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HomeMy WebLinkAbout98-088 - Approving Destruction of Records in Accordance TherewithA RESOLT, j~I'ION OF THE CITY COUNCIT, 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, instrument, book or paper under his or her charge, without making a copy thereof, after the same is no longer required, with the approval of the City Council by resolution and the written consent of the City Attorney; and WHEREAS, the City Council desires to establish a retention schedule for records under the control of the executive officers in charge of various city agencies, departments and offices and to approve destruction of records in accordance therewith; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: 1. Definitions For purposes of this resolution, the following terms shall have the followin9 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. "0riginal" 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 Aha and containin9 information relatin9 to the conduct of the business of the City of Santa A/%a. "Public record" does not include transitory writings. "Transitory writing" is a writin9 having no reason for retention after the purpose for which it was created has expired, such as routin9 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retained solely for tickler, suspense or follow-up purposes, preliminary work materials, writings which have been superseded by subsequent writings, computer print-outs which are produced solely for temporary purposes, and the like.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. 475 476 RESOLUTION NO. 98-088 PAGE 2 OF 3 2. Purpose The purposes of this resolution are as follows: To assure that public records are not destroyed while they still serve a useful purpose. To avoid the loss of room and shelf space caused by the retention of public records which no longer serve a useful purpose. To provide guidelines to City staff as to when public records may safely be destroyed. To avoid the necessity of requesting City Council approval for each individual case of public records destruction. Scope 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. 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. This resolution is also limited to public records which are in the form of writing on paper or microfilm or microfiche. Authorization for destruction of records Those exhibits, designated A through M, attached hereto, providing retention schedules for various t!rpes 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 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. The Department Head 477 RESOLUTION NO. 98-088 PAGE 3 OF 3 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. 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. 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. 5. Supersession of previous resolution This resolution replaces and supersedes Resolution No. 96-088 of this Council. ADOPTED this 21st day of December , 1998. e ir eo[' t TCo=c i / Mi Ma~or COUNCILMEMBERS: Pulido Ave Franklin Aye Bist Aye Christy Aye Lutz Aye McGuigan Aye Moreno Not-Votinq APPROVED AS TO ,FORM /Cit~Attorn~ 478 RESOLUTION NO. 98-088 CERTIFICATE OF ORIGINALITY State of Califomia County of Orange I, JANICE C. GUY, Clerk of the Council, do hereby certify the attached Resolution No. ~g- o F~' to be the original resolution adopted by the City Council of the City of Santa Ana on ' /'/ f Clerk of the Cotm~il (./ City of Santa Ana RESOLUTION 98-088 INDEX OF EXHIBITS EXHIBIT A B C D E F G H I J K L M DEPARTMENT General Records Schedule Clerk of the Council City Attorney's Office City Manager's Office Community Development Agency Finance and Management Services Fire Department Library Services Personnel Services Planning and Building Agency Police Department Public Works Agency Recreation and Community Services CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit A GENERAL RECORDS Page A-1 of A-g 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 Sec. legal settlements and program 337 responsibilities; includes joint City Manager-approved Clerk of the Council powers agreements Agency/Dept. Head- Originating Dept. approved BUDGET Annual Budget Book Clerk of the Council Council-approved City Budget Approval Date 10 Yrs City-defined 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 CITY BOARDS Agenda Originating Dept. Meeting Agenda Meeting Date 2 Yrs GC 34090 (d) & COMMISSIONS Minutes Meeting Minutes Permanent GC 34090 (e) City of Santa Aha Records Retention Schedule GENERAL RECORDS Resolution 98-088 Page A-2 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD CORRESPON- Council Requests City Manager Forms used by the Mayor and Response 2 Yrs City defined DENCE Councilmembers to request Date information and/or certain staff actions Incoming General Receiving Dept. "Loose" correspondence that Receipt Date 2 Yrs GC 34090 (d) Correspondence cannot be legitimately attached to some major record series such as AGMT or PROJ Outgoing General Originating Dept. Transaction Correspondence See RESO text for full definition Date FPPC FPPC Form 700 Originating Dept. Conflict of interest statements Filing Year 7 Yrs GC 81009 (e) (FAIR Statements of Economic of dept. heads and certain City POLITICAL Interest or staff membem as designated PRACTICE by dept. heads. COMMISSION) Clerk of the Council Original Form 700's of dept. heads are forwarded to the Clerk. All other Form 700 originals are retained by depts. PAYROLL Accrual Records Finance & Mgt. Svcs Forms to indicate earned and Pay Period 2 Yrs FMS retains used leaves Date originals. Destroy dept. Attendance Reports Self-explanatory copies after 2 yrs. City of Santa Ana GENERAL RECORDS Resolution 98-088 Records Retention Schedule Page A-3 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD PAYROLL Leave of Absence Originating Dept. Forms to authorize absence Pay Period 2 Yrs GC 34090 (d) (Continued) (Except Medical Leaves; from work Date see Personnel Services Schedule) PERSONNEL- Benefits Enrollment Personnel Services Forms to indicate employee's Separation 3 Yrs 29 CFR 1602.30- EMPLOYEE services providers of choice Date .32 RECORDS Catastrophic Leave Forms to authorize leave 5 Yrs Donations donations to employees in need Certifications Forms used to fill a vacant position Grievances (Closed) Grievances are filed, processed, closed and transferred to employee's file Medical Releases Doctor-issued forms used to 30 Yrs US OSHA 29 authorize employees on leave CFR 1910.2 to return to work Performance Evaluation Self-Explanatory 5 Yrs 29 CFR 1602.30- 32 City of Santa Ana Records Retention Schedule GENERAL RECORDS Resolution 98-088 Page A-4 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD PERSONNEL- Separations Personnel Services Employee retirement or Separation Permanent 29 CFR 1602/30- EMPLOYEE resignation Date .32 RECORDS (Continued) Microfilmed after 5 years from date of separation; paper files the destroyed; 2 sets of microfilm must be retained permanently; 1 for public reference, the other for archive per GC 34909.5 Tuition Reimbursement Self-explanatory 5 Yrs 29 CFR 1602/30- .32 Workers Compensation Claim forms for Workers Compensation PERSONNEL- Grievances (Pending) Personnel Services Grievances filed which are Receipt Date Until Closed See Grievances GENERAL under consideration or awaiting (Closed) above RECORDS disposition Reclassification Dept. requests for PS to Approval Date 2 Yrs GC 34090 (d) conduct class studies on new/existing City positions City of Santa Ana Records Retention Schedule GENERAL RECORDS Resolution 98-088 Page A-5 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD POLICIES & Personnel-related City Manager Operating rules and regulations Effective Date Until Retain PROCEDURES relating to City personnel; e.g., Superseded superseded travel policy materials for 2 yrs. then destroy Non-Personnel Originating Dept. Self-explanatory Records Management Originating Dept Dept. handbook of policies and Used in procedures for managing dept. conjunction with records; may indicate record the Records location, storage media type, Retention and disposition; may also Schedule contain City Attorney opinions and other legal references relevant to dept.'s records Obsolete Records Originating Dept. Schedule of dept./agency Effective Date Permanent Annual routine Destruction Report obsolete records approved for Record destruction of destruction by dept./agency obsolete records head and the City Attorney PURCHASES Building Work Orders Finance & Mgr. Svcs Forms to request minor work or Transaction 2 Yrs GC 34090 (d) repairs Date Central Services Receipts for materials used Issue Slips City of Santa Ana Records Retention Schedule GENERAL RECORDS Resolution 98-088 Page A-6 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD PURCHASES Direct Payment Finance & Mgt. Svcs Forms to generate City checks Transaction 2 Yrs GC 34090 (d) (Continued) Vouchers to pay City creditors; used in Date lieu of PO when item(s) and vendor(s) are known or for direct purchases up to $200 Duplicating Requests Receipts for copying services 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 FINANCE AND MANAGEMENT SERVICES 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 98-088 Page A-7 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD REVENUE Treasury Miscellaneous Originating Dept. Official receipts for money paid Transaction 2 Yrs GC 34090 (d) Receipts to City Date Dept. Invoices Originating Dept. Dept. forms to request payment Date Paid for services rendered Notice of Accounts Finance & Mgt. Svcs Dept. forms to request FMS to Receivable cross charge City depts, or to invoice outside parties for 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 Retain & Safety Act (OSHA) Superseded superseded set for 2 yrs. then destroy Dept. Inspections Originating Dept. Dept. safety inspections reports Inspection 3 Yrs Title 8 Cai/OSHA Date Dept. Safety Committee Safety Meeting Minutes Meeting Date 7 Yrs Minutes Emergency Evacuation Self-explanatory Effective Date Until Retain Plans Superseded superseded set for 2 yrs. then destroy City of Santa Ana GENERAL RECORDS Resolution 98-088 Records Retention Schedule Page A-8 of A-8 RECORD RECORD DEPT RETAINING RECORD RETENTION RETENTION REMARKS CATEGORY SERIES ORIGINAL RECORD DESCRIPTION START DATE PERIOD SAFETY Equipment Inspection Originating Dept. Self-explanatory Inspection 3 Yrs Title 8 Cai/OSHA (Continued) Reports Date US/OSHA 200 Log Federal OSHA form to track Posting Date 5 Yrs OMB 1220-0029 annual industrial injuries and accidents Incident and Vehicle Personnel Services Reports on Work-related Report Date 2 Yrs City defined 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 Includes unsuccessful bid Award of 6 months Code of Civil UNSUCCESS- Unsuccessful Bids Originating Dept. documents for projects, specs contract Procedures Sec FUL BIDS and request for proposals 1094.6 NOTES: 1) 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 terminaUon of EE, personnel records of terminated EE shall be kept for a pedod of 2 years from the date EE terminated, if charge of discrimination filed, personnel records relevant to the charge or action shall be kept until final disposition of the charge or action. 2) 5-year pedod for personnel documents is for sworn Police and Dire Department personnel only; offictal personnel file materials for all other City Personnel will follow the three year rule as provided in the first asterisked item above. (Works' Compensation Laws of California Section 3212 CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit B CLERK OF THE COUNCIL Page B-1 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD AGMT City Council-approved Contracts for franchises, goods, services. Expiration Date 4 Yrs Code of Civil (Agreement) (A series) insurance, encroachment permits, programs, Procedures (CCP) and joint powers agreements (JPA's); filed by Sec. 337 City Manager-approved name of party or parties and by alphanumeric (N series) code; may contain key attachments such as deeds, insurance certificates, and Request for Council Action (RFCA's) BC B&C Applications-By Year Applications for B&C positions received Folder Year 2 Yrs Government Code (Boards & during a calendar year and not acted upon by Date (CC) Sec. 34090 Commissions) the Council B&C Attendance Reports Biannual Attendance reports from City Council Meeting Boards, Committees and Commissions; Date includes RFGA's B&C Board Member Files Applications and supporting correspondence Until Hard copy re current members filed by individual board Superseded 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 or Folder Year Permanent Hard copy destroyed were not reappointed Date after microfilming B&C By-Laws B&C rules and procedures as required by By Board or Commission City Charter for each B&C City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-2 of B-12 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 Hearing Officer Reports, correspondence, (Appeals Santa Ana 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 Council Meeting Permanent Hard Copy First Logo, and other related items Date 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 Receipt Date Permanent Hard copy Storage, Inc. storage/retrieval service provider located in (Microfilm Storage) Kansas CLERK LOGS CLAIMS-By Year Councii reports on liability claims received by Folder Year 3 Yrs Claims are forwarded (Monthly Log of Claims) the Clerk as agent for the City Date to and retained by Risk Management FPPC- (Fair Political Log of FPPC forms received by the Clerk as Receipt Date Permanent Practices Commission) the designated FPPC filing officer City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-3 of B-'f2 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CLERK LOGS - Log of Service-By Year Log of documents received by the Clerk as Folder Year 3 Yrs Documents are Continued agent for the City and City Council including Date received by the Clerk but not limited to summons, subpoenas, as a "pass-through" appeals, Personnel Board findings and other before they are Clerk actions under various Santa Ana forwarded for Municipal Code sections disposition to the City Attorney or the department specified Also includes notices of insurance coverage in the SAMC. modifications which must be accepted by the Clerk before being forwarded to the Clerk maintains log of appropriate depts, as required by the SAMC: receipt of documents but does not retain 1. Ice cream vendors to the Police Dept. per originals nor copies of SAMC 36-462(c)(3) 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 Santa Aha Municipal Code 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 Or gin.al City Council Meeting Agenda filed by Folder Year 2 Yrs Hard copy (Council ca enoar year Date Meeting) Minutes-By Year Origin.al City Council Minutes filed by Bound Volume Permanent ~Hard ,copy,.,& .microfilm ca~enoar year ~ee a~so vaaJ Records City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-4 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD COUNCIL MTG CA-By Council Meeting Date Council Meeting Agenda packet materials, Council Meeting 2 Yrs G.C. 50115 Continued (Council Action) e.g., Requests for Council Action (RFCA's) Date and backup information on Council Agenda items which have CA designations; includes Appropriation Adjustments and budget backup documents RPT Miscellaneous reports presented to the Folder Year (Reports) Council as part of Council Agenda items Date CODE BOOKS By Subject Santa Ana Municipal Code, Uniform Building, Council Meeting Permanent One original set on file Electrical, Mechanical, Solar, Plumbing, etc. Date in the Clerk's Office adopted by ordinance and/or by reference Additional 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 Origination Date Permanent Hard copy including RFCA's Historical Data Statistics on population, voter registration, election turnout, etc. City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-5 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ELECT Nomination Papers - Nomination papers and candidate statements Term 4 Yrs Elections Code (EC) Continued By Election for each election Expiration Sec. 17100 Petitions Charter amendments, initiatives, recalls, and Certification of 8 Mos EC Sec. 17200 referenda; include intent to circulate petition, Election results requires petition text of petitions, City Attorney-approved documents be kept 8 petition titles, proof of publication, and all Or months after Council related documents; also include copies of adoption of election documents sent to but not returned by petition Clerk's final results proponents including RFCA's exam of petition or Or after Clerk's final Submittal exam of petition if no Deadlines election is held. Charter Amendments Documents relating to elections on Charter Origination Date Permanent Hard copy amendments including RFCA's FINANCE BOND EXHIBITS- Bond documents referenced in enabling Council Meeting Permanent Retained as both (Financial By Bond Issue RESO or ORD Date microfilm and original Documents) 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 CAFR-By Fiscal Year Annual financial statements on City assets, Year Date 2 Yrs Original file in Finance (Comprehensive Annual JiabJlJties, revenues, and expenditures & Management Financial Report) prepared by City staff and subjected to an Services; 3 public independent audit per Charter Sec. 423 copies maintained in the Clerk's office per Charter Sec. 423 City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-6 of B-t2 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FINANCE EXPEND-By Year & Copies of Direct Payment Vouchers (DPV's), Folder Year 2 Yrs Reference File Continued 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 Winning bids (originals) for Council-approved Project 4 Yrs CCP Sec. 337 (Projects) contracts for construction, improvement, Completion maintenance, rehabilitation of public facilities Date Comprehensive PROJ including change orders; contains RFCA's file is retained by the and insurance certificates; filed by PROJ Public Works Agency number and grouped by calendar year. Losing bids (originals) are maintained by the Public Works Agency 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 certificates; filed by SPEC number and Date file is retained by grouped by calendar year. Finance & Management Services Losing bids (originals) are maintained by Finance and Management Services City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-7 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FPPC Form 410 Successful Candidates, Officeholders, & Filing Year Permanent GC Sec. 81009 (f) (Fair Political Statements of Organization Their Controlled Committees (Copies) o_.rigina, ls filed ,w, ith Practices ~ecrezary of STate Commission) Unsuccessful Candidates & Their Controlled 4 Yrs ELECTION Committees (Copies) STATEMENTS Form 415 Recipient committees 4 Yrs GC Sec. 81009 (f) Statements of Termination (Copies) Form 416 Unsuccessful Candidates 7 Yrs GC Sec. 81009 (e) Statements of Termination Form 490 Successful Candidates, Officeholders, & Indefinite GC Sec. 81009 (g) Campaign Statements Their Controlled Committees GC Sec. allows microfilming of 81009 (d) 2-year old files (includes Form 400 series other than specified above) Unsuccessful Candidates & Their Controlled Election Year 5 Yrs GC Sec. 81009 (b) Committees General Purpose Committees Filing Year 7 Yrs GC Sec. 81009 (e) FPPC Form 700 Councilmembers, candidates for elected City Filing Year 4 Yrs GC Sec. 81009 (f) Statements of office, City Attorney, City Manager, Finance & Originals filed with the CONFLICT OF Economic Interests Management Services Executive Director, California Secretary of INTEREST and Planning Commissioners State Office STATEMENTS Copies City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-8 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FPPC Form 700 Clerk of the Council, all Executive Directors Filing Year 7 Yrs GC Sec. 81009 (e) Statements of (except Finance & Management Services CONFLICT OF Economic Interests Director who files Form 721 as above) and INTEREST designated City staff STATEMENTS Originals Continued INS (Insurance) Contractors Certificates of insurance or surety 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 NA NA Originals filed with the various employee insurance benefits (Dental, Employee Benefits Disability, Life, and Medical) Division in Personnel Services Municipal Insurance Contract agreements with providers of N/A N/A Originals filed with insurance coverage for city property, excess Risk Management workers compensation, and potential liability Division in Personnel exposure from the conduct of City business Services INS-Santa Aha Building Movers Proof of insurance required to be filed with Expiration Date 2 Yrs SAMC Sec. 18-800 Municipal Code the Clerk per Santa Aha Municipal Code Sec. (Insurance 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 City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-9 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD INS-Santa Ana Heli.c. opte. r Landings & Other Proof of insurance required to be filed with Expiration Date 2 Yrs SAMC Sec. 2-745 Municipal Code Staoium users the Clerk per SAMC Sec. 2-745 (insurance required by City Code to be filed Taxicabs Proof of insurance required to be filed with SAMC Sec. 32-3 with the Clerk) the Clerk per SAMC Sec. 32-3 Continued LAND USE ANNEX-By Annexation Each land annexation contains 3 documents: Secretary of Permanent Hard copy destroyed (Land Annexation) California Secretary of State Certification, City State Filing after microfilming; all Certificate with Affidavit of Completion of Acceptance land annexations are Annexation, and annexation map enacted by ordinance AMAP (Amendment Applications to amend, supplement, or Council Meeting 2 Yrs Filed as part of Applications) change land use district boundaries Date Council Action (CA) Cross reference only files Originals in Planning CUP (Conditional Use Applications for a specific use of land or & Building Agency Permits) buildings in a land use district where such use Cross Reference only may be so condjtionally permitted GPA (General Plan Procedure to alter, repeal, delete, or replace Amendments) the general plan or a specific plan Cross reference only ME (Minor Exceptions) Used to approve waivers or modifications to Cross reference only minimum zoning requirements such as for fences, setbacks, and off-street parking WA (Waivers) Waiver of C-3 Parking District requirements Cross reference only within 300 feet of the use it serves City of Santa Aha Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-10 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD LAND USE VA (Variances) Request for variations from Santa Municipal Council Meeting 2 Yrs Filed as part of Continued Cross reference only Code Ch. 41 requirements Date Council Action (CA) files ZOA (Zoning Ordinance Used to amend the City's zoning ordinance Amendments) Originals in Planning Cross reference only & Building Agency MAPS Final PMAP - No Bonds Dedications, boundaries, and other data Council Meeting 2 Yrs Original Tentative (Subdivision (Parcel Maps-File under CA) (includes vesting maps) required by Date PMAPS and TMAPS Maps) Subdivision Map Act are retained as Final TMAP - No Bonds permanent records by (Tract Maps-File under CA) PMAP's are used to consolidate or divide 4 or the Planning & fewer parcels of land (generally commercial). Building Agency, Final PMAP - With Bonds TMAP's are used to consolidate or divide 5 or Date of Bond Original Final PMAPS (File by PMAP Number) more parcels of land (generally residential). Release and TMAPS are Final TMAP - With Bonds retained as permanent (File by TMAP Number) Final maps with bonds (which guarantee records by the Orange completion of improvements conditioned by County Recorder. City) are filed by PMAP or TMAP number. Tentative PMAP Council Meeting (File Under CA) Tentative maps and Final maps with no Date bonds are retained with other Council Action (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 IDA, SAFA, and Development IDA Minutes CFA) and are listed in this schedule for Authority) information only. IDA Resolutions City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-11 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD SPECIAL SAFA By-Laws Note: These non-City Council records are N/A N/A Original hard copy AGENCY-SAFA retained permanently by the Clerk (acting as (Santa Ana SAFA Minutes the Authority Secretary for IDA, SAFA, and Financing CFA) and are listed in this schedule for Authority) SAFA Resolutions information only. SPECIAL CFA By-Laws AGENCY~CFA (Countywide CFA Minutes Financing Agency CFA Resolutions 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 Date of Voter Permanent Maintained as hard RECORDS of Santa Ana as a municipal corporation and Approval copy and on microfilm chartered city with 1 microfilm copy in Clerk's office and a 2nd copy stored in Minutes Official record of actions taken during Council Council Meeting Kansas' Underground meetings filed chronologically in book Date Vault & Storage Inc. volumes by calendar year O City of Santa Ana Records Retention Schedule CLERK OF THE COUNCIL Resolution 98-088 Page B-12 of B-12 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD VITAL ORD-By Year Council legislation of an enduring nature; Council Meeting Permanent Maintained as hard RECORDS (Ordinances) codified into the SAMC; filed by ORD number Date copy and on microfilm Continued in book volumes by calendar year with 1 microfilm copy in Clerk's office and a 2nd copy stored in RESO-By Year Council legislation of a temporal nature and Kansas' Underground not made part of the Santa Ana Municipal Vault & Storage Inc. Code; filed by RESO number in book volumes by calendar year REGISTER-By Property RFCA's, applications, and photographs of Hard copy maintained Name (Santa Ana Register property designated by Council action as by the Clerk of Historic Property) historic property as enacted by resolution; filed by property address and name CITY OF SANTA ANA RECORDS RETENTION SCHEDULE CITY ATTORNEY'S OFFICE Resolution 98-088 Exhibit C Page C-1 of C-1 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Federal Court By Case Legal briefs, memoranda, motions, Closing Date 5 Yrs Cases pleadings, correspondence, and other documents related to cases docketed in Federal Court Criminal Cases By Case Legal briefs, memoranda, motions, Closing Date 4 Yrs pleadings, correspondence, and other documents related to criminal cases docketed in Municipal Court Judgements and By Case Concluding case documents Ctosing Date 10 Yrs Settlements 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, Closing Date 5 Yrs Cases pleadings, correspondence, and other documents related to cases docketed in Superior Court Miscellaneous Various Alt other files in the City Attorney's Closing Date 3 Yrs custody and not categorized as Criminal, Federal, or Superior Court, nor as Personnel Board files CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit D CITY MANAGER'S OFFICE 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 Yrs or Origination Date Staff Self-explanatory Contracts City Manager City Manager-approved Contracts Approval Date 2 Yrs Billing City Manager City Manager Processing Approval Date 2 Yrs Chronological Files Staff Memos & Correspondence Origination Date 2 Yrs CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit E COMMUNITY DEVELOPMENT AGENCY Page E-1 of E-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Agenda CRA Meeting Plan Meeting Date 2 Yrs Need record (Community Redevelopment for state and Agency) federal program audits DSABA (Downtown Santa Aha Business Association) HA (Housing Authority) RHC (Redevelopment and Housing Commission) SAPIC (Santa Aha Private Industry Council) CDBG Final Statements Annual report to HUD of proposed Submittal Date 10 Yrs (Community fiscal year program Development Block Grant ) Grantee Performance Reports Annual report to HUD of fiscal Submittal Date 10 Yrs year performance Subrecipient Dockets Files of nonprofit organizations Grant Close-out 4 Yrs that are subgrantees City of Santa Ana Records Retention Schedule COMMUNITY DEVELOPMENTAGENCY Resolution 98.-O88 Page E-2 of E-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CBDG Environmental Review Federally required report for all Project Completion 4 Yrs (Continued) Records projects Comprehensive Housing Federally mandated 5-year report Approval Date 5 Yrs Affordability Strategy with annual updates Miscellaneous Reports Self-explanatory Submittal Date 4 Yrs Section 108 Loan Guarantee Federal loan paid by annual Debt Retirement Documents CDBG allocation Date UDAG Federal program Grant Close-out (Urban Development Action Grant) Documents Housing Authority Current Tenants Clients currently receiving rental N/A Active Files (By Name) assistance Former Tenants Former clients no longer receiving Rental Assistance 3 Yrs (By Name) rental assistance Termination Date Wait Listed Applicants Eligible applicants for rental N/A Active Files (By Name) assistance on wait list Ineligible Applicants Self-explanatory Ineligibility Date 3 Yrs (By Name) City of Santa Ana COMMUNITY DEVELOPMENT AGENCY Resolution 98-088 Records Retention Schedule Page E-3 of E-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD JTPA JTA 1,2,3,4,5 Forms Enrollment and Participation Date of Participant 5 Yrs 5 Yrs is federal (Job Training Forms Termination/ requirement - Participation Act) Close-out of Need for Audits Funding and Monitoring Agreement of Timecards Participant Payroll Records JTPD Participant records Participant Profiles Payroll Printouts Proposals/RFPs Original Procurement Documents Date of Close-out Procurement of Funding records Agreement with JTPD Contracts Backup data for processing invoices Invoice Documents Oversight and Monitoring Reports, including backup data Oversight and Monitoring Program Operator Annual Audits Reports Audits City of Santa Ana Records Retention Schedule COMMUNITY DEVELOPMENT AGENCY Resolution 98-088 Page E-4 of E-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Minutes CRA Self-explanatory N/A Permanent (Community Redevelopment Agency) DSABA (Downtown Santa Ana Business Association) HA (Housing Authority) RHC (Redevelopment and Housing Commission SAPIC (Santa Ana Private Industry Council) Parking Garages Monthly Revenue Statements Self-explanatory Receipt Date 2 Yrs Insurance Records Expiration Date Official Statements & Bond information regarding Retirement Date Documents building of downtown garages Annual Assessments to Property Tax Report Assessment Date County City of Santa Ana Records Retention Schedule COMMUNITY DEVELOPMENT AGENCY Resolution 98-088 Page E-5 of E-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Parking Lots Validations Dept Parking Validations Log Validation Date 2 Yrs Parking Pass Files Employee Parking Passes Date pass returned Parking Meters Monthly Revenue Statements Self-explanatory Date of Receipt Broken Meter Reports Report Date Meter Repair Records Repair Date Meter Database information Date of Entry Request for CRA Staff-generated reports to boards Completion Date Action (Community Redevelopment and commissions Agency) HA (Housing Authority) RHC (Redevelopment and Housing Commission) SAPIC (Santa Ana Private Industry Council) City of Santa Ana COMMUNITY DEVELOPMENT AGENCY Resolution 98-088 Records Retention Schedule Page E-6 of E-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Resolution CRA Self-explanatory N/A Permanent (Community Redevelopment Agency) HA (Housing Authority) RHC (Redevelopment and Housing Commission) Voucher Enterprise Zone Record of qualified person whose Date of Hire 5 Yrs employer receives state tax credit CITY OFSANTAANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTIONSCHEDULE Resolution 98-088 Exhibit F Page F-1 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & ACCOUNTS PAYABLE - End of year accounts payable accruals; Date prepared Hard copy 1 year BUDGET Cash & Accrual Closing Annual emission fee report for Microfiche 3 years Corporate Yard - Rule 301 ACCOUNTING & ACCOUNTS PAYABLE - Lists of paid invoices by vendor Date prepared 3 years BUDGET Cash Requirements (AP50) ACCOUNTING & ACCOUNTS PAYABLE - Lists of paid invoices by fund and Date prepared Hard copy 1 year BUDGET Distribution Register activity Microfiche 10 (AP70) years. ACCOUNTING & ACCOUNTS PAYABLE - Forms to generate City checks to pay Date prepared 3 years BUDGET Direct Payment Voucher City creditors; used in lieu of Purchase (Note: grant- (DPV) Order when items(s) and vendor(s) are funded items are known or for direct purchases up to retained 8 years) $200; includes invoices being paid ACCOUNTING & ACCOUNTS PAYABLE - Forms used in lieu of DPV to authorize Date prepared 3 years BUDGET Materials Release (MR) purchase of certain goods and services (Note: grant- direct from a City-approved vendor list; funded items are includes invoices being paid retained 8 years) ACCOUNTING & ACCOUNTS PAYABLE - Forms to authorize purchase of goods Date prepared 3 years BUDGET Purchase Order or services contained in a Purchase (Note: grant- Requisition; includes invoices being funded items are paid retained 8 years) CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-O88 Exhibit F Page F-2 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & ACCOUNTS PAYABLE - Self-explanatory Date prepared 3 years BUDGET Travel Request & Expense Report ACCOUNTING & ACCOUNTS PAYABLE- Lists weekly payments to vendors filed Date prepared Hard copy 3 years BUDGET Vendor Claim Check by vendor name and fiscal year Microfiche 10 Register (AP65) years ACCOUNTING & ACCOUNTS Lists unpaid billings for false alarms, Date prepared Hard copy 1 year BUDGET RECEIVABLE - By accident damage; filed by customer Microfiche 3 years Customer name and by fiscal year ACCOUNTING & ACCOUNTS List miscellaneous unpaid billings by Date prepared Hard copy 1 year BUDGET RECEIVABLE - By Fund Fund Microfiche 3 years ACCOUNTING & ACCOUNTS Lists all Miscellaneous Accounts Date prepared 3 years BUDGET RECEIVABLE - Collection Receivable (MAR) accounts sent to the City's designated collection agency and Agency Reports the monthly status thereof ACCOUNTING & ACCOUNTS Forms used to request Finance to Date prepared 2 years BUDGET RECEIVABLE - Notice of cross-charge City departments or bill Accounts Receivable outside parties for services rendered ACCOUNTING & ACCOUNTS Source documentation of MAR invoices Date paid 3 years BUDGET RECEIVABLE - Notice to from different departments Bill CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-3 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & ACCOUNTS List of MAR payments soded by Date prepared 3 years BUDGET RECEIVABLE - Payment customer number By Customer Number ACCOUNTING & ACCOUNTS List of MAR payments sorted by Date prepared 3 years BUDGET RECEIVABLE - Payment account number credited By Fund ACCOUNTING & ACCOUNTS Reports used as edit proof to reconcile Date prepared 3 years. BUDGET RECEIVABLE - Proof actual billings/payments to data processing totals ACCOUNTING & ACCOUNTS Labor distribution for Public Works Date prepared Hard copy 1 year BUDGET RECEIVABLE - Revenue Agency Internal Service Fund Microfiche 8 years 086 Report ACCOUNTING & ACCOUNTS Labor distribution for Recreation & Date prepared Hard copy 1 year BUDGET RECEIVABLE - Revenue Community Services Internal Service Microfiche 8 years 096 Report Fund ACCOUNTING & ACCOUNTS Lists all activities related to accounts Date prepared Hard copy 5 years BUDGET RECEIVABLE - Year to receivable ledger Microfiche 3 years Date ACCOUNTING & APPROPRIATION Changes to City budget as approved Date approved 3 years BUDGET ADJUSTMENTS by the City Council and/or City Manager; see also General Records Schedule CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-4 ef F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & AUDIT-Working papem Audit documents; year-end financial Date prepared 3 years BUDGET work papers ACCOUNTING & BANKS-Bank Statements Lists all bank-cleared City checks; filed Date prepared 3 years BUDGET & Account Reconcilement by bank name and by fiscal year ACCOUNTING & BUDGET-Budget Year-to-date expenditures and revenue Date prepared 10 Years One permanent BUDGET Report/Revenue Report- reports hard copy retained Monthly in Accounting files ACCOUNTING & CAPITAL ASSET-Annual Annual list of capital asset depreciation Date prepared 2 years BUDGET Depreciation schedule ACCOUNTING & CAPITAL ASSET-By Lists capital assets by activity number Date prepared Microfilm 3 years BUDGET Activity ACCOUNTING & CAPITAL ASSET-By Lists capital assets by fund number Date prepared Hard copy 1 year BUDGET Funding Source Microfilm 3 years ACCOUNTING & CAPITAL ASSET-Master Lists all city capital assets Date prepared Hard copy 1 year BUDGET listing Microfilm 3 years ACCOUNTING & CAPITAL ASSET-Update Lists capital assets changes as they Date prepared Hard copy 1 year BUDGET occur Microfilm 3 years CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-5 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & CDBG-Community List CDBG project expenditures, Date prepared 5 years BUDGET Development Block Grant encumbrances, & available balances Report ACCOUNTING & CENTRAL SERVICES- Lists all Central Services charges by Date prepared Hard copy I year BUDGET Balance Lists fund and activity Microfiche 3 years ACCOUNTING & COMPREHENSIVE General Purpose Financial Statements Publication 10 years One permanent BUDGET ANNUAL FINANCIAL date hard copy retained REPORT-Audited in Accounting files ACCOUNTING & CONTRACTOR FILES - Includes Stop Notices, Change Orders, Completion or 5 years BUDGET By Contractor Name correspondence and other documents expiration of related to contractors and consultants contract engaged in construction and non- construction projects ACCOUNTING & GENERAL LEDGER- List all posted entries to general ledger Date prepared Microfiche 10 BUDGET Fiscal Year Report for the Fiscal Year years (GL150) ACCOUNTING & GENERAL LEDGER-Trial Lists account balances for current Date prepared Hard copy 1 year BUDGET Balance (GL120) month Microfiche 3 years ACCOUNTING & HOUSING ASSISTANCE- Lists Housing Assistance payments by Date prepared Hard copy 1 year .BUDGET Expenditure Detail account number Microfiche 3 years CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-6 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & HOUSING ASSISTANCE- Lists addresses/payment amounts of Date prepared Hard copy 1 year BUDGET Housing Balance Housing Assistance recipients Microfilm 3 years ACCOUNTING & INTERNAL REVENUE Se~f-explanatory; fi~ed by calendar year Date prepared 5 years. BUDGET SERViCE-Form 1099 & Form W-2 ACCOUNTING & ISSUE SLIPS - Central Receipts for supplies and materials Date prepared 3 years BUDGET Services issued ACCOUNTING & JOURNAL VOUCHERS Document sused to manually post Date prepared Hard copy 1 year BUDGET entries to general ledger/cost ledger Microfilm 8 years ACCOUNTING & LABOR-Internal Service - Lists labor charged for PWA Project Date prepared Hard Copy 1 year BUDGET Fund 86- Labor (PAY156) Management employees by account Microfiche 8 years number ACCOUNTING & LABOR-Labor distribution Lists labor charges by city department Date prepared Hard Copy 1 year BUDGET by department Microfiche 8 years ACCOUNTING & LABOR-Labor distribution Lists labor charges by account number Date prepared Hard copy 1 year BUDGET by fund and employee number Microfiche 8 years ACCOUNTING & LABOR-Monthly Lists actual payroll payments to Date prepared 3 years BUDGET Compensation employees by department Distribution CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-7 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & LABOR-Posting Errors Lists labor charges "Unable to Post" by Date prepared 1 year BUDGET account number and work order number ACCOUNTING & LABOR-Time Exception Forms to change Labor expenditures to Date prepared Hard copy 2 years BUDGET Sheets applicable Fund/Activity Work Orders Microfiche 8 years other than home account ACCOUNTING & OVERHEAD Lists indirect costs & overhead charges Date prepared Hard copy-1 year BUDGET DISTRIBUTION - Indirect by account number Microfiche 8 years. Cost ACCOUNTING & PROJECTS - Requests Form used to request Council approval Approval Date 5 years after BUDGET for Council Action (RFCA) for transactions in excess of $10,000; project completion RFCAs also used for other legislative date (Note: 8 Council actions years for grant- funded projects) ACCOUNTING & PROJECTS-Authorization Contains Project Authorization to set Project 5 years after BUDGET up project, Project Completion to mark Inception Project completion end of project, and associated memos, date (Note: 8 reports, and correspondence years for grant- funded projects) ACCOUNTING & PROJECTS-Project Lists year-to-date expenditures, Project Hard copy 3 years; Complete BUDGET Report (PS295) encumbrances, & available balances Inception Microfilm 8 years PROJECT files by project number after completion are maintained by date (Note: 8 years for grant- the Public Works funded projects) Agency CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-8 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ACCOUNTING & WORK ORDER- Initial document to authorize use of Inception date 5 years BUDGET Authorization work order (Green copy); filed by PROJECT number or by Fund & Activity for non-Project accounts ACCOUNTING & WORK ORDER-Lists List of all work order numbers by fund Report date 1 year BUDGET (monthly) BUILDING BUILDING Forms to request and document minor Date prepared 3 years MAINTENANCE MAINTENANCE - Work work or repairs Orders FLEET AIR QUALITY Fuel tank permits and fees; emergency March of each 5 years MAINTENANCE MANAGEMENT generator permits year DiSTRICT-Miscellaneous Records FLEET BIDS-Specifications Specifications for equipment bids of Bid award 3 years MAINTENANCE bid award date FLEET EQUIPMENT- Accident Records of fleet damage estimates and Date prepared 7 years MAINTENANCE Files collision repair order for vehicles involved in accidents FLEET EQUIPMENT-Book Lists equipment rental charges by Date prepared 3 years MAINTENANCE Report equipment number and account number CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-9 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD FLEET EQUIPMENT-Record Initial document to set up equipment In-Service 5 years after MAINTENANCE Cards (Fleet & number into database system date equipment is Accounting) surplused FLEET EQUIPMENT-Repair Records of fleet repair orders for Date of Active Files MAINTENANCE Order Files (in service) equipment in service service FLEET EQUIPMENT-Repair Records of fleet repair orders for Date prepared 5 year MAINTENANCE Order Files (Surplus) surplus vehicles; equipment was surplused FLEET ISSUE SLIPS-Fleet Parts ordered Date prepared 1 year MAINTENANCE Maintenance FLEET MAINTENANCE Maintenance request form attached to See Remarks See Remarks See EQUIPMENT- MAINTENANCE REQUEST-Fleet repair order; filed with repair orders Repair Order Files FLEET TRUCK INSPECTIONS- Truck inspections records for CHP Date prepared 3 years MAINTENANCE Biannual Report PAYROLL PAYROLL-Accrual Forms to indicate earned and used Date prepared 3 years Records leaves of absences PAYROLL PAYROLL - Attendance Self-explanatory Date prepared 3 years Report CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-10 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PAYROLL PAYROLL - Employee Lists employee earnings by social Date prepared Hard copy 2 years Earnings security number Microfilm indefinite PAYROLL PAYROLL - Exception Forms to charge labor expenditures to Date prepared 3 years Sheets applicable Fund and Activity other than home account PAYROLL PAYROLL- Retirement Self-explanatory Date prepared Hard copy 2 years Reports Microfilm indefinite PURCHASING BIDS-Bidder Applications Self-explanatory Date prepared 2 years PURCHASING BIDS-Losing Formal Bids Filed by name of bidder grouped by Bid award 1 year (over $10,000) fiscal year date PURCHASING BIDS-Losing Informal Filed by name of bidder grouped by Bid award 1 year Bids (under $10,000) fiscal year date PURCHASING BIDS-Winning Formal Self-explanatory Date of final 3 years Bids (over $10,000) payment PURCHASING BIDS-Winning Informal Self-explanatory Date of final 3 years Bids (under $10,000) payment CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-11 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PURCHASING PURCHASE Form used to request the Purchasing Date prepared 3 years REQUISITIONS Division to locate best price and vendor for goods and services to be ordered STORES CAPITAL ASSET - Self-explanatory; filed by Capital Asset Date prepared 3 years Property Transfer/Loss number Reports STORES EPA HAZARDOUS Report to comply with Environmental Date prepared 7 years Filed by calendar WASTE-Annual Report Protection Agency (EPA) requirement year to document City's annual disposal of hazardous waste STORES EPA HAZARDOUS Report to compty with Environmental Date prepared 7 years Filed by calendar WASTE-Manifests Protection Agency (EPA) requirement year to document City's hazardous waste haulers for materials picked-up or generated by the City STORES INVENTORY Issues & Lists inventory issues from Stores by Date prepared 3 years Adjustments (IN150) stock number and account number STORES ISSUE SLIPS - Stores Receipts for supplies and materials Date prepared 3 years issued TREASURY ACCOUNTS PAYABLE - Forms to reimburse City employees for Date prepared 3 years Petty Cash Receipts authorized expenses under $75 CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-12 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY BANKS-Agreements Contractual agreements relating to Expiration 3 years investments; current contracts are in date active files, expired ones in inactive files; both filed according to name of party and by fiscal year TREASURY BANKS-Daily Bank Reports of daily banking activity; filed Date prepared 2 years Balance Report by bank name grouped by fiscal year TREASURY BANKS-Deposit Slips Treasury's copy of all City deposit slips Date prepared 3 years sent to bank; filed by bank name and grouped by fiscal year TREASURY BANKS-Return Checks Contains copies of customer checks Date prepared 3 years returned by bank, letters sent to customers, and other miscellaneous checking-related documents TREASURY BANKS-Statements Statements relating to investment Date prepared 3 years banking, municipal bond issues, Employee Medical Insurance; filed by name of party / I ) CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-13 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY BANKS-Wire Transfer Documents pertaining to the wiring of Date prepared 3 years Activity Records funds to/from bank accounts; filed by bank name and grouped by fiscal year TREASURY BONDS-1911 Act Street Copies of bond transcript containing Bond issuance 2 years from last Original bond Improvement Bonds official statements, payment schedules, date bond maturity date transcript filed with bond counsel opinion, financial the Clerk of the analysis, and related documents Council TREASURY BONDS-Miscellaneous Canceled bonds/coupons; payments to Bond issuance 3 years from last Documents bondholders; correspondence and all date bond maturity date other legal documents pertaining to bonds not contained in the bond transcripts; filed by bond issue TREASURY BONDS-Water Revenue Copies of bond transcript containing all Bond issuance 2 years from date Original bond Bonds legal documents pertaining the City's date of last bond transcript filed with Water Revenue Bond program maturity the Clerk of the Council TREASURY BUSINESS LICENSE Miscellaneous Business License Date prepared 3 years TAX- Monthly Register Account Summary Information reports Reports TREASURY BUSINESS LICENSE Deleted and/or canceled accounts Date prepared 3 years TAX-Deletion Records CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-O88 Exhibit F Page F-14 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY BUSINESS LICENSE Business self-assessments filed by Date prepared 3 years TAX-Cress Receipts & business name Variable Assessment Statements TREASURY BUSINESS LICENSE Receipts for miscellaneous payments Date prepared 3 years TAX-Miscellaneous Receipts TREASURY BUSINESS LICENSE Filed by name of party and grouped by Date prepared 3 years from TAx-Original Applications fiscal year cessation of business TREASURY BUSINESS LICENSE Filed by name of licensee and grouped Date prepared 3 years TAX-Payment Records by fiscal year TREASURY BUSINESS LICENSE Filed by name of party and grouped by Date prepared 3 years TAX-Renewal fiscal year Registration Records TREASURY CHECKS-Paid/Canceled Paid/canceled checks issued by the Date prepared 3 years Checks City (various banks); includes Housing Authority, Workers Compensation, Payroll, Treasury and vendor checks TREASURY CHECKS-Payroll Check Lists of payroll checks issued Date prepared 3 years Register CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-15 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY CHECKS-Treasury Check Lists of all checks issued by Treasury Date prepared 3 years Report Division TREASURY CHECKS- Checks voided/canceled; Lists of City Date prepared 2 years Voided/Canceled & checks voided or canceled; includes related Reports checks voided as a result of printer misalignment TREASURY DOG LICENSES- Self-explanatory Date prepared 3 years Receipts TREASURY DOG LICENSES-Report Self-explanatory Date prepared 3 years TREASURY INTEREST Lists of interest earned from Date prepared Hard copy 1 year DISTRIBUTION investment by fund number Microfilm 3 years TREASURY MUNICIPAL UTILITY Computer reports detailing accounts Date prepared 3 years ACCOUNTS-Billing billed & respective charges History Reports TREASURY MUNICIPAL UTILITY Miscellaneous computer reports Date prepared 3 years ACCOUNTS-Computer relating to municipal utility billings Reports TREASURY MUNICIPAL UTILITY Investigations of water meter notices Date prepared 2 years ACCOUNTS-Customer and meter exchanges files CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-16 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY MUNICIPAL UTILITY Lists deposits to municipal utility Date prepared 3 years ACCOUNTS-Deposit accounts Reports TREASURY MUNICIPAL UTILITY Lists daily receipts to municipal utility Date prepared 3 years ACCOUNTS-Payments accounts by account number TREASURY MUNICIPAL UTILITY Lists payments for municipal utility Date prepared 3 years ACCOUNTS-Refund refunds check register TREASURY MUNICIPAL UTILITY Lists balances of all municipal utility Date prepared 3 years ACCOUNTS-Trial accounts Balance TREASURY PARAMEDIC-Billing Lists Paramedic Billing payments Date prepared Hard copy 2 years Deposits Processed received by Treasury; includes Microfilm 3 years Treasury receipts and copies of checks TREASURY PARAMEDIC-Purged Lists of accounts removed from Date prepared Hard copy 2 years accounts report computer system Microfilm 3 years TREASURY PARKING CITATIONS- Itemization of citations collections Date prepared 3 years Collections TREASURY PARKING CITATIONS- DMV collection of citations detail Date prepared 3 years DMV CiTY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-17 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY PARKING CITATIONS- Treasury cop~s of parking citations Date prepared 3 years Receipts accepted for payment TREASURY PARKING CITATION- Reports itemizing Parking Citations Date prepared 3 years Ticket Detail Computer processed through contract agencies Reports TREASURY REFUND WARRANT Business Tax refund requests to Date refund 3 years REQUEST-Business Tax Treasury Division; includes supporting paid or Office documentation rejected TREASURY REFUND WARRANT Treasury Division miscellaneous refund Date refund 3 years REQUEST-Miscellaneous request and backup information paid or Refunds and rejected Reimbursements TREASURY REFUND WARRANT Utility Users Tax refund requests to Date refund 3 years REQUEST-Utility Users Treasury Division; includes supporting paid or Tax documentation rejected TREASURY REFUND WARRANT Water Office refund requests to Date refund 3 years REQUEST-Water Off~ce Treasury Division paid or rejected TREASURY TRANSIENT Original registration Registration 3 years from OCCUPANCY TAX - date cessation of Filing Records business CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-18 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY TRANSIENT Monthly filings and remittances Date prepared 3 years OCCUPANCY TAX - Payment Records TREASURY TREASURY REPORT - Contains detail of revenues posted to Date prepared 3 years Daily Treasurer's Daily Treasurer Report and related Envelopes working papers TREASURY TREASURY REPORT - Report of Daily revenues received Date prepared 3 years Daily Treasurer's Report TREASURY TREASURY REPORT - All documents pertaining to Investment Date prepared 3 years Treasury Investment Activity Activity Records TREASURY UTILITY USERS TAX - Homeowners Iow income exemption Approval or 3 years Exemption Applications application Disapproval date TREASURY UTILITY USERS TAX - Original registration Date prepared 3 years from Filing Records cessation of business CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES RECORDS RETENTION SCHEDULE Resolution 98-088 Exhibit F Page F-19 of F-19 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TREASURY UTILITY USERS TAX - Annual registration and maximum tax Date prepared 3 years Maximum Tax Filings payment records TREASURY UTILITY USERS TAX - Monthly remittance Date prepared 3 years Payment Records TREASURY WATER ACCOUNTS - Original cop/es of applications for Installation 3 years Applications for Service installation of new water service date of water originated by Public Works service CITY OF SANTA ANA RECORDS RETENTION SCHEDULE FIRE DEPARTMENT Resolution 98-088 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 Incident date Permanent Vital records filed in Arson office Investigations Significant cases Climatological Observations Temperature, rainfall, Month of origination Permanent severe winds Emergency Management Contact lists Reference material Date of origination Until superseded City resources Fire Prevention Address files 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 NFPA 13, 30, 72,231, Vital records flied in Assoc. 231C Permanent Fire Prevention All others 4 years Library Haz-Mat Disclosure Business emergency Compliance with health Permanent Permanent Vital records filed in plans and safety code. Haz-Mat office and Record of Haz-Mat Administration office handlers. Material Record of hazardous Permanent Permanent inventories materials. City of Santa Ana Records Retention Schedule FIRE DEPARTMENT Resolution 98..O88 Page G-2 of G-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Hydrants Hydrant activity Annual Summary Entry into computer 2 years Hydrant inspection Listing of all hydrant reports information Hydrant inspection List by station numbers workload Incident Reports Documentation of Date of Incident Permanent Vital records filed in findings and action (Microfilmed after 2 Administration office taken by suppression years, 4 years total kept personnel in hard copy) Infection Control Infection Control Project Infection Control Until superseded 5 years US OSHA 29 CFR (ICP) Committee agenda and minutes, research articles, pertinent laws, resource materials Medical Confidential medical Separation date 30 years records of each employee Training Records EMS/ICP Separation date 10 years City of Santa Ana FIRE DEPARTMENT Resolution 98-088 Records Retention ScheduJe Page G-3 of G-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 years clothing/equipment, equipment surveyed, donated or lost Specifications Specifications and Project completion Permanent reference material for station repairs and/or maintenance projects Overtime slips Scheduled overtime Payroll period date 2 years duty Plan Check Construction records Blueprints/documents Project completion Permanent (microfiche) Vital records filed in Plan Check Office. Pre-Hospital Record of medical Report date 2 years Care Reports (PCR's) treatment given Station Journals Company journals Handwritten log of Date of log entry Permanent Vital records. significant activities, Current journats at including daily stations. Previous personnel records, by journals in archives. fire company. City of Santa Ana FIRE DEPARTMENT Resolution 98-088 Records Retention Schedule Page G-4 of G-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Training Training records Training subject matter, Indefinite Permanent Vital records filed in lesson plans, training Training office. resources Reserves Personnel records Separation date 7 years Underground Active sites State requirements. Indefinite Permanent Vital records filed in Storage Tanks Underground Tank office, and Admin- istration office On-going remediation Detailed activity of underground tank sites in the City. Closed sites Court use. Vehicles Accidents Property Accountability Repair of vehicle 2 years (non-liability) forms (PAR), Accident 4 years (potential liability) forms, PD forms, drawings of accidents Inventory Ail Fire Department Indefinite Until surveyed vehicles Schedules Schedules for vehicle Completion of scheduled 2 years maintenance maintenance CITY OF SANTA ANA Resolution 98-O88 RECORDS RETENTION SCHEDULE Exhibit H LIBRARY SERVICES Page H-1 of H-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Adult Services Career Center Plans/precedures Expiration Date 2 Yrs Periodicals Plans/procedures Expiration Date 2 Yrs Reference Services Plans/procedures Expiration Date 2 Yrs Special Events Plans/precedures 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 Quality Meetings Meeting plans Meeting Date 2 Yrs Section Meetings Meeting plans Meeting Date 2 Yrs Agreements Braille Institute Talking Books Equipment Expiration Date 4 yrs Bequests/Donations Gifts Gifts of books, equipment, etc. Receipt Date 2 Yrs City of Santa Ana Records Retention Schedule LIBRARY SERVICES Resolution 98-088 Page H-2 of H-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD 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 Literacy Expiration Date 7 Yrs California Library Services Act Funds to Improve Library Svcs Expiration Date 7 Yrs Computer Literacy Funds to Improve Library Svcs Expiration Date 7 Yrs Families for Literacy Funds to Improve Literacy Expiration Date 7 Yrs Immigration Grant Improve Immigrant Library Svcs Expiration Date 7 Yrs Library of America Funds to Improve Library Svcs Expiration Date 7 Yrs MURLS Funds to Improve Urban Resources Expiration Date 7 Yrs Vietnamese Voices Funds to Improve Vietnamese Library Expiration Date 7 Yrs Svcs City of Santa Ana Records Retention Schedule LIBRARY SERVICES Resolution 98-088 Page H-3 of H-4- RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD 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 Cimulation Statistics Patron usage of library sections Expiration Date 10 Yrs 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 Extension Services Partnership with Schools Plans/procedures Expiration Date 2 Yra Continued Special Events Plans/procedures Expiration Date 2 Yrs Volunteer Services/Awards Plans/procedures Expiration Date 2 Yrs Library Board Biannual Attendance Reports Self explanatory Expiration Date 2 Yrs City of Santa Aha LIBRARY SERVICES Resolution 98-088 Records Retention Schedule Page H-4 of H-4 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD Library Board By-Laws Self explanatory Until Superseded Until Superseded (Continued) Minutes Agency Advisory Team Meeting Minutes Meeting Date 2 Yrs All Staff Library Board Total Quality Meetings Library Section Meetings Meeting Rooms Receipts Room rental revenue Transaction Date 2 Yrs Personnel Organization Charts Library Staffing Expiration Date 2 Yre Staffing Plans Self-explanatory Expiration Date 2 Yrs RFCA Requests for Council Action Backup documentation of contracts Contract 2 Yra (RFCA) - By Year presented to Council for approval Expiration Date Youth Employment & Library plans and procedures Manual of Operations and other Expiration Date 2 Yrs Summer Programs documents CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit I PERSONNEL SERVICES Page I-t of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD AIR QUALITY AVR Surveys ** Average Vehicle Ridership surveys Survey 2 years, each plan SCAQMD completed by each City employee Completion Date year Regulation XV, once per calendar year for I week Rule 1501 as designated by City. Filed by department pay code, by year Approved Work Trip Tri annual plan or annual analysis Date of Approval 3 years, each plan SCAQMD Reduction Plans submitted pursuant to Rule 1501 Regulation XV, describing the strategies and Rule 1501 incentives offered to achieve the City's AVR Commuter Services Registration/payment forms filed Registration 2 years, each plan SCAQMD Program** alphabetically for employees who are Date year Regulation XV, registered in the Commuter Services Rule 1501 Program. Commuter Services Program Plan. TRP Incentives:** Cash Incentive ** Completed once per month to Payment Issue 2 years, each p~an SCAQMD Payment DPV's ** reimburse employees who are Date year Regulation XV, And Supporting registered and who meet the criteria Rule 1501; Documentation ** of Commuter Services Program. AB2766 Audit Requirements Incentive Program Claim forms and documentation for Date Incentive 2 years, each plan SCAQMD Components ** $10 and $20 cash incentive, $10 and Issued year Regulation XV, $20 bus pass incentive. Filed by Rule 1501 incentive title and year Marketing Pieces Flyers, bulletins, etc., that make EE Issuance/ 2 years, each plan SCAQMD Employee Outreach aware of activities involving air Re[ease Date year Regulation XV, Contacts ** quality. Filed chronologically. Rule 1501 City of Santa Ana Records Retention Schedule PERSONNEL Resolution98-088 Pagel~ ofl~2 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD AIR QUALITY Emergency Episode Log and actions taken on forecasts Date of Episode 2 years SCAQMD PROGRAM Alert of air quality as provided by Air Regulation VII, (continued) Quality Management District Rule 707 (AQMD). Filed chronologically. BILLINGS Medical/Dental Individual medical/dental insurance Date Received 3 years Department Insurance Carrier carrier billings, arranged defined chronologically by month within each provider's file. Unemployment Ins. UI quarterly bills from State of Date Received 3 years Department California Employment Development defined Department, and summaries of payments made by the City of Santa Ana. Kept in chronological order. CONTRACT FILES** Dental Official annual dental insurance Contract Microfilm & destroy Department contract files, arranged Expiration Date hard copy after 3 defined chronologically by insurance carrier, yrs; keep m/f permanent. Life Official annual life insurance contract Contract Microfilm & destroy Department files, arranged chronologically by Expiration Date hard copy after 3 defined insurance carrier, yrs; keep m/f permanent. LTD Insurance Official annual Long-Term Disability Contract Microfilm & destroy Department (LTD) contract files, arranged Expiration Date hard copy after 3 defined chronologically by insurance carrier, yrs; keep m/f permanent. Medical Official annual medical insurance Contract Microfilm & destroy Department contract files, arranged Expiration Date hard copy after 3 defined chronologically by insurance carrier, yrs; keep m/f permanent. City of Santa Ana PERSONNEL Resolution 98-088 Records Retention Schedule Page I-3 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD DEPARTMENT OF Fingerprint Bureau of Criminal Identification Employee 5 Years* 29 CFR JUSTICE Identification Cards Fingerprint I.D. Cards Separation/ 1620.30-.32 & termination date WCLS, Section 3212 EMPLOYMENT Full-/Pad-Time U.S. Dept. of Justice Immigration See Retention 3 years after the Immigration ELIGIBILITY Employees and Naturalization forms completed Period Column date employment Reform and VERIFICATION and signed by EE and reviewed and begins or 1 year Control Act of (FORMS I-9) ** verified (with necessary after employment 1986, Pub. L. documentation) by employer is terminated, 99-603 (8 representative. Arranged whichever is later. U.S.C. 1324a) & alphabetically by employee's last WCL, Section name. 3212 ENROLLMENT Dental Insurance Employee dental insurance EE separation/ Microfilm and 29 CFR FORMS (OFFICIAL)** enrollment forms, arranged termination date destroy hard copy 1602.30-.32 & individually by insurance carrier, and after 5 yrs; keep WCL, Section then alphabetically by employee m/f permanent. 3212 name. Flexible Spending, Enrollment forms for flexible EE separation/ Microfilm and 29 CFR Section 125 spending program, termination date destroy hard copy 1602.30-.32 & after 5 yrs; keep WCL, Section m/f permanent. 3212 Life Insurance Employee life insurance enrollment EE separation/ Microfilm and 29 CFR forms, arranged alphabetically by termination date destroy hard copy 1602.30-.32 8, employee name. after 5 yrs; keep WCL, Section m/f permanent. 3212 J City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page I-4 of 1-22 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 (OFFICIAL)** Insurance Insurance enrollment forms, termination date destroy hard copy 1602.30-.32 & (continued) arranged alphabetically by after 5 yrs; keep WCL, Section employee's name. m/f permanent. 3212 Medical Insurance Employee medical insurance EE separation/ Microfilm and 29 CFR enrollment forms divided by each termination date destroy hard copy 1602.30-.32 & medical insurance carrier, arranged after 5 yrs; keep WCL, Section alphabetically by employee name. m/f permanent. 3212 HISTORICAL Discipline History Forms completed by personnel End of the year 3 yearn* Department RECORDS analysts as a record of disciplinary for which the defined actions taken on employees in their record is particular department(s). Arranged developed. by year and alphabetical order. . Employee Assistance F_AP records 1988 to 1991. Permanent Permanent Department Program Contains initial committee notes, defined request for proposal, resolution. Predecessor of current carrier Lifelink-EAP. Arranged by year and alphabetical order. Fitness for duty Copies of letters sent to employees Permanent 3 years Department re need for fitness for duty exam. defined Psychiatrist's evaluations/results of fitness for duty exams. Arranged by year and alphabetical order. Layoffs Notes/background documentation of Starting with the 3 years Department layoff actions including seniority lists, layoffs of the defined retirement lists, etc. Filed by year - July 1 of department and by employee name. each fiscal year City of Santa Ana PERSONNEL Resolution 98-088 Records Retention Schedule Page I-5 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD JOB BULLETINS Master Copies Originals of master copies of job Date bulletin Microfilm and Department bulletins filed numerically by year. posted destroy hard copy defined after 5 yrs; keep m/f permanent. Historical Files Includes job bulletins, past and Date first bulletin Ongoing; when Department present. One copy of every past for a class is deleted defined bulletin and supplemental application classification is records are form is retained. Each time a new posted segregated and bulletin is printed, a copy is acco- may be clipped to the folder and extra copies microfilmed. 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 tifie. Full-Time Positions Historical collection of job descrip- Date job Ongoing; when Department tions as changed over time for City classification class is deleted defined of Santa Ana full-time job deleted records are classifications, segregated and may be microfilmed. League of Cities Preparation files and final copies for Survey Two years Department Benchmark and League of Cities. completion date defined Benefits Survey Part-time/Temporary Background material and final job Date job Permanent Department Positions description for all part-time and classification defined seasonal positions, arranged in deleted alphabetical order. O City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page I-6 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD LOSS CONTROL Hearing Tests Audiological test results. Employee 30 years total - CAL OSHA Title separation/ keep hard copy 8 termination date only. Hepatitis Vaccination Records of dates hepatitis Employee 30 years total; CAL OSHA Title Records vaccinations administered, separation/ microfilm and 8 termination date destroy hard 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 date keep hard copy defined only. inspection Reports Loss Control inspection reports Date inspection 5 yrs maximum - Department which show date, time, and location conducted keep hard copy defined of safety inspections; also identifies only. hazards. MEMORANDA OF FBA Memorandum of Understanding Permanent Permanent - Keep Depadment UNDERSTANDING (MOU) between the City of Santa one hard copy for defined (MOU) Ana and the Santa Ana Firemen's each year Benevolent Association. FMA Memorandum of Understanding Permanent Permanent - Keep Department between the City of Santa Aha and one hard copy for defined the Santa Aha Fire Management each year Association. PMA Memorandum of Understanding Permanent Permanent - Keep Department between the City of Santa Aha and one hard copy for defined The Santa Ana Police Management each year ) Association. } ~ City of Santa Ana PERSONNEL Resolution 98-088 Records Retention Schedule Page I-7 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD MEMORANDA OF POA Memorandum of Understanding Permanent Permanent - Keep Department UNDERSTANDING between the City of Santa Ana and one hard copy for defined (MOU) Continued the Santa Ana Police Officers each year Association. SACEA Memorandum of Understanding Permanent Permanent - Keep Department between the City of Santa Aha and one hard copy for defined the Santa Ana City Employees' each year Association/Service Employees International Union Local 1939, AFL- CIO, CLC. NEGOTIATIONS Benchmarks Original notes Contract 3 years Department expiration date defined FBA (1990) FJremen's BenevoJent 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. Miscellaneous Original notes on miscellaneous Contract 3 years Department negotiations, expiration date defined PBA (1990) Police Benevolent Association Costs Original notes Contract 3 years Department Salary and Wage Original notes expiration date defined City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page I-8 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD NEGOTIATIONS PMA Original notes on negotiations Contract 3 years Department (continued) between City of Santa Aha and expiration date defined Santa Aha Police Management Association. POA Original notes on negotiations Contract 3 years Department between City of Santa Aha and expiration date defined Santa Aha Police Officers Association. SACEA Original notes on negotiations Contract 3 years Department between City of Santa Ana and expiration date defined Santa Ana City Employees' Association/Service Employees International Union Local 1939, AFL- CIO, CLC OFFICIAL Authorization for Employee-signed authorization for Date Microfilm and Department PERSONNEL FILES Release of Information release of personnel information Authorization destroy hard copy defined signed after 5 yearn; keep m/f permanent Catastrophic Leave Forms to authorize leave donations EE separation/ 5 years* 29 CFR Donation Form to employees in need who have termination date 1602.30-.32 & suffered a non-industrial injury or WCLC, Section sickness. 3212 Certification/ Request for Cedification and/or EE separation/ 5 years* 29 CFR Reassignment Forms reassignment forms which document termination date 1602.30-.32 & and authorize hiring, reassignment, WCLC, Section or other employee actions. 3212 City of Santa Aha PERSONNEL Resolution 98-088 Records Retention Schedule Page I-9 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Certificates of Training Cedificates issued to EE which show EE separation/ 5 years* 29 CFR PERSONNEL FILES completion date of training class(es), termination date 1602.30-.32 & (continued) WCLC Section 3212 Commendation Letters Letters of commendation and/or EE separation/ 5 years* 29 CFR other congratulatory documents termination date 1602.30-.32 & received by and/or issued to EE. WCLC Section 3212 Disciplinary Actions Memorandums, letters, or other EE separation/ 5 years* 29 CFR records of proposed and/or termination date 1602.30-.32& implemented disciplinary action(s). WCLC Section 3212 Doctor's Notes/medical release forms, etc., EE separation/ 30 yrs total; US OSHA 29 Notes/Medical submitted regarding employee's termination date microfilm and CFR 1910.20 Releases medical condition, destroy hard copy after 5 yrs; keep m/f 25 yrs. Drug Screen Test Pro-placement and drug screening EE separation/ 30 yrs total; US OSHA 29 authorization and acknowledgment termination date microfilm and CFR 1910.20 form(s) and results of drug destroy hard copy screening, after 5 yrs; keep m/f 25 yrs. Family and Medical Basic employee data (name, Date FML Microfilm and Federal Family Leave (FML) address, class title, pay rate, hours roquested/is destroy hard copy and Medical worked per pay period; additions to granted to EE after 5 yrs; keep Leave Act of or deductions from wages), m/f 25 yrs. 1993 and US OSHA 29 CFR 1910.20 City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 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 copy and Medical (continued) (continued) notices given to employer by granted to EE after 5 yrs; keep Leave Act of employee; documents from m/f 25 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 copy and Medical medical certifications, granted to EE after 5 yrs; keep Leave Act of m/f 25 yrs. 1993 and US OSHA 29 CFR 1910.20 Grievances (closed) Files containing EE's, group of EE separation/ 5 years* 29 CFR employees', or the Union's timely termination date 1602.30-.32 & complaint as defined in the MOU. WCLC Section 3212 I.D. Form Form completed by new employees EE separation/ 5 years* 29 CFR providing identifying information termination date 1602.30-.32 & used to process Santa Ana Police WCLC Section Dept. records check. 3212 Job Application Applications for employment and EE separation/ 5 years * 29 CFR resumes (if any) for hired termination date 1602.30-.32 & employees. WCLC Section 3212 City of Santa Ana PERSONNEL Resolution 98-088 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 the EE separation/ 30 yrs total; US OSHA 29 PERSONNEL FILES Absences (Including documentation of medical leave termination date microfilm and CFR 1910.20 (continued) Pregnancy Leave and (including pregnancy leave and destroy hard copy Family and Medical Family and Medical Leave). after 5 yrs; keep Leave). ** m/f 25 yrs. Miscellaneous Documents not specifically EE separation/ If medical-related, Medical related - Documents mentioned but kept in official termination date 30 yrs (5 yrs as US OSHA 29 personnel file. hard copy; CFR 1910.20; microfilm - keep non-medical perm.); non- related - 29 CFR medical, 5 yrs* 1602.30-.32 & WCLC, Section 3212 Notice of Separation Form completed by employee and/or EE separation/ 5 yrs* 29 CFR department indicating effective date termination date 1602.30-.32& of separation, last day on the job, WCLC Section reason for separation, etc. 3212 Oath of Office Form completed and signed by EE separation/ 5 yrs* 29 CFR employee affirming allegiance to the termination date 1602.30-.32 & Constitution of the United States and WCLC Section the Constitution of the State of 3212 California. Outside Employment Form submitted by employee for EE separation/ 5 yrs* 29 CFR approval for employee to be termination date 1602.30-.32 & engaged in outside employment. WCLC Section 3212 L City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page 1-12 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Performance Employee performance evaluation EE separation/ 5 yrs*** 29 CFR PERSONNEL FILES Evaluations forms completed by supervisory termination date 1602.30-.32 & (continued) personnel re employees WCLC Section accomplishment of their assigned 3212 duties and responsibilities, etc. PERS Enrollment Forms to enroll employees in the EE separation/ 5 yrs*** 29 CFR Public Employees' Retirement termination date 1602.30-.32 & System (PERS) WCLC Section 3212 Pre-Employment Forms completed by employee and EE separation/ 30 yrs total; US OSHA 29 Medical medical clinic to assess physical termination date microfilm and CFR 1910.20 capability of employee prior to hiring, destroy hard copy after 5 yrs; keep m/f 25 yrs. Security Check Form Form completed by Personnel Svcs EE separation/ 5 yrs* 29 CFR to request Police Dept to conduct termination date 1602.30-.32 & security check on employee prior to WCLC Section hiring. 3212 Special Licenses Special licenses issued to EE separation/ 5 yrs* 29 CFR employees from DMV, accredited termination date 1602.30-.32 & schools, etc., verifying employee WCLC Section meets certain job-related 3212 requirements. Tuition Copies of applications for training EE separation/ 5 yrs* 29 CFR Reimbursement and educational assistance which termination date 1602.30-.32 & Request show EE request, department head WCLC Section approval, and final disposition of 3212 · request. City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 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/ 5 yrs* 29 CFR PERSONNEL FILES Form authorizing leave hours be donated termination date 1602.30-.32 & (continued) to the Union Business Leave Bank to WCLC Section be used by union leaders for Union 3212 Business. W-4 form Employee's Withholding Allowance EE separation/ Microfilm and 29 CFR Certificate completed by EE termination date destroy hard copy 1602.30-.32 & authorizing employer to withhold after 5 yrs*; keep WCLC Section Federal income tax from employee's m/f permanent. 3212 pay and/or for indicating exemption. PAYROLL Employee Kardex File Reference for current and/or EE separation/ Microfilm and Department Cards separated full/part-time employee termination date destroy hard copy defined information (pay, address, Occ after 5 yrs; keep codes, etc.) arranged alphabetically m/f permanent. by employee's last 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 Depadment Compensation Plans destroy hard copy defined after 5 yrs; keep m/f permanent. PERSONNEL BOARD Attendance Records Attendance records of personnel End of calendar 2 years Department board members used for payroll year defined purposes, arranged in chronological order. City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page 1-14 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PERSONNEL BOARD Personnel Board Employee personnel board hearing EE separation/ 5 years* 29 CFR (continued) Hearing Files files, termination date 1602.30-.32 & WCLC Section 3212 Personnel Board Arranged according to hearing date. Permanent Permanent Department Meeting Minutes defined PHOTO CONTEST 1990 Photo Contest Folder of materials regarding Photo Permanent Permanent Department MATERIAL Contest. defined RECRUITMENTS Background Materials Materials used in the Date recruitment 2 years Department preparation/implementation of for position is defined recruitments, initiated. Bilingual Cedification Forms certifying bilingual capabilities Permanent Permanent Depadment Forms for employees receiving bilingual pay defined and for applicants for recruitments which require bilingual capability. Certification Log Active and inactive, arranged by cert Date of last 10 years Department Books number listing cert number, entry defined classification title, department, cert date, appointment date, name of hired employee, and whether promotional or non-promotional appointment. City of Santa Ana PERSONNEL Resolution 98-088 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 regarding Date request for 2 years Department (continued) Tracking each full-time request for certification certification defined received: date received, dept., received 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 eligible 20 yrs total; Department person(s) eligible for referral to list expiration microfilm and defined departments to fill vacancies. Active date or eligible destroy hard copy cards are kept separate from list abolishment after 5 yrs; keep inactive cards. Both sets of cards date m/f 15 yrs. are kept in alphabetical 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 by date recruitment applicant last name within the cancelled recruitment order grouping. Kept for outreach purposes. Examination Answer Examination answer sheets Earlier of date 3 years* 29 CFR Sheets completed by applicants during eligible list 1602.30-.32 testing process and other testing established or materials, Arranged in folders in date recruitment alpha order by title of examination, cancelled u City of Santa Ana Records Retenttan Schedule PERSONNEL Resolution 98-088 Page 1-16 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RECRUITMENTS Examination Files Recruitment examination file folders Earlier of date 3 years* 29 CFR (continued) arranged alphabetically according to eligible list 1602.30-.32 classification title, established or date recruitment cancelled Official Eligible Lists Eligible lists signed by City Manager. Eadier of date 3 years* 29 CFR Lists of individuals placed on an eligible list 1602.30-.32 eligible list card for hiring purposes established or (copies only - original signed eligible date recruitment lists are 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 list 3 yrs or as long as Department testing candidates, arranged in alpha established useful, whichever defined order by job title, is longer. REIMBURSEMENT Flexible Spending, Official records of reimbursement for Date Received 3 years Department RECORDS Section 125 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 City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 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 the Department COMPUTER chronological order. Lists claim #, months of June, defined GENERATED type of claim, claimant's name, July, and (Continued) history per fiscal year, reserve December of each balances, totals incurred 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, resigned, Distribution date 10 years Department Report retired, dismissed, etc. defined REVIEWS Charter (1983-1989) Permanent Permanent Department defined Civil Service Code ( 1983-1989) Committee Permanent Permanent Department recommendations for code defined amendments. RISK MANAGEMENT Actuarial Studies and The City is required to have actuarial Various Microfilm and Department Audits audits. The actuarial studies help destroy hard copy defined the City determine how much money after 10 yrs; keep it may need to fund claims, mff permanent. Arranged alphabetically and/or in chronological order. City of Santa Ana Records Retention Schedule PERSONNEL Resolution98~88 Pagel-18ofl~2 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK MANAGEMENT BICEP ** Big Independent Cities Excess Pool 1988 Policies are Department (continued) (BICEP) files. Information regarding perpetual; all other defined this insurance pool, whose aim is to BICEP files shield member cities from financial microfilm and impairment due to large liability destroy hard copy claims, judgements and settlements, after 10 yrs; keep Arranged alphabetically and/or in m/f permanent. chronological order. CAJPA Accreditation California Association of Joint Various Microfilm and Department Powers Authority files having to do destroy hard copy defined with review of assembly and senate after 5 yrs; keep bills, and positions taken for risk m/f permanent. management poots as 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 copy defined compensation) the City has acquired after 10 yrs; keep for those items needing insurance m/f permanent. coverage. Arranged alphabetically and/or in chronological order. Certificates of Similar to revenue bonds which are Various Microfilm and Department Participation ** used to finance things. Our interest destroy hard copy defined is bonds where we are required to after ~10 yrs; keep show proof of insurance, and the m/f permanent. BICEP bonds which funded claims reserves. City of Santa Ann Records Retention Schedule PERSONNEL Resolution 98-088 Page 1-19 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK MANAGEMENT Insurance Policies- City's liability coverage, through Permanent Permanent Department (continued) Liability ** BICEP/Rollins Hudig Hall (RHH) - defined broker and their predecessors and prior insurance brokers. Arranged alphabetically and/or in chronological order. Insurance Policies- For the City's property coverage, Various Microfilm and Department Property ** through the Public Entities Property destroy hard copy defined Insurance Program (PEPIP)/Robert after 10 yrs; keep F. Driver Associates (brokers). m/f permanent. Arranged 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 prior insurance brokers. Arranged alphabetically and/or in chronological order. Liability Claims Non-litigated tort claims filed against Final resolution 5 years Department Against the City ** the City for damages to persons or date defined 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 copy defined insurance or possible liability issues, after 5 yrs; keep Arranged alphabetically and/or in m/f permanent. chronological order. City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page 1-20 of t-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK MANAGEMENT PRIMA Public Risk Management Association Various Microfilm and Department (continued) files. Arranged alphabetically and/or destroy hard copy defined in chronological order, after 10 yrs; keep m/f permanent. Special Events A "Special Events" coverage, called Various Microfitm and Department Insurance ** Tenants/Users Liability Insurance destroy hard copy defined Program" (TULIP), provided to the after 10 yrs; keep City through BICEP/RHH. TULIP is m/f permanent. set up to insure third parties for use of City property, providing liability coverage for the City. Also includes special events policies prior to TULIP. Arranged alphabetically and/or in chronological order. State of California State report of workers' July, 1975 Perpetual Department Annual Report ** compensation liabilities, defined Tax Reports 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 copy defined codes/insurance requirements for after 10 yrs; keep both taxis and tow trucks. Arranged m/f permanent. alphabetically and/or in chronological order. City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page 1-21 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD RISK MANAGEMENT Underground Storage Insurance, liability issues, proof of Various Perpetual Department (continued) Tanks ** compliance and other documentation defined regarding underground petroleum storage tanks. Arranged alphabetically and/or in chronological order. Vehicles insurance/City regulations regarding Various Microfilm & destroy Department City vehicles. Arranged hard copy after 5 defined alphabetically and/or in chronological yrs; keep m/f order 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 every Ending date of 2 years Department Records semester arranged in alphabetical each class defined order and by semester in numeric order. Employee Applications Applications for the Public Business Permanent Permanent Department Management classes and the defined Advanced Leadership Development classes. Used for background info for faculty members and as a registration form for the programs; arranged by program, chronologically and alphabetically. I' City of Santa Ana Records Retention Schedule PERSONNEL Resolution 98-088 Page 1-22 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WORKERS' First Aid/Report Only Notices that an injury has happened Final action date 5 years Labor Code COMPENSATION Incident ** - no medical records. Reports 5405 and Title 8 arranged alphabetically by California Code employees' name. of Regulations #14311 Indemnity Claims Files Open/active and closed/inactive Final action date Lifetime medical Title 8 California ** temporary and permanent disability on claim award cases Code of claims files involving exposure to lost destroyed upon Regulations time. Permanent disability to be death of individual. #15400.2 compensated. Contains medical flies and payment history. "Medical Only" Claims Open/active and closed/inactive Final action date 7 years Title 8 California Files ** claims files. Contain claim forms, 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 filed by EE's (sworn) for Permanent Permanent Government Industrial Disability PERS disability retirement. Files Code Section Retirement Files arranged alphabetically by EE's #21101 (Official) ** name. 29 CFR 1602.30-.32 Employment and personnel records kept under the EEOC regulations must be preserved for three years. In the case of involuntary termination of EE, personnel records of terminated EE shall be kept for a period of 2 years from the date EE terminated. If charge of discrimination filed, personnel records relevant to the charge or action shall be kept until final disposition of the charge or action. Defined as "Vital Records" (i.e., records that are needed for continuing operations (policies, procedures, organizational guidelines). CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit J PLANNING AND BUILDING AGENCY 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 title to Approval Date 5 Yrs underlying property ADDRESS CHANGE Street Name Any change to description of the street name Approval Date Until Superseded Street Number Change in numerical identification due to expansion or decrease in numbers AGREEMENTS Development Contract between City and developer in which the Expiration Date Permanent City agrees to guarantee specific entitlement in exchange for conditions or approval APPLICATIONS Alternate Methods & Concepts & materials not covered by current building Approval Date Permanent Materials of Construction code Appeals Appealing decision or requirement of Planning Commission, Planning Manager or Zoning Administrator made by interested party, individual or group Appeals to Code Appealing to Uniform Code Appeals Board to resolve code disputes Appeals Board To appeal a decision or interpretation by the Building Official Conditional Use Permit Specific use of land or buildings in a land use district wherein such use may be so conditionally permitted City of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 98-088 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 city Approval Date 5 Yrs Continued agencies to coordinate site plan review comments Documentation of Exceptions from the requirement of the Title 24 Permanent Unreasonable Hardship Energy Standards Extension Request for additional time to implement conditions 2 Yrs of approval for discretionary applications Permit Extension Request for additional time to complete repairs and Permit Issuance 2 Yrs or corrections Floodplain Variance Request showing sufficient cause to variate from the Permanent Floodplain Management regulations General Plan Alteration or redesignation of land use or policy Adopted Date Until contained in the General Plan Superseded Legal Nonconforming Legalizing unpermitted additions or conversions to Life of structures Structure Lot Line Adjustments Minor modification of existing lot lines Recorded Date 5 Yrs Minor Exceptions A waiver or modification of those zoning provisions Approval date Permanent 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 Resolution 98-088 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 one Permit Issuance 5 Yrs Continued pamel to another Seismic Safety Compliance with Santa Aha Municipal Code Seismic Approval Date Permanent Certificate of Compliance Safety Ordinance Sign Program Mechanism to insure the coordination of signage Until Super- 2 Yrs within a development site seded or building is demolished Planning Commission Project plans requiring approval of Planning Approval Date Permanent Site Plan Review Commission typical of Sd zone Specific Development Used to create project or area specific standards of Adopted Date property through an amendment application Specific Plan Used to create special zoning districts through an amendment application Subdivision Parcel Map The consolidation or division of four or fewer parcels Recorded Date (or Parcel Map) Tract Map The division of five or more parcels Variance Request for variation from Chapter 41, Santa Ana Approval Date Municipal Code Amendment Application Amend, supplement or change of district boundaries Adopted Date Until Superseded Zoning Ordinance A change to the zoning ordinance Amendment City of Santa Aha Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 98-088 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 5 Yrs Temporary A type of permit used for minor uses such as: temporary activities Permanent Public documentation of legal exterior pay Permanent telephones Satellite Dishes Life of Structure Temporary Certificate of Allows occupancy before completion of work is Permit Issuance Permanent Occupancy finaled CALIFORNIA Categorical Exemption Brief statement that a project is exempt from CEQA Approval Date Permanent ENVIRONMENTAL QUALITY ACT Environmental Impact Document disclosing impacts of project development Report May include detailed technical studies Mitigation Monitoring Prepared for all projects in which mitigation Program measures have been incorporated in the environmental document Negative Declaration Includes Environmental checklist to discuss areas of potential project impact Mitigation measures may be included Notice of Completion Informs agencies and general public that a lead agency has prepared a Draft EIR for public review City of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 98-088 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 been Approval Date Permanent ENVIRONMENTAL certified or Negative Declaration has been approved QUALITY ACT Begins a 30-day statue of limitations to challenge Continued project Responses to Comments After lead agency receives public comments on the (FINAL EIR) Draft EIR, each comment raised is given response Statement of Overriding When an EIR is prepared for a project that has Considerations unavoidable adverse impacts, this document is prepared to provide decision makers with an explanation of why the project benefits outweigh any adverse environmental effects Facts and Findings Findings are made for each significant effect identified in the EIR CITATIONS Notice of Violations: For vehicle only in front yard parking and vehicle for Issuance Date 2 Yrs infractions sale Notice of Violations: Notice to appear in court on Santa Ana Municipal Misdemeanors Code violations COMPLAINT Criminal Referral to City Attorney for action Issuance Date 2 Yrs COVENANTS & Access & Parking Common access/parking between two or more Approval Date Permanent AGREEMENTS properties Covenants & Termination Legal description of parcel of land of Covenants City of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 98-088 Page J-6 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD DETERMINATION By Property A legal determination of a use or building on a site Approval Date Permanent OF which does not conform to current standards NONCONFORMING STATUS FINDING OF FACT Planning Commission Written finding which shall specify all facts relied Approval Date Permanent Zoning Administrator 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 Certificate 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 Notice & Order of Repairs or demolitions to buildings or structures Substandard City of Santa Ana Records Retention Schedule PLANNING AND BUILDING AGENCY Resolution 98-088 Page J-7 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD NOTICE Violations Noncompliance with city codes Closure Date 2 Yrs Continued Special Investigation Pre-inspection for code compliance Inspection Date Permanent PERMITS Building, Electrical, To allow inspections for code compliance Issuance Date Permanent Grading, Mechanical, Plumbing & Solar Home Occupancy Business use which does not alter the residence Approval Date 6 Yrs Off Premise Sign System to control size, location, type and number of Duration of off premise signs located on private property The sign RECEIPTS Application Fees for various divisions permits, applications, etc Validation Date 7 Yrs 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 use it Approval Date Life of serves Business PLANS Engineered plans pertaining to structures Approval Date Permanent REPORTS Soil reports Permanent City of Santa Aha PLANNING AND BUILDING AGENCY Resolution 98-088 Records Retention Schedule Page J-8 of J-7 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD VITAL RECORDS Planning Commission Official records of actions taken during Planning Meeting Date Permanent Retained as Minutes Commission meetings original hard copy Historic Resources Officials of actions taken during Historic Resources Commission Commission meetings CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit K POLICE DEPARTMENT 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/ge serve alcoholic Application bevera~les ADMINISTRATIVE Employee Accidenfs 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 Personnel Section APPLICATION/ Food Vending Application forms, letters 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 City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resolution 96-088 Page K-2 of 1(-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) problem Date of Report 3 Yrs Field Operations solving intervention reports CERTIFIED MAIL By Calendar Year Post Office receipts documenting delivery 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 Yrs Traffic Section By Supervisor Name Record of supervisor's daily activities Date Written 2 Yrs Field Operations DISPOSITIONS By Name Search 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 changes, commendations, etc Employment City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resolution 96-088 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 Yrs Records Section CARDS officer FINANCE Petty Cash Receipts-By Expense vouchers 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 conceming Task Force issues JAIL Inmate Grievances inmate complaints and dispositions Date of 2 Yrs Detention Facility ADMINISTRATIVE Completion REPORTS Inspections Results of other governmental agencies Date of inspections Inspection Inmate Mail Log Inmate mail summary Date of Log Intake Statistics Daily summary of intakes Date of Summary Population Roster Daily population roster Date of Log City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resolution 96-088 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 Yrs 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 Yrs 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 Meeting minutes Date of Meeting 2 Yrs Field Operations PERSONNEL By Name City employment requests for record checks Date of Request 2 Yrs 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 PETITIONS Petition and Orders Court Orders requiring the sealing of records Date of Order 2 Yrs Records under PC 1034 (No case numbers 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 City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resolution 96-088 Page K-5 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD POLICE REPORTS Homicide Repods Incidents wherein a murder is committed Permanent Permanent Records Section (Cont) Marijuana under 1 oz Incidents involving less than 1 oz of Date Occurred 2 Yrs Health and Safety marijuana Code 113615 Records Section POLYGRAPH By Calendar Year Pre-employment polygraph examinations Date of Creation 3 Yrs Personnel Section FILES PSYCHOLOGICAL By Calendar Year Pre-employment psychotogical 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 Section REPORTS (Uniform Crime Report) supporting documents 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 Facility By Employee Name City of Santa Ana Records Retention Schedule POLICE DEPARTMENT Resolution 96-088 Page K-6 of K-6 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TRAINING K-9 Training Records - Training records of K-9 officers Termination Date 5 Yrs K-9 Unit RECORDS By Officer Name Continued Law Summary Summaries issued by City Attorney and Date of Issue 5 Yrs Training Section Legal Advisor Range Records Employees' scores and documentation Date Created 5 Yrs Training Section STC Reports Mandated quarterly and annual report Date of Report 2 Yrs Detention Facility (Standards and Training submitted to STC for Corrections) Training Bulletins Self-explanatory Permanent Permanent Training Section TRESPASS Permission form signed by property owner Date of Initial 2 Yrs Field Operations FORMS Report VEHICLE LOGS PPI Logs Record of private party impounds Date of Log 2 Yrs Records (Records) Impound Logs Record of vehicle impounds WARRANT Served warrant working papers with no case Date of service 2 Yrs Records Section INVESTIGATIVE number WORKSHEETS ) ) CITY OF SANTA ANA PUBLIC WORKS AGENCY RECORDS RETENTION SCHEDULE Resolution 96-088 Exhibit L Page L-1 of L-9 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, Newsracks 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 2 Yrs Retained in Office of Date Enterprise Contracts Administrator for operatin~l purposes Street Light Maintenance City-owned Street Lighting End Fiscal 2 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-Const. Critiques Project/Contractor Reviews End Fiscal Procedures review Year City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 98-088 Page L-2 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD CONSTRUCTION Project Files During Construction period Construction Filed in SEE PROJECTS ENGINEERING Completion Central Files (Continued) Date Street Closure Reports Closures during construction only Report Date 5 yrs DESIGN Soils Reports Detailed soil analysis/construction Report Date 10 yrs Project design data ENGINEERING recommendations Indust. Discharge Permits National Pollution E~imination System Expiration Date 2 yrs DEVELOPMENT Certificates of Compliance City Engr. Approval of existing subdivision Date Recorded Permanent Official City Record ENGINEERING City Map (Official) Amended every three years Date Amended Until Official City Record Superseded Development Conditions Public Works Private Development Date Issued Structure Life Official City Record 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 Plans/Drawings (except Drawings in Central Files Date signed Until Information stored on Channelization, Signal, Superseded aperture cards Interconnect, and Traffic Control) City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 98-088 Page L-3 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD DRAWINGS Channelizafion, Signal, and Channelization, Signal, and Interconnect Date Signed Until Information stored on (Continued) Interconnect Plans/Drawings Plans/Drawings in Central Files Superseded aperture cards; Hard copy (original) retained until superseded City Structures City-owned Buildings, Park structures, Date Signed Structure Life Information stored on Wells, Reservoirs, etc. aperture cards; Hard copy (original) retained until superseded Traffic Control Traffic Control Plans in Central Files Date Signed 1 Yr Information stored on Plans/Drawings aperture cards MAINTENANCE Driver Equipment Motor Carrier Safety requirements Date Issued 10 yrs State requirement Certification Field Work Records Supervisor'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 Service Requests Requests for Maintenance Services Request Date 2 yrs 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 City of Santa Ana PUBLIC WORKS AGENCY Resolution 98-088 Records Retention Schedule Page L.-4 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PROJECTS Bike Path Bike Lane, Bike Trail Completion Date 5 yrs Bddge I Widening, Overpass 10 Yrs Project correspondence, Structure life financial files purged but material specs and soil are reports retained for life of structure Channelization Traffic Mgmt., Studies, Counts, Phasing 5 yrs City Yard/Corp Yard 10 yrs Project correspondence, Structure life financial files purged but material specs and soil are reports retained for life of structure Civic Center O.C. Jail, Stadium, New Police Bldg. 10 yrs Retain materials specs & Structure life soils reports Community Development Redevelopment, Neighborhood Dev. 10 yrs Maintenance Street Maint., Slurry, Resurface 5 yrs Weed, Rubbish, Graffiti 3 yrs Parks Improvements, 5 yrs Project correspondence, financial files purged but material specs and soil Structures 10 yrs are reports retained for Structure life life of structure City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 98-088 Page L-5 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PROJECTS Recycle Used Oil Grants, HHW Grants Grant ending 5 ym State requirement (Continued) date Right-of-Way Property Acquisition Completion Date 5 yrs Sewer, Water, Utilities Reservoirs, Plant, Mains, We~ls, Elev. Tank Completion Date 10 ym Project correspondence, Storm Drains Structure life financial files purged but material specs and soil are reports retained for life of structure State Highways State Highways in Santa Ana Until State btuelines Obsolete Streets, Alleys, Medians Streets, Alleys, Medians, RR Crossings 5 yrs Curb, Gutter, Sidewalk Structures Parking Struct., Transp. Center 10 yrs Project correspondence, Structure Life financial files purged but material specs and soil are reports retained for life of structure Demolitions 5 yrs Traffic Signals Traffic Control Computer, Maintenance 5 yrs Trees Planting, Removal 3 yrs Trimming 5 yrs Transportation Alignment & Environmental Studies Project Date Permanent See also Transportation O City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 98-088 Page L-6 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD PROJECTS Unconstructed Projects Projects not constructed Const/Supercd SEE: Ret. by Type of Project (Continued) Projects Various Park. Lot, Studies, Programs, Equip. Completion 5 yrs REAL ESTATE Acquisition File Agent's diary, offer letter and other Close of escrow 2 yrs FILES correspondence, escrow documents Relocation File informational documents, claim forms, Receipt of final 2 yrs verification of payment, etc. relocation payment Appraisals Assesses value of property Receipt Date 4 yrs Residential Real Estate Includes deeds, parcel maps, tract maps, Creation Date Perpetual Records right of way maps, etc. SURVEY Bench Marks Vertical Survey Data Survey date Permanent Vital Record Centerline Ties Horizontal Survey Data Project Data Project Survey Data TRAFFIC Accident Data/Collision Location/accident Diagram 5 yrs Intersection data Diagrams type/collision diagrams Date/Accident Retained in Traffic Date Engineering Section for operating purposes Average Daily Count data Collection 6 yrs Traffic/Turning Counts Dates City of Santa Ana PUBLIC WORKS AGENCY Resolution 98-088 Records Retention Schedule Page L-7 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD TRAFFIC Dept. Traffic Orders Various parking & traffic controls install Date Until (Continued) Superseded Permit Parking Applications, etc. Expiration Date 1 yr School Crossing Study Study to justify Crossing Guard Completion Date Until Superseded Signal Cabinet Prints Signal wiring diagram Install Date Permanent 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 Speed Limit Study Restudied every 5 years Approval Date Legal requirement Traffic Control Devices Installation & Maintenance data Work Date Until Retained in Traffic Inventory Superseded Engineering Section for operating purposes Traffic/Parking Studies Neighborhoods, schools, parks, special Study Date Permanent TRANSPORTATION Reports Measure M. Congestion Mgmt. Pin., Report Date 10 yrs Arterial Highway Prog. Ann. Certification. Studies Alignment & Environmental Study Date Permanent City of Santa Ana Records Retention Schedule PUBLIC WORKS AGENCY Resolution 98-088 Page L-8 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WATER Backflow Inventory Location, size, type of device Perpetual Permanent Customer Inquiries Detailed description of inquiries inquiry Date 5 yrs State requirement Field Work Records Water/sewer install/repair locations Install/Repair Date Fire Service Taps Fire service locations Install Date Permanent Fire Hydrant Permits Water for Construction Site Completion Fire Hydrant Taps Type, sizes & locations Install Date Gate Valves Gate valve locations ~ Meter Inventory Type, sizes & locations Install Date Permanent Meter Exchange Inventory Record of work at each address Exchange 2 Yrs Date Sewer Lateral Inventory Location of each sewer lateral Install Date Permanent 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 City of Santa Ana PUBLIC WORKS AGENCY Resolution 98-088 Records Retention Schedule Page L-9 of L-9 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD WATER Water Service Taps Location of all service taps, active/inactive Tap Date Permanent State requirement (Continued) Underground Service Alert Locating tickets showing underground Ticket Date 2 yrs structures for excavation site CITY OF SANTA ANA Resolution 98-088 RECORDS RETENTION SCHEDULE Exhibit M RECREATION & COMMUNITY SERVICES Page M-1 of M-t 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 Yrs RECREATION Registration Forms Leisure Classes, Adult and Youth Program Date 2 Yrs Sports, Recreation Center 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) financing, and site plans ZOO Animal Records Animal medical records includes Animal leaves 20 Yrs medications/behaviofllocationl or dies genealogy etc. Concession Receipts Monthly receipts of concession sales