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HomeMy WebLinkAbout2002-105 - Amending Resolution No. 98-088RESOLUTION NO. 2002-105 A RESOLUTION OF THE CiTY COUNCIL OF THE CITY OF SANTA ANA AMENDING CITY RESOLUTION NO. 98-088 TO UPDATE THE RECORDS RETENTION SCHEDULE FOR THE PERSONNEL SERVICES AGENCY bk: 12/10/02 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: Except for records less than two years old and certain other, specified records, Government Code section 34090 authorizes the head of city departments to cease retaining records, documents, instruments, books or paper under his or her charge, without keeping a copy thereof, with the approval of City Council and the written approval of the City Attorney. On or about December 21, 1998, the City Council adopted Resolution No. 98-088, establishing a records retention policy and records retention schedule for each of the City's agencies. Storage space in the Personnel Services Agency for paper files is currently at a premium. The 1998 records retention schedule for the Personnel Services Agency is in need of update. This resolution would permit all workers' compensation indemnity claim files to be destroyed five years after they are closed, except for lifetime medical claim files, which would be kept until the employee dies. This change is explicitly authorized by the pertinent provisions of the California Labor Code. This resolution also changes the sworn California Public Employees Retirement System industrial disability retirement files retention period from permanent to five years. The resolution also updates and makes other minor changes; for instance, property insurance policies will be discarded after five years instead of ten years, and some insurance broker names have been updated. Section 2. Exhibit I to this resolution hereby replaces and supercedes Exhibit I to Resolution No. 98-088. Section 3. Except for this single change, Resolution No. 98-088 shall remain in full force and effect. Resolution No. 2002-105 Page 1 of 24 Section 4. This Resolution shall take effect immediately and the Clerk of the -- Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 16th day of December, 2002. APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney Ber~ja ~mI Chief A. istant City Attorney AYES: Councilmembers: NOES: ABSTAIN: NOT PRESENT: Alvarez, Bist, Christy, Franklin, Garcia, Pulido, Solorio (7) Councilmembers: None (0) Councilmembers: None (0) Councilmembers: None !0) CERTIFICATE OF ATTESTATION AND ORIGINALITY I, PATRICIA E. HEALY, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2002-105 to be the original resolution adopted by the City Council of the City of Santa Ana on December 16. 2002. Date: ~,22-- ~- O~ " Clerk of the Council City of Santa Ana Resolution No. 2002-105 Page 2 of 24 t CITY OF SANTA ANA RECORDS RETENTION SCHEDULE Exhibit I PERSONNEL SERVICES Page I-1 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD AIR QUALITY AVR Surveys ** Average Vehicle Ridership surveys Survey 2 years, each plan SCAQMD completed by each City employee Completion Date year Regulation XV, once per calendar year for 1 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 ×V, 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 plan SCAQMD Payment DPV's ** reimburse employees who are Date year Regulation XV, And Supporting registered and who meet the criteria Rule 1501; ::o Documentation ** of Commuter Services Program. AB2766 Audit co Requirements o_ o 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, ~ .oz $20 bus pass incentive. Filed by Rule 1501 (~ to incentive title and year o,~ .r, c~ Marketing Pieces Flyers, bulletins, etc., that make EE Issuance/ 2 years, each plan SCAQMD Employee Outreach aware of activities involving air Release Date year Regulation XV, Contacts** quality. Filed chronologically. Rule 1501 City of Santa Ana PERSONNEL Records Retention Schedule Page I-2 of 1-22 ·~ RECORD RECORD RECORD RETENTION RETENTION REMARKS , o= CATEGORY SERIES DESCRIPTION START DATE PERIOD ',z O ~IR QUALITY Emergency Episode Log and actions taken on forecasts Date of Episode 2 years SCAQMD gROGRAM Alert of air quality as provided by Air Regulation VII, ~continuod) 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 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-/Part-Time U.S. Dept. of Justice Immigration See Retention 3 yearn 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 rn/f permanent, 3212 name. Flexible Spending, Enrollment forms for flexible EE separation/ Microfilm and 29 CFR ~ e;° Section 125 spending program, termination date destroy hard copy 1602.30-.32 & o_ after 5 yrs; keep WCL, Section 5~- m/f permanent. 3212 o~ o Life Insurance Employee life insurance enrollment EE separation/ Microfilm and 29 CFR o.rp ~' --, forms, arranged alphabetically by termination date destroy hard copy 1602.30-.32 & -~ o, employee name. after 5 yrs; keep WCL, Section m/f permanent. 3212 City of Santa Ana PERSONNEL Records Retention Schedule Page 1~4 of 1-22 o_. ~ RECORD RECORD RECORD RETENTION RETENTION REMARKS ~' CATEGORY SERIES DESCRIPTION START DATE PERIOD Z O ~NROLLMENT Long-Term Disability Employee Long-Term Disability EE separation/ Microfilm and 29 CFR ~ORMS (OFFICIAL)** Insurance Insurance enrollment forms, termination date destroy hard copy 1602.30-.32 & ~;ontinued) arranged alphabetically by after 5 yrs; keep WCL, Section o 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 years* 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 EAP 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 I of department and by employee name. each fiscal year City of Santa Ana PERSONNEl. 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 rec, ords are form is retained. Each time a new posted segregated and bulletin is pdnted, 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 title. 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 3] may be (1) ~ microfilmed. o_ O = League of Cities Preparation files and final copies for Survey Two years Department z Benchmark and League of Cities. completion date defined '13 ~ .o Benefits Survey ~ o 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. City of Santa Ana PERSONNEL Records Retention Schedule Page 1-6 of 1-22 o_ c_.. RECORD RECORD RECORD RETENTION RETENTION REMARKS 35. CATEGORY SERIES DESCRIPTION START DATE PERIOD z O ~OSS CONTROL Hearing Tests Audiological test results, Employee 30 years total - CAL OSHA Title o o 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 rn/f 25 ym. 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 Department UNDERSTANDING (MOU) between the City of Santa one hard copy for defined (MOU) Ana and the Santa Aha Firemen's each year Benevolent Association. FMA Memorandum of Understanding Permanent Permanent - Keep Department between the City of Santa Ana 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 Aha Police Management each year Association. City of Santa Ana PERSONNEL 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 Ana 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) Firemen's Benevolent Association Costs Original notes Contract 3 years Department Fire Prevention Original notes expiration date defined Salary and Wage Original notes FMA Odginal notes on negotiations Contract 3 years Department ;o between City of Santa Ana and expiration date defined (~ Santa Aha Fire Management ~ Association. O ~ -o2: Miscellaneous Original notes on miscellaneous Contract 3 years Department (0 o negotiations, expiration date defined o~ PBA (1990) Police Benevolent Association Costs Original notes Contract 3 years Department Salary and Wage Original notes expiration date defined City of Santa Ana PERSONNEL Records Retention Schedule Page I-8 of 1-22 c RECORD RECORD RECORD RETENTION RETENTION REMARKS = CATEGORY SERIES DESCRIPTION START DATE PERIOD ~Z ~IEGOTIATIONS PMA Original notes on.negotiations Contract 3 years Department :ontinued) between City of Santa Aha and expiration date defined Santa Aha Police Management o Association. POA Original notes on negotiations Contract 3 years Department between City of Santa Ana and expiration date defined Santa Aha Police Officers Association. SACEA Original notes on negotiations Contract 3 years Department between City of Santa Ana and expiration date defined Santa Ana City Employees' Association/Service Ernployees 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 years; 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 Certification 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 Ana PERSONNEL 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 Certificates 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 El=. WCLC Section 3212 Disciplinary Actions Memorandums, letters, or other EE separation/ 5 yearn* 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 Pre-placement and drug screening EE separation/ 30 yrs total; US OSHA 29 authorization and acknowledgment termination date microfilm and CFR 1910,20 ;o form(s) and results of drug destroy hard copy co screening, after 5 yrs; keep o_ m/f 25 yrs. -oz ~ p Family and Medical Basic employee data (name, Date FML Microfilm and Federal Family co ~o Leave (FML) address, class title, pay rate, hours requested/is destroy hard copy and Medical --, o worked per pay period; additions to granted to EE after 5 yrs; keep Leave Act of o.% ~ or deductions from wages), m/f25 yrs. 1993 and US ~ o OSHA 29 CFR 1910.20 City of Santa Ana PERSONNEL Records Retention Schedule Page 1-10 of 1-22 ~:-c. RECORD RECORD RECORD RETENTION RETENTION REMARKS ~ ~ CATEGORY SERIES DESCRIPTION START DATE PERIOD Z P K~FFICIAL Family and Medical Dates (or hours) FML Date FML Microfilm and Federal Family ~'ERSONNEL 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 o~ 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 identifTing 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 * Records Retention Schedule Page I-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 e::° employee affirming allegiance to the termination date 1602.30-.32 & o_. Constitution of the United States and WCLC Section ~ the Constitution of the State of 3212 o Califomia. -oz o.% ~ Outside Employment Form submitted by employee for EE separation/ 5 yrs* 29 CFR ~o c) approval for employee to be termination date 1602.30-.32 & .~ o~ engaged in outside employment. WCLC Section 3212 City of Santa Ana PERSONNEL Records Retention Schedule Page 1-12 of 1-22 '0 c RECORD RECORD RECORD RETENTION RETENTION REMARKS ~ o~ CATEGORY SERIES DESCRIPTION START DATE PERIOD 3Z ~FFICIAL Performance Employee performance evaluation EE separation/ 5 yrs*** 29 CFR ~ERSONNEL FILES Evaluations forms completed by supervisory termination date 1602.30-.32 & ~ontinued) personnel re employees WCLC Section o 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 PERSONNEL Records Retention Schedule Page 1-13 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD OFFICIAL Union Bank Donation Form signed by employee EE separation/ 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/ Micr~ilm 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). ~3 o_ Salary Schedules Basic Consolidated Classification/ Permanent Microfilm and Department ~ Compensation Plans destroy hard copy defined =o after 5 yrs; keep -o z m/f permanent. ~E~ SONNEL BOARD Attendance Records Attendance records of personnel End of calendar 2 years Department ~ o board members used for payroll year defined .~ o~ purposes, arranged in chronological order. City of Santa Ana PERSONNEL Records Retention Schedule Page 1-14 of 1-22 o_ ·c_. RECORD RECORD RECORD RETENTION RETENTION REMARKS ~ CATEGORY SERIES DESCRIPTION START DATE PERIOD ~z ~ERSONNEL BOARD Personnel Board Employee personnel board hearing EE separation/ 5 years* 29 CFR ontinued) Hearing Files files, termination date 1602.30-.32 & WCLC Section o 3212 (31 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 Certification Forms certifying bilingual capabilities Permanent Permanent Department 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 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 f~ll-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 pemon(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 ::o outreach purposes. o_. O ~ Examination Answer Examination answer sheets Earlier of date 3 years* 29 CFR --, o Sheets completed by applicants during eligible list 1602.30-.32 o_% ~ testing process and other testing established or ~ o materials. Arranged in folders in date recruitment ,~ o~ alpha order by title of examination, cancelled City of Santa Ana PERSONNEL Records Retention Schedule Page 1-16 of 1-22 c_.~ RECORD RECORD RECORD RETENTION RETENTION REMARKS ~o CATEGORY SERIES DESCRIPTION START DATE PERIOD Z O ~ECRUITMENTS Examination Files Recruitment examination file folders Earlier of date 3 years* 29 CFR ,~3ntinued) arranged alphabetically according to eligible list 1602.30-.32 classification title, established or o date recruitment o~ 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 PERSONNEL Records Retention Schedule 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 REVl EWS Charter (1983-1989) Permanent Permanent Department defined (~ Civil Service Code (1983-1989) Committee Permanent Permanent Department o_ recommendations for code defined ~ amendments. O ~1~( MANAGEMENT Actuarial Studies and The City is required to have actuarial Various Microfilm and Department co o Audits audits. The actuarial studies help destroy hard copy defined o_, ,~ the City determine how much money after 10 yrs; keep .~. o~ it may need to fund claims, m/f permanent. Arranged alphabetically and/or in chronological order. City of Santa Ana PERSONNEL Records Retention Schedule Page 1-18 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~ISK MANAGEMENT BICEP ** Big Independent Cities Excess Pool 1988 Policies are Department ~;ontinued) (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 rn/f permanent. chronological order. CAJPA California Association of Joint Various 5 yrs. Department Powers Authority (CAJPA) files defined having to do with review of assembly and senate bills, and positions taken for risk management pools 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 5 yrs; keep for those items needing insurance m/f 10 years. 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 mff 25 years. BICEP bonds which funded claims reserves. City of Santa Ana PERSONNEL Records Retention Schedule 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's broker, Driver Alliant defined Insurance Services, and prior insurance brokers. Arranged alphabetically and/or in chronological order. Insurance Policies- For the City's property coverage, Various 5 years Department Property ** through the Public Entities Property defined Insurance Program (PEPIP) Driver Alliant Insurance Services. Arranged alphabetically and/or in chronological order. Insurance Policies- For City's Excess Workers' Various Perpetual Department Workers' Comp ** Compensation insurance, through defined BICEP's broker, Driver Alliant Insurance Services, and prior insurance brokers. Arranged alphabetically and/or in chronological order. Liability Claims Non-litigated tort claims filed against Final resolution 5 years Department c0;° Against the City ** the City for damages to persons or date defined ~ personal property. Filed o ~ alphabetically by claimant's last O = name. "OZ --- o Police Any files regarding City's Police Vadous Microfilm and Department ~ ~ Department that have to do with destroy hard copy defined r~ o insurance or possible liability issues, after 5 yrs; keep .~ o~ Arranged alphabetically and/or in m/f permanent. chronological order. City of Santa Ana PERSONNEL Records Retention Schedule Page 1-20 of 1-22 RECORD RECORD RECORD RETENTION RETENTION REMARKS CATEGORY SERIES DESCRIPTION START DATE PERIOD ~I~ISK MANAGEMENT PRIMA Public Risk Management Association Various Microfilm and Department ~:ontinued) files. Arranged alphabetically and/or destroy hard copy defined in chronological order, after 10 yrs; keep rn/f permanent. Special Events A "Special Events" coverage Various 5 years Department Insurance ** program provided to the City through defined BICEP/Driver Alliant Insurance Services. Insures third parties for use of City property, providing liability coverage for the City. 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 January 1, 1993 Microfilm and Finance & (1099's ) ** destroy hard copy Management after 4 yrs; keep Services defined m/f 10 yrs. 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 PERSONNEL Records Retention Schedule 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 ::o · order and by semester in numeric o_. order. O -oz ~ p Employee Applications Applications for the Public Business Permanent Permanent Department ~0 ~ Management classes and the defined ~o ~ o Advanced Leadership Development ~ '. classes. Used for background info ~ o for faculty members and as a registration form for the programs; arranged by program, chronologically and alphabetically. City of Santa Ana PERSONNEL Records Retention Schedule Page 1-22 of 1-22 I ' ~ RECORD RECORD RECORD RETENTION RETENTION REMARKS =o CATEGORY SERIES DESCRIPTION START DATE PERIOD ~Z ~VORKERS' First Aid/Report Only Notices that an injury has happened Final action date 5 years Labor Code ~:OMPENSATION Incident ** - no medical records. Reports 5405 and Title 8 ,~ arranged alphabetically by Califomia Code o employees' name. of Regulations #14311 Indemnity Claims Files Open/active and closed/inactive Final action date 5 years except Title 8 California ** temporary and permanent disability on claim lifetime medical Code of claims files involving exposure to lost award cases Regulations time. Permanent disability to be destroyed upon #1 5400.2 compensated. Contains medical death of individual. files and payment history. "Medical Only" Claims Open/active and closed/inactive Final action date 5 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 5 years 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 Ihe 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).