, CA ©1995-2015 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 6/28/2016