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HomeMy WebLinkAbout95-018 - Retention Schedule for the Agencies, Departments, and Offices441 RESOLUTION NO. 95-018 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 contro.1 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, 1 443 RESOLUTION 95-018 Page 2 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retained solely for tickler, suspense or follow-up purposes, preliminary work materials, writings which have been superseded by subsequent writings, computer print-outs which are produced solely for temporary purposes, and the like.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: A. To assure that public records are not destroyed while they still serve a useful purpose. B. To avoid the loss of room and shelf space caused by the retention of public records which no longer serve a useful purpose. em To provide guidelines to City staff as to when public records may safely be destroyed. D. To avoid the necessity of requesting City Council approval for each individual case of public records destruction. 3. Scope 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. Authori~atio~ for destruction of records A. Those exhibits, designated A through M, 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 2 445 RESOLUTION 95-018 Page 3 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. 5. SuDersession of previous resolution This resolution replaces and supersedes Resolution No. 94-048 of this Council. ADOPTED this 19th ATTEST: ice c. I- 1 Clerk of the cour~cil/ of , 1995. day Jun e ~el A: ~ulido ~ayor COUNCILMEMBERS: Pulido Aye Richardson Aye Espinoza Aye Lutz Ave McGuigan Ave Mills Aye Moreno AYe APPROVED AS TO FORM: city Attorney 3 446 CERTIFICATE OF ORIGINALITY & PUBLICATION State of California County of Orange I, IANICE C. GUY, Clerk of the Council, do hereby certify the attached Resolution ~;~'-Qtt~'' to be the original resolution adopted by the City Council of the City of Santa Ana on ~ -~ /~-' ~,~ . Date: Clerk of the Cou ir City of Santa Ana CITY OF SANTA ANA Resolution 95-018 RECORDS RETENTION SCHEDULE Exhibit A GENERAL RECORDS Page A-1 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Agreements City Council-approved Clerk of the Council Contracts entered into by the Expiration 4 Yrs Code of Civil City relating to goods, services, Date Procedures and program responsibilities; Sec, 337 City Manager-approved Clerk of the Council include joint powers agreements Agency/Dept. Head- Originating Dept. approved Budget Annual Budget Book Clerk of the Council Council~approved City Budget Approval 7 Yrs City-defined Date Appropriation Finance Mgt. Svcs Changes to City budget as 2 Yrs GC 34090 (d) Adjustments approved by the Council and/or City Manager Budget Backup Originating Dept. Color-coded budget forms and Documentation 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 the Mayor and Response 2 Yrs GC 34090 (d) Councilmembers to request Date information and/or certain staff actions City of Santa Aha GENERAL RECORDS Resolution 95-018 Records Retention Schedule Page A-2 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Correspondence Incoming General Receiving Dept. "Loose" correspondence that Receipt Date 2 Yre GC 34090 (d) Continued Correspondence cannot be legitimately attached to some major record series such as AGMT or PROJ Outgoing General Originating Dept. Transacfion Correspondence See RESO text for full definition Date FPPC FPPC Form 730 Originating Dept· Conflict of interest statements Filing Date 7 Yra GC 81009 (e) (Fair Political Statements of of dept. heads and certain City Practice Economic Interest or staff as designated by dept. Commission) heads. Clerk of the Council Originals Form 730's of dept. heads shouJd be forwarded to the Clerk· All other originals retained by depts. Payroll Accrual Records Finance & Mgt. Svcs Forms to indicate earned and Pay Period 2 Yrs FMS keep used leaves Date or'~inals. · Destroy dept, copies after 2 Attendance Reports Self-explanato[y yrs. Exception Sheets Forms to modif~ and/or input late entries in attendance reports Leave of Absence Originating Dept. Forms to authorize absence GC 34090 (d) (Except Medical from work Leaves; see Personnel Se~ices Schedule) City of Santa Ana Records Retention Schedule GENERALRECORDS Resolution 95-018 Page A-3 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Personnel- Benefits Enrollment Personnel Services Forms to indicate employee's Separation 2 Yrs Employee services providers of choice Date Records Catastrophic Leave Forms to authorize leave Donations donations to employees in need Certifications Forms used to till a vacant position Grievances (Closed) Grievances are filed, processed, close and transferred to employee's tile Medical Releases Doctor-issued forms used to 30 Yrs US OSHA 29 authorize employees on leave CFR 1910.2 to return to work Performance Self-Explanatory 2 Yrs Evaluation Separations Employee retirement or resignation Tuition Reimbursement Self-explanatory Workers Claim forms for Workers Compensation Compensation City of Santa Aha GENERAL RECORDS Resolution 95-O18 Records Retention Schedule Page A.4 of A-7 RECORD RECORD DEPT RETAINING . RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Personnel- Grievances (Pending) Personnel Services Grievances flied which are Receipt Date Unfit Closed See Grievances General under consideration or awaiting (Closed) above Records disposition Reclassification Dept. requests for PS to Approval 2 Yrs GC 34090 (d) conduct class studies on Date new/existing City positions Policies & Personnel-related Cibj Manager Operating rules and regulations Effective Date Until Procedures relating to City personnel; e.g., Superseded travel policy Non-Personnel Originating Dept, Self-explanatory Purchases Building Work Order Finance & Mgt. Svcs Forms to request minor work or Transaction 2 Yrs GC 34090 (d) repairs Date Central Services Issue Receipts for materials used Slips Direct Payment Forms to generate City checks Vouchers to pay City creditors; used in lieu of PO when item(s) and vendor(s) are known; also used for direct purchases for up to $200 City of Santa ^ha GENERAL RECORDS Resolution 95-O18 Records Retention Schedule Page A-5 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Purchasing Duplicating Requests Finance & Mgr. Svcs Receipts for FMS copying Transaction 2 Yrs GC 34090 (d) Continued services Date Materials Release Forms to order certain items direct from City-approved vendor list Petty Cash Receipts Reimbursement forms for authorized expenses under $75 Property Transfer/Loss Self-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 materials used Travel Request & Self-explanatory Expense Report City of Santa Ana Records Retention Schedule GENERAL RECORDS Resolution 95-018 Page A-6 of A-7 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD Revenue Treasury Originating Dept. Official receipts for money paid Transaction 2 Yrs GC 34090 (d) Miscellaneous to City Date Receipts Dept. Invoices Originating Dept. Dept. forms to request payment Payment for services rendered Date Notice of Accounts Finance & Mgt. Svcs Dept. forms to request FMS to Receivable cross charge City depts, or to invoice outside parties far services rendered Revenue Deposit Originating Dept. Forms to record money Transaction Statements deposited by depts, with FMS Date Treasury Division Safety Cai/OSHA Guidelines Personnel Services California Occupational Health Effective Date Until & Safety Act (OSHA) Superseded Dept. Inspections Originating Dept. Dept. safety inspections reports Inspection 3 Yrs T*~le 8 Date Cai/OSHA Dept. Safety Safety Meeting Minutes Meeting Date 7 Yrs Committee Minutes Emergency Evacuation Self-explanatory Effective Date Until Plans Superseded Equipment Inspection Self-explanatory Inspection 3 Yrs Reports Date City of Santa Ana GENERAL RECORDS Resolulion 95-018 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 Safety US/OSHA 200 Log Federal OSHA form to track Posting Date 5 Yrs OMB 1220-0029 Continued annual industrial injuries and accidents Incident and Vehicle Personnel Services Reports on Work-related Report Date 2 Yrs Accident Report accidents Materials Safety Data List of hazardous substances Indefinite Until Sheets depts, use Superseded Safety Training Log Record of safety training Closure Year 2 Yrs conducted C~Y OF SANTA ANA RECORDS RETENTION SCHEDULE CLERK OF THE COUNCIL Resolution 95-018 Exhibit B Page B-1 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD AGMT City Council-approved Contracts for franchises, goods, sen, ices, Expiration Date 4 Yrs Code of Civil Procedures (Agreement) (A series) insurance, encroachment permits, programs, (CCP) Sec. 337 and joint powers agreements (JPA's); tiled by name of party or parties and by alphanumeric code; may contain key attachments such as City Manager-approved deeds, insurance certificates, and Request (N series) for Council Action (RFCA's) BC B&C Applications-By Year Applications for B&C positions received Folder Year 2 Yra Government Code (GC) (Boards & during a calendar year and not acted upon by Date Sec. 34090 Commissions) the Council B&C Attendance Reports Biannual Attendance reports from City Council Meeting Boards, Committees and Commissions; Date includes RFCA's B&C Applications- Applications and supporting documents for Until Hard copy By Board or Commission current members of the various boards and Superseded commissions B&C By-Laws B&C rules and procedures as required by By Board or Commission City Charter for each B&C B&C Membership Roster Reference file for names, addresses and other data on incumbent Board/Commission members B&C Past Member Records Files of board members who have resigned Folder Year Permanent Hard copy destroyed after or were not reappointed Date microfilming City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 95-O18 Page B-2 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION ' START DATE PERIOD CLERK-ADMIN ABATE-By Year Files on Dangerous Buildings, Garbage, Folder Year 2 Yrs Hard copy (Clerk of (Abatement of various Trash, & Weed Abatement, Public Nuisance Date Council- undesirable conditions) and other related Council actions including Administrative correspondence and RFCA's Records) APSAM-By Year Headng Officer Reports, correspondence, (Appeals Santa Aha memoranda, RFCA and other documents Municipal Code Chapter 3) relating to SAMC Chapter 3 appeals; filed by appellant name(s) and grouped by calendar year. Council action on appeals permanently recorded in the Minutes CITY- Identification City Logo, City Seal, City Flag, Education Permanent Hard Copy Fimt Logo, and other related items Miscellaneous Includes both incoming and outgoing Folder Year 2 Yrs GC Sec. 34090 Correspondence-By Year miscellaneous correspondence Date Underground Vault & Records of transactions with microfilm Permanent Hard copy Storage, Inc. storage/retrieval se~ce provider located in (Microfilm Storage) Kansas CLERK LOGS CLAIMS-By Year Council reports on liability claims received by Folder Year 3 Yrs Claims ara forwarded to (Monthly Log of Claims) the Clerk as agent for the City Date and retained by Risk Management FPPC- (Fair Political Log of FPPC forms roceJved by the Clerk as Permanent Practices Commission) the designated FPPC filing officer City of Santa Aha CLERK OF THE COUNCIL Resolution 95-018 Records Retention Schedule Page B-3 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CLERK LOGS - Log of Sewice-By Year Log of documents received by the Clerk as Folder Year 3 Yrs Documents are received continued agent for the City including but not limited to Date by the Clerk as a "pass- summons, subpoenas, appeals and other through" before they are Clerk actions under various SAMC sections forwarded for disposition to the City Attorney or the Also logs receipt of insurance certificates for department specified in certain activities which must be accepted by the SAMC. the Clerk before being forwarded to the appropriate depts, as required by the SAMC: Clerk maintains log of receipt of documents but 1. Ice cream vendom to the Police Dept. per does not retain originals SAMC 36-462(c)(3) nor copies of documents. 2. Motion picture permits to the City Manager's Office per SAMC 10-3(a), 10-4, ._ and 10-4(a) 3. Newsboxes to the Public Works Agency per SAMC 33-154 4. Parades to the Office of the City Manager per SAMC 10-9(b) and 10-10(b) COUNCIL MTG Agenda-By Year Original City Council Meeting Agenda filed by Folder Year 2 Ym Hard copy (Council calendar year Date Meeting) CA-By Council Meeting Date Council Meeting Agenda packet materials, Council Meeting (Council Action) e.g., Requests for Council Action (RFCA's) Date and backup information on Council Agenda formedy BK-Book items which have no file designations ORD Copies of recent ordinances adopted by Folder Year Reference Files (Ordinances) Council Date City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 95-018 Page B-4 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD COUNCIL MTG RESO Copies of recent resolutions approved by Folder Year 2 Yrs Reference File continued (Resolutions) Council Date RPT Miscellaneous reports presented to the (Reports) Council as part of Council Agenda items CODE BOOKS By Subject Santa Ana Municipal Code (SAMC), Uniform Permanent One original set on file in Building, Electrical, Mechanical, Solar, the Clerk's office Plumbing, etc. adopted by ordinance and/or by reference Add~onal original sets maintained by Planning & Building Agency DEEDS By Deed Number Documents showing ownership of real Permanent Hard Copy property including grant deeds, quit claim deeds, easement deeds (includes easement AGMT's), abandonment of streets or alleys, and RFCA's ELECT General - By Election Proof of publication and all election-related Election Date 2 Yrs Hard copy (Elections) correspondence including RFCA's Ballots & Results - All Years Sample ballots, copies of election results Permanent Hard copy including RFCA's Historical Data Statistics on candidates, voter registration, election turnout, etc. Nominations Papers - Nomination papers and candidate statements Term 4 Yrs Elections Code (EC) Sec. By Election for each election Expiration 17100 City of Santa Ana CLERK OF THE COUNCIL Resolution 95-018 Records Retention Schedule Page B-5 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ELECT Petitions Charter amendments, initiatives, recalls, and Certification of 8 Mos EC Sec. 17200 requires continued referenda; include intent to circulate petition, election results petition documents be text of petitions, City Attorney-approved kept 8 months after petition titles, proof of publication, and all or Council adoption of related documents; also include copies of election results documents sent to but not returned by Clerk's final petition proponents including RFCA's exam of petition or or after Clerk's final exam of petition if no election is Submittal held. Deadlines Charter Amendments Documents relafing to elections on Charter Permanent Hard copy amendments including RFCA's FINANCE APAD-By Year Council-approved changes to adopted Folder Year 2 Yrs Hard copy (Financial (Appropriation Adjustment) budget; filed by number with RFCA's Date Documents) BDGT-By Year Annual Budget book containing operating, Council Meeting 10 Yrs Hard copy; City-defined (Budget) enterprise, internal sen/ice, capital, other Date retention period budget documents, and RFCA's BOND EXHIBITS- Bond documents referenced in enabling Permanent Retained as both By Bond Issue RESO or ORD microfilm and original hard copy BOND TRANSCRIPTS- Backup documents of bond issues e.g., legal Maturity Date 2 Yrs G C Sec. 34090 By Bond Issue opinions of bond counsel City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 95-018 Page B-6 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE CAFR-By Fiscal Year Annual financial statements on City assets, Year Date 2 Yrs Original file in Finance & continued (Comprehensive Annual liabilities, revenues, and expenditures Management Services; 3 Financial Report) prepared by City staff and subjected to an public copies maintained independent audit per Charter Sec. 423 in the Clerk's office per Charter Sec. 423 EXPEND-By Year & Copies of Direct Payment Vouchers (DPV's), Folder Year Reference File Account Number Materials Releases (MR's), Purchase Orders Date (Expenditures) (PO's) and other Clerk expenditure records FEES Copies of most recent fee schedules for bail, Reference File (Various City Fees) trash, utility, water, miscellaneous fees, and other fees PRO J-By Number W~nning bids (originals) for Council-approved Project 4 Yrs CCP Sec. 337 (Projects) contracts for construction, improvement, Completion maintenance, rehabilitaiton of public facilities Date Comprehensive PROJ file including change orders; contains RFCA's is retained by the Public and insurance certificates; filed by PROJ Works Agency number and grouped by calendar year SPEC-By Number Winning bids (originals) for Council-approved Receipt of 4 Yrs CCP Sec. 337 (Specifications) contracts to purchase equipment, materials, Goods or services; contains RFCA's and insurance Completion Comprehensive SPEC file certificates; filed by SPEC number and Date is retained by Finance & grouped by calendar year Management Sen/ices City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 95-018 Page B-7 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FPPC Campaign Statements Successful Candidates, Officeholders, & Filing Date Indefinite GC Sec. 81009 (g) allows (Fair Political Their Controlled Committees GC Sec. microfilming of 2-year old Practice 81009 (d) files Commission) Unsuccessful Candidates & Their Controlled Election Date 5 Yrs GC Sec. 81009 (b) Committees General Purpose Committees Filing Date 7 Yrs GC Sec. 81009 (e) Form 410 Successful Candidates, Officeholders, & Filing Date Permanent GC Sec. 81009 (f); Statements of Organization Their Controlled Committees (Copies) originals filed with Secretary of State Unsuccessful Candidates & Their Controlled 4 Yrs ~ Committees (Copies) ~ Form 415 Recipient committees 4 Yrs GC Sec. 81009 (0 Statements of Termination (Copies) Form 416 Officeholders and candidates 7 Yrs GC Sec. 81009 (e) Statements of Termination Form 721 Councilmembers, candidates for elected 4 Yrs GC Sec. 81009 (0 Statements of Economic office, City Attorney, City Manager, Finance & originals filed with the Interests Management Services Executive Director, California Secretary of and Planning Commissioners (Copies) State Office Form 730 Clerk of the Council, Clerk's staff, and all 7 Yrs GC Sec. 81009 (e) Statements of Economic Executive Directors except Finance Director Interests City of Santa Aha CLERK OF THE COUNCIL Resolution 95-018 Records Retention Schedule Page B-8 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION ' START DATE PERIOD INS (Insurance) Contractors Certificates of insurance or suret~ bonds N/A N/A Original insurance Cross reference required for individuals and companies on certificates are part of only contract with the City or doing work on right- appropriate AGMT, of-way (e.g., driveway aprons) PRO J, or SPEC filed with the Clerk's office Employee Insurance Contract agreements with providers of Odginal filed with the various employee insurance benef~s (Dental, Clerk's Office Disability, Life, and Medical) Municipal Insurance Contract agreements with providers of N/A N/A Original filed with Risk insurance coverage for city property, excess Management Division in workers compensation, and potential liability Personnel Services exposure from the conduct of City business INS-SAMC Building Movers Proof of insurance required to be filed with Expiration Date 2 Yrs SAMC Sec. 18-800 (insurance the Clerk per SAMC Sec. 8-1800 required by City Code to be filed with the Clerk) Bus Shelters & Benches Proof of insurance required to be filed with SAMC Sec. 33-104 the Clerk per SAMC Sec. 33-104 Helicopter Landings & Other Proof of insurance required to be filed with SAMC Sec. 2-745 Stadium Users the Clerk per SAMC Sec. 2-745 Taxicabs Proof of insurance required to be filed with SAMC Sec. 32-3 the Clerk per SAMC Sec. 32-3 City of Santa Ana CLERK OF THE COUNCIL Resolution 95-018 Records Retention Schedule Page B-9 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD LAND USE ANNEX-By Annexafion Each land annexation contains 3 documents: Permanent Hard copy destroyed after (Land Annexation) California Secretary of State Certificafion, microfilming; all land City Certificate and Affidavit of Complefion of annexafions are enacted Annexafion, and annexation map by ordinance AMAP (Amendment Applicafions to amend, supplement, or Council Meeting 2 Yrs Filed as part of Council Applications) change land use distdct boundaries Date Action (CA) files Cross reference only Originals in Planning & CUP (Conditional Use Applicafions for a specific use of land or Building Agency Permits) buildings in a land use district where such Cress Reference only use may be so conditionally permitted GPA (General Plan Procedure to alter, repeal, delete, or r~eplace ~ Amendments) the general plan or a specific plan Cress reference only ME (Minor Excepfions) Used to approve waivers or modificafions to Cross reference only minimum zoning requirements such as for fences, setbacks, and off-street parking WA 0Naivers) Waiver of C-3 Parking District requirements Cress reference only within 300 feet of the use it serves VA (Variances) Request for variations from Santa Municipal Cross reference only Code Ch. 41 requirements ZOA (Zoning Ordinance Used to amend the C~'s zoning ordinance Amendments) Cress reference only City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 95-018 Page B-10 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD MAPS Final PMAP - No Bonds Dedications, boundaries, and other data Council Meeting 2 Yrs Original Tentative PMAPS (Subdivision (Parcel Maps-File under CA) required by Subdivision Map Act Date and TMAPS are retained Maps) as permanent records by Final TMAP - No Bonds PMAP's are used to consolidate or divide 4 or the Planning & Building (Tract Maps-File under CA) fewer parcels of land (generally commercial). Agency. TMAP's are used to consolidate or divide 5 or Original Final PMAPS and Final PMAP - W'~h Bonds more pamels of land (generally residential). Date of Bond TMAPS are retained as (File by PMAP Number) Release permanent records by the Final maps with bonds (which guarantee Orange County Recorder. Final TMAP - W~h Bonds completion of improvements conditioned by (File by TMAP Number) City) ara filed by PMAP or TMAP number. Tentative PMAP TentaEve maps and Final maps with no Council Meeting (File Under CA) bonds are retained with other Council Action Date (CA) Files. Tentative TMAP (File under CA) SPECIAL IDA By-laws Note: These non-City Council records are N/A N/A Original hard copy AGENCY-IDA retained permanently by the Clerk (acting as (Industrial the Authority Secretary for both IDA and Development IDA Minutes SAFA) and are listed in this schedule for Authority) information only. IDA Resolutions SPECIAL SAFA By-Laws AGENCY-SAFA (Santa Ana Financing SAFA Minutes Authority) SAFA Resolutions City of Santa Aha Records Retention Schedule CLERK OF THE COUNCIL Resolution 95-018 Page B-11 of B-11 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD SPECIAL AD-By Number Established by the City to provide certain Expiration Date 2 Yrs DISTRICTS (Assessment District) services (e.g., AD 246 for parking garages) financed by assessments levied on district properties; enacted by resolution, ordinance, including RFCA's UUD-By Number Documents including RFCA's on council Council Meeting 2 Yrs (Underground Utility District) actions to install new or move existing utility Date lines underground as enacted by resolution VITAL City Charter Articles of Incorporation establishing the City Permanent Maintained as hard copy RECORDS of Santa Ana as a municipal corporation and and on microfilm with 1 chartered city microfilm copy in Clerk's office and~ 2nd coPY stored in Kansas' MINS-By Year Official records of actJons taken during Underground Vault & (Minutes) Council meetings filed chronologically in Storage Inc. book volumes by calendar year ORD-By Year Council legislation of an enduring nature; (Ordinances) codified into the SAMC; filed by ORD number in book volumes by calendar year RESO-By Year Council legislation of a temporal nature and (Resolutions) not made part of the SAMC; filed by RESO number in book volumes by calendar year REGISTER-By Property RFCA's, applications, and photographs of Hard copy maintained by Name (Santa Ana Register property designated by Council action as the Clerk of Historic Property) historic property as enacted by resolution; filed by property address and name CiTY OF SANTA ANA Resolution 95-018 RECORDS RETENTION SCHEDULE Exhibit C CTIY ATTORNEY'S OFFICE Page C1 of C1 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Federal Court By Case Legal briefs, memoranda, motions, pleadings, Closing Date 5 Yrs Cases correspondence, and other documents related to cases docketed in Federal Court Municipal Court By Case Legal briefs, memoranda, motions, pleadings, Closing Date 4 Yrs Criminal Cases correspondence, and other documents related to cdminal cases docketed in Municipal Court Personnel Board By Appellant Personnel Board Findings of Facts and Closing Date 5 Yrs Appeals Conclusions of Law, appeal request, memoranda, correspondence and other documents related to City employee appeals regarding adverse decisions from the City Personnel Board Superior Court By Case Legal briefs, memoranda, motions, pleadings, Closing Date 5 Yrs Cases correspondence, and other documents related to cases docketed in Superior Court Miscellaneous Various All other files in the City Attorney's custody and Closing Date 3 Yrs not categorized as Criminal, Federal, or Superior Court, nor as Personnel Board files CITY OF SANTA ANA RECORDS RETENTION SCHEDULE CITY MANAGER'S OFFICE Resolution 95-O18 Exhibit D Page D-1 of D-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 I 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 Ym 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 Files Staff Memos & Correspondence Origination Date 2 Yrs CITYOFSANTAANA RECORDS RETEN~ON SCHEDULE COMMUNITY DEVELOPMENTAGENCY Resolution 95-018 Exhibit E Page E-1 of E-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Agenda DSABA Meeting Plan Meeting Date 2 Yrs Need record (Downtown Santa Ana for state and Business Association) federal program audits Housing Commission SAEDC (Santa Aha Economic Development Corporation) SAPIC (Santa Ana Private Indust[y Council SARDC (Santa Ana Redevelopment Commission) CDBG Final Statements Annual report to HUD of proposed Submittal Date 10 Yre (Community fiscal year pro~lram 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 Closeout 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 Affordabilit-/Strategy with annual updates Ck'y of Santa Aha Records Retention Schedule COMMUNITY DEVELOPMENTAGENCY R esoluf~on 95-O18 Page E-2 of E-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CBDG Miscellaneous Reports Date of submittal 3 Yrs (Continued) Section 108 Loan Federal loan paid by annual CDBG Retirement of Debt 3 Yrs Guarantee Documents allocation Urban Development Action Federal program Grant Closeout 3 Yrs Grant (UDAG) Documents Housing Tenant files Files on clients receiving rental Date 3-5 Yrs assistance Section 8 Loan/rebate City/SAEDC Approval date Permanent documents Minutes DSABA Meeting Minutes Approval date Permanent (Downtown Santa Aha Business Association) Housing Commission SAEDC (Santa Aha Economic Development Corporation) SAP[C (Private Industry Council) SARDC (Redevelopment Commission) N City of Santa Ana Records Retention Schedule COMMUNITY DEVELOPMENT AGENCY Resolution 95-018 Page E-3 of E-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Parking Garages Monthly revenue Self-explanatory Receipt Date 2 Yrs statements Insurance records Self-explanatory Expiration Date Official statements & Bond information regarding building Retirement Date documents of downtown garages Annual assessments to Properb/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 Self-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. C~ of Santa Aha Records Retention Schedule COMMUNITYDEVELOPMENTAGENCY Resolution 95-018 Page E-4 of E-4 RECORD RECORD RECORD . RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Request for Action Santa Ana Economic Staff-generated reports to boards Completion Date 2 Yre Development Corporation and commissions Housing Commission Santa Aha Private Industry Council Santa Ana Redevelopment Commission CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 95-O18 Exhibit F Page F-1 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & ACCOUNTS PAYABLE- Lists paid invoices by vendor. Beginning of Hard copy-I MANAGEMENT Cash Requirements each Fiscal year. SERVICES (AP50) Year Microfiche-3 years. ACCOUNTS PAYABLE- Lists paid invoices by fund and activity. Beginning of Hard copy-1 Distribution Register each Fiscal year. (AP70) Year Microfiche-lO years, ACCOUNTS PAYABLE- Lists weekly payments to vendors by Beginning of Hard copy-3 Vendor Claim Check vendor name. each Fiscal year. Register (AP65) Year Microfiche-10 years. ACCOUNTS PAYABLE- End of year accounts payable accruals. Beginning of Hard copy-1 Cash & accrual closing Annual emission fee report for Corp. each Fiscal year. Yard-Rule 301, Year Microfiche-3 years. AIR QUALITY Fuel tank permits and fees. March of each 5 years MANAGEMENT year DISTRICT-Misc. Records (Fleet) Emergency generator permits. Permit due 3 years date AUDIT-Working papers Audit documents, Year-end financial Permit due 3 years work papers, date Close of fiscal 3 years year BANKS-Agreements Contractual agreements relating to Last 3 years investments, transaction date City of Santa Ana Records Retention Schedule Finance & Management Se~ices Resolution 95-018 Page F-2 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & BANKS-Bank Listing of all Checks clearing City Check paid 2 years MANAGEMENT Reconcilement account, date SERVtCES (continued) 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, bonds, Workers' Compensation, Empioyee Medica~ Insurance. Account Reconcilement-Checldng Statement date 3 years BANKS-Return Checks IncJudes copies of customer checks Date check 3 years returned by bank, letters sent to returned customers, and other information. BANKS-Wire Transfer All documents from banks pertaining to Wire date 3 years Activ~y Records the wiring of funds to/from bank accounts. BANKS-Dai~y Bank Reports of Daily Banking activity. Report date 3 years Balance Report BIDS-Informal Bids (less Self-explanatory. Date of bid 4 years than $10,000) award BIDS-Formal Bids (over Self-explanatory. Date of bid 4 years FMS keeps copies of $10,000) award winning bids and originals of losing bids. City of Santa Ana Finance & Management Services Resolution 95-O18 Records Retention Schedule Page F-3 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & BIDS-Bidder Applications Self-explanatory. Application 2 years MANAGEMENT date SERVICES (continued) BIDS-Specifications Specifications for equipment bids Date of bid 3 years (Fleet) award BINGO LICENSE-Misc. Current and historic filing/payment/audit Date of receipt 3 years plus Documents tiles current year BONDS-1911 Act Street Registers Issuance date 3 years from Improvement Bonds date of last matur'~y BONDS-1911 Act Misc. This file contains: letters to Bondholders; Issuance date 3 years from Documents canceled bonds/coupons; payments to closure bondholders; legal documents pertaining Bond Act of 1911. BONDS-Water Revenue All legal documents pertaining the C~'s Issuance date 3 years from Bonds Water Revenue Bond program, closure BUDGET-Budget Year-to-date expenditures and revenue Begin FY 10 Years for Retain at least 1 hard Report/Revenue Report- June 30 copy, Monthly Report BUSINESS LICENSE Self-explanatory Date of 3 year from TAX-Original application cessation of Applications business City of Santa Aha Records Retention Schedule Finance & Management Services Resolution 95-O18 Page F-4 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & BUSINESS LICENSE Deleted and/or canceled accounts Date of 3 years MANAGEMENT TAX-Deletion Records deletion SERVICES (continued) BUSINESS LICENSE Self-explanatory Date of 3 years TAX-Renewal renewal Registration Records BUSINESS LICENSE Miscellaneous Business License End of Fiscal 3 years TAX- Monthly Register Account Summary Information reports. Year Reports BUSINESS LICENSE Self-explanatory Issuance date 3 years TAX-Payment Records BUSINESS LICENSE Receipts for miscellaneous payments. End of Fiscal 3 years TAX-Miscellaneous Year Receipts BUSINESS LICENSE Self-assessment filings Year of tiling 3 years TAX-Gross Receipts & Variable Assessment Statements BUSINESS LICENSE Self-explanatory filings Year of tiling 2 years TAX-Workers' Compensation Verification Statements ~ ~ ) City of Santa Ana Finance & Management Services Resolution 95-O18 Records Retention Schedule Page F-5 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & COMPREHENSIVE Documents supporting CAFR. June 30 of Until Purged after audit is MANAGEMENT ANNUAL FINANCIAL each year completion of completed SERVICES REPORT-Working audit (continued) papers by fund COMPREHENSIVE General Purpose Financial Statements, Publication 10 years Retain at least 1 hard ANNUAL FINANCIAL date copy, REPORT-Audited CAPITAL ASSET-Annual Annual list of capital assets Beginning Hard copy-1 Depreciation depreciation, Fiscal Year year Microfilm-3 years. CAPITAL ASSET-By Lists capital assets by activity number, Beginning Hard copy-1 Activ'~ Fiscal Year year Microfilm-3 years. CAPITAL ASSET-By Lists capital assets by fund number. Beginning Hard copy-1 Funding Source Fiscal Year year Microfilm-3 years. CAPITAL ASSET-Master Lists all city capital assets, Beginning Hard copy-1 listing Fiscal Year year Microfilm-3 years. CAPITAL ASSET-Update Lists capital assets changes as they Beginning Hard copy-1 occur. Fiscal Year year Microfilm-3 years. CDBG-Community List CDBG project expenditures, End of fiscal 5 years Development Block encumbrances, & available balances, year Grant Report City of Santa Ana Records Retention Schedule Finance & Management Sen/ices Resolution 95-018 Page F-6 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & CHECKS-Workers' Paid/canceled checks issued by the City Paid date 3 years MANAGEMENT Compensation (various banks) SERVICES (continued) CHECKS-Outstanding Lists issued checks, paid checks & Monthly at end Hard copy-1 Checks Reports outstanding checks for the month, of month year (VEN020,021) Microfilm-3 years. Paid date 3 years CHECKS-Paid~Canceled Paid~canceled checks issued by the City Checks (various banks). CHECKS-Voided Payroll Semi-monthly payroll checks that have Issue date 2 years Checks been voided, where stub end is issued representing payroll direct deposits into employees credit union account. CHECKS-Voided Checks Self-explanatory. Voided date 2 years Checks voided as a result of printer alignment. CHECKS-Payroll Check Listing of payroll checks issued. Report date 3 years Register CHECKS- Checks voided/canceled; listing of all Report date 2 years Voided/Canceled & City checks voided or canceled. related Report(s) CHECKS-Treasury NCR copy of checks issued by Treasury Issued date 3 years Checks Vouchers Division. (::3 City of Santa Ana Records Retention Schedule Finance & Management Se~ces Resolution 95-018 Page F-7 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & CHECKS-Treasury Listing of all checks issued by Treasury Report date 3 years MANAGEMENT Check Report division SERVICES (continued) CENTRAL SERVICES- Lists all Central Services charges by End of fiscal Hard copy-1 Balance Lists fund and activity, year year Microfiche-3 years, DOG LICENSES- Self-explanatory Issuance date 3 years Receipts DOG LICENSES-Report Self-explanatory Report date 3 years of dog licenses issued E.P.A, HAZARDOUS List of annual disposal of hazardous Report date 7 years WASTE-Annual Report waste. E.P.A. HAZARDOUS Manifests from hazardous waste haulers Date of pick-up 7 years WASTE-Manifests for materials picked-up or generated by the City. EQUIPMENT-Record Initial document to set up equipment In-Sen/ice date Equipment Cards (Fleet & Acct.) 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 City of Santa Ana Records Retention Schedule Finance & Management Sen/ices Resolution 95-O18 Page F-8 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & EQUIPMENT-Surplus Records of fleet repair orders for surplus Surplus date 5 year after MANAGEMENT Files vehicles, surplus SERVICES (continued) EQUIPMENT-Accident Records of fleet damage estimates and Date of 7 years files collision repair order for vehicles accidents involved in accidents. GENERAL LEDGER- List all posted entries to general ledger Beginning Micreflche 10 Fiscal Year for the Fiscal Year. fiscal year years Report(GL150) GENERAL LEDGER- Lists account balances for current Beginning Hard copy-1 Trial Balance (GL120) month, fiscal year year Microfiche-3 years HOUSING Lists Housing Assistance payments by Beginning Hard copy-1 ASSISTANCE- account number, fiscal year year Expenditure Detail Microfiche-3 years. HOUSING Lists Addresses/payment amounts of Beginning Hard copyol ASSISTANCE-Housing Hsg. Assistance recipients, fiscal year year Balance Microfilm-3 years. INTEREST Lists interest earned from investment by Beginning Hard copy-1 DISTRIBUTION fund number, fiscal year year Microfilm-3 years. INVENTORY Issues & Lists inventor/issues from stores by Beginning Hard copy-1 Adjustments (IN150) stock number and account number, fiscal year year Microfilm-3 City of Santa Ana Finance & Management Services Resolution 95-018 Records Retention Schedule Page F-9 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & INTERNAL REVENUE Self-explanatory Following Hard copy-4 MANAGEMENT SERVICE-Form 1099 & completion of years SERVICES Form W-2 calendar year Microfilm-4 (continued) years. ISSUE SLIPS-Fleet Parts ordered Date Issue 1 year Maintenance JOURNAL VOUCHERS Document used to manually post entries Beginning 3 years to general ledger/cost ledger, fiscal year Microffim-3 years. LABOR-Labor distribution Lists labor charges by city department. Beginning Hard Copy-1 by department fiscal year year Microfiche-3 years. LABOR-Labor distribution Lists labor charges by account number Beginning Hard copy-1 by fund and employee number, fiscal year year Microfiche-3 years. LABOR-Posting Errors Lists labor charges unable to post by Weekly Hard copy-1 account number and work order year number. Microfilm-3 years. LABOR-Monthly Lists actual payroll payments to Beginning Hard copy-2 Compensation employees by department, fiscal year years Distribution LABOR-Internal Service ~ Lists labor charged for PWA Project Beginning Hard Copy-1 Fund 86- labor (PAY156) Mgmt. employees by account number, fiscal year year Micmtilm-3 years, City of Santa Ant Records Retention Schedule Finance & Management Sen/ices Resolution 95-018 Page F-10 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & LABOR~PayroI~ Lists monthly payroll insurance by Beginning 2 years MANAGEMENT Insurance Distribution account number, fiscal year SERVICES (continued) MAINTENANCE Maintenance request attached to repair Date repair Life of REQUEST-Fleet order order opened equipment MISCELLANEOUS Lists misc. unpaid billings by customers Bi-monthly Hard copy-1 ACCOUNTS name (i.e. false alarms, accident year RECEIVABLE-by damage) Microfiche-3 customer years. MISCELLANEOUS List misc. unpaid billings by fund. Bi-monthly Hard copy-1 ACCOUNTS year RECEIVABLE-by fund Microfiche-3 years. MISCELLANEOUS Used to reconcile actual billing/payments Bi-monthly 3 years, ACCOUNTS to data processing totals. RECEIVABLE-edit proof MISCELLANEOUS Lists all activities to account receivable Annually 5 years ACCOUNTS ledger for FY. RECEIVABLE-Year to date MUNICIPAL UTILITY Lists daily receipts to Munidpal Util~ Receipt date 3 years ACCOUNTS-Payments accounts by account number. MUNICIPAL UTILITY Lists deposits to municipal utility Receipt date 3 years ACCOUNTS-Deposit accounts. Reports City of Santa Ana Records Retention Schedule Finance & Management Sen/ices Resolution 95-018 Page F-11 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & MUNICIPAL UTILITY Lists payments for municipal utility Receipt date 3 years MANAGEMENT ACCOUNTS-Refund refunds. SERVICES check register (continued) MUNICIPAL UTILITY Lists balances of all municipal utility Monthly 3 years ACCOUNTS-Trial accounts. Balance MUNICIPAL UTILITY Miscellaneous computer reports relating Receipt date 3 years ACCOUNTS-Computer to municipal utility billings. Reports MUNICIPAL UTILITY Includes water start-up notices, stop- Report date 2 years ACCOUNTS-Customer water notices, deposit slips, files investigations of water meter notices, and Meter Exchanges. MUNICIPAL UTILITY Computer reports detailing accounts Report date 3 years ACCOUNTS-Billing billed & respected charges. History Reports OVERHEAD Lists indirect costs & overhead charges End of fiscal Hard copy-1 DISTRIBUTION-Indirect by account number, year year Cost/Capital Project Microfilm-3 years. PARAMEDIC-Daily Doc. prepared by Fire Dept. to inform Daily 2 years incident report Accounting to send paramedic billing. PARAMEDIC-end of Self-explanatory Daily 2 years month report Microfilm-3 years. City of Santa Ana Records Retention Schedule Finance & Management Se~/ices Resolution g5-o18 Page F-12 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & PARAMEDIC-Purged Lists of accounts removed from Daily 2 years MANAGEMENT accounts report computer system. Microfilm-3 SERVICES years. (continued) PARAMEDIC-Daily Self-explanatory Daily 2 years Summary Microtilm-3 years. PARAMEDIC- Explanations of benefits. Daily 2 years Medicare/Medical Microfilm-3 years. PARAMEDIC-Medicare Medicare report for electronic billing, Daily 2 years ~ Microfilm-3 years. PARAMEDIC-Billing Lists Paramedic Billing payments Daily 2 years Deposits Processed received by Treasury. (Includes Treasury Microfilm-3 Copy and Deposit Slip) years. PARKING CITATION- Reports itemizing Parking Citations Report date 3 years Ticket Detail Computer processed through contract agencies. Reports PARKING CITATIONS- Itemization of citations 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. PAYROLL-Retirement Self-explanatory. Beginning 2 years- Reports fiscal year Microfilm- indefinite City of Santa Aha Records Retention Schedule Finance & Management Services Resolution 95--018 Page F-13 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & PAYROLL-Employee Lists employee earnings by social Beginning 2 years- MANAGEMENT Earnings security number, fiscal year Microfilm- SERVICES indefinite (continued) PROJECTS- Authorization sent by dept. to set up Project 3 years. Authorizations project. Inception PROJECTS- Completed projects Project 3 years. Authorizations Inception (Completed) PROJECTS-Project Lists year-to-date expenditures, Project 3 years. Report (PS295) encumbrances, & available balances by Inception project number. REFUND wARRANT Business Tax refund requests to Issuance date 3 years REQUEST-Business Tax Treasury (including supporting Office documentation). REFUND WARRANT Water Office refund requests to Issuance date 3 years REQUEST-Water Office Treasury. REFUND WARRANT Treasury Office misc. refund request and Issuance date REQUEST-Misc. backup information. Refunds/ 3 years Reimbursements Issuance date REFUND WARRANT Utility Users Tax refund requests to REQUEST-Utility Users Treasury (including supporting 3 years Tax documentation). City of Santa Ana Records Retention Schedule Finance & Management Sen~ces Resolution 95-018 Page F-14 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & UTILITY USERS TAX- Original registration Registration 3 years from MANAGEMENT Filing Records date cessation of SERVICES business (continued) UTILITY USERS TAX- Homeowners Iow income exemption Application 3 years Exemption Applications application date UTILITY USERS TAX- Monthly remittance Remittance 3 years Payment Records date UTILITY USERS TAX- Annual registration and maximum tax Registration 3 years Maximum Tax Filings payment records date UTILITY USERS TAX- Remittances Remittance 3 years Municipal Public Lands date Use Sumharge Payments TRANSIENT Original registration Registration 3 years from OCCUPANCY TAX-Filing date cessation of Records business TRANSIENT Monthly ~ngs and remittances Rem~ance 3 years OCCUPANCY TAX- date Payment Records TREASURY REPORT- Daily report of cash/checks received, Report date 3 years Treasury Daily Cashier and an itemization of receipts. Report City of Santa Ana Records Retention Schedule Finance & Management Sen, ices Resolution 95-018 Page F-15 of F-15 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE & TREASURY REPORT- Contains detail of revenues posted to Date of 3 years MANAGEMENT Daily Treasurer's Daily treasurer Report. Receipt SERVICES Envelopes (continued) TREASURY REPORT- Report of Daily revenues received. Report date 3 years Daily Treasurers Report TREASURY REPORT- All documents pertaining to Investment Invoice date 3 years Treasury Investment Activity. Activity Records TRUCK INSPECTIONS- Truck inspections records for CliP Completion of 3 years bi-annual Inspection WATER ACCOUNTS- Original copies of applications for Application 3 years Applications for Service installation of new water service date originated by Public Works. WORK ORDER- Initial document to authorize use of work Inception date 10 years Authorization order (Green copy), Completion WORK ORDER- Completed projects (Yellow copy) date 10 years Authorization, Report date WORK ORDER-Listing List of all work order numbers by fund. (monthly) Hard copy~l year CITY OF SANTA ANA FIRE DEPARTMENT RECORDS RETENTION SCHEDULE Resolution 954318 Exhibit G Page G-1 of G-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Arson Case Assignments Case assignment logs Inc/dent date Permanent V'~tal records fi~ed in Arson Office Investigations Significant cases Incident date Permanent Climatological Temperature, rainfall, Month of origination Permanent Obsewations severe winds Emergency Contact lists Reference material Date of origination Until supemeded Management City resources Reference material Date of origination Until superseded Fire Prevention Address tiles Record of inspections File start date Permanent (micro-filmed Vital records filed in and permits as time allows) Administration office National Fire Protection National Fire Codes Date of origination Permanent Assoc. Haz-Mat Disclosure Business emergency Compliance with health Permanent Permanent Vital Records filed in plans and safety code, Record Haz-Mat office and of Haz-Mat handlers. Administration office Material Record of hazardous Permanent Permanent inventories materials. City of Santa Ana Records Retention Schedule FIRE DEPARTMENT Resolution 95-018 Page G-2 of {3-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Hydrants Hydrant activity Annual Summary Entry into computer 3 Yrs Hydrant inspection Listing of all hydrant reports information Hydrant inspection List by station numbers workload Incident Reports Documentation of Date of Incident Permanent findings and action taken (Microfilmed after 2 yrs, 4 by suppression yrs total kept in hard personnel copy) Infection Infection Control Project Infection Control Until superseded 5 Yrs US OSHA 29 CFR Control (ICP) Committee agenda and minutes, research articles, pertinent laws, resource materials Medical Confidential medical Separation date 30 Yrs records of each employee Training Records EMS/ICP Separation date 10 Yrs City of Santa Aha FIRE DEPARTMENT Resolution 95018 Records Retention Schedule Page G-3 of C--4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Maintenance Contractor Submittals Products and/or Project completion Permanent and Shop Drawings materials used during construction of projects Equipment/Clothing Personnel issues of Date of separation 5 Yrs clothing/equipment, equipment surveyed, donated or lost Specifications Specifications and Project completion Permanent reference matedal for ~. station repairs and/or maintenance projects Mobile Intensive Care Record of medical Report date 2 Yrs (MIC) Reports treatment given Overtime slips Scheduled overtime duty Payroll period date 2 Yrs Plan Check Construction records Blueprints/documents Project completion Permanent (microfiche) Station Journals Company journals Handwritten log of Date of log entry Permanent significant activities, including daily personnel records, by fire company City of Santa Ana FIRE DEPARTMENT Resolution 95-018 Records Retention Schedule Page G-4 of RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Training Training records Training subject matter, Indefinite Permanent lesson plans, training resources Reserves Personnel records Separation date 7 Yrs Underground Storage Tanks A~ve sites State requirements Indefinite Permanent On-going Remediation Detailed activily of underground tank sites in the City Closed sites Court use Vehicles Accidents Property Accountability Repair of vehicle 2 Yrs (non-liability forms (PAR), Accident 4 Yrs (potential liability) forms, PD forms, drawings of accidents Inventory All Fire Department Indefinite Until surveyed vehicles Schedules Schedules for vehicle Completion of 2 Yrs maintenance scheduled maintenance CITY OF SANTA ANA RECORDS RETENTION SCHEDULE LIBRARY SERVICES Resolution 95-018 Exhibit H Page H-1 of H-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Adult Services Career Center Plans/procedures Expiration Date 2 Yrs Periodicals Plans/procedures Expiration Date 2 Yrs Reference Services Plans/procedures Expiration Date 2 Ym 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 Library Board Meeting plans Meeting Date 2 Yrs Total Qual~ 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 City of Santa Aha Records Retention Schedule LIBRARY SERVICES Resolution 95-018 Page H-2 of H-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 Ym Immigration Grant Improve Immigrant Ubrary Expiration Date 2 Yrs Svcs City of Santa Ana LIBRARY SERVICES Resolution 95-018 Records Retention Schedule Page H-3 of H-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Grants Library of Amedca Funds to Improve Library Expiration Date 2 Yrs Continued Svcs MURLS Funds to Improve Urban Expiration Date 2 Yrs Resources Vietnamese Voices Funds to Improve Expiration Date 2 Yrs Vietnamese Library Svcs Childrens' & Youth Homework Tutoring 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 for Plans/procedures Expiration Date 2 Yrs Shut-Ins City of Santa Ana LIBRARY SERVICES Resolution 95-O18 Records Retention Schedule Page H-4 of H-5 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Extension Services Partnership with Schools Plans/procedures Expiration Date 2 Yrs Continued Special Events Plans/procedures Expiration Date 2 Yrs Volunteer Services/Awards Plans/procedures Expiration Date 2 Yrs Library 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 Ana LIBRARY SERVICES Resolution 95-O18 Records Retention Schedule Page H-5 of H-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 Library Staffing Expiration Date 2 Yrs Staffing Plans Self-explanatory Expiration Date 2 Yrs RFCA Requests for Council Action Backup documentation of Contract 2 Yrs (RFCA) - By Year contracts presented to Expiration Date Council for approval ~. Youth Employment & Library plans and Manual of Operations and Expiration Date 2 Yrs Summer Programs procedures other documents CITY OF SANTA ANA RECORDS RETENTION SCHEDULE PERSONNEL SERVICES Resolution 95-018 Exhibit I Page I-1 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION 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 year Date Rule 1501 for 1 week as designated by City. Filed by department pay code, by year Commuter Services Registration/payment forms filed Registration 2 years, each SCAQMD Program ** alphabetically for employees who Date plan year Regulation XV, are registered in the Commuter Rule 1501 Services Program. Commuter Services Program Plan. TRP Incentives: ** Cash Incentive ** Completed once per month to Payment Issue 2 years, each SCAQMD Payment DPV's ** reimburse employees who are Date plan year Regulation XV, And Supporting registered and who meet the Rule 1501; Documentation ** criteda of Commuter Services AB2766 Audit Program. Requirements Incentive Program Claim forms and documentation Date Incentive 2 years, each SCAQMD Components ** for $10 and $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 air Release Date plan year Regulation XV, Contacts ** quality. Filed chronologically. Rule 1501 City of Santa Ana Records Retention Schedule PERSONNELSERVICES Resolution 95-O18 Page I-2 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD AIR QUALITY Emergency Episode Log and actions taken on Date of 2 years SCAQMD PROGRAM Alert forecasts of air quality as provided Episode Regulation VII, (continued) by Air Quality Management District Rule 707 (AQMD). Filed chronologicafiy. BILLINGS Medical/Dental Individual medical/dental Date Received 3 years Department Insurance Carrier insurance carrier billings, defined arranged chronologically by month within each provider's file. Unemployment Ins. UI quarterly bills from State of Date Received 3 years Department California Employment defined Development Department, and summaries of payments made by the City of Santa Aha. Kept in chronological order. CONTRACT FILES** Dental Official annual dental insurance Contract Microfilm & Department contract fi~es, arranged Exp/rat/on Date destroy hard de~ned chronologically by insurance copy after 3 yrs; carrier, keep m/f permanent. Life Official annual life insurance Contract Microfilm & Department contract files, arranged Expiration Date destroy hard defined chronologically by insurance copy after 3 yrs; carrier, keep m/f permanent. LTD Insurance Official annual Long-Term Contract Microfilm & Department Disability (LTD) contract files, Expiration Date destroy hard defined arranged chronologically by copy alter 3 yrs; insurance carder, keep m/f permanent. City of Santa Ana PERSONNEL SERVICES Resolution 95-018 Records Retention Schedule Page I-3 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CONTRACT FILES** Medical Official annual medical insurance Contract Microfilm & Department (continued) contract files, arranged Expiration Date destroy hard defined chronologically by insurance copy after 3 yrs; carrier, keep m/f permanent. EMPLOYMENT Full-/Part-Time U.S. Dept. of Justice Immigration See Retention 3 yearn after the Immigration ELIGIBILITY Employees and Naturalization forms Period Column date Reform and VERIFICATION completed and signed by EE and employment Control Act of (FORMS I-9) ** reviewed and verified (with begins or 1 year 1986, Pub. L. necessary documentation) by after 99-603 (8 employer representative, employment is U.S.O. 1324a) Arranged alphabetically by terminated, employee's last name. whichever is later. ENROLLMENT Dental Insurance Employee dental insurance EE separation/ Microfilm and 29 CFR FORMS enrollment forms, arranged termination destroy hard 1602.30-.32 (OFFICIAL)** individually by insurance carrier, date copy after 3 yrs; and then alphabetically by keep 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 permanent. Life Insurance Employee life insurance EE separation/ Microfilm and 29 CFR enrollment forms, arranged termination destroy hard 1602.30-.32 alphabetically by employee name. date copy after 3 yrs; keep m/f permanent. City of Santa Aha Records Retention Schedule PERSONNELSERVICES Resolution 95-018 Page l-4off-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ENROLLMENT Long-Term Disability Employee Long-Term Disability EE separation/ Microfilm and 29 CFR FORMS Insurance Insurance enrollment forms, terminafion destroy hard 1602.30-.32 (OFFICIAL)** arranged alphabetically by date copy after 3 yin; (continued) employee's name. keep m/f permanent. Medical Insurance Employee medical insurance EE separation/ Microfilm and 29 CFR enrollment forms divided by each termination destroy hard 1602.30-.32 medical insurance carrier, date copy after 3 yin; arranged alphabefically by keep m/f employee name. permanent. HISTORICAL Discipline History Forms completed by personnel End of the year 3 years* Department RECORDS analysts as a record of disciplinary for which the defined actions taken on employees in record is their particular department(s), developed. Arranged by year and alphabetical order. Employee Assistance EAP records 1988 to 1991. Permanent Permanent Department Program Contains initial committee notes, defined request for propasal, resolution. Predecessor of current carder Lifelink-EAP. Arranged by year and alphabetical order. Fitness for duty Copies of letters sent to Permanent 3 years Department employees re need for fitness for defined duty exam. Psychiatrist's evaluations/results of fitness for duty exams. Arranged by year and alphabetical order. City of Santa Ana PERSONNEL SERVICES Resolu~on 95-018 Records Retention Schedule Page I-5 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD HISTORICAL Layoffs Notes/background documention Starting with 3 years Department RECORDS of layoff actions including seniority the layoffs of defined (continued) lists, retirement lists, etc. Filed by the year - July department and by employee I of each fiscal name. year JOB BULLETINS Master Copies Originals of master copies of job Date bulletin Microfilm and Department bulletins filed numerically by year. posted destroy hard defined copy after 5 yrs; keep mR permanent. 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 classification is records are application form is retained. Each posted segregated and ~ time a new bulletin is printed, a may be ._ copy is acco-clipped to the folder microfilmed. and extra copies are put in the file. Filed alphabetically by job classification title. JOB Classification/ Basis for salary rates, job Date study 10 years Department SPECIFICATIONS Compensation Study descriptions. Arranged completed defined Records alphabetically by classification fitie. Full-Time Positions Historical collection of job descrip- Date job Ongoing; when Department tions as changed over time for classification class is deleted defined City of Santa Ana full-time job deleted records are classifications, segregated and may be microfilmed. City of Santa Ana Records Retention Schedule PERSONNEL SERVICES Resolution 95-O18 Page 1-6 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD JOB League of Cities Preparation tiles and tinal copies Survey Two years Department SPECIFICATIONS Benchmark and for League of Cities. completion detined (continued) Benefits Survey date Part-time/Temporary Background matedal and final job Date job Permanent Department Positions description for all part-time and classification detined seasonal positions, arranged in deleted alphabetical order. LOSS CONTROL Hearing Tests Audiological test results. Employee 30 years total - CAL OSHA Title separation/ keep hard copy 8 termination only. date Hepatitis Vaccination Records of dates hepatitis Employee 30 years total; CAL OSHA Title Records vaccinations administered, separation/ microfilm and 8 termination destroy hard date copy after 5 yrs; keep m/f 25 yrs. Incident Reports Police report or additional internal Report 5 yrs maximum Department accident review forms, completion - keep hard detined date copy only. Inspection Reports Loss Control inspection reports Date inspection 5 yrs maximum Department which show date, time, and conducted - keep hard detined location of safety inspections; also copy only. identities hazards. MEMORANDA OF FBA Memorandum of Understanding Permanent Permanent - Department UNDERSTANDING (MOU) between the City of Santa Keep one hard defined (MOU) Aha and the Santa Ana Firemen's copy for each Benevolent Association. year City of Santa Ana PERSONNEL SERVICES Resolution 95-O18 Records Retention Schedule Page I-7 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD MEMORANDA OF FMA Memorandum of Understanding Permanent Permanent - Department UNDERSTANDING between the City of Santa Ana Keep one hard defined (continued) and the Santa Ana Fire copy for each Management Association. year PMA Memorandum of Understanding Permanent Permanent- Department between the Cibj of Santa Aha Keep one hard defined and The Santa Ana Police copy for each Management Association. year POA Memorandum of Undemtanding Permanent Permanent- Department between the Cibj of Santa Ana Keep one hard defined and the Santa Ana Police Officers copy for each Association. year SACEA Memorandum of Understanding Permanent Permanent- Department between the C~ of Santa Ana Keep one hard defined and the Santa Ana City copy for each Employees' Association/Service year Employees International Union Local 1939, AFL-CIO, CLC. NEGOTIATIONS Benchmarks Original notes Contract 3 years Department expiration date defined FBA (1990) Firemen's Benevolent Association Costs Original notes Contract 3 years Department Fire Prevention Original notes expiration date defined Salary and Wage Original notes FMA Original notes on negotiations Contract 3 years Department between City of Santa Ana and expiration date defined Santa Ana Fire Management Association. City of Santa Ana Records Retention Schedule PERSONNELSER~CES Resolu~n 95-O18 Page I-8 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD NEGOTIATIONS Miscellaneous Original notes on miscellaneous Contract 3 years Depa~ment (continued) negotiations, expiration date defined PBA (1990) Police Benevolent Association Costs Original notes Contract 3 years Department Sala~ and Wage Original notes expiration date defined PMA Original notes on negotiations Contract 3 years Department between City of Santa Ana and expiration date defined Santa Ana Police Management Association. POA Original notes on negotiations Contract 3 years Department between City of Santa Ana and expiration date defined Santa Aha Police Officers Association. SACEA Original notes on negotiations Contract 3 years Dep;~tment between City of Santa Ana and expiration date defined Santa Aha City 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-industrial date injury or sickness. Ce~ficafion/ 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 Ana PERSONNEL SERVICES Resolution 95-018 Records Retention Schedule Page I-9 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Certificates of Certificates issued to EE which EE separation/ 3 yearn* 29 CFR PERSONNEL FILES Training show completion date of training termination 1602.30-.32 (continued) class(es), date Commendation Letters of commendation and/or EE separation/ 3 years* 29 CFR Letters other congratulatory documents termination 1602.30-.32 received by and/or issued to EE. date Disciplinary Actions Memorandums, letters, or other EE separation/ 3 years* 29 CFR records of proposed and/or termination 1602.30-.32 implemented disciplinary date action(s). Doctor's Notes/medical release forms, etc., EE separation/ 30 yra total; US OSHA 29 Notes/Medical submitted regarding employee's termination microfilm and CFR 1910~20 Releases medical condition, date destroy hard copy after 3 yrs; keep m/f 27 yrs. Drug Screen Test Pre-placement and drug EE separation/ 30 yra 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 mlf27 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 yrs; Leave Act of additions to or deductions from keep m/f 27 yrs. 1993 and US wages). OSHA 29 CFR 1910.20 City of Santa Ana Records Retention Schedule PERSONNEL SERVICES Resolution 95-018 Page 1-10 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Family and Medical Dates (or hours) FML Date FML Microfilm and Federal Family PERSONNEL FILES Leave (FML)** designated/taken; copies of FML requested/is destroy hard and Medical (continued) (continued) notices given to employer by granted to EE copy after 3 yrs; Leave Act of employee; documents from keep m/f 27 yrs. 1993 and US employer describing FML policies; OSHA 29 CFR records of premium payments of 1910.20 employee benefits; records of any dispute re: FML. In confidential files: Date FML Microfilm and Federal Family records/documents relating to requested/is destroy hard and Medical medical certifications, granted to EE copy after 3 yrs; Leave Act of keep m/f 27 yrs. 1993 and US OSHA 29 CFR 1910.20 Grievances (closed) Files containing EE's, group of EE separation/ 3 years* 29 CFR employees', or the Union's timely termination 1602.30-.32 complaint as defined in the MOU. date I.D. Form Form completed by new EE separation/ 3 years* 29 CFR employees providing identifying termination 1602.30-.32 information used to process Santa date Aha Police Dept. records check. Job Application Applications for employment and EE separation/ 3 years* 29 CFR resumes (if any) for hired termination 1602.30-.32 employees, date City of Santa Ana PERSONNEL SERVICES Resolution 95-018 Records Retention Schedule Page 1-11 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Medical Leave of Leave of Absence forms used in EE separation/ 30 yre total; US OSHA 29 PERSONNEL FILES Absences (Including the documentation of medical termination microfilm and CFR 1910.20 (continued) Pregnancy Leave and leave (including pregnancy leave date destroy hard Family and Medical and Family and Medical Leave). copy after 3 yrs; Leave). ** keep m/f 27 yrs. Miscellaneous Documents not specifically EE separation/ If medical- Medical related Documents mentioned but kept in official termination related, 30 yrs - US OSHA 29 personnel file. date (3 yrs as hard CFR 1910.20; copy; microfilm non-medical - keep perm.); related -29 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, reason 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 approval for employee to be termination 1602.30-.32 engaged in outside employment, date City of Santa Aha Records Retention Schedule PERSONNELSER~CES Resolution 95-O18 Page I-t2 of 1-22 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) supen/isory 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 EmpJoyees' 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 1910.20 physical capability of employee date destroy hard prior to hiring, copy after 3 yrs; keep m/f 27 yrs. Security Check Form Form completed by Personnel EE separation/ 3 years* 29 CFR Svcs to requerst Police Dept to termination 1602.30-.32 conduct security check on date employee prior to hiring. Special Licenses Special licenses issued to EE separation/ 3 years* 29 CFR employees from DMV, accredited termination 1602.30-.32 schools, etc., verifying employee date meets certain job-related requirements. Tui~on Copies of applications for training EE separation/ 3 years* 29 CFR Reimbursement and educational assistance which termination 1602.30-.32 Request show EE request, department date head approval, and final disposition of request. City of Santa Ana PERSONNEL SERVICES Resolution 95-018 Records Retention Schedule Page 1-13 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Union Bank Donation Form signed by employee EE separation/ 3 years* 29 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/ Microtilm 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 from yrs*; keep mR employee's pay and/or for permanent. indicating exemption. PAYROLL Employee Kardex File Reference for current and/or EE separation/ Microfilm and Department Cards separated full/part-time employee termination destroy hard defined information (pay, address, Occ date copy after 3 yrs; codes, etc.) arranged keep m/f alphabetically by employee's last permanent. name (current employee Kardex cards also arranged in card trays by dept., then alpha by EE name). Salary Schedules Basic Consolidated Classification/ Permanent Microfilm and Department Compensation Plans destroy hard defined copy after 3 yrs; keep mR 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 Ant Records Retenlion Schedule PERSONNEL SERVICES Resolution 95-O18 Page 1-14 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PERSONNEL Personnel Board Employee personnel board EE separation/ 3 years* 29 CFR BOARD (continued) Hearing Files hearing files, termination 1602.30-.32 date Personnel Board Arranged according 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 Materials used in the Date 2 years Department preparafion~mplementafion 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. Certification Log Active and inacfive, arranged by Date of last 10 years Department Books cert number listing cert number, entry defined classification fitle, department, cert date, appointment date, name of hired employee, and whether promotional or non- promotional appointment. City of Santa Ana PERSONNEL SERVICES Resolution 95-018 Records Retention Schedule Page 1-15 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RECRUITMENTS Certification Folder - Lists following information Date request 2 yearn Department (continued) Tracking regarding each full-time request for certification defined for certification 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 pemon(s) eligible for referral to eligible list microfilm and defined departments to till vacancies, expiration date destroy hard Active cards are kept separate or eligible list copy after 5 yin; from inactive cards. Both sets of abolishment keep m/f 15 yin. cards are kept in alphabetical date order according to classification. 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 recruitment order grouping. Kept cancelled 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 examination, recruitment cancelled City of Santa Ant Records Retention Schedule PERSONNELSERVICES Resolution 9~018 Pagel-16 ~1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RECRUITMENTS Examination Files Recruitment examination file Earlier of date 3 years* 29 CFR (continued) folders arranged alphabetically eligible list 1602.30-.32 according to classification title, established or date recruitment cancelled 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 file folder cancelled (according to classification title)). Arranged in alpha order within file folders arranged by year. Testing Materials Contains historical data, used for Date eligible 3 yrs or as long Department testing candidates, arranged in list established as 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 125 defined Participants ** participants, arranged chronologically by month and year, and alphabetically by employee name within each monthly file. REPORTS- Accruals - payroll Monthly payroll accrual computer- Date received 3 years Department COMPUTER generated reports, defined GENERATED } i j City of Santa Ana Records Retention Schedule PERSONNEL SERVICES Resolution 95-O18 Page 1-17 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD REPORTS- Liability Loss Run Liability loss runs filed in Permanent Permanent for Department COMPUTER chronological order. Lists claim #, the months of defined GENERATED type of claim, claimant's name, June, July, and (Continued) history per fiscal year, reserve December of balances, totals incurred each year REPORTS- Employee Changes, Official monthly reports of End of each 3 years Department MISCELLANEOUS Additions, Deletions In medical/dental/life/LTD insurance month defined Medical Insurance ** changes, additions, deletions for each employee, arranged chronologically by month for each insurance carrier. ' ' Monthly Departmental Report of employees hired, Distribution 10 years Department 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 after 10 how much money it may need to yrs; keep m/f fund claims. Arranged permanent. alphabetically and/or in chronological order. City of Santa Aha Records Retention Schedule PERSONNELSERVICES Resolution 95-O18 Page 1-18 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK BICEP ** Big Independent Cities Excess 1988 Policies are Department MANAGEMENT Pool (BICEP) tiles. Information perpetual; all detined (continued) regarding this insurance pool, other BICEP whose aim is to shield member tiles microfilm cities from tinancial impairment and destroy due to large liability claims, hard copy after judgements and settlements. 10 yrs; keep m/f Arranged alphabetically and/or in permanent. chronological order. CAJPA Accreditation California Association of Joint Various Microtilm and Department Powers Authority tiles having to do destroy hard detined with review of assembly and copy after 5 yrs; senate bills, and positions taken keep m/f for risk management pools as 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 workers' destroy hard defined compensation) the City has copy after 10 acquired for those items needing yrs; keep m/f insurance coverage. Arranged permanent. alphabetically and/or in chronological order. Certiticates of Similar to revenue bonds which Various Microfilm and Department Participafion *° are used to finance things. Our destroy hard defined interest is bonds where we are copy after 10 required to show proof of yrs; keep m# insurance, and the BICEP bonds permanent. which funded claims reserves. City of Santa Ana PERSONNEL SERVICES Resolution 95-018 Records Retention Schedule Page 1-19 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK Insurance Policies- City's liabilib/coverage, through Permanent Permanent Department MANAGEMENT Liability ** BICEP/Rollins Hudig Hall (RHN) - defined (continued) broker and their predecessom and prior insurance brokem, Arranged alphabetically and/or in chronological order. Insurance Policies- For the City's property coverage, Various Microfilm and Depa~Tnent Property ** through the Public Entities destroy hard defined Property Insurance Program copy after 10 (PEPIP)/Robert F. Driver yin; 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 ** Compensation insurance, through defined BICEP/RHH and pdor insurance brokers. Arranged alphabetically and/or in chronological order, Liability Claims Non-litigated tort claims filed Final resolution 5 years Department Against the City ** against the City for damages to date defined persons or personal property. Filed alphabetically by claimant's last name. Police Any files regarding City's Police Various Microfilm and Department Department which have to do with destroy hard defined insurance or possible liability copy after 5 yrs; issues. Arranged alphabetically keep m/f and/or in chronological order, permanent. City of Santa Aha Records Retention Schedule PERSONNELSER~CES Resolution 95-O18 Page 1-20 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK PRIMA Public Risk Management Various Microfilm and Department MANAGEMENT Association files. Arranged destroy hard defined (continued) 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 ** called Tenants/Users Liability destroy hard defined Insurance Program" (TULIP), copy after 10 provided to the City through yrs; keep m/f BICEP/RHH. TULIP 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 TULIP. Arranged alphabeticalJy and/or Jn .. chronological order. State of California State report of workers' July, 1975 Perpetual Department Annual Report ** compensation liabilities, defined Tax Reports January 1,1993 Perpetual Perpetual Department (1099's ) ** defined Taxi and Tow Truck Information regarding Risk Various Microfilm and Department Insurance Management and City destroy hard defined codes/insurance requirements for copy after 10 both taxis and tow trucks, yrs; keep m/f Arranged alphabetically and/or in permanent. chronological order. City of Santa Ana Records Retention Schedule PERSONNEL SERVICES Resolution 95-018 Page 1-21 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK Underground Storage Insurance, liability issues, proof of Various Perpetual Department MANAGEMENT Tanks ** compliance and other defined (continued) documentation regarding underground petroleum storage tanks. Arranged alphabetically and/or in chronological order. Vehicles Insurance/City regulations Various Microffim & Department regarding City vehicles. Arranged destroy hard defined alphabetically and/or in copy after 5 yrs; chronological order keep m/f permanent. TRAINING Attendance Sign-In Management and Leadership Permanent Permanent Department Sheets Training Programs forms used to defined validate attendance at training sessions which is a criteria for receiving a Certificate of Completion. Filed by program in chronological order. Class Training Training records of all classes Ending date of 2 years Department Records every semester arranged in each class defined alphabetical order and by semester in numedc order. Employee Applications for the Public Permanent Permanent Department Applications Business Management classes defined and the Advanced Leadership Development classes. Used for background info for facutty members and as a registration form for the programs; arranged by program, chronologically and alphabetically. City of Santa Aha PERSONNEL SERVICES Resolution 95-O18 Records Retention Schedule Page 1-22 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WORKERS' Fimt Aid/Report Only Notices that an injury has Final action 3 years Labor Code COMPENSATION Incident ** happened - no medical records, date 5405 and T~tle 8 Reports arranged alphabetically California Code by employees' name. of Regulations #14311 Indemnity Claims Open/active and closed/inactive Final action Lifetime T'~le 8 California Files ** temporary and permanent date on claim medical award Code of disability claims files involving cases Regulations exposure to lost time. Permanent destroyed upon #15400.2 disability to be compensated, death of Contains medical files and individual. payment history. "Medical Only" Claims Open/active and closed/inactive Final action 7 years Title 8 California Files ** claims tiles. Contain claim forms, date on claim Code of billings, medical records, check Regulations copies, etc. EE injury - no loss of #15400.2 work greater than 3 days. Arranged alphabetically by employees' name. PERS (Sworn) Claims tiled by EE's (sworn) for Permanent Permanent Government Industrial Disability PERS disabilit7 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, pemonnel records of terminated EE shall be kept for a period of 2 years from the date EE terminated. If charge of discrimination tiled, personnel records relevant to the charge or action shall be kept until tinal disposition of the charge or action. Defined as "V'~al Records" (i.e., records that are needed for continuing operations (policies, procedures, organizational guidelines). ClTY OFSANTAANA RECORDS RETENTION SCHEDULE PLANNING AND BUILDING AGENCY Resolution 95-018 Exhibit J Page J-1 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ABANDONMENT Alley/Street City agrees to relinquish all rights and fee Approval Date 5 Yrs title to underlying property ADDRESS CHANGE Street Name Any change to description of the street Approval Date Until name Superseded Street Number Change in numerical identification due to expansion or decrease in numbers AGREEMENTS Development Contract between City and developer in Expiration Date 5 Yrs which the City agrees to guarantee specific entitlement in exchange for conditions or approval APPLICATIONS 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 Cit~ of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 95-O18 Page J-2 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD APPLICATIONS Development 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 Permanent 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 variate Permanent from the Floodplain Management regulations General Plan Alteration or redesignation of land use or Adopted Date Until policy contained in the General Plan Superseded Legal Nonconforming Legalizing unpermitted additions or Life of conversions to structures Structure Lot Line 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 PLANNING AND BUILDING AGENCY ResolulJon 95-O18 Records Retention Schedule Page J-3 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD APPLICATIONS Residential Relocation Any relocation of residential structure from Permit Issuance 5 Yrs Continued one parcel to another Seismic Safety Cerlificate Compliance with Santa Ana Municipal Approval Date Permanent of Compliance Code Seismic Safety Ordinance Sign Program Mechanism to insure the coordination of signage within a development site Planning Commission Project plans requiring approval of Site Plan Review Planning Commission typical of Sd zone Specific Development Used to create project or area specific Adopted Date standards of property through an amendment application Specific Plan Used to create special zoning districts through an amendment application Subdivision Map The consolidation or division of four or Recorded Date (or Parcel Map) fewer parcels Tract Map The division of five or more parcels Variance Request for variation from Chapter 41, Approval Date Santa Ana Municipal Code Amendment Application Amend, supplement or change of district Adopted Date Until boundades Supemeded Zoning Ordinance A change to the zoning ordinance Amendment City of Santa Aha Records Retention Schedule PLANNING AND BUILDING AGENCY Resol~on 95-O18 Page J-4 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CERTIFICATES Bond Ensures completion of project Permits Finaled 2 Yrs Compliance Ensures compliance with current code Approval Date Life of Structure Land Use A type of permit used for minor uses such 5 Yrs as: temporary activities, and satellite dishes Temporary Certificate of Allows occupancy before completion of Permit Issuance 2 Yrs Occupancy work is tinaled 2 Yrs Workers Compensation Ensures policies are current Issuance Date Insurance CALIFORNIA 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 mitigation Program measures have been incorporated in the environmental document Negate 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 City of Santa Aha Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 95-O18 Page J-5 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CALIFORNIA Notice of Determination Prepared by lead agency after an EIR has Approval Date Permanent ENVIRONMENTAL been certified or Negative Declaration has QUALITY ACT been approved Begins a 30-day statue of Continued 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 that Considerations has unavoidable adverse impacts, this document is prepared to provide decision makers with an explanation of why the project benef~s 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 and Issuance Date 2 Yrs Infractions vehicle for sale Notice of Violations: Notice to appear in court on Santa Ana Misdemeanors Municipal Code violations COMPLAINT Criminal Referral to Cit~ Attorney for action Issuance Date 2 Yrs COVENANTS & Access & Parking Common access/parking between two or Approval Date Permanent AGREEMENTS more properties Covenants & Termination Legal description of parcel of land of Covenants City of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolu~on 95-018 Page J-6 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD DETERMINATION By Properly A legal determination of a use or building Approval Date Permanent OF on a site which does not conform to current NONCONFORMING standards STATUS FINDING OF FACT Planning Commission Written finding which shall specify all facts Approval Date Permanent Zoning Administrator relied upon by City Council, Planning Commission, or Zoning Administrator in rendering its decision and in attaching conditions and safeguards INSPECTION Business License Inspection for Finance & Planning Divisions Issuance Date Permanent CeKit/cate of Occupancy Notice of Violation 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 damage 5 Yrs INVESTIGATION Special Investigation and Request by Fire Department Issuance Date 5 Yrs or Complaint NOTICE To Appear A misdemeanor violations to Santa Closure Date 2 Yrs Aha Municipal Code Not/ce & Order of Repairs or demolitions to buildings or Substandard structures Violations Noncompliance with city codes City of Santa Aha PLANNING AND BUILDING AGENCY Resolution 95-018 Records Retention Schedule Page J-7 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD NOTICE Special Investigation Pre-inspection for code compliance Date of Closure 2 Yrs Continued PERMITS Building, Electrical, Top allow inspections for code compliance Issuance Date Duration of Grading, Mechanical, building Plumbing & Solar Home Occupancy Business use which does not alter the Approval Date 6 Yrs residence Off Premise Sign System to control size, location, type and Duration of number of off premise signs located on the sign private property RECEIPTS Application Fees for various divisions permits, Date of 7 Yrs applications, etc validation REPORT Asbestos Verification of reports accuracy Issuance Date 5 Yrs Federal/State Statistics to various Government Agencies Permanent VERIFICATION Smoke Detector Voluntary mail in form Approval Date 2 Yrs WAIVER C 3 Parking Off street parking waiver within 300' of the Approval Date Permanent use it serves PLANS Engineered plans pertaining to structures Approval Date Permanent REPORTS Soil mpomts 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 RECORDS RETENTION SCHEDULE POUCE DEPARTMENT Resolution 95-O18 Exhibit K Page K-1 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ABATEMENT By Calendar Year Vehicle abatement notices, certified letters Date of Initial 3 Yrs Traffic Section PROGRAM and miscellaneous correspondence Notice ABC FILES Name of Premises History of ABC locations Applications for Date of Permanent Special Investigations ABC license to sell and/or serve alcoholic Application bevera~les ADMINISTRATIVE Employee Accidents Investigations of accidents involving on-duty Date Received 5 Yrs Internal Affairs (IA) INVESTIGATIONS Departmental personnel IA (Internal Affairs Incidents by Type) In-Custody Death Investigations of in-custody deaths Reports In-Custody Injury/Use of Investigations of in-custody injuries and use Force of force K-9 Reports Investigations of K-9 incidents Officer Involved Investigations of officer involved shootings Shootings APPLICANT FILES By Name Record of applicants not selected Date of Creation 3 Yrs Pemonnel Section APPLICATION/ Food Vending Application forms, lettem of approval or Date of 2 Yrs Traffic Section PERMITS denial and miscellaneous correspondence Acceptance or Denial Ice Cream Vendors Application forms, letters of approval or denial and miscellaneous correspondence Push Cart Vendors Application forms, letters of approval or denial and miscellaneous correspondence CH of Santa Ana POLICE DEPARTMENT Resolution 95-O18 Records Retention Schedule Page K-2 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD APPLICATIONS Taxi Cab Application forms, letters of approval or Date of 2 Yrs Traffic Section PERMITS denial and miscellaneous correspondence Acceptance or Continued Denial Tow Truck Application forms, letters of approval or denial and miscellaneous correspondence COP PROJECTS By Project Community Oriented Policing (COP) Date of Report 3 Yrs Field Operations problem solvin~ intervention reports CERTIFIED MAIL By Calendar Year Post Office receipts documenting delive[y of Date Mailed 2 Yrs Traffic Section RECEIPTS materials sent via certified mail CITATIONS By Citation Number Parking Citations Date of Issuance 2 Yrs Traffic Section Traffic Citations CITIZEN By Employee Name Investigations of alleged employee Date Complaint 5 Yrs Internal Affairs COMPLAINTS misconduct Reported DAILY LOGS By Officer Name Record of employee's daily activities Date Written 2 Yre Traffic Section By Supen/isor Name Record of supervisor's daily activities Date Written 2 Yre Field Operations DISPOSITIONS By Name Seamh and seizure documents received Date Probation 2 Yrs Records Section (SEARCH & from court without case numbers Ends SEIZURES) EMPLOYEE Background File Record of background investigation Termination of 3 Yrs Personnel Section RECORDS Employment Medical File Medical information for each employee Termination of 30 Yrs US OSHA 29 CFR Employment 191020 - Personnel Section Personnel File Employment records, ie evaluations, pay Termination of 3 Yrs Personnel Section chan,qes, commendations, etc Employment City of Santa Ana POLICE DEPARTMENT Resolution 95-O18 Records Retention Schedule Page K-3 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD EVIDENCE Latents By Case Number Latent prints obtained from crime scenes Date Obtained 5 Yrs ID Lab Log Books By Case Log books for beginning and final Permanent Permanent Evidence Section Number dispositions of all booked evidence items Negatives By Case Negatives of photos taken from crime Date Obtained 5 Yrs ID Lab Number scenes FIELD INTERVIEW By Name Documentation of a field contact by an Date Written 2 Ym Records Section CARDS officer FINANCE Petty Cash Receipts~By Expense vo hers and reimbursement Date of 2 Yrs Special Investigations Fiscal Year requests Reimbursement GRAFFITI TASK Correspondence, records of Date of incident 3 Yrs Field Operations FORCE interdepartmental actions concerning Task Force issues JAIL Inmate Grievances Inmate complaints and dispositions Date of 2 Yra Detention Facility ADMINISTRATIVE Completion REPORTS Inspections Results of other governmental agencies Date of inspections Inspection Inmate Mail Log Inamte mail summary Date of Log Intake Statistics Daily summary of intakes Date of Summary Population Roster Dailty population roster Date of Log City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resol~on 95-018 Page K-4 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD JAIL INMATE By Inmate Name Booking, release and custody files Date of Arrest 3 Ym Detention Facility RECORDS JAIL OPERATIONS Activity Summary Synopsis of population demography Date of log 2 Yrs Detention Facility REPORTS Incident Report Detailed occurrence documentation Date of report 3 Ym Detention Facility Shift Activity Log Significant events, welfare checks, etc Date of log 2 Yrs Detention Facility MINUTES Human Relations Meeting minutes Date of Meeting Permanent Investigation Division Commission Uniform Committee Meetin~l minutes Date of Meetin~ 2 Yrs Field Operations PERSONNEL By Name City employment requests for record checks Date of Request 2 Ym Records Section of new employees and supporting documents By Name Explorer Post applications and performance Date of 2 Yrs Training Section records of Explorers Termination POLICE REPORTS Crime Reports Incidents wherein a case number is issued Date of Report Permanent Files are microfilmed as permanent records; Traffic Reports hard copy files are destroyed after 2 years Information Reports - Records Section Homicide Reports Incidents wherein a murder is committed Permanent Permanent Records Section Marijuana under 1 oz Incidents involving less than 1 oz of Date Occurred 2 Yrs Health and Safety Code 113615 Records marijuana Section City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resolution 95-O18 Page K-5 of K-6 · RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD POLYGRAPH By Calendar Year Pre-employment polygraph examinations Date of Creation 3 Yrs Personnel Section FILES PSYCHOLOGICAL By Calendar Year Pre-employment psychological examinations Date of Creation 3 Yrs Personnel Section FILES results SEXUAL By Calendar Year Investigations of sexual harassment Investigation 5 Yrs Personnel Section HARASSMENT complaints Completion Date INVESTIGATION STATISTICAL UCR State reports of statistics on crimes and Date of Report 10 Yrs Records REPORTS (Uniform Crime Report) supporting documents Section Crime Tally Sheets Forms used to collect crime data Date of Crime 2 Yrs Records Section TRAINING Departmental Orders Self-explanatory Permanent Permanent Training Section RECORDS Employee Training Schools and classes attended by police Termination Date 5 Yrs Training Section Records - By Employee employees Name Jail Training Records - Jail employee training records Termination Date 5 Yrs Detention Facili~ By Employee Name K-9 Training Records - Training records of K-9 officers Termination Date 5 Yrs K-9 Unit By Officer Name Law Summary Summaries issued by City Attorney and Date of Issue 5 Yrs Training Section Legal Advisor City of Santa Aha Records Retention Schedule POLICEDEPARTMENT Resolution 95-018 Page K-6 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TRAINING Range Records Employees' scores and documentation Date Created 5 Yrs Training Section RECORDS Continued STC Reports Mandated quarterly and annual report Date of Report 2 Yrs Detention Facility (Standards and Training submitted to STC for Corrections) Training BuJletins Self-explanatory Permanent Permanent Training Section TRESPASS Permission form signed by property owner Date of Initial 2 Yrs Field Operations FORMS Report WARRANT Served warrant working papers with no case Date of service 2 Yrs Records Se~on INVESTIGATIVE number WORKSHEETS ') CITY OF SANTA ANA PUBLIC WORKS AGENCY RECORDS RETENTION SCHEDULE Resolution 95-018 Exhibit L Page L-1 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ADMINISTRATIVE Agenda-ETAC Environmental, Transportation Advisory Meeting Date 2 yrs SERVICES Commission (ETAC) Assessment Districts Documents/Maps; Parking Structures, etc. Payoff Date 2 yrs Minutes, ETAC Environmental, Transportation Advisory Meeting Date Permanent Commission Permits Bus Shelters, Newsrscks Expiration Date 3 yrs SRRE & Implementation Recycling Plan & Implementation Records Expired/Revise 5 yrs State requirement (Source Reduction and Date Recycling Element) Street Light Authorizations Edison Notice of Lamp Change Authorization Date 5 Yrs Street Light Maintenance City-owned Street Lighting End Fiscal 3 yrs Records Year CONSTRUCTION Contractor's Bid List Santa Ana Contractors Until Annual ENGINEERING Superseded Revision Disadvantaged Business Re: Federal Projects End Fiscal 5 yrs Federal Audit Enterprise Program Year Post-Coast. Critiques Project/Contractor Reviews End Fiscal Procedures review Year Project Files During Construction period Construction Filed in SEE PROJECTS Completion Date Central Files Street Closure Reports Closures during construction only Report Date 5 yrs City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 95-018 Page L-2 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD DESIGN Soils Reports Detailed soil analysis/construction Report Date 10 yrs Project design data ENGINEERING recommendations DEVELOPMENT Certificates of Compliance City Engr. Approval of existing subdivision Date Recorded Indefinitely Reference copies ENGINEERING City Map (Official) Amended every three years Until Indefinitely Official City Record Superseded Development Conditions Public Works Private Development SEE BLDG. Orig. Bldg. Reference Copies Conditions Special Studies Re: Transportation Issues re: Joint Powers Date Until Reference Authorities, etc, Completed Superseded Street Permits Street work, surface drainage, wide load, Completion Date 5 yrs Public Works copy water appl, fire hydrant, utilities (Incl. Ins. Certs./Bonds) Expiration Date 2 yrs To insure compliance DRAWINGS Project Plans/Drawings Project Drawings in Central Files Date signed Until Original mylars, etc. Superseded MAINTENANCE Driver Equipment Motor Carrier Safety requirements Date Issued 10 yrs State requirement Certification Field Work Records Supen/isor's Crew Work records Date of Work 2 yrs Reference Data Graffiti Removal Locations/sq.ft. of Graffiti removed Date of Work 2 Yrs Reference Data City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 95~018 Page L-3 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD MAINTENANCE Sen/ice Requests Requests for Maintenance Sen/ices Request Date 2 yrs Continued Street Work Report Monthly Street Work Summary Report Date 5 yrs Management data Weed Abatement Violations Notices issued and Action taken Notice Date 4 yrs Weed Abatement Weed Removal costs charged to Tax Bills Council Meeting 5 yrs Assessments Date PROJECTS Bike Path Bike Lane, Bike Trail Completion Date 5 yrs Bridge Widening, Overpass 10 Yrs Retain~materials Structure life specs. & soils reports Channelization Traffic Mgmt,, Studies, Counts, Phasing 5 yrs City Yard/Corp Yard 10 yrs Retain materials Structure life specs. & soils reports Civic Center O.C. Jail, Stadium, New Police Bldg. 10 yrs Retain materials Structure life specs. & soils reports Community Development Redevelopment, Neighborhood Dev. 10 yrs Maintenance Street Maint., Slurry, Resurface 5 yrs Weed, Rubbish, Graffiti 3 yrs City of Santa Ana Records Retention Schedule PUBUC WORKS AGENCY Resolution 95-018 Page L-4 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PROJECTS Parks Improvements, Completion Date 5 yrs Retain materials Continued specs. & soils reports Structures 10 ym Structure life Right-of-Way Property Ac. quis~on 5 yrs Sewer, Water, Utilities Resen/oirs, Plant, Mains, Wells, Elev. Tank 10 yrs Retain materials Storm Drains Structure life specs. & soils report State Highways State Highways in Santa Aha Untill Obsolete State bluelines Streets, Alleys, Medians Streets, Alleys, Medians, RR Crossings 5 yrs Curb, Gutter, Sidewalk Structures Parking Struct., Transp. Center 10 yrs Retain materials Structure life specs. & soils report Demolitions 5 yrs Traffic Signals Traffic Control Computer, Maintenance 5 yrs Trees Planting, Removal, 3 yrs Trimming 5 yrs Unconstructed Projects Projects not constructed Const/Supercd SEE: Projects Ret. by Type of Project Various Park. Lot, Studies, Programs, Equip. Completion 5 yrs City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 95-018 Page L-5 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD SURVEY Bench Marks Vertical Survey Data Survey date Indetinitely V'[tal Record Centerline Ties Horizontal Survey Data Project Data Project Survey Data TRAFFIC Accident Data/Diagrams Location/accident Diagram Date 5 yrs Intersection data type/collision diagrams Average Daily Count data Collection Traffic/Turning Counts Dates Dept. Traffic Orders Various parking & traffic controls Install Date Until Superseded Permit Parking Applications, etc. Expiration Date 1 yr School Crossing Study Study to justify Crossing Guard Completion Until Date Superseded Signal Cabinet Prints Signal wiring diagram Install Date Indefinitely Signal/LT Phase Warrant Studies to justify left turn installation 5 yrs Signal Maintenance Operation Maintenance (Claims/Historical) Maintenance Date Signal Timing Operation Timing (Claims/Historical) Timing Date City of Santa Ana PUBLIC WORKS AGENCY Resolution 95-018 Records Retention Schedule Page L-6 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TRAFFIC Speed Limit Study Restudied every 5 years Approval Date 5 Yrs Legal requirement Continued Traffic Control Device Install & Maintenance data Work Date Traffic/Parking Studies Neighborhoods, schools, parks, special Study Date Until Superseded TRANSPORTATION Reports Measure M Congestion Mgmt. Pin., Report Date 5 yrs Arterial Highway Prog. Ann. Certification. Studies Alignment & Environmental Study Date WATER Backflow Inventory Location, size, type of device Perpetual Indefinitely Customer Inquiries Detailed description of inquiries Inquiry Date 5 yrs State requirement Field Work Records Water/sewer install/repair locations Install/Repair 5 yrs Date Fire Service Taps Fire service locations Install Date Indefinitely Fire Hydrant Permits Water for Construction Site Completion Fire Hydrant Taps Type, sizes & locations Install Date Gate Valves Gate valve locations Indust. Discharge Permits National Pollution Elimination System Expiration Date 2 yrs City of Santa Ana PUBLIC WORKS AGENCY Resolution 95-018 Records Retention Schedule Page L-7 of L-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WATER Meter Inventory Type, sizes & locations Install Date Indefinitely Continued Meter Exchange Inventory Record of work at each address Exchange 2 Yrs Date Sewer Lateral Inventory Location of each sewer lateral Install Date Indefinitely Water Line Inventory Location of all water lines Water Pressure Charts Weekly/Monthly Pressure Charts Chart Date 7 Yrs Water Production Reports Monthly water production reports Report Date 10 yrs Water Service Taps Location of all service taps, active/inactive Tap Date Indefinitely Underground Service Alert Locating tickets showing underground Ticket Date 2 yrs structures for excavation site CITY OF SANTA ANA Resolution 95-018 RECORDS RETENTION SCHEDULE Exhibit M RECREATION & COMMUNITY SERVICES Page M-I of M-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 from concession sales Event Date 2 Yre RECREATION Registration Forms Leisure Classes, Adult and Youth Program Date 2 Yrs Sports, RecreationCenter programs, Project PRIDE programs DESIGN Project Files Project information, authorization, and Completion Date 5 Yrs (Over $10,000) financing Project Files Project information, authorization, (Under $10,000) tinancing, and site plans ZOO Animal Records Animal medical records includes Animal leaves 20 Yrs medications/behavior/location/ or dies genealogy etc. Concession Receipts Monthly receipts of concession sales