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HomeMy WebLinkAbout94-048 - Establishing a Records Retention Schedule for the Agencies Departments and OfficesRESOLUTION NO. 94-048 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A RECORDS RETENTION SCHEDULE FOR THE AGENCIES, DEPARTMENTS AND OFFICES OF THE CITY AND APPROVING THE DESTRUCTION OF RECORDS IN ACCORDANCE THEREWITH WHEREAS, except for records less than two years old and certain other records, Government Code section 34090 authorizes the head of a city department to destroy any city record, document,in- strument, book or paper under his or her charge, without making a copy thereof, after the same is no longer required, with the approval of the City Council by resolution and the written consent of the City Attorney; and WHEREAS, the City Council desires to establish a retention schedule for records under the control of the executive officers in charge of various City agencies, departments and offices and to approve destruction of records in accordance therewith; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: 1. Definitions For purposes of this resolution, the following terms shall have the following meanings: "Department" means an agency, department or office of the administrative staff of the City of Santa Ana. "Department head" means the executive officer in charge of a department. "Original" means the initial production of a record in its final form. It does not include preliminary drafts or subsequent photocopies. In the case of a signed document, the original is the document which was actually signed by the person or persons signing the document. "Public records" are writings in the custody of the City of Santa Ana and containing information relating to the conduct of the business of the city of Santa Ana. "Public record" does not include transitory writings. "Transitory writing" is a writing having no reason for retention after the purpose for which it was created has expired, 139 RESOLUTION 94-048 Page 2 141 such as routing slips, notices of meetings or events, writings retained solely for tickler, suspense or follow-up purposes, preliminary work materials, writings which have been superseded by subsequent writings, computer print-outs which are produced solely for temporary purposes, and the like. "Writing" means a document in written or printed form. 2. Purpose The purposes of this resolution are as follows: To assure that public records are not destroyed while they still serve a useful purpose. Be To avoid the loss of room and shelf space caused by the retention of public records which no longer serve a useful purpose. To provide guidelines to City staff as to when public records may safely be destroyed. To avoid the necessity of requesting City Council approval for each individual case of public records destruction. 3. ~cope A. This Resolution is limited to originals of public records, except as otherwise provided in subsection B of this section. The department heads are authorized to establish rules or schedules for the destruction of copies of public records held within their respective departments which are not originals or copies subject to subsection B of this section. B. Whenever the original of a public record is sent to a location outside the custody of the city (as, for example, correspondence from a City officer or employee to a person outside of the City government), one copy of that record shall be retained by the department sending the record as if it were the original of that record. C. This resolution is also limited to public records which are in the form of writing on paper or microfilm or microfiche. 4. Authorization for destruction of records A. Those exhibits, designated A through K, attached hereto, providing retention schedules for various types of public records, are hereby incorporated by reference herein. Subject to the provision of subsection B of this section, each department head may authorize the destruction of a public record or class of public 2 RESOLUTION 94-048 Page 3 143 records which is within the custody of his or her department and which is listed in the exhibits at any time after the time specified for retention of that record in the exhibits has expired. This resolution constitutes the consent of the City Council for the destruction of the public records in accordance with such retention schedules, and no further resolution of the City Council shall be required for such destruction. B. Prior to authorizing the destruction of any public record, the department head shall submit a list of the records proposed for destruction to the City Attorney for his or her consent to such destruction. The City Attorney may require the retention of any public record or class of public records beyond the period established for the retention of such records by the exhibits to this resolution, whenever, in his or her opinion, the continued maintenance of such records is in the best interest of the City. No record shall be destroyed without the written consent of the City Attorney. ADOPTED this 18th day of ATTEST: c nioe c. Guy lerk of the Council~_/ COUNCILMEMBERS: Young Aye Pulido Ave Lutz Aye McGuigan Aye Mills Ave Moreno Aye Richardson Aye July , 1994. Da~ H~ YoungXx, J / Mayor APPROVED AS TO FORM: City Attorney 3 ].44 CERTifICATE OF ORIGINALITY & PUBLICATION State of California County of Orange I, JAN'ICE C. GUY, Clerk of the Council, do hereby certify the attached Resolution ~r_ 0 ~o~' to be the original resolution adopted by the City Council of the City of Santa Ana on ~-~/~- ~ff Date: ~_~~ City of Santa Ana '- ! CITY OF SANTA ANA RECORDS RETENTION SCHEDULE GENERAL RECORDS Exhibit A RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Agreements City Council-approved Clerk of the Council Contractual Expiration Date 4 Yrs Code of Civil agreements entered Procedures into by the City Sec. 337 City Manager-approved Clerk of the Council relating to goods, services, and program responsibilities; Agency/Dept. Head- Originating Dept. include joint powers approved agreements Budget Annual Budget Book Clerk of the Council Council-approved City Approval Date 7 Yrs City-defined Budget Appropriation Finance Mgr. Svcs Changes to the City Approval Date 2 Yrs GC 34090 (dj Adjustments budget approved by the Council and/or City Manager Budget Backup Originating Dept. Color-coded budget Documentation forms and other support documents Fees Documentation Originating Dept. Budget forms used to justify setting or increasing City fees Correspondence Council Requests City Manager Forms used by Response Date 2 Yrs GC 34090 (dj Councilmembers to request information and/or certain staff actions City of Santa Ana Records Retention Schedule GENERAL RECORDS Resolution ~4-048 Page A-2 of A-7 RECORD RECORD DEFT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Correspondence General Receiving Dept. Refers to 'toose' Receipt Date 2 Yrs GC 34090 (d) (Continued) Correspondence- correspondence that Incoming cannot be legitimately attached to some major record series such as Projects or Agreements; see also resolution text for full definition General Originating Dept. Transaction Correspondence Date Outgoing Payroll Accrual Records Finance & Mgt. Svcs Forms to indicate Pay Period 2 Yrs FMS keep earned and used Date originals leaves permanently. Destroy dept. copies after 2 yrs. Attendance Reports Self-explanatory Exception Sheets Forms to modify and/or input late entries in attendance reports Leave of Absence Originating Dept. Forms to authorize GC 34090 (d) absence from work City of Santa Ans GENERAL RECORDS Resolution 94-048 Records Retention Schedule Page A-3 of A-7 RECORD RECORD DEFT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Personnel- Benefits Enrollment Personnel Services Forms to indicate Separatlo~ 2 Yrs Employee employee's services Date Records providem of choice Catastrophic Leave " Forms to authorize Don,,tions leave donations to employees in need Certifications Forms used to fill a v,..cant position Grievances (Closed) Grievances are filed, processed, close and ~ transferred to - employee's file Personnel- Medical Releases Personnel Services Doctor-issued forms Separation 30 Yrs LIS OSHA 29 Employee used to authorize Date CFR 19102 Records employses on leave to return to work Performance Evaluation Serf-Explanatory Separation 2 Yrs Date Separations Employee retirement or resignation Tuition Reimbursement Self-explanatory Workers Compensation Claim forms for Workers Compensation Records Retention Schedule GENERAL RECORDS i-~ Resolution 94-048 Co Page A-4 of A-7 RECORD RECORD DEFT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Personnel- Grievancee (Pending) Personnel Services Grievances filed which Receipt Date Until Closed See General are' under Grievances Records consideration or (Closed) awaiting disposition above Reclassification Dept. requests for PS Approval Date 2 Yrs GC 34090 (d) to conduct class studies on new/existing City positions Policies & Personnel-related City Manager Operating rules and Effective Date Until Procedures regulations relating to Superseded City personnel; e.g., travel policy Non-Personnel Originating Dept. SeE-explanatory Purchases Building Work Order Finance & Mgt. Svcs Forms to request Transaction 2 Yrs GC 34090 (d) minor work or repairs Date Central Services issue Receipts for materials Slips used Direct Payment Forms to generate Vouchers City checks to pay City creditors; used in lieu of PO when item(s) and vandor(s) are known; also used for direct purchases for up to $200 City of Santa Arm GENERAL RECORDS Resolution g4-048 Records Retention ~ute Page A-5 of A-7 RECORD RECORD DEFT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Purchases ~ng Requests Finance & Mgt. Svcs Receipts for FMS Transaction 2 Yrs GC 34090 (d) (Continued) copying services Date Materials Relesse Forms to order certain items direct from City- approved vendor list Petty Cash Receipts Reimbursement forms for authorized expenses under $75 Propel'b/Transfer/Loss SeE-explanatory Reports Purchase Orders Forms generated from Purchase Requisitions Purchase Requisitions Dept. request for FMS to locate best price and vendor for items to be ordered Stores Issue Slips Receipts for materieJs Travel Request & Self-explanatory Expense Report City of Santa Aha Records Retention Schedule GENERAL RECORDS Resolution 94-048 Page A-6 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Revenue Treesu~j Miscellaneous Originating Dept. Official receipts for Transaction 2Yrs GC 34~090 (d) Receipts money paid to City Date Dept, Invoices Originating Dept. Dept, forms to request Payment Date payment for services rendered Notice of Accounts Finance & Mgt. Svcs Dept. forms to request Receivable FMS to cross charge City depts, or to invoice outside parties for service rendered Revenue Deposit Originating Dept. Forms to record Transaction Statements money deposited by Date depls, wffh FMS Treasury Division Safety Cai/OSHA Guidelines Personnel Services California Effective Date Until Occupational Health & Superseded Safety Act (OSHA) Dept, Inspections Originating Dept. Dept. safety Inspection 3 Yrs Title 8 inspections reports Date Cai/OSHA Title 8 De J/OSHA Dept. Safety Committee Safety Meeting Meeting Date 7 Yrs Minutes Minutes Emergency Evacuation Serf-explanatory Effective Date Until Plans Superseded City of Santa,,,la GENERAL ~CORDS Res bn 94-048 Records Retention Schedule Page A-7 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD ' Sed~ty Equipment,inspection Originating Dept. SaJS-explarato~j Inspe(=lion $ Yrs Title 8 (Continued) Reports Date C_,al/OSHA US/OSHA 200 Log Federal OSHA fo)tm t~ Pusfing Date 5 Yrs OMB 1220- track annueJ indusb'iai 0029 '. injuries and accidents Incident and Vehicle Personnel Services Reports on Work- Report Date 2 Yrs Accident Repo~ related accidents Materials Safety Dat~ Personnel Services LJst of hazardous Indefinite Until Sheets substances depts, use Superseded Safety Training L~g Personnel Services Record of safety Ctosure Year 2 Yrs training conducted CITY OF NTA ANA RECORDS RETENTION SCHEDULE CLERK OF THE COUNCIL ) Ex~ibi~ B AG~ ~p~ ~ ~ ~ ~ g~, ~ ~ 4 Y~ ~e ~ ~1 (Agr~ment) ~, or pr~ includi~ ~int ~ur~ Sec. ~7 No~uncil poem agr~n~ ANN~ By ~ne~fion ~ume~ on g~gr~hi~l bound=les Pe~ent Permanent Microfilmed ~en (Anne~o~) ~d other da~ related to land annexa~on anne~fion ~ complete; ~ enacted by ordin~ce h=d co~ purged e~er microfilming BC B&C ~piicntiom ~pii~ons for B&C pos~iom; no action Receipt Date 2 Yrs ~ G.C. Sec. 3~90 (~ards & ~ken by the C~ ~uncil Comm~io~) ~C ~pii~tiom ~pli~o~ and s~po~ng d~u~n~ for ~1 Unti~ Acti~ ~C by ~rd or ~mm~io~ cu~e~ members of ~ v~io~ bo~ds and Su~ Supem~ed comm~ions ~C ~annual A~endance AEend~ce repo~ from Ci~'s ~ards, Council M~ng 2 Yrs Repo~ Comm~ ~d ~mm~iom Date ~ By-~ ~C ru~ ~d pr~ur~ ~ r~uired by Until C~ Cheer for ~ch ~C Super~ P~t ~C Mem~r Rles ~ board members ~t have r~igned Pe~anent Pe~ent Micr~lmed annu~ly; Records or were not reappoint~ hard copi~ purged ~ eve~ 2 years BONDS BON~iDim [ ~n~ aocumen~ used ~ e~ib~ to Permanen[ PermanenI Re~ined ~ en~ling RESO or ORD; e.g,, Ce~cat~ of microfilm and original Pa~cipation hind copy BON~ra~crip~ SuppoA documen~ such ~ ~e Ma~r~ Date 2 Yrs G.C. Sec. 34090 m~n~ned by ~e ~nd Trustee, e.g., legal opin~ns of ~nd coun~l B~T Budget By F~ Year ~nuaJ C~ ~dget gocu~nt including C~uncil M~ng 10 Yrs Perm~ent record in (~dget) RFCA's and suppo~ng documen~ Date Finance City of Santa Ana CLERK OF THE COUNCIL Resolution 94-048 Records Retention Schedule Page B-2 of B-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~the,.~ ,~ ~,~,ATE ~.~ .to SAMC Chapte[ 16 CotatcilMeetil~ ..2 Ym Council) (Dangarous Buildings) ABC Report on applications for licenses to sell Council Meeting 2 yrs ABC reports prior to (Alcoholic Beverage alcoholic beverages previously sent to Date ,. 1993 will be destroyed Control) Council; discontinued as a Council item in ', under this schedule. 1992 and now processed administratively APSAM Hearing Officer Report~ and other flies Council Meeting (Appeals Santa Aha relating to Santa Aha Municipal Code Date Municipal Code) (SAMC) Chapter 3 appeals AD Special districts established by the City to Termina~on (Assessment Districts) provide certain services (e.g., parking Date garages) financed by assessments lev~ed on district properties CITY- Identification City Logo, City Seal, City Flag, Education Permanent Permanent First Logo, and other related items CLAIMS Claims against the City received by the See Rema~s Copies of Ctalms prior CleriCs Office as agent of the Council; to 1993 retained by previously copied end flied by Clerk until Clerk will be destToyed 1992; originals now promptly routed to under this schedule. Risk Management FEES Bail, trash, water, miscellaneous fees, and Until other schedules of City fees Superseded Miscellaneous incoming and outgoing correspondence for Receipt Date 2 Yrs G.C. Sec. 34090 Correspondence current year Underground Vault & Record of transactions with microfilm Permanent. Permanent Maiotained in hard Storage, Inc. storage/retre~Val service provider copy (Microfilm Storage) City of Santa Aha CLERK OF THE COUNCIL Resolution ~4-048 Records Retention Schedule Page B-3 of RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ;.CLK PERS Radings of Fac~s and ~ of Law Transmittal Date 2 Yrs Original on ~e in (Clerk of the (Personnel Board Findings by the Personnel Board fonvarded to the '" Personnel Sen, ices Council) & Conclusions) Council per SAMC 9-118 (f) RPT rdiscellaneous reports presented to Council Council Meeting 2 Yrs (Reports) e.g., Comprehensive Annual Financial Date Report (CAFR) .. UUD Special district established by the City to Termination 2 Yrs (Underground Utility install new or move existing utility lines Date District) underground CNCL Agenda City Council Meeting Agenda Council Meeting 2 Yrs (Council Items) Date -- BK (Book) RFCA's and background information on Council Meeting Council Agenda items w/o file designations Date Policies Administrative policies set by Council Until ~' Superseded CODE BOOKS By Subject SA Municipal Code, Uniform Building, Permanent Permanent Retained in original Electrical, Mechanical, Plumbing, etc. hard copy DEEDS By Deed Number includes grant deeds, corporation grant Permanent Permanent deeds, corporation quit claim deeds, easement deeds, encroachment permits, and intent to abandon streets or alleys ELECT General Files Proof of publication and all election-ralated Election Date 2 Yrs (Flections) correspondence Sample Ballots Sample ballots, copies of election results Permanent Permanent By Election Date Nomination documents and candidate Term 4 Yrs E.C. Sec. 14600 statements for each election Expiration City of Santa Ans Records Retention Schedule CLERK OF THE COUNCIL ~'1 Resolution 94-048 Psge B-4 of B-g RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD :~Pelitions Che~er ~, initiatives, ~, ~ of 8 Mae E.C. Sec. 14700 (aecfions) and referenda; includ· intent to circulate election results requires petition Continued petition, text of petitions, City Attorney- or documents be kept 8 approved petition titles, proof of Clerk's final months after Council publication, and all related documents; exam of petition adoption of election also include copies of documents sent to or results or after Clerk's " but not returned by petition proponents Submittal final exam of petition if Deadlines no election is held. Charter Amendments Documents relating to elections on Charter Permanent Permanent amendments FRANCHISES By Franchise Grantee Grantees' acceptance of franchise and Expiration Date 4 Yrs Code of Civil related documents per SAMC Sac. 15-259 Procedures Sec. 337 FPPC FPPC Campaign Successful Candidates, Officeholders, & Filing Date Indefinite Indefinite retention per (Fair Political Statements Their Controlled Committees (Original) G.C. Sec. 81009 {d); Practice G.C. Sec. 81009 (g) Commission) allows 2-year old files to be purged after they have been microfilmed FPPC Campaign Unsuccessful Candidates & Their Election Date 5 Yrs G.C. Sec. 81009 (b) Statqments Controlled Committees (Originals) FPPC Campaign General Purpose Committees (Originals) Filing Date 7 Yrs G.C. Sec. 81009 (e) Statements FPPC Form 410 Same Statement Form used for both 7 Yrs G.C. Sec. 81009 ~ Statements of Organization' Candidates end Committees sets 4-year retention for (Copies only; originals are filed with the Form 410 but Clerk Secretary of State) retains 41 O's until the 41 5 is submitted end purges them together City of Santa Ans CLERK OF THE COUNCIL Resolution 94-048 Records Retention Schedule Page B-5 of B-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~ FPPC Form 415 Eu~t~nents of 't'em,,irmlJon lot Filing Date 7 Yrs G.C. Sec. 81009 (e) "~:~ Por~c~ -- candk~efes (Origir~) CommL~sion~ Continued FPPC Form 721 Councilmembers, Candidates, City 4 Yrs G.C. Sec. 81009 Statements of Economic Attorney, City Manager, Finance & Interests Management Services Director, and Planning Commissioners (Copies only; originals are in California Secretary of State Office) FPPC Form 730 Clerk of the Council, Clerk's staff, and 7 Yrs G.C. Sec. 81009 (e) Statements of Economic Executive Directors (Originals) Interests INS- Not Applicable (N/A) Certificates of Insurance and/or surety N/A N/A See AGMT, PRO J, or CONTRACTORS bonds required for individuals and SPEC (insurance for This is listed for reference companies on confract with the City or City Contrectors) purposes only. doing work on right-of-way (e.g., driveway aprons) ere attached to end destroyed with the appropriate PROJ, SPEC, AGMT, etc. INS- Dental Insurance Cross-reference item; contractual Expiration Date 4 Yrs Code of Civil EMPLOYEES agreements with service providers for Procedures Sec. 337 (insurance for Disability Insurance various employee insurance benefits; filed Employees) Excess Workers under vendor or contractor name Compensation beginning in 1994 Life insurance Medical Insurance INS-MUNICIPAL Property Insurance Cross-reference item; insurance coverage Expiration Date 4 Yrs Code of Civil (insurance for for city property and for potential liability Procedures Sec. 337 City property exposure arising from the conduct of City and liability) Liability Insurance business; filed under vendor or contractor name c~ o~ s~ Ar~ Records Retention Schedule CLERK OF THE COUNCIL Resolution ~4-048 Page B-6 of B-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD '~'l~ance the Clerk per SAMC Sec. 8-1800 . required by the Santa Aha Bus Shelters & Benches Proof of insurance required to be filed with SAMC Sec. 33-104 Municipal Code the Clerk per SAMC Sec. 33-104 to be filed with the Clerk) Helicopter Landings & Proof of insurance required to be filed with " SAMC Sec. 2-745 Other Stadium Users the Clerk per SAMC Sec. 2-745 Tmdcabs Proof of insurance required to be flied with SAMC Sec. 32-3 the Clerk per SAMC Sec. 32-3 INS-SAMC-2 ice Cream Vendors Insurance attached to permit applications N/A N/A Changes in filed in the Police Dept; change in insurance coverage requires written notice be sent to coverage the Clerk per SAMC Sec. 36-462 (c)(3); (SAMC requires notice logged in the Clerk Bectronic Log of changes be Service (ELOS) then forwarded to Police coursed through the Clerk) Motion Picture Permits Insurance attached to permit applications filed in the City Manager's Office (CMO) per SAMC 10-3 (a) and 10-4 (a); change in coverage requires written notice be sent to Clerk per SAMC Sec. 10-4; notice logged in ELOS then forwarded to CMO Newsboxes Insurance attached to permit applications filed in the Public Works Agency (PWA) per SAMC 33-154; change in coverage requires written notice be sent to the Clerk per same section; notice logged in ELOS then forwarded to PWA City of Santa Arm CLERK OF THE COUNCIL Resolution 94-048 Records Retention Schedule Page B-7 of B-g RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD INS-SAMC-2 Parades Insurance attached to pegait applications N/A N/A (Changes in filed in CMO per SAMC 10-9 (b); change in '' insurance coverage requires written notice be sent to coverage SAMC the Clark per SAMC Sec. 10-10 (b); notice requires be logged in EL.OS then forwarded to CMO coursed through the Clerk) .. LAND USE AMAP-By Number Used to change or modify zoning Council Meeting 2 Yrs (Planning Items) (Amendment Applications) provisions Date CUP-By Number Used to process applications for s specific (Conditional Use Permits) use of land or building in a land use district where such use may be so conditionally permitted GPA-By Number Procedure to alter, repeal, delete, or {General Plan replace the general plan or e specific plan Amendments) ME-By Number Used to process applications for waivers of (Minor Exceptions) or modifications to certain zoning provisions such as for walls, fences, setbacks, and off-street parking WA-By Number Used to process applications for waivers of {Waivers) or modifications to certain zoning provisions ZOA-By Number Procedure to amend the City's zoning (Zoning Ordinance ordinances Amendments) City of Santa Ana CLERK OF THE COUNCIL Resolution 94-048 Records Retention Schedule Page B-8 of RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~ , . PMAP-By Numbs' Maps sh°wing~iedicetions, boundaries, Council Meeting 2 Yrs Original MAPS and · ~'(Parcel and (Tentative and Final imp~, and o~rer data required by Date backup files are with Tract Maps) Parcel Maps) the Subdivision Map Act; PMAP used for Planning & Building lots (generally commercial) to be Agency; approval subdivided into no more than 4 parcels; recorded in Council TMAP-By Number TMAP for lots (generally residential) to be Minutes ~entative and Final subdivided into 5 or more tracts. Tract Maps) PROJ PRO J-Bid Awards Contracts for maintenance, rehabilitation, Completion 2 Yrs (Pr~jecta) improvement, cons~uction, or change Date orders for public facilities PROJ-Lnsing Bids Bid Award Date SPEC SPEC-Bid Awards Contracts to purchase equipment, Completion 2 Yrs (Specifications) m~terials, other goods and services Date SPEC-Losing Bids Bid Award Date SPECIAL By-laws of the Industrial Note: These non-City Council records are Until Until AGENCIES Development Authority listed in this schedule for information only. Superseded Superseded (IDA) By-Laws of the Santa Ana Financing Authority (SAFA) Redevelopment Area Files Permanent Permanent Retained on original hard copy IDA Minutes IDA Resolutior~ SAFA Minutes SAFA Resolutions City of Santa Ana CLERK OF THE COUNCIL ReeclutJon ~48 Records R~ Schedule Page B-9 of B-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD 'RECORDS ~' ha~d COpy ~' ~n~' MINS Official records of actions taken during microffim; extra set of (Minutes) Council meetings microfilm is maintained in Underground Vault & ORD Council legislation of an enduring nature; Storage, Inc. in Kansas (Ordinances) generally codified into the City Code per'Clerk's disaster RESO Council legislation of a temporal nature management records (Resolutions) and not made part of the CibJ Code recovery program REGISTER Applications for designation as historic (Sant- Ana Register of property end photogrephs of property Historic Property) CITY OF SANTA ANA RECORDS RETENTION SCHEDULE CITY MANAGER'S OFFICE Exhibit Page C1 of C-1 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Council Requests Mayor Inquiries processed for Mayor Origination Date 2 Yrs Wards 1 through 6 inquiries processed for Councilmembers ,, Grievances By Employee Grievance Files Filing Date 2 Yrs Travel Councilmember Travel Conducted Submission Date 2 Yrs Staff Travel Conducted Budget 'City Manager City Manager Office Budget & Backup Approval Date 2 Yrs City Council City Council Office Budget & Backup Correspondence Councilmember Self-explanatory Receipt Date 2 Yrs or Origination Date Staff Self-explanatory contracts City Manager City Manager-approved Contracts Approval Date 2 Yrs Billing City Manager City Manager Processing Approval Date 2 Yrs Chronological Staff Memos & Correspondence Origination Date 2 Yrs Files CITY OF SANTA ANA RECORDS RETENTION SCHEDULE COMMUNITY DEVELOPMENT AGENCY Exhibit D RECORD RECORD RECORD RETENTION RETENTION REMARKS ~¢~ ~,/13'EGI::]t~f SER~ES DESCRIPTION START DATE PERIOD Agenda DSABA Meeting Plan Meeting Date 2 Yrs Need record (Downtown Santa Aha for state and Business Association) federal program audits Housing Commission ,, SAEDC (Santa Aha Economic Development Corporation) SAPIC (Santa Aha Private Industry Council '~ SARDC (Santa Aha Redevelopment -- Commission) CDBG Final Statements Annual report to HUD of proposed Submittal Date 10 Yrs (Community fiscal year program Development Block Grant Grantee Performance Annual report to HUD of fiscal year Submittal Date 10 Yrs Program Files) Reports performance Subrecipient Dockets Files of nonprofit organizations that Grant CIoseout 3 Yrs are subgrantees Environmental Review Federally required report for all Project Completion 3 Yrs Records projects Comprehensive Housing Federally mandated 5-year report Date of Approval 5 Yrs Affordability Strategy with annual updates City of Santo Aha Records Retention Schedule COMMUNITY DEVELOPMENT AGENCY Resolution 94.,048 Page D-2 of D-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD 'CBDG Miacelianeous Reports .- ,Date of subralltai ~j yrs I (Con~nued) Section 108 Loan Federal loan paid by annual CDBG Retirement of Debt 3 Yrs Guarantee Documents allocation Urban Development Action Federal program Grant C~oseout 3 Yrs Grant (UDAG) Documents Housing Tenant files Files on clients receiving rental Data 3-5 Yrs assistance Section 8 Loan/rebate City/SAEDC Approval data Permanent documents Minutes DSABA Meeting Minutes Approval date Permanent (Downtown Santa .Rna Business Association) Housing Commission SAEDC (Santa Ana Economic Development Corporation) SAPIC (Private Industh/Council) SARDC (Redevelopment Commission) City of Santa Aha COMMUNITY DEVELOPMENT AGENCY Resolution 94-048 Records Retention Schedule Page D-3 of D-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD statements Insurance records Serf-explanatory Expiration Date Official statements & Bond information regarding Retirement Date documents building of downtown garages Annual assessments to Property tax report Assessment Date county Parking Lots Validations Dept parking validations log Validation Date 2 Yrs Parking pass files Employee parking passes Date pass returned Parking Meters Monthly revenue SeE-explanatory Date of receipt 2 Yrs statements Broken meter reports Report Date Meter repair records Repair Date Meter database info. Date of entry Real Estate Files Acquisition File Agent's diary, offer letter and other Close of escrow 2 Yrs correspondence, escrow documents, Relocation File informational documents, claim Receipt of final 2 Yrs forms, verification of payment, etc. relocation payment Appraisals Assesses value of property Receipt Date 4 Yrs Residential Real Estate includes deeds, parcel maps, tracts Creation Date Perpetual Records maps, right of way maps, etc. City of Santa Ana Records Retention Schedule COMMUNITY DEVELOPMENT AGENCY Resolution 94.-048 Page D-4 of D-4 RECORD RECORD RECORD RETENTK:)N RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Action Development Corporation and commissions Housing Commission Santa Ana Private Indust]7 Council Santa Aha Redevelopment commission CITY OF SANTA ANA RECORDS RETENTION SCHEDULE PERSONNEL SERVICES Exhibit E RECORD RECORD RECORD RETENTION RETENTION REMARKS ~,:,.:,~ i~~ .SERIES OESC~PTiON START DATE PERIOD AIR QUALITY AVR Surveys Average Vehicle Ridership Survey 2 years, each SCAQMD surveys completed by each City Completion plan year Regulation XV, employee once per calendar Date Rule 1501 year for 1 ~,~'cc~ as designated by City. Filed by department pay code, by year Commuter Services RegletraUon/payment forms filed Registration 2 years, each SCAQMD Program alphabetically for employees Date plan year Regulation XV, who are registered in the Rule 1501 commuter Sewices Program. Commuter Services Program TRP Incentives: Plan. Cash Incentive Payment Issue 2 years, each SCAQMD Payment DPV's completed once per month to Date plan year Regulation XV, And Supporting reimburse employees who are Rule 1501; Documentation registered and who meat the AB2766 Audit criteria of Commuter Services Requirements Program. incentive'Program Claim forms and documentation Date Incentive 2 years, each SCAQMD Components for $10 end $20 cash incentive, issued plan year Regulation XV, $10 and $20 bus pass incentive. Rule 1501 Filed by incentive title and year Marketing Pieces Flyers, bulletins, etc., that make issuance/ 2 years, each SCAQMD Employee Outreach EE aware of activities involving Release Date plan year Regulation XV, Contacts air quality. Filed chronologically. Rule 1501 City of Santa Aha PERSONNEL SERVlCES Resolution 94-048 Records Retention Schedule Page E-2 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD A1R QUAUTY Emergency Episode log and actions taken on Date of 2 years SCAQMD PROGRAM Nert forecasts of air quality as Episode Regulation VII, (continued) provided by Air Quality Rule 707 Management District (AQMD). Filed chronologically, BILUNGS Medical/Dental Individual medical/dental Date Received 3 years Department insurance Carrier insurance carrier billings, defined arranged chronologically by .month wifl3in each provider's file. Unemployment Ins. UI quarterly bills from State of Date Received 3 years Depertmen~- California Employment defined Development DepeY[ment, and summaries of payments made by the City of Santa Aha. Kept in chronologicei order. CONTRACT FILES Dental Official annual dental insurance Contract Microfilm & Department contract liies, arranged Expiration destroy hard defined chronologically by insurance Date copy after 3 carrier, yin; keep rn# permanent. Life Official annual life insurance Contract Microfilm & Department contract files, arranged Expiration destroy hard defined chronologically by insurance Date copy after 3 carrier, yrs; keep m/f permanent, LTD Insurance Official annual Long-Term Contract Microfilm & Department Disability (LTD) contract files, Expiration destroy herd defined arranged chronologically by Date copy after 3 insurance carrier, yrs; keep permanent. City of Santa Ans PERSONNEL SERVICES Resolution 94-048 Records Retention Schedule Page E-3 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD (continued) contract files, arranged Expiration destroy hard defined chronologically by insurance Date copy after 3 carrier, yrs; keep m/f permanent. EMPLOYMENT Full-/Part-Time U.S. DepL of Justice Immigration See Retention 3 years attar Immigration EEGIBIUTY Employees and Naturalization forms Period Column the date Reform and VERIFICATION completed and signed by EE employment Control Act of (FORMS I-9) and reviewed and verified (with begins or 1 1986, Pub. L nec~__~u'y documentation) by year after 99-603 (8 employer representative, employment is U.S.C. 1324a) Arranged alphabetically by terminated, employee's lest name. whichever is later. ENROLLMENT Dental Insurance Employee dental insurance EE separation/ Microfilm and 29 CFR FORMS (OFFICIAL) enrollment forms, arranged termination destroy hard 1602.30-.32 individually by insurance carrier, date copy after 3 and then alphabetically by yrs; keep m/f employee name. permanent. Flexible Spending, Enrollment forms for flexible EE separation/ Microfilm and 29 CFR Section 125 spending program, termination destroy hard 1602.30-.32 date copy after 3 yrs; keep m/f permanent. Life Insurance Employee life insurance EE separation/ Microfilm and 29 CFR enrollment forms, arranged termination destroy hard 1602.30-.32 alphabetically by employee date copy a/tar 3 name. ),rs; keep n~f permanent. City of Santa Ana PERSONNEL SERVICES Resolution 1~4-048 Records Retention Schedule Page E-4 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ENROLLMENT Long-Term Disability Employee Long-T'6"rm Disability EE separation/ and 29 CFR .... FORMS (OFFICIAL) Insurance Insurance enro#mem forms, termination destroy hard 1602.30-.32 (continued) arranged alphabetically by date copy after 3 employee's name. yrs; keep m/f permanent. Medical Insurance Employee medical insurance EE separation/ Microfilm and 29 CFR enrollment forms divided by termination destroy hard 1602.30-.32 each medical insurance carrier, data copy after 3 arranged alphabetically by yrs; keep nVf employee name. permanent. HISTORICAL Discipline History Forms completed by personnel End of the 3 years* Department RECORDS analysts as a record of year for which defined disciplinary actions taken on the record is employees in their particular developed. depertment(s). Arranged by year and alphebeticel order. Employee Assistance EAP records 1988 to 1991. Permanent Permanent Department Program Contains initial committee notes, defined request for proposal, resolution. Predecessor of current carrier Ufelink-EAP. Arranged by year and alphabetical order. Rtnees for duty Copies of letters sent to Permanent 3 years Department employees re need for flt~e_~_~ for defined duty exam. Psychiatrist's evaluations/results of fitness for duty exams. Arranged by year and alphabetical order. City of Santa Arm PERSONNEL SERVlCES Resolution 94-048 Records Retertfion Schedule Page E-5 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RECORDS of layoff actions including the layoffs of defined (continued) seniority lists, retirement lists, the year - July etc. Filed by department and by I of each employee name. fiscal year JOB BUII FTINS Master Copies Originals of master copies of job Date bulletin Microfilm and Department bulletins flied numerically by posted dasboy hard defined year. copy after 5 yrs; keep m/f Historical Files Includes job bulletins, past and Date first Ongoing; when Department present. One copy of every past bulletin for a class is deleted defined bulletin and supplemental c!a_~<ificafion is records are application form is retained, posted segregated .. Each time a new bulletin is and may be _ printed, a copy is acco-clipped microfilmed. to the folder and extra copies are put in the file. Filed alphabetically by job classification title. JOB Classification/ Bbesis for salary rates, job Date study 10 years Department SPECIFICATIONS Compensation Study descriptions. Arranged completed defined Records alphabetically by classification title. Full-Time Positions Historical collection of job Date job Ongoing; when Department descrip-tions as changed over classification class is deleted defined time for City of Santa Aha full- deleted records are time job c!e_~_<_!ficafions, segregated and may be microfilmed. City of Santa Ana Records Retention Schedule PERSONNEL SER~CES Resolution 94-048 Page E-8 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD JOB League of Cities Preparation f~es and final copies - Survey Two years Deparffffent SPECIFICATIONS Benchmark and for League of Cities. completion defined (continued) Benefits Survey date Part-time/Temporary Background material and final Date job Permanent Department Positions job description for all part-time '.classification defined and seasonal positions, arranged deleted in alphabetical order. LOSS CONTROL Hearing Tests Audiological test results. Employee 30 years total - CAL OSHA separation/ keep hard Title 8 termination copy only. date Hepatitis Vaccination Records of dates hepatitis Employee 30 years total; CAL OSHA Records vaccinations administered, separation/ microfilm and Title 8 termination destroy hard date copy after 5 yrs; keep m/f 25 yrs. Incident Reports Police report or additional Report 5 yrs maximum Department internal accident review forms, completion - keep hard defined date copy only. Inspection Reports Loss Control inspection reports Date 5 yrs maximum Department which show date, time, and inspection - keep hard defined location of safety inspections; conducted copy only. also identifies ha,',ards. MEMORANDA OF FBA Memorandum of Understanding Permanent Permanent - Department UNDERSTANDING between the City of Santa Aha Keep one hard defined and the Santa Aha Firemen's copy for each Benevolent Association. year City of Sant~ Arm PERSONNEL SERVICES Resolution 94-048 Records Retention Schedule Page E-7 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD UNDERSTANDING between the City of Santa Ana Keep one hard defined (continued) and the Santa Arm Fire copy for each Management Aasociation. year PMA Memorandum of Understanding Permanent Permanent - Department between the City of Santa Aha Keep one hard defined and The Santa Aha Police copy for each Management Association. year POA Memorandum of Understanding Permanent Permanent - Department between the City of Santa Ana Keep one hard defined and the Santa Aha Police copy for each ~ Officers Association. year : SACEA Memorandum of Understanding Permanent Permanent - Department between the City of Santa Arm Keep one hard defined and the Santa Aha City copy for each Employees' Associafiort/Service year Employees International Union ~ 1939, AFL-CIO, CLC. NEGOTIATIONS Benchmarks Original notes Contract 3 years Department expiration date defined FBA (1990) Firemen'$ Benevolent Costs Association Contract 3 years Department Fire Prevention Original notes expiration date defined Salary and Wage Original notes Original notes FMA Original notes on negotiations Contract 3 years Department between City of Santa Aha and expiration date defined Santa Aha Fire Management Association. G~ ct ~m~ Ar~ ~ P, eten~on ~ule PERSONNEL SERVICES Resolution 94-048 Page E-8 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD NE'Go'RATIONS Miscellaneous ~r~ginal notes on miscellaneous Contract 3 years Dep~ (continued) negotiations, expiration date delined PBA (1990) Police Benevolent Association Costs Original notes Contract 3 years Department · . Salary and Wage Original notes expiration date defined PMA Original notes on negotiations Contract 3 years Department between City of Santa Aha and expiration date defined Santa Aha Police Management Association. POA Original notes on negotiations Contract 3 years Department between City of Santa Aha and expiration date defined Santa Ana Police Officers Association. SACEA Original notes on nagotiations Contract 3 years Department between City of Santa Aha and expiration date defined Santa Aha C~ Employees' Association/Service Employees International Union Local 1939, AFL-CIO, CLC OFFICIAL Catastrophic Leave Forms to authorize leave EE separation/ 3 years* 29 CFR PERSONNEL FILES Donation Form donations to employees in need termination 1602.30-.32 who have suffered a non- date industrial injury or sickness. Certification/ Request for Certification and/or EE separation/ 3 years* 29 CFR Reassignment Forms reassignment forms which termination 1602.30-.32 document and authorize hiring, date reassignment, or other employee actions. City of Santa Ant PERSONNEL SERVICES Resoluticm l}4-o48 Records Retention Schedule Page E-9 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PERSONNEL FILES Training show completion date of training termination 1602.30-.32 (continued) claes(es), date Commendation Letters of commendation and/or EE separation/ 3 years* 29 CFR Letters other congratulatory documents termination ,. 1602.30-.32 received by end/or issued to EE. date Disciplinary Actions Memorandums, letters, or other EE separation/ 3 years* 29 CFR records of proposed and/or termination I 1602.30-.32 implemented disciplinary date I action(s). Doctor's Notes/medical release forms, EE separation/ 30yrs total; US OSHA ~9 Notes/Medical etc., submitted regarding termination microfilm and CFR 1910.20 Releases employee's medical condition, date destroy hard . copy after 3 ~ yin; keep m/l' 27 yrs. Drug Screen Test Pre-placement and drug EE separation/' 30 yrs total; US OSHA 29 screening authorization and termination microfilm and CFR 1910.20 acknowledgment form(s) and date destroy hard results of drug screening, copy after 3 yrs; keep m/f 27 yrs. Family and Medical Basic employee data (name, Date FML Microfilm and Federal Family Leave (FML) address, class title, pay rate, requested/is destroy hard and Medical hours worked per pay period; granted to EE copy after 3 Leave Act of additions to or deductions from yrs; keep m/~ ' 1993 and US wages). 27 yrs. OSHA 29 CFR 1910.20 Records Retention Schedule PERSONNEL SERVICES Resolution 94-048 Page E-lO of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Family and Medical (or hours) FML Date FML I~=rcm'lm and" Federal Family PERSONNEL FILES Leave (FML) designated/taken; copies of FML requested/'= destroy hard and Medical (continued) (continued) notices given to employer by granted to EE copy after 3 Leave Act of employee; documents I~om yrs; keep m/f 1993 and US employer describing FML 27 yrs. OSHA 29 CFR policies; records of premium 1910.20 payments of employee benefits; records of any dispute re: FML. In confidential files: Date FML Microfilm and Federal Family records/documents relating to requested/',~ destroy hard and Medical medical certifications, granted to EE copy after 3 Leave Act of yrs;.keep m/f 1993 and US 27 yrs. OSHA 29 CFR 1910.20 Grievances (closed) Files containing EE's, group of EE separation/ 3 years* 29 CFR employees', or the Union's termination 1602.30o.32 timely complaint es defined in date the MOU. I.D. Form Form completed by new EE separation/ 3 years* 29 CFR employees providing identifying termination 1602.300.32 information used to proc~ date Santa Aha Police Dept. records check. Job Application Applications for employment and EE separation/ 3 years* 29 CFR resumes (if any) for hired termination 1602.300.32 employees, date City of San~ Arm PERSONNEL SERVICES Resolution g4-O48 Records Retention Schedule Page E-11 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PERSONNEL FILES Absences (Including the documentation of medical termination miorofilm and CFR I g10.20 (continued) Pregnancy Leave leave (including pregnancy leave date destroy hard and Family and and Family and Medical Leave). copy after 3 Medical Leave). yrs; keep m/f 27 yrs. Miscellaneous Documents not specifically EE separation/ Jf medical- Medical related Documents mentioned but kept in official termination related, 30 yrs - LIS OSHA 29 personnel file. date (3 yrs es hard CFR 1910.20; copy; microfilm non-medical - keep perm.); related - 2g non-medical, 3 CFR 1602.30-~ years* .32. Notice of Separation Form completed by employee EE separation/ 3 years* 29 CFR ;- and/or department indicating termination 1602.30-.32 effective date of separation, last date day on the job, mason for separation, etc. Oath of Office Form completed and signed by EE separation/ 3 years* 29 CFR employee affirming allegiance to termination 1602.30-.32 the Constitution of the United date States and the Constitution of the State of California. Outside Employment Form submitted by employee for EE separation/ 3 years* 29 CFR approvaJ for employee to be termination 1602.30-.32 engaged in outside employment, date C~ of Santa Ana Records Retention Schedule PERSONNEL SERVICES Resolution 94-048 Page E-12 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Performance Employee performance EE separation/ 3 years* 29 CFR PERSONNEL FILES Evaluations evaluation forms completed by termination 1602.30-.32 (continued) supenasory personnel re date employees accomplishment of their assigned duties and responsibilities, etc. PERS Enrollment Forms to enroll employees in the EE separation/ 3 years* 29 CFR Public Employees' Retirement termination 1602.30-.32 System (PERS) date Pre-Employment Forms completed by employee EE separation/ 30 yrs total; US OSHA 29 Medical and medical clinic to assess termination microfilm and CFR 1910~.0 physical capability of employee date destroy hard prior to hiring, copy after 3 yrs; keep n'Vl' 27 yrs. Security Check Form Form completed by Personnel EE separation/ 3 years* 29 CFR Svss to requerst Police Dept to termination 1602.30-.32 conduct security check on date employee prior to hiring. Special licenses Special licanses issued to EE separation/ 3 years* 29 CFR employees from DMV, termination 1602.30-.32 accredited schools, etc., date verifying employee meets certain job-related requirements. Tuition Copies of applications for EE separation/ 3 years* 29 CFR Re/mbursement training and educational termination 1602.30-.32 Request assistance which show EE date request, department head approval, and final disposition of request. Cibj of Santa Aha PERSONNEL SERVICES ' Resolution 94-048 Records Retention Schedule Page E-13 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Unk a nk Oon on by emp yee EE S year * 2 CFR PERSONNEL FILES Form authorizing leave hours be termination 1602.30-.32 (continued) donated to the Union Business date Leave Bank to be used by union leaders for Union Business. W.4 form Employee's Withholding EE separation/ Microfilm and 29 CFR Allowance Certificate completed termination destroy hard 1602.30-.32 by EE authorizing employer to date copy after 3 withhold Federal income tax yrs*; keep m/f from employee's pay and/or for permanent. indicating exemption. PAYROLL Employee Kardex Reference for current and/or EE separation/ Microfilm end Department File Cards separated full/part-time termination destroy hard defined employee information (pay, date copy after 3 T address, Occ codes, etc.) yrs; keep m/f arranged alphabetically by permanent. employee's lest name (current employee Kardex cards also arranged in card trays by dept., then alpha by EE name). Salary Schedules Basic Consolidated Permanent Microfilm and Department Clessification/ destroy hard defined CompeRsafion Plans copy after 3 yrs; keep rr~ permanent. PERSONNEL Attendance Records Attendance records of personnel End of 2 years Department BOARD board members used for payroll calendar year defined purposes, arranged in chronological order. City of Santa Ana Records R~entJon Schedule PERSONNEL SERVICES Resolution 94-048 Page E-14 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PERSONNEL Pemennel Board Employee pemonnel board EE se~ ,e. years* 29 CFR BOARD (continued) Hearing Files hearing files, termination 1602.30-.32 date Personnel Board Arranged,~ccording to hearing Permanent Permanent Department Meeting Minutes date. defined PHOTO CONTEST 1990 Photo Contest Folder of materials regarding Permanent Permanent Department MATERIAL Photo Contest. defined RECRUITMENTS Background Materials used in the Date 2 years Department Materials preparatiorVimplementation of recruitment for defined recruitments, position is initiated. Bilingual Certification Forms certifying bilingual Permanent Permanent Department Forms capabilities for employees defined receiving bilingual pay and for applicants for recruitments which require bilingual capability. CerlJflcation Log Active and inactive, arranged by Date of lest 10 years Department Books cart number listing cea number, entry defined c!e_~_~flication title, department, cert date, appointment date, name of hired employee, and whether promotional or non- promotional appointment. City of Santa Aha PERSONNEL SERVICES Resolution 94-048 Records Retentfi:m Schedule Page E-15 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD (continued) Trecidng regarding each fill-tim request for certification de6ned for certflication received: date received received, dept., position, replacement name, reason for request, date to analyst, date to C.M., date approved. Eligible List Cards Active and inactive listings of Earlier of 20 yrs total; Department person(s) eligible for referral to eligible list microfilm and defined departments to fill vacancies, e)q3iration date destroy hard Aofive cards are kept separate or eligible ~ copy after 5 f~om inactive cards. Both sets of abolishment yin; keep m/f cards are kept in alphabetical date 15 yrs. order according to cleasificefion. I Ethnicity Stubs From employment applications Earlier of date 3 years* 29 CFR submitted at recruitment time, eligible list 1602.30-.32 arranged in boxes in recruitment established or order number and alphabetically date by applicant last name within the recruitment recruk'Tnent order grouping, cancelled Kept for outreach purposes. Examination Answer Examination answer sheets Earlier of date 3 years* 29 CFR Sheets completed by applicants during eligible list 1602.30-.32 testing process and other testing established or materials. Arranged in folders in date alpha order by title of recruitment examination, cancel/ed City of Santa Aha PERSONNEL SERVICES Records Retention Schedule Resolution 94-O48 Page E-16 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RECRUITMENTS Examination Files Recruitment examinafion ~le Earrler of date 3 years* 29 CFR (continued) folders arranged alphabeficaJly eligible list 1602.30-.32 according to classification title, established or date recruitment Official Eligible Lists Eligible lists signed by City Earlier of date 3 years* 29 CFR Manager. Lists of individuals eligible list 1602.30-.32 placed on an eligible list card for established or hiring purposes (copies only- date original signed eligible lists are recruitment with recruitment tile folder cancelled (according to classification title)), Arranged in alpha order within file folders arranged by year, Testing Materials Contains historicaJ data, used for Date eligible 3 yrs or as Department testing candidates, arranged in list esteblished tong es useful, defined alpha order by job title, whichever is longer. REIMBURSEMENT Flexible Spending, Official records of reimbursement Date Received 3 years Department RECORDS Section 125 for Flexible Spending, Section defined Participants 125 participants, arranged chronologically by month and year, and alphabetically by employee name within each monthly file. REPORTS- Accruals - payroll Monthly payroll accrual Date received 3 years Department COMPUTER computer-generated reports, defined GENERATED City of San~a Arm PERSONNEL SERVICES Resolution 94-048 Records Retention Schedule Page E-17 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD REPORTS- Liability Loss Run I:.iabaty ~ runs ~ in Permane~ Permanent for Depertm~nt COMPUTER chronological order. I.Jsts claim the months of defined GENERATED ~, type of claim, claimant's June, July, and (Continued) name, history per f~,ceJ year, December of reserve balances, totals incurred each year REPORTS- Employee Changes, Official monthly reports of End of each 3 years Depe~'ment MISCELLANEOUS Additions, Deletions medical/dentat/life/LTD insurance month defined In Medical Insurance changes, additions, deletions for each employee, arranged chronologicaJly by month for each insurance carrier. Monthly Report of employees hired, Distribution 10 years Department Departmental Report resigned, retired, dismissed, etc. date defined REVIEWS Charter (1983-1989) Permanent Permanent Department defined Civil Service Code (1983-1989) Committee Permanent Permanent Department recommendations for code defined amendments. RISK Actuarial Studies and The City is required to have Various Microfilm and Department MANAGEMENT Audits actuarial audits. The actuarial destroy hard defined studies help the City determine copy ~lter 10 how much money it may need to yrs; keep m/f fund claims. Arranged permanent. alphabetically and/or in chronological order. Oity of 8ant~ Ans Re~orc~ Retention ~hedu~e P~RSONNEL Rasolution g4-048 Page E-18 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK BICEP Big Indep~:~ 1988 --" ~ ~e Department MANAGEMENT Pool (BICEP) files. Information perpetual; ail defined (continued) regarding this insurance pool, other BICEP whose aim is to shield member flies microfilm cities from financial impairment and destroy ,, due to large liability claims, hard copy after judgements and settlements. 10 yrs; keep Arranged alphabetically and/or in m/f permanent. chronological order. CAJPA Accreditation California Association of Joint Various Microfilm and Department Powem Authority files having to destroy hard defined do with review of assembly and copy after 5 senate bills, and positions taken yrs; keep m/f for risk management pools es permanent. they pertain to municipalities. Arranged alphabetically and/or in chronological order. Certificates of Show details of the coverage 1989 Microfilm and Department Insurance (liability, property or workem' destroy hard defined compensation) the City has copy after 10 acquired for those items needing yrs; keep m/~ insurance coverage. Arranged permanent. aiphabeticaJly and/or in chronological order. Certificates of Similar to revenue bonds which Various Microfilm and Department Participation are used to finance things. Our destroy hard defined interest is bonds where we are copy after 10 required toshow proof of yrs; keep rn/f insurance, and the BICEP bonds permanent. which funded claims reserves. City of Sants Arm PERSONNEL SERVlCES Resolution 94-048 Records Retention Schedule Page E-19 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK Insurance Policies- City's liability coverage, Ihrough" Permanent Permanent Deparlmant MANAGEMENT Liability BICEP/ROllins Hudig Hall (RHH) - defined (continued) broker and their predecessors and prior insurance brokers. Arranged alphabetically end/or in · . chronological order. insurance Policies- For the City's properbj coverage, Various Microfilm and Department Property through the Public Entil~es destroy hard defined Property insurance Program copy after 10 (PEPIP)/Robert F. Driver yrs; keep m/f Associates (brokers)~ Arranged permanent. alphabetically and/or in chronological order. Insurance Policies- For City's Excess Workers' Various Perpetual Department Workers' Comp Compensalion insurance, defined . through BICEP/RHH and pdor insurance brokers. Arranged alphabetically and/or in chronological order. liability Claims Non-litigated tort claims filed Final 5 years Department Against the City against the City for damages to resolution date defined persons or personal property. Filed alphabetically by claimant's lest name. Police Any files regarding City's Police Various Microfilm end Department Department which have to do destroy hard defined with insurance or possible copy after 5 liability issues. Arranged yrs; keep rn~ aiphabetioaily and/or in permanent. chronological order. City of Santa Ana Records Retention Schedule PERSONNEL SERVICES Resolution 94..048 Page E-20 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK PRIMA "' Public Rial( Management Vedous Microfilm and Department MANAGEMENT Association files. Arranged destroy hard defined (con~nued) alphabetically and/or in copy after 10 chronological order, yrs; keep m/f permanent. Special Events A 'Special Events' coverage, Various Microfilm and Department insurance celled Tenants/Users liability destroy hard defined Insurance Program' (TUMP), copy after 10 provided to the City through yrs; keep rn/f BICEP/RHH. TUUP is set up to permanent. insure third parties for use of City property, providing liability coverage for the City. Also includes special events policies prior to TUUP. Arranged alphabetically and/or in -- chronological order. State of California State report of workers' July, 1975 Perpetual Department Annual Report compensation liabilities, defined Tax Reports (1099's) January 1, 1993 Perpetual Perpetual Department defined Tax~ and Tow Truck Information regarding Risk Various Microfilm and Department insurance Management and City destroy hard defined codes/insurance requirements copy after 10 for both ta)ds and tow trucks, yrs; keep rn~ Arranged alphabetically and/or in permanent. chronological order. ~ of Santa Ana PERSONNEL SERWCES Reso~u~on 94-048 Records Retention Schedule Page E-21 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~ Underground Insurance; ~ ~, proof Various Pefl:)etual Department MANAGEMENT Storage Tanks of compliance and other defined (continued) documentation regarding underground pettoleum storage tanks. Arranged alphabetically and/or in chronological order. Vehicles insurance/City regulations Various Microfilm & Department regarding City vehicles, destroy hard defined Arranged alphabetically and/or in copy after 5 chronological order yrs; keep m/f permanent. TRAINING Attendance Sign-in Management and Leadership Permanent Permanent Depadment Sheets Training Programs forms used to defined validate attendance at training sessions which is a criteda for receiving a Cellffioate of Completion. Rled by program in chronological order. Class Training Training records of all clesses Ending date of 2 years Department Records every semester arranged in each class defined alphabetical order and by semester in numeric order. Employee /~plJcations for the Public Permanent Permanent Department Applications Business Management classes defined and the Advanced Leadership Development classes. Used for background info for faculty members and as a registration form for the programs; arranged by program, chronologically and alphabetically. City of Santa Ana PERSONNEL SERVICES Resolution 94-048 Records Retention Schedule Page E-22 of E-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WORKIng' First Nd/Report Only Nofice~ that an injury has Final .action 8w/ears Labor Code COMPENSATION Incident happened - no medicai records, date 5405 and Title Reports arranged alphabetically 8 California by employees' name. Code of Regulations · , #14311 Indemnity Claims Open/active and closed/inactive Final action Lifetime Title 8 Files tempera~' and permanent date on claim medical award Cai/fornia Code disability claims flies involving cases of Regulations exposure to lost time. destroyed #15400.2 Permanent disability to be upon death of compensated. Contains medical individual. files and payment history. 'Medical Only" Open/active and closed/inactive Final action 7 years Title 8 Claims Rles claims files. Contain claim date on claim California Code forms, billings, medical records, of Regulations check copies, et, c. EE injury - no #15400.2 loss of work greater than 3 days. Arranged alphabetically by employees' name. PERS (Sworn) Claims filed by.EE's {sworn) for Permanent Permanent Government Industrial Disability PERS disability retirement. Files Code Section Retirement Files arranged alphabetically by EE's #21101 (Official) name. 29 CFR 1602.30-.32 Employment and personnel records kept under the EEOC regulations must be preserved for three years. In the case of involuntary termination of EE, personnel records of terminated EE shall be kept for a period of 2 years from the date EE terminated, ff charge of discrimination flied, personnel records relevant to the charge or action shall be kept until final disposition of the charge or action. CITY OF SANTA ANA RECORDS RETENTION SCHEDULE FINANCE & MANAGEMENT SERVICES Extlibit F RECORD RECORD RECORD RETENTION RETENTION REMARKS ~ ..~... ~ ~CA. ~'IEC.~3RY , ,~PJ ES DESCRIPTION START DATE PERIOD FINANCE & ACCOUNTS Lists paid invoices by vendor. Beginning of Hard copy- MANAGEMENT PAYABLE-Cash each Fiscal Year 1 year. SERVICES Requirements (AP50) Microfiche- indefinite. ACCOUNTS Lists paid invoices by fund and Beginning of Hard copy- PAYABLE-Distribution activity, each Fiscal Year 1 year. Register Microfiche- (AP70) indefinite. ACCOUNTS Lists weekly payments to vendors Beginning of Hard copy- PAYABLE-Vendor by vendor name. each Fiscal Year 3 year, ~ Claim Check Register Microfiche- (AP65) indefinite. ACCOUNTS End of year accounts payable Beginning of Hard copy- PAYABLE-Cash & accruals, each Fiscal Year I year. accrual closing Microfiche- indefinite. AIR QUALiTY Annual emission fee report for March of each 5 years MANAGEMENT Coq3, Yard-Rule 301. year DISTRICT-Misc. Records (Fleet) Fuel tank permits and fees. Permit due date 3 years Emergency generator permits. Permit due date 3 years AUDiT-Working Audit documents. Year-end Close of fiscal 3 years papers financial work papers year BANKS-Agreements Contractual egrrements relating to Last Transaction 3 years investments Date City of Santa Aha Records Retention Schedule FINANCE & MANAGEMENT SERVICES Resolution 94-048 Page F-2 of F-15 RECORD RECORD RECORD R~- ~ ~-NTION R,- ~ ~-NTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD BA~k Listing of all Checks clearing City Check paid date 2 years Reconcilement account. BANKS-Deposit Slips Treasury's copy of all deposit slips Date of deposit 3 years prepared and sent to bank. BANKS-Statements Statements relating to investment Statement Date 3 years banking BANKS-Retum Includes copies of customer checks Wire date 3 years Checks retumed by bank, letters sent to customers, and other information. BANKS-Wire Transfer All documents from banks Report date 3 years Activity Records pertaining to the wiring of funds to/trom bank accounts. BANKS-Daily Bank Reports of Daily Banking activity. Transaction 3 years Balance Report Date BIDS-Informal Bids Self-explanatory. Date of bJd 4 years (less than $10,000) award BIDS-Formal Bids Self-explanatory. Date of bid 4 years (over $10,000) award BIDS-Bidder Self-explanatory. Application date 2 years Applications BIDS-Specifications Specifications for equipment bids Date of bid 3 years (Fleet) award City of Santa Aha FINANCE & MANAGEMENT SERVICES Resolution 94-048 Records Retentiorl Schedule Page F-3 of F-15 RECORD RECORD RECORD RETENTION R~ I~q~ON REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD BINGO UCENSE- Curre~ and historic Date of receipt 3 yeats _. Misc. Documents filing/payment/audit files plus current year BONDS-1911 Act Registers issuance date 3 years Street improvement from date Bonds " of last BONDS-1911 Act This file contains: letters to Issuance date 3 years Misc. Documents Bondholders; canceled from bonds/coupons; payments to closure bondholders; legal documents pertaining Bond Act of 1911. BONDS-Water All legal documents pertaining the Issuance date 3 yesrs Revenue Bonds City's Water Revenue Bond from program, closure BUDGET-Budget Year.to-date expenditures and Begin FY 10 Years for Retain at least Report/Revenue revenue June 30 1 hard copy. Report-Monthly Report BUSINESS LICENSE SeE-explanatory Date of 3 year from TAX-Original application cessation of Applications business BUSINESS MCENSE Deleted and/or canceled accounts Date of deletion 3 years TAX-Deletion Records BUSINESS LICENSE Self-explanatory Date of renewal 3 years TAX-Renewal Registration Records City of Santa Ana Records Retention Schedule FINANCE & MANAGEMEI~T SERVICES Resolution ~4-O48 Page F-4 of F-15 RECORD RECORD RECORD RETEN3'] ON R~ ~'t::NT]ON REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD BUSINESS UCENSE- Bills processed thru d,~ Issu~ date 3 yearn Remittance Processing Remittance Processor. Processing COMPREHENSIVE Documents supporting CAFR. June 30 of each Until Purged after ANNUAL FINANCIAL year completion audit is REPORT-Working " of audit completed papers by fund COMPREHENSIVE General Purpose Financial Publication date 10 years Retain at least ANNUAL FINANCIAL Statements. 1 hard copy, REPORT-Audited CAPITAL ASSET- Annual list of capital assets Beginning Fiscal Hard copy- Annual Depreciation depreciation, Year 1 year Microfilm indefinite. CAPITAL ASSET-By Lists capital assets by activffy Beginning Fiscal Hard copy- Activity number. Year 1 year Microfilm indefinite. CAPITAL ASSET-By Lists capital assets by fund number, Beginning Fiscal Hard copy- Funding Soume Year 1 year Microfilm indefinite. CAPITAL ASSET- Lists all city capital assets, Beginning Fiscal Hard copy- Master listing Year 1 year Microfilm indefinite. CAPITAL ASSET- Lists c~tpital assets changes as they Beginning Fiscal Hard copy- Update occur. Year 1 year Microfilm indefinite. City of Santa Aha FINANCE & MANAGEMENT SERVICES Resolution 94-048 ~ Retention Schedule Page F-5 of F-15 RECORD RECORD RECORD R~- ~ ~NTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CDBG-Comrnunity List CDBG project expe_.nditures, End of fiscal 5 yearn Development Block encumbrances, & available year Grant Report balances. CHECKS-Workers' Paid/canceled checks issued by the Paid date 3 years Compensation City (vedous banks) CHECKS-Outstanding Lists issued checks, paid checks & Monthly at end Hard copy- Checks Reports outstanding checks for the month, of month 1 year (VEN020,021) Microfil- indefinite CHECKS- Paid/canceled checks issued by the Paid date 3 years Paid/Canceled City (vadous banks). Checks CHECKS-Voided Semi-menthiy payroll checks that Issue date 2 years Payroll Checks have been voided, where stub end is issued representing payroll direct deposits into employees credit union account. CHECKS-Voided Self-explansto~/. Voided date 2 years Checks voided Checks as a result of printer alignment. CHECKS-Payroll listing of payroll checks issued. Report date 3 years Check Register Ci~ of S~nta Aha Records Retention Schedule FINANCE & MANAGEMENT SERVICES Resolution 94-048 Page F-6 of F,15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~ECKS- -, Checks voided/cancelad; listing of Report date 2 years Voided/Canceled & all City checks voided or canceled. related Report(s) CHECKS-Treasury NCR copy of checks issued by issued date 3 years ,, Checks Vouchers Treasury Division. CHECKS-Treasury listing of all checks issued by Report date 3 years Check Report Treasury division CENTRAL SERVICES- lists all Central Services charges End of fiscal Hard copy- Balance Lists by fund and activ'rty, year I year Microfiche- indefinite DOG LICENSES- SeE-explanatory Issuance date 3 years Receipts DOG UCENSES- Self-explanatory Report date 3 years Report of dog licenses issued E.P.A. HAZARDOUS List of annual disposal of Report date 7 years WASTE-Annual Report hazardous waste. E.P.A. HAZARDOUS Manifests from hazardous waste Date of pick-up 7 years WASTE-Manifests haulers for materials picked-up or generated by the City. City of Santa Ana FINANCE & MANAGEMENT SERVICES Resolution 94-048 Records Retention Schedule Page F-7 of F-15 RECORD RECORD RECORD R~- I ~-NTION Rbl bNl'lON REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD EQUIPMENT-Record Initial document to se{ ap In-Service date Equipment Cards (Fleet & Acct.) equipment number into system, life + 5 years EQUIPMENT-Book lists equipment rental charges by Report date 3 years Report equipment number and account number. EQUIPMENT-Repair Records of fleet repair orders. Date of service Equipment Order Files life EQUIPMENT-Surplus Records of fleet repair orders for Surplus date 5 year after Files surplus vehicles, surplus EQUIPMENT-Accident Estimates of collision repair order .Date of 7 years files for vehicles involved in accidents, accidents GENERAL LEDGER- list all posted entdes to general Beginning f~l Hard copy- FY Report(GL150) ledger for the Fiscal Year. year 1 year Microfiche indefinite GENERAL LEDGER- lists account balances for current Beginning fiscal Hard Copy- Trial Balance (GL120) month, year 1 year Microfiche indefinite HOUSING Lists Ho-sing Assistance payments Beginning fiscal Hard copy- ASSISTANCE- by account number, year 1 year Expenditure Detail Microfiche indefinite HOUSING Lists Addresses/payment amounts Beginning fiscal Hard ccpy~ ASSISTANCE- of Hag. Assistance recipients, year 1 year Housing Balance Microfilm indefinite City of Santa Aha Records Retention Schedule FINANCE & MANAGEMENT SERVICES Resolution 94-048 Page F-8 of F-15 RECORD RECORD RECORD RE I I=NTION RE ~ ~-NTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD · ';.INTEREST -Lists interest earned from Beginnincj_flscal Hard copy- DISTRIBUTION investment by fund number, year 1 year Microfilm indefinite INVENTORY Issues & Lists inventory issues from stores Beginning fiscal Hard copy- Adjustments (IN150) by ~tock number and account year 1 year number., IRS Form 1099 Self-explanstory Following Hard copy- and IRS Form W-2 completion of 4 years calendar year Microfilm- indefinite ISSUE SUPS-Fleet Parts ordered 'Date Issued 1 year Maintenance JOURNAL Document used to manually post Beginning fiscal 3 Yrs VOUCHERS entries to general ledger/cost year Microfilm- ledger, indefinite LABOR-Labor Lists labor charges by city Beginning fiscal Hard Copy- distribution by department, year 1 year department Microfiche- indefinite LABOR-Labor lists labor charges by account Beginning fiscal Hard Copy- distribution by fund number and employee number, year I year Microfiche- indefinite LABOR-Posting Errors Lists labor charges unable to post Weekly Hard Copy- by account number and work order I year number. Microfilm- indefinite Records Retention Schedule FINANCE & MANAGEMENT SERVICES Resolution 94-048 Page F-9 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD I.ABOR-Monfl'~y t.ists acl~J payroll-payments to Beginning fiscal Hard copy- Compensation employees by department, year 2 years Distribution LABOR-internal Lists labor charged for PWA Project Beginning fiscal Hard Copy- Service -Fund 86- Mgmt. employees by account year I year labor (PAY156) number. Microfilm- indefinite LABOR-Payroll Lists monthly payroll insurance by Beginning fiscal Hard copy- Insurance Distribution account number, year 2 years MAINTENANCE Maintenance request attached to Date repair Life of REQUEST-Fleet repair order order opened equipment MISCELLANEOUS Lists misc. unpaid billings by Bi-monthly Hard copy- ACCOUNTS customers name (i.e, false alarms. I year RECEIVABLE-by accident damage) Microfiche- customer indefinite MISCELLANEOUS List misc. unpaid billings by fund. Bi-monthly Hard copy- ACCOUNTS 1 year RECEIVABLE-by fund Microfiche- indefinite MISCELLANEOUS Used to reconcile actual Bi-monthly Hard copy- ACCOUNTS billing/payments to data processing indefinite RECEIVABLE-edit totals, proof M!SCELLANEOUS Lists all activities to account Annually Hard copy- ACOUNTS receivable ledger for FY, 5 years RECEIVABLE-Year to date City of Santa An~ FINANCE & MANAGEMENT SERVICES Resolution 94-O4~ CX~ Records Retention Schedule Page F-10 of F-15 RECORD RECORD RECORD Rr- ~ ~-NTIOIN R~ ~ ~NTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ... ,MUNICIPAL UTIUTY Lists daily receipts to Municipa~ Receipt date , Microfilm- ACCOUNTS-Payment Utility accounts by account number, indefinite MUNICIPAL UTILITY LIsts deposits to municipal utility Receipt date Microfil,rn- ACCOUNTS-Deposit accounts, indefini{e Reports MUNICIPAL UTILITY LIsts payments for municipal utility Receipt date Microfilm- ACCOUNTS-Refund refunds, indefinite check register MUNICIPAL UTILITY lists balances of all municipal utility Monthly Microfilm- ACCOUNTS-Trial accounts, indefinite Balance MUNICIPAL UTILITY Miscellaneous computer reports Receipt date 3 years ACCOUNTS- relating to municipal utility billings. Computer Reports MUNICIPAL UTILITY Includes water start-up notices, Report date 2 years ACCOUNTS-Customer stop-water notices, deposit slips, files investigations of water meter notices, and Meter Exchanges. MUNICIPAL UTILITY Computer reports detailing Report date Microfilm- ACCOUNTS-Billing accounts billed & respected indefinite History Reports charges. City of Santa Arm FINANCE & MANAGEMENT SERVICES Resolution g4-o48 Records Reten~on Schedule Page F-11 of F-15 RECORD RECORD RECORD R~ r~-NTION R~ ~ ~-NT~ON REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OVERHEAD Lists indirect costs & overhead End of fiscef Hard copy- DISTRIBUTION- charges by account number, year 1 year Indirect Cost/Capital Microfilm- Project indefinite PARAMEDIC-Daily Doc. prepared by Fire Dept. to D,a, ily Hard copy- incident report inform Accounting to send 2 years paremedic billing. PARAMEDIC-end of Serf-explanatory Daily 2 years month report Microfilm- indefinite PARAMEDiC-Purged Lists of accounts removed from Daily 2 years accounts report computer system. Microfilm- indefinite PARAMEDIC-Daily Serf-explanatory Daily 2 years Summary Microfilm- indefinite PARAMEDIC- Explanations of benefits. Daily 2 years Medicare/Medical Microfilm- indefinite PARAMEDIC- Medicare report for electronic Daily 2 years Medicare billing. Microfilm- indefinite PARAMEDIC-Billing Lists Paramedic Billing payments Daily 2 years Deposits Processed received by Treasury. (includes Microfilm- Treasury Copy and Deposit Slip) indefinite City of Santa Ana Records R~en§on Schedule FINANCE & MANAGEMEN'I: SERVICES Resolution ~-O48 Page F-12 of F-15 RECORD RECORD RECORD RETENTION R~- ~ ~-NTION REMARKS CATEGORY SERIES DESCRIPTION START DA'rE PERIOD ~PARKING CITATION- Reportsi~emizing Parking Citations Report d_.~te 3 years Ticket Detail processed thru contract agencies. Computer Reports PARKING CITATIONS- ' Itemization of citstions collections. Report date 3 years Collections PARKING CITATIONS- DMV collection of citations detail. Reports date 3 years DMV PARKING CITATIONS- Treasury copies of parking cItations Issuance date 3 years Receipts accepted for payment PAYROU_-Retirernent Serf-explanatory. Beginning fiscal 2 years- Reports year Microfilm- indefinite PAYROLL-Employee Lists employee earnings by social Beginning fiscal 2 years- Earnings security number, year Microfilm- indefinite PROJECTS- Authorization sent by dept. to set Project Hard copy- Authorizations up project. Inception indefinite PROJECTS- Completed projects Project Hard copy- Authorizations inception indefinite (Completed) PROJECTS-Project Lists year-to-date expenditures, Project Hard copy- Report (PS295) encumbrances,. & available Inception indefinite balances by project number. ) City of Santa Ana Records Retention Schedule FINANCE & MANAGEMENT SERVICES Resolution 94-048 Page F-13 of F-15 RECORD RECORD RECORD R~- i ~-NTION R~- ~-NTION REMARKS CATEGORY SERIES DESCRIP'r]ON START DATE PERIOD REFUND WARRANT ~ Tax refund reque._sts to Issuance date 3 years REQUEST-Business Treasury. Tax Office REFUND WARRANT Water Office refund requests to Issuance date 3 years REQUEST-Water Treasury, Office REFUND WARRANT Treasury Office misc. refund Issuance date 3 years REQUEST-Misc. request and backup information, Refunds/ Reimbursements REFUND WARRANT Required documentation to process Issuance date 3 years REQUEST-Utility refunds received from UUT Users Tax customers. Water Tax bill processed thru Data Issuance date 3 years Processing Remittance Processor. UTIUTY USERS TAX- Original registration Registration 3 years Filing Records date from cessation of business UTILITY USERS TAX- Homeowners Iow income Application date 3 years Payment Records exemption application Monthly remittance Remittance date 3 years City of Santa Aha Records Retention Schedule FINANCE & MANAGEMENT SERVICES N C~ Resolution 94-O48l'~3 Page F-14 of F-15 RECORD RECORD RECORD RETENTION R~- I ~-NTtON REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TRANSIENT-- Original regi~.,a~ion Application date 3 years OCCUPANCY TAX- from Misc. Records cessation of business Monthly remittance Remittance date 3 years TREASURY REPORT- Daily report of cash/checks Report date 3 years Treasury Daily received, and an itemization of Cashier Report receipts. TREASURY REPORT- Contains detail of revenues posted Date of Receipt 3 years Daily Treasurer's to Daily treasurer Report. Envelopes TREASURY REPORT- Report of Daily revenues received. Report date 3 years' Daily Treasurer's Report TREASURY REPORT- All documents pertaining to Invoice date 3 years Treasury Investment Investment Activity. Activity Records TRUCK Truck inspections records for CliP Completion of 3 years INSPECTIONS-bi- inspection annual WATER ACCOUNTS- Original copies of applications for Application date Microfilm- Applications for installation of new water service Indefinite Service originated by Public Works. City of Santa Aha FINANCE & MANAGEMENT SERVICES Resolution ~,-.o48 Records Retention Schedule Page F-15 of F-15 RECORD RECORD RECORD R~- ~ ENTION R~ IE.N"~ON REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD .. WORK ORDER- Initial document to authorize use of Inception date Indefinite Authorization work order (Green copy). WORK ORDER- Completed projects (Yellow copy) Completion date Indefinite Authorization WORK ORDER-Listing List of all work order numbers by Report date Hard copy- fund. (monthly) 1 year CITY OF SANTA ANA RECORDS RETENTION SCHEDULE UBRARY SERVICES Exhibit G RECORD RECORD RECORD RETENTION RETENTION REMARKS ~ SERIES DESCRIPTION START DATE PERIO,..D Adult Services Career Center Plans/procedures Expiration Date 2 Yrs Periodicals Plans/procedures Expiration Date 2 Yrs Reference Services Plans/procedures Expiration Date 2 Yrs Special Events Plans/procedures Expiration Date 2 Yrs Agendas Agency Advisory Team Meeting plans Meeting Date 2 Yrs All Staff Meeting plans Meeting Date 2 yrs Ubrary Board Meeting plans Meeting Date 2 Yrs Total Quality Meetings Meeting plans Meeting Date 2 Yrs Section Meetings Meeting plans Meeting Date 2 Yrs Agreements Braille institute Talking Books Equipment Expiration Date 4 yrs ~ of Santa Aha UBRARY SERVICES Resolution ~4-o48 Records Re{entfl3n Schedule Page G-2 of G-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Bequests/Donations Gifts Gifts of books, equipment, Receipt Date 2 Yrs etc. Budget Book Plans/procedures/goals Expiration Date 2 Yrs Cost Analyses Operational analyses Expiration Date 10 Yrs Fees-Library Generation of Revenue Expiration Date 2 Yrs Five Year Plan Operational Goals Expiration Date 2 Yrs Grants Aim for Literacy Funds to Improve Adult Expiration Date 2 Yrs Literacy California Library Services Funds to Improve Library Expiration Date 2 Yrs Act Svcs Computer Literacy Funds to Improve Library Expiration Date 2 Yrs Svcs Families for Literacy Funds to improve Literacy Expiration Date 2 Yrs Immigration Grant improve Immigrant Library Expiration Date 2 Yrs Svcs City of Santa Ana Records Retention Schedule UBRARY SERVICES Resolution 94-048 Page G-3 of G-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Grants Ubrary of America Funds to Improve IJbrary Expira~on Date 2 Yrs Continued Svcs MURLS Funds to Improve Urban Expiration Date 2 Yrs · , Resources Vietnamese Voices Funds to Improve Expiration Date 2 Yrs Vietnan3ese Library Svcs Childrens' & Youth Hm33ew~rk TutorJog Center Plans/procedures Expiration Date 2 Yrs Services Partnership with Schools Plans/procedures Expiration Date 2 Yrs Reading/incentive/Awards Plans/procedures Expiration Date 2 yrs Program Special Events Plans/procedures Expiration Date 2 Yrs Circulation Statistics Patron usage of library Expiration Date 10 Yrs sections Employee Recognition Service Records Awards Expiration Date 2 Yrs Extension Services Bookmobile Programs Plans/procedures Expiration Date 2 Yrs Outreach Programs to Shut- Plens/procedures Expiration Date 2 Yrs Ins City of Santa Ana LIBRARY sERvicES Resolution g4-o48 Records Retention Schedule Page G-4 of G-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Extension Sen~ices Partnership with Schools Plans/procedures Expiration Date 2 Yrs Continued Specie/Events Plans/procedures Expiration Date 2 Yrs Volunteer Services/Awards Plans/procedures Expiration Date 2 Yrs Ubrary Board Biannual Attendance Self explanatory Expiration Date 2 Yrs Reports By-Laws · Self explanatory Until Until Superseded Superseded Minutes Agency Advisory Team Meeting Minutes Meeting Date 2 Yrs All Staff Library Board Total Quality Meetings Library Section Meetings City of Santa Aha UBRARY SERVICES Resolution 94-048 Records Retention Schedule Page G-5 of G-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Meeting Rooms Receipts Room rental revenue Transaction 2 Yrs Date Personnel Organization Charts Ubraty Staffing Expiration Date 2 Yrs Staffing Plans Self-explanatory Expiration Date 2 Yrs Yout~ Employment & library plans and Manual of Operations and Expiration Date 2 Yrs Summer Programs procedures other documents CITY OF SANTA ANA RECORDS RETEHT1ON SCHEDULE RECREATION & COMMUNITY SERVICES Exhibit H Page H-1 of H-1 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ADMINISTRATION Board Agenda Meeting Agenda of Recreation & Meeting Date 2 Yrs Parks and Cable TV Advisory Boards Board Minutes Meeting Minutes of Recreation & Meeting Date Permanent Parks and Cable TV Advisory Boards Film Permits Permits to allow on location filming Permit Date 2 Yrs STADIUM Reservation Forms Stadium event reservations Event Date 2 Yrs (Eddie West Stadium) Concession Receipts Receipts fi-om concession sales Event Date 2 Yrs RECREATION Registration Forms Leisure Classes, Adult and Youth Program Date 2 Yrs Sports, RecreationCenter programs, Project PRIDE programs DESIGN Project Files Project information, authorization, Completion Date 5 Yrs (Over $10,000) and financing Project Files Project information, authorization, (Under $10,000) financing, and site plans ZOO Animal Records Anirna~ medical records includes Animal leaves 20 Yrs medications/behavior/Iocetion/ or dies genealogy etc. Concession Receipts Monthly receipts of concession sales CITY OF SANTA ANA FIRE DEPARTMENT RECORDS RETENTION SCHEDULE Exhibit RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ,~son Case Assignments I Case assignment logs Incident date Permane~ Investigations Significant cases Incident date Permanent Climatological Temperature, rainfall, Month of origination Permanent Observations severe winds Emergency Contact lists Reference material Date of origination Until superseded Management City resources Reference Date of Until superseded material origination Fire Prevention Address files Record of inspections File start date Permanent (micro- and permits filmed as time allows) National Fire Protection National Fire Date of Permanent Assoc. Codas origination Haz-Mat Business emergency Compliance with health Disclosure plane and safety code. Permanent Permanent Record of Haz-Mat handlers. Material Record of hazardous Permanent Permanent inventories materials. Hydrants Hydrant activity Annual Summary Entry into computer 2 Yrs Hydrant inspection Listing of all hydrant reports information Hydrant inspection List by station numbers workload City of Santa Arm FIRE DEPARTMENT Resolution 94-048 Records Retention Schedule Page I-2 of I-4 RECORD RECORD R~RD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Incident Reports i:X~tm~mtetion of Date of Permanent taken by suppression 4 yrs total kept in hard personnel copy) Infection Infection Control Infection Corttrol Until supem,~ed 5 Yrs Control Project (ICP) Committee agenda and minutes, research articles, pertinent laws, resource materials Medical Confidential medical Separation date 30 Yrs LIS OSHA 29 CFR records of each - employee Training . Records EMS/ICP Separation date 10 Yrs -- Maintenance Contractor Submittals Products and/or Project completion Permanent and Shop Drawings materiels used during construction of projects Personnel issues of Equipment/Clothing clothing/equipment, Date of separation 5 Yrs equipment surveyed, donated or lost Specifications and Specifications reference material for Project completion Permanent station repairs and/or maintenance projects City of Santa Arm Records Retention Schedule FIRE DEPARTMENT Resolution 94-048 Pege i-3 of I-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Mob~ Intensive Care Record of medicaJ Report date 2 Yrs Reports -- Overtime slips Scheduled overtime Payroll period date 2 Yrs duty Plan Check Construction records Blueprints/documents Project completion Permanent (microfiche) Station Journals Company journals Handwritten Icg of Date of Icg entry Permanent significant activities, including daily personnel records, by fire company Training Training records Training subject matter, Indefinite Permanent lesson pJans, training Reserves Personnel records Separation 7 Yrs date Underground Active sites State requirements indefinite Permanent Storage Tanks On-going remedietion Detailed activit7 of Indefinite Permanent underground tank sites in the City Closed sites Court use Indefinite Permanent City of Settta Aha FIRE DEPAR'RVlENT Resolution 94-046 Records Retention Schedule Page I-4 of I-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD forms, PD forms, drawings of accidents Inventory NI Fire Department indefinite Until surveyed vehicles Schedules Schedules for vehicle Completion of 2 Yrs maintenance scheduled maintenance CITY OF SANTA ANA RECORDS RETENTION SCHEDULE PLANNING AND BUILDING AGENCY E~ibit J 4~ RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ABANDONMENT Alley/Street City agrees to relinquish ell dghts and Approval Date 5 Ym fee title to underlying property. ADDRESS Street Name Any change to description of the street Approval Date Until CHANGE name. Superseded .. Street Number Change in numerical identitication due to expansion of decrease in numbers. AGREEMENTS Development Contract between City and developer in Approval Date 5 Yrs which the City agrees to guarantee specific entitlement in exchange for conditions or approval. APPMCATIONS Alternate Methods & Concepts & materials not covered by Approval Date Permanent Materials of Construction current building code. Appeals Appealing decision or requirement of Planning Commission, Planning Manager or Zoning Administrator made by interested party, individual or group. Appeals to Code Appealing to Uniform Code Appeals Board to resolve code disputes. Appeals Board To appeal a decision or interpretation by the Building Official. Conditional Use Permit Specific use of land or buildings in a land use district wherein such use may be so conditionally permitted. City of Santa Aha PLANNING AND BUILDING AGENCY Resolution 94-048 Records Retention Schedule Page J-2 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD APPLICATIONS Develop~mer~ Review Members of the committee represent all Approval Date 5 Yrs (Continued) city agencies to coordinate site plan review comments. Documentation of Exceptions from the requirement of the 10 Yrs Unreasonable Hardship Title 24 Energy Standards. Extension Request for additional time to implement 2 Yrs conditions of approval for discretionary applications. Permit Extension Request for additional time to complete Permit issuance 2 yrs repairs and or corrections. Floodplain Variance Request showing sufficient cause to Permanent variate from the Floodplain Management regulations. General Plan Alteration or redasignation of land use Adopted Date Until or policy contained in the General Plan. Superseded Legal Nonconforming Legalizing unpermitted additions or Life of conversions to structures. Structure Lot tine Adjustments Minor modification of existing lot lines, Recorded Date 5 Yrs Minor Exceptions A waiver or modification of those zoning Approval date Permanent provisions which pertain to minimum requirements. Pushcart license Permit to operate pushcart. Permit issuance Duration of operators use City of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 94-048 03 Page J-3 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD APPMCATIONS Residential Relocation ~ relocation of residenlial structure Permit issuance 5 Yrs (Continued) from one parcel to another. ,,,-, Seismic Sefety Certificate Compliance with Santa Aha Municipal Approval Date Permanent of Compliance Code Seismic Safety Ordinance. Sign Program Mechanism to insure the coordination of ' signsge within a development site. Planning Commission Site Project plans requiring approval of Plan Review Planning Commission typical of Sd zofte. Specific Development Used to create project or area specific Adopted Date standards of property through an amendment applicetJon. Specific Plan Used to create special zoning districts through an amendment application. Subdivision Map The consolidation or division of four or Recorded Date fewer parcels. Tract Map The division of five or more parcels. Variance Request for variation from Chapter 41, Approval Date Santa Aha Municipal Code. Amendment Application Amend, supplement or change of Adopted Date Until district boundaries. Superseded Zoning Ordinance A change to the zoning ordinance. Amendment City of Santa Arm PLANNING AND BUILDING AGENCY Resolution 94-048 Records Retention Schedule Page J..4 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CI=~IIRCATES Bond Ensures completion of project Permits Rnaled 2 Yrs Compliance Ensures compliance with current code, Approval Date Life of Structure Land Use A type of permit USed for minor uses 5 Yrs such as: temporary activities, and satellite dishes. Temporary Certiticate of NIows occupancy before completion of Permit Issuance 2 Yrs Occupancy work is finaled, 2 Yrs Workers Compensation Ensures policies are current. Issuance Date _ Insurance CAEFORNIA Categorical Exemption Brief statement that a project is exempt Approval Date Permanent ENVIRONMENTAL from CEQA. ~_ QUALITY ACT Environmental Impact Document disclosing impacts of project Report development, May include detailed technical studies. Mitigation Monitoring Prepared for all projects in which Program mitigation measures have been incorporated in the environmental document. Negative Declaration Includes Environmental checklist to discuss areas of potential project impact. Mitigation measures may be included. Notice of Completion Informs agencies and general public that a lead agency has prepared a Draft EIR for public review. C~ of Santa Aha Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 94-048 Page J-5 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~IA Notice of ~tion Prepared by lead age~--y after an BR Approval Date Permaneat ENVIRONMENTAL has been cedified or Negative QUALITY ACT Declaration has been approved. Begins (Continued) a 30-day statue of limitations to challenge project. Responses to Comments After lead agency receives public comments on the Draft EIR, each comment raised is given response, State of Overriding When an EIR is prepared for a project Considerations that has unavoidable adverse impacts, this document is prepared to provide decision makers with an explanation of why the project benefits outweigh any adverse environmental effects. CHANGE OF To process the establishment of new Issuance Date Permanent ADDRESS address. ~ CITATIONS Notice of Violations: For vehicle only in front yard parking Issuance Date 2 Yrs infractions and vehicle for sale Notice of Violations: Notice to appear in court on Santa Ana Misdemeanors Municipal Code violations. COMPLAINT Criminal Referral to City Attorney for action. Issuance Date 2 Yrs COVENANTS & Access & Parking Common access/parking between two Approval Date Permanent AGREEMENTS or more properties. covenants & Termination Legal description of parcel of land. of Covenants Cit3/of Santa Aha PLANNING AND BUILDING AGENCY Resolution 94-048 Records Retention Schedule Page J-~ of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~E'TERMINATION By Properb7 A le,~,al determination of a use or Approval Date Permanent OF building on a site which does not NONCONFORMING conform to current standards. STATUS FINDING OF FACT Pisnning Commission Written finding which shall specify all Approval Date Permanent Zoning Administrator facts relied upon by City Council, Pisnning Commission, or Zoning Administrator in rendering its decision and in attaching conditions and safeguards. INSPECTION Business License Inspection for Finance & Planning Issuance Data Permanent Certificate of Occupancy Divisions Notice of Vioisfion Corrections and or 2 Yrs violations to be resolved prior to final approval. Reinspection For additional inspections above the normal requirement. Report: Fire Damage Examination of the extent of the 5 Yrs damage. INVESTIGATION Special Investigation and Request by Fire Department. Issuance Date 5 Yrs. or CompisJnt. NOTICE To Appear A misdemeanor violations to Santa Closure Data 2 Yrs Ana Municipal Code. Notice & Order of Repairs or demolitions to buildings or Substandard structures. Violations Noncompliance with city codes. ~ of Santa Ans PLANNING AND BUILDING AGENCY Resolutio~ 94-048 Records Retention Schedule Page J-7 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD NOTICE Special IrwsstJgaticm Pre-inspection for code compliance. Date of Ctc~su~ 2 Yrs (Continued) PERMITS Building, Electrical, Top allow inspections for code Issuance Date Duration of Grading, Mechanical; compliance, building Plumbing & Solar Home Occupancy Business use which does not alter the Approval Date ~ Yrs residence. Approval Date Off Premise Sign System to control size, location, type Duration of and number of off premise signs located the sign on private property. RECEIPTS Application Fees for various divisions permits, Date of validation 7 Yrs applications, etc. REPORT Asbestos Verification of reports accuracy. Issuance Date 5 Yrs Federal/State Statistics to various Government Permanent Agencies VERIFICATION Smoke Detector Voiunta~ mail in form Approval Date 2 Yrs WAIVER C 3 Parking Off street parking waiver within 300' of Approval Date Permanent the use it serves. PLANS Engineered plans pertaining to Approval Date Permanent structures. REPORTS Soil reports Permanent VITAL RECORDS Planning Commission Official records of actions taken during Meeting Date Permanent Retained as original Minutes Planning Commission meetings, hard copy CITY OF SANTA ANA PUBUC WORKS AGENCY RECORDS RETENTION SCHEDULE Exhibit K RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ADMINISTRATIVE Agenda-ETAC EnvironmentaJ, Meeting Data 2 yrs SERVICES Transportation Advisory Commission (ETAC) Assessment Districts D~cumants/IVlaps; Payoff Date 2 yrs Parking Structures, etc. ,, Minutes, ETAC Environmental, Meeting Date Permanent Transportation Advisory Commission Permits Bus Shelters, Expiration Date 3 yrs Newsracks SRRE & Recycling Plan & Expired/Revise 5 yrs State requ~irement Implementation Implementation Date (Source Reduction and Records Recycling Element) ~ Street Light City-owned Street End F~..al 3 yrs Maintenance Records lighting Year ' CONSTRUCTION Contractor's Bid List Santa Aha Contractors Until Annual ENGINEERING Superseded Revision Disadvantaged Re: Federal Projects End Fiscal 5 yrs Federal Audit Business Enterprise Year Program Post-Coast. Critiques Project/Contractor End Fiscal Procedures review Reviews Year Project Files During Construction Construction Filed in SEE PROJECTS period Completion Date Centra~ Filas Street Closure Reports Closures during Report Date 5 yrs construction only City of Santa Ana Records Retention Schedule PUBUC WORKS AGENCY Resolution 94-048 Page K-2 of K-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD DESIGN Soils Reporte ~ ~ Report Date 10 y~s Project design data recomrnendefJom DEVELOPMENT Cerlfficates of City Engr. Approval of Date Recorded Indefinitaly Reference copies ENGINEERING. Compliance existing subdivision City Map (Official) Amended every three Until Indefinitely Official City Record years Superseded Development Public Works Private SEE BLDG. Orig. Bldg. Reference Copies Conditions Development Conditions Special Studies Re: Transportation Date Until Reference Issues re: Joint Powers Completed Superseded Authorities, etc. ~ Strset Permits Street work, surface Completion 5 yrs Public WorP, s copy drainage, wide Iced, Date water appl, fire hydrant, Expiration Date 2 yrs To insure compliance (Incl. Ins. Certs./Bonds) DRAWINGS Project Plans/Drawings Project Drawings in Date signed Until Original mylars, etc. Central Files Superseded MAINTENANCE Driver Equipment Motor Carrier Salety Date issued 10 yrs State requirement Cerlification requirements Field Work Records Supervisor's Crew Date of Work 2 yrs Reference Data Work records Graffiti Removal LocationsJeq.ft. of Graffiti removed City of Santa Aha PUBLIC WORKS AGENCY Resolution ~4-O48 Records Retention Schedule Page K-3 of K-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD i (Continued) Maintenance Services Street Work Report Monthly Street Work Report Dete 5 ym Management data Summary Weed Abatement Notices issued and Notice Date 4 yrs Violations Action taken Weed Abatement Weed Removal costs Council Meeting Date 5 yrs Assessments charged to Tax Bills PROJECTS Bike Path Bike Lane, Bike Trail Completion Date 5 yrs Bridge Widening, Overpass 10 Yrs Retain materials specs. Structure life & soils reports Channelization Traffic Mgmt,, Studies, 5 yrs Counts, Phasing City Yard/Corp Yard 10 yrs Retain materials specs. Structure life & soils reports Civic Center O.C. Jail, Stadium, New 10 yrs Structure life Retain materials specs. Police Bldg. & soils reports Community Redevelopment, 10 yrs Development Neighborhood Dev. Maintenance Street Maint., Slurry, 5 yrs Resurface Weed, Rubbish, Graffiti 3 yrs City of Santa Ana PUBUC WORKS AGENCY Resolution 94-048 Records Retention Schedule Page K-4 of K-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PRO~IECTS Parks .. Im~, Comle§on Date 5 yrs (~) Retain materials specs. Structures 10 ym & soils reports Structure life Right-of*Way Property Acquisition 5 yrs Sewer, Water, IJtJlit/es Reservoirs, PJant, 10 ym Retain materisLs specs. ' Storm Drains Mains, WelLS, F_lev. Structure life & soils report Tank State Highways State Highways in Unfill Obsolete State bluelines Santa Aha Streets, Alleys, Medians Streets, Alleys, 5 yrs Medians, RR Crossings ~, Curb, Gutter, Sidewalk ! Structures Parldng Struct.. Transp. 10 yrs Retain materiels specs. Center Structure life & soils report Demol/t/ons 5 yrs ' Traffic Signals Traffic Control .5 yrs Computer, Maintenance ~ Trees Planting, Removal, 3 yrs Trimming 5 yrs Unconstructed Projects Projects not Const/Supercd SEE: Projects Ret. by Type of Project constructed Various Park. Lot, Studies, Completion 5 yrs Programs, Equip. City of Santa Ana PUBLIC WORKS AGENCY Re~olution 94-048 Records Retention Schedule Page K-5 of K-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD SURVEY Bench,,~Mer~ Vedical Survey Data Sun/ay date Indefmitaly V'~ai Record Centerline Ties Horizontal Survey Data Project Data Project Survey Data TRAFFIC Accident Location/accident Diagram Date 5 yrs Inter~ection data Data/Diagrams type/collision diagrams Average Daily Count data Collection Traffic/Turning Counts Dates Dept. Traffic Orders I Various parking & Insta~ Date Until traffic controls Superseded Permit Parking Applications, etc. Expiration Date 1 yr School Crossing Study ! Study to justify Completion Until Crossing Guard Date Superseded ~ Signal Cabinet Prints i Signai wiring diagram install Date Indefinitely Signal/LT Phase Stud/es to just/fy left 5 yrs Warrant turn installation Signal Maintenance Operation Maintenance Maintenance (Claims/Historical) Date Signal Timing Operation Timing Timing Date {Claims/Historical) Speed Limit Study i Restud ed every 5 Approval Date Legal requirement I years Traffic Control Device Install & Maintenance Work Date data Traffic/Parking Studies Neighborhoods, Study Date Until , schools, parks, special Superseded City of Santa Ana Reson/s Retention Schedule PUBUC WORKS AGENCY Resolution 94-048 Page K-6 of K-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TRANSPORTATION Reports Messum M. Congestion Report Data 5 yrs Mgmt Pin., Artari~l Highway Prog. Ann. CertJflcetion. Studies Alignment & Study Date. Environmental WATER Backflow inventory Location, size, type of Perpetual Indeflnitaiy device Customer inquiries Detailed description of Inquiry Date 5 yrs State requirement inquiries Field Work Records Water/sewer Install/Repair 5 yrs instai//repa/r locations Date Fire Service Taps Fire service locations Install Date Indefinitely Fire Hydrant Taps Type, sizes & locations Gate Valves Gate valve locations Indust. Discharge National Pollution Expiration Date 2 yrs Permits Elimination System Meter inventory Type, sizes & locations Install Date Indefinitaiy City of Santa Aha PUBLIC WORKS AGENCY Resolution 94-048 Records Retention Schedule Page K-7 of K-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WATE~I ~ Exchange Record of wgwk at each Exchange 2 Yrs (Continued) inventory address Date Sewer Lateral Inventory Location of each sewer install Date Indefinitely lateral Water Line inventory Location of all water lines Water Production Monthly water Report Date 10 ym Reports production reports Water Service Taps Location of all service Tap Date indefinitely taps, activeAnacth~e Underground Service Locating tickets Ticket Date 2 yrs AJert showing underground structures for excavation site