HomeMy WebLinkAbout2013-014 - Retention ScheduleRESOLUTION NO. 2013-014
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
REPEALING RESOLUTION NO. 2006-045 AND
AMENDING THE RECORDS RETENTION SCHEDULE
FOR THE AGENCIES, DEPARTMENTS AND OFFICES OF
THE CITY
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:
A. 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.
B. Government Code section 34090.5 authorizes the head of a city department,
without the approval of the City Council and the written approval of the City
Attorney, to destroy records, documents, instruments, books or paper if the
record, paper or document is accurately and legibly reproduced on film or any
other medium that is a trusted system and that does not permit additions,
deletions, or changes to the original document, and the reproductions are made
as accessible for public reference as the original records were.
C. Government Code section 34090.6 allows the head of a city department, with
the approval of the City Council and the written approval of the City Attorney,
to destroy recordings of routine video monitoring after one year. That section
further authorizes the head of a city department to destroy recordings of
telephone and radio communications maintained by the department after 100
days. It is the intent of the City to maintain the audio recordings for six
months in accordance with the Tort Claim filing requirement.
D. 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.
Section 2. For purposes of this resolution, the following terms shall have the
following meanings:
Resolution No. 2013-014
Page 1 of 4
"Department" means an agency, department or office of the administrative
staff of the City of Santa Ana, and includes a public safety communications center
operated by the city.
"Department head" means the executive officer in charge of a department.
"Original" means the initial production of a record in its final form. It does not
include preliminary drafts or subsequent photocopies. In the case of a signed
document, the original is the document which was actually signed by the person or
persons signing the document.
"Public records" are writing in the custody of the City of Santa Ana, containing
information relating to the conduct of the business of the City of Santa Ana. "Public
record" does not include transitory writings.
"Transitory writing" is a writing having no reason for retention after the
purpose for which it was created has expired, such as routing slips, notices of meetings
or events, writings retained solely for tickler, suspense or follow-up purposes;
preliminary work materials, including rough notes, calculations or drafts assembled or
created and used in the preparation or analysis of other documents; writings which have
been superseded by subsequent writings; computer print-outs which are produced
solely for temporary purposes; unofficial copies of documents kept only for convenience
or reference, and the like.
"Writing" means a document in written or printed form.
Section 3. The purposes of this resolution are as follows:
A. To assure that public records are not destroyed while they still serve a
useful purpose.
B. To avoid the loss of room and shelf space caused by the retention of
public records which no longer serve a useful purpose.
C. To provide guidelines to City staff as to when public records may safely be
destroyed.
Section 4. The scope of this resolution is as follows:
A. This Resolution is limited to originals of public records, except as
otherwise provided in subsection B of this section.
B. Whenever the original of a public record is sent to a location outside the
custody of the City (as, for example, correspondence from a City officer or
employee to a person outside of the City government) one copy of that
Resolution No. 2013-014
Page 2 of 4
record shall be retained by the department sending the record as if it were
the original of that record.
C. This resolution is limited to public records which are in the form of a
writing.
Section 5. Authorization for destruction of records
A. Those exhibits, designated A through K, attached hereto, providing
retention schedules for various types of public records, are hereby
incorporated by reference herein. Subject to the provision of subsection B
of this section, each department head may authorize the destruction of a
public record or class of public 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 has expired, as set forth in subsection
5.13, below. The department head may require the retention of any public
record or class of public records beyond the period established for the
retention of such records by this resolution, whenever, in his or her
opinion, the continued maintenance of such records is in the best interest
of the City.
B. Prior to 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. Upon the written approval of the
City Attorney, such request for destruction shall be presented to the City
Council for authorization to destroy said records.
C. Notwithstanding section 5 B, above, the department head having custody
of public records, may, without the approval of the City Council or the
written consent of the City Attorney, authorize the destruction of such
public records if
(1) The record is photographed, microphotographed, reproduced by
electronically recorded video images on magnetic surfaces,
recorded in the electrical data processing system or reproduced
on film or any other medium that does not permit additions,
deletions or changes to the original document; and
(2) The method of reproduction accurately and legibly reproduces
the original public record in all details; and
(3) The reproductions are made as accessible for public reference
as the original public records were; and
(4) A true copy of the public record, of archival quality is kept in a
safe and separate place for security purposes.
Section 6. This resolution replaces and supersedes Resolution 98-088,
Resolution 2002-015, Resolution 2005-011, and Resolution 2006-045 of this
Council.
Resolution No. 2013-014
Page 3 of 4
Section 7. This Resolution shall take effect immediately and the Clerk of the
Council shall attest to and certify the vote adopting this Resolution.
ADOPTED this 1 st day of April 2013.
APPROVED AS TO FORM:
By: Aceu'z. -
Sonia R. Carvalho
City Attorney
AYES: Councilmembers: Amezcua, Benavides, Martinez, Pulido, Reyna,
Sarmiento, Tinajero (7)
NOES: Councilmembers: None (0)
ABSTAIN: Councilmembers: None (0)
NOT PRESENT: Councilmembers: None (0
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2013-014 to be the original resolution adopted by the City Council of the
City of Santa Ana on April 1, 2013.
Date: —
Maria D. Huizar,
Clerk of the Council
Resolution No. 2013-014
Page 4 of 4
City of Santa Ana Records Retention Schedule
GENERAL RECORDS
Exhibit A-1
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
AGREEMENTS
Agency/Dept. Head -approved
Contracts entered into by the city relating to goods, services,
Expiration Date
4 Years
Code of Civil
Originating Dept.
legal settlements and program
Procedures Sec.
337.2; GC 34090
BUDGET
Budget Backup Documentation
Color -coded budget forms and other support documents
Budget Year
2 Years
GC 34090
Originating Dept.
Fees Documentation
Budget forms used to justify setting or increasing City fees
CITY BOARDS &
Agenda
Meeting Agenda
Meeting Date
2 Years
GC 34090 (d);
Originating Dept.
COMMISSIONS
34090.5
Minutes
Meeting Minutes
Meeting Date
Permanent
GC 34090 (e);
CORRESPONDENCE
Council Requests
Forms used by the Mayor and Councilmembers to request
Response Date
2 Years
GC 34090
City Manager
information and/or certain staff actions
Incoming General Correspondence
"Loose" correspondence that cannot be legitimately attachec
Receipt Date
2 Years
GC 34090 (d)
Receiving Dept.
to some major record series such as AGREEMENT or
PROJECT
Originating Dept.
Outgoing General Correspondence
Transaction Date
EMAILS
City emails saved on server
All email communication saved on server
2 years (starting
2 Years
GC 34090
Finance
April 1, 2013)
PAYROLL
Exception Sheets
Forms to charge labor expenditures to applicable Fund and
Date Prepared
3 Years
Originating Dept.
Activity other than home account.
Leave of Absence (Except Medical
Pay Period Date
2 Years
GC 34090 (d)
Originating Dept.
Leaves; see Personnel Services
Schedule)
PROJECTS
General Project File
Project files including correspondence, reports, and relevant
Folder Year Date
3 Years
Originating Dept.
back-up documentation
LOGS
General Logs Books or Files
Log of documents detailing
Folder Year Date
3 Years
City Attorney or
Department
Specified in the
SAMC
RECORDINGS OF
Audio Recordings
Routine daily taping and recording of telephone
Date of Recording
Six (6) Months
GC 34090.6 (a)
Originating Dept.
TELEPHONE AND RADIO
communications and all radio communications relating to the
COMMUNICATIONS
operations of the departments
REPORTS
Travel Request Reports, Payroll,
Original copies in Finance; Duplicate copies in respective
Date Prepared
2 years
GC 34090
Finance
Accounts Payable
departments
ROUTINE VIDEO MONITORING
Video Recordings
Video or electronic imaging system designed to record the
Date of Recording
1 Year
GC 34090.6 (a)
Originating Dept.
regular and ongoing operations of the departments,
including in -car video systems, jail observation and
monitoring systems, and building security taping systems
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City of Santa Ana Records Retention Schedule
CITY MANAGER'S OFFICE
Exhibit A-2
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
City Newsletter
Contains information regarding City events, programs,
Begins when
2 Years
GC 34090
CMO
projects, and activities.
newsletter is
released.
Press Releases
Press releases are media advisories which inform the
Begins when press
2 Years
GC 34090
CMO
public about city events, projects, programs and
release is
activities.
disseminated.
Proclamations
Proclamations are awarded by the City Council to
Begins on the
2 Years
GC 34090
CMO
individuals and organizations for outstanding
award date of the
achievements or contributions for the City
proclamation
Procedure Manuals
Includes the City Council Orientation Manual — This
Begins with
Until
GC 34090
CMO
procedure manual provides City Councilmembers with
release of updated
Superseded +
an overview of important city processes, policies, and
manual.
2 Years
regulations.
City Council Projects
Council projects vary, but typically related to records of
Year of Project
Until
GC 34090
CMO
any special City event, projects, programs, and
Superseded +
activities, i.e. Santa Ana Fire Museum, Fiestas Patrias,
2 Years
etc.
City Council — Board
Council Board Member Records include any
Begins with date of
2 Years
GC 34090
CMO
Member Records
documents related to Council membership on regional
document
boards including Transportation Corridor Authority
(TCA), Orange County Transportation Authority
(OCTA), Orange County Water District (OCWD),
Orange County Sanitation District (OCSD) and Air
Quality Management District (AQMD).
1 of 1
City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
ABATEMENTS
Abatement of various undesirable
Files on Dangerous Buildings, Garbage, Trash, & Weed
Folder Year Date
Hardcopy - 2
GC Sec. 34090;
COTC
conditions
Abatement, Public Nuisance and other related Council
years,
34090.5; See
actions including correspondence and Requests for Council
LaserFiche
Agenda.
Action (RFCA)
Imaging -
Permanent
AGREEMENT (AGMT)
City Council - Approved (A -Series)
Original contracts and agreements and back-up materials.
Agreement Date
T + 4 Years
CCP 337.2, 343;
COTC
Includes leases, equipment, services, licenses or supplies,
GC 34090
services/maintenence, medical, dental and long-term
disability contracts ; may contain attachments such as
deeds, insurance certificates, and RFCAs
Collective Bargaining Agreements
Includes amendments, side letters, and Memorandum of
Permanent
City policy
Understandings (MOU)
Development Agreements
Infrastructure contracts, franchises. Original maintained for
Permanent
CCP 337, 337.1,
seven years.
337.15; GC
34090; 48 CFR
Employment Agreements — At -Will
Original agreements/contracts for at -will employees or
Length of
CCP 337, CCP
Employees; Temporary Employees
temporary employees
employment +
343
4 years
Insurance, Joint Powers Agreement
Accreditation, MOU, agreements and agendas
Current + 2
GC 34090
years
City Manager - Approved (N-Series)
Up to $25, 000 - Original contracts and agreements and
Agreement Date
T + 4 Years
CCP 337.2, 343;
back-up materials. Includes leases, equipment, services,
GC 34090
licenses or supplies, services/maintenence, medical, dental
and long-term disability contracts ; may contain
attachments such as deeds, insurance certificates, and
RFCAs
Real Property
Original contracts/agreements regarding the development
10 years after
CCP 337.15
of real property, design, specifications, surveying, planning,
termination /
supervision, testing, or observation of construction or
completion
improvement to real property
Projects
Winning bids (originals) for Council -approved contracts for
Project Approval Date
C + 4 Years ;
CCP Sec. 337
construction, improvement, maintenance, rehabilitation of
See
public facilities including change orders; contains RFCAs,
aggreements.
contingency increases, Bid Bond/Bond for Faithful
Performance, insurance certificates,
BOARDS &
Applications for Boards &
Applications for B&C positions received during a calendar
Folder Year Date
2 Years
GC 34090
COTC
COMMISSIONS (B&C)
Commissions Committees - Not
year and not acted upon by the Council
Selected
Boards and Commissions Board
Biannual Attendance reports from City Boards, Committees
Council Meeting Date
2 Years
GC 34090
Attendance Reports
and Commissions; includes RFCA's; Applications and
supporting correspondence re current members; Reference
file for names, addresses and other data on incumbent
Board/Commission members
Records of Past Commissioners &
Board members who are no longer active including terms
Termination
Permanent
Board Member
served
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City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION I
PERIOD
REMARKS
CUSTODIAN
BOARDS &
Boards & Commissions By -Laws by
B&C rules and procedures
Adoption
Permanent
COMMISSIONS (B&C)
Board or Commission
(Cont'd.)
Applications for Boards, Commissions
Selected
Current + 5
GC 34090
Committees
years
Local Appointments List ("Maddy List")
List of all regular and ongoing boards, commissions, and
GC 54970, GC 34090
Until
GC 54970, GC
committees appointed by the City Council — pursuant to the
superseded
34090
Maddy Local Appointive List Act
(new list
prepared each
Dec. 31 st)
CLERK-
Appeals - Santa Ana Municipal Code
Hearing Officer Reports, correspondence, memoranda, and
Appeal Application Date
C + 2 Years
GC Sec. 34090;
COTC
ADMINISTRATION
(SAMC) Chapter 3
other documents relating to SAMC Chapter 3 appeals.
SAMC Chapter 3
City Identification
Articles of Incorporation, City Emblem, City Seal, City Flag,
Implementation Date
Permanent
Santa Ana
City Logo, and other related items
Charter Sec. 702,
GC 34090
Code of Ethics
Code of Ethics and Conduct certification (adopted June 2,
T+ 3 yrs;
GC 34090
!
2008) submitted by elected officials and members of
LaserFiche
w
appointed boards, commissions and committees.
permanent
Miscellaneous Correspondence
Includes both incoming and outgoing general
Folder Year Date
2 Years
GC Sec. 34090
correspondence, including letters and e-mail along with
citizen feedback; Various files, not related to specific cases
and not otherwise specifically covered by the retention
schedule.
Data Storage
Records of transactions with data storage/retrieval service
Receipt Date
Permanent
provider
PUBLIC RECORDS
Public Records Requests
Requests from the public for documents retained by the
Receipt Date
2 Years
GC Sec. 34090
COTC
REQUESTS
City
CLERK LOGS
Claims Against City
Council reports on liability claims
Folder Year Date
3 Years
Claims are
Personnel
forwarded to and
Agency / Liability
retained by Risk
Division
Management,
GC 34090
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City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION
REMARKS
CUSTODIAN
PERIOD
CLERK LOGS (Cont.)
Miscellaneous Logs
Log of documents received by the Clerk and other actions
Folder Year Date
3 Years
GC 34090;
Personnel/Risk
under various SAMC sections:
Documents are
Management.
• CLAIMS '
forwarded for
• Alcoholic Beverage Control (ABC)
disposition to the
• FPPC - includes Statement of Ecnomic Interests and
City Attorney or
Campaign Contributions
the department
specified in the
SAMC. *Clerk
maintains log of
receipt of
documents but
does not retain
originals nor
copies of
documents.
COUNCIL MEETINGS
Agendas
Original Meeting Agendas: City Council, Redevelopment
Folder Year Date
Hardcopy - 2
GC Sec. 34090;
COTC
Agency, Successor Agency, Santa Ana Financing Authority,
years; Imaging
34090.5
Special Meetings, Commissions — agendas and packets
Copy -
can be imaged immediately for permanent retention, if
Permanent
desired. A paper copy can be maintained for one year, if
(2004 to
desired.
present)
Agenda Notices
Notices — Public Meetings includeing Special Meetings.
Folder Year Date
2 years
Agenda Publications
Affidavits of Publication / Posting - Proof of publication or
Folder Year Date
2 years
posting of legal notices — examples of legal notices: Notice
of Public Hearing, Notice of Lien, etc.
Agenda Packets
Council Meeting, Successor Agency, Santa Ana Financing
Meeting Date
Hardcopy - 2
G.C. 50115; GC
Authority, Commissions agenda packet materials, e.g.,
years, Imaging
34090.5
Requests for Council Action (RFCA's) and backup
Permanent
information on Council Agenda items - Originals can be
(available from
imaged immediately for permanent retention, if desired.
2004 to present
The imaged record can serve as the permanent record, if
only)
desired.
Audio and Video Recordings
Recordings of Council Meetings
Council Meeting Date
Permanent
GC 54953.5 (b)
(1990 to
present)
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City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
COUNCIL MEETINGS
Recordings - audio (for preparation of
Council/Commission/Redevelopment Agency/Successor
Until no longer
GC 34090, 64
(Cont.)
meeting minutes)
Agency/Santa Ana Financing Authority meetings
required for
Ops.Atty.Gen 317
preparation of
minutes (after
minutes are
approved)
CODE BOOKS
By Subject
Santa Ana Municipal Code, Uniform Fire Codes, Uniform
Adoption
Permanent -
One original set
Adopted by
Building Codes, National and State Electrical Codes,
Until
on file in the
Council
Mechanical Codes, 'Uniform Solar Energy Codes,'Uniform
superseded
Clerk's Office; GC
and/used as
Spa and Hot Tub Code, Uniform Plumbing Codes, etc.
34090
reference; kept
adopted by ordinance and/or by (') reference. Cities may
by PBA.
wish to retain old versions for historic value.
DEEDS
By Deed Number
Documents showing ownership of real property including
Recording
Permanent
GC 34090 (a)
COTC
grant deeds, quit claim deeds, easement deeds,
abandonment of streets or alleys, and RFCA's
ELECTIONS
Assessment District Ballots, Prop. 218
Property related fees (assessment ballot proceedings and
Election Date
6 Months
17302 EC,
COTC
completed ballots); Ballots - Property related fees
California
(Assessment Ballot proceeding) [Ballots are disclosable
Constitution Article
public records during and after tabulation]
xlll
General Election / Historical Data
Statistics on population, voter registration, election turnout,
Election Date
Imaging
election results, sample ballots, copies of election results,
Permanent
RFCA's, proof of publication, certificate of election, and
oaths of office.
4of7
City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION
PERIOD
I REMARKS
CUSTODIAN
ELECTIONS (Cont.)
Petitions - Initiative/Recall/Ref.
Not a public record - documents resulting in an election -
Certification of Election Results
8 Months
EC Sec. 17200,
Charter Amendments
retention is from election certification. Charter
OR
17400 GC
amendments, initiatives, recalls, and referenda; includes
Clerk's final exam of petition
6253.5; EC
intent to circulate petition, text of petitions, City Attorney-
17400; GC 34458
approved petition titles, proof of publication, and all related
60; EC Sec.
documents; RFCA's
17200 requires
petition
documents be
kept 8 months
after Council
adoption of
election results
Or
after Clerk's final
exam of petition if
no election
Charter Amendments
Documents relating to elections on Charter amendments
Origination Date
Permanent
GC 34458-60GC
including RFCA's
34090
Election - Nomination Documents -
All nomination documents and signatures in lieu of filing
during term and
EC 17100
successful
petitions
4 years after
Election - Nomination Documents -
5 years
GC 81009(b)
unsuccessful
FINANCE
Bond Exhibits-
Bond documents referenced in enabling resolutions or
Council Meeting Date
Cancellation,
CCP 336a, 337.5
COTC
(Financial Docments)
By Bond Issue
ordinances approved by City Council; Authorization/public
redemption or
hearing records/prospectus/proposals/certificates/notices
maturity+ 10
(transcripts)/registers/statements.
Years
Bond Transcripts- By Bond Issue
Backup documents of bond issues e.g., legal opinions of
Maturity Date
2 Years
G C Sec. 34090
bond counsel
FINANCE
Comprehensive Annual Financial
Annual financial statements on City assets, liabilities,
Year Date
2 Years
Original file in
Finance
(Financial Docments)
Report (CAFR)
revenues, and expenditures prepared by City staff and
Finance &
(Cont.)
subjected to an independent audit
Management
Services; 3 public
copies maintained
in the Clerk's
office per Charter
Sec.423; GC
34090
Clerk of the Council Operating
Copies of Direct Payment Vouchers (DPV's), Materials
Folder Year Date
Until audited +
GC 34090 CCP
Budget, Purchasing, Requisitions,
Releases (MR's), Purchase Orders (PO's) and other Clerk
4 years
337
Purchase Orders
Campaign Statements - Mayor, City
expenditure records
Original statements of elected candidates and committees
FAIR POLITICAL
Election
Permanent
GC 81009(b)
COTC
PRACTICES (FPPC)
Council - elected (originals)
supporting elected candidates for Mayor, City Council
(can image
GC 81009(g)
after 2 years)
Campaign Statements - candidates for
Original statements of candidates and supporting
Election
5 years (can
GC 81009(b) GC
Mayor, City Council - not elected
committees for candidates not elected for Mayor, City
image after 2
81009(g)
(originals)
Council
years)
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City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
FAIR POLITICAL
Campaign Statements for other than
Original statements of all other persons and committees;
Election
7 years (can
GC 81009(c), (e)
PRACTICES (FPPC)
Mayor, City Council; other campaign
other original reports and statements
image after 2
GC 81009(g)
(Cont.)
reports (originals)
years)
Campaign Statements/Reports Copies
Copies of reports/statements (if filing officer is not required
Election
4 years (can
GC 81009(f) GC
of
to keep more than one copy)
image after 2
81009(g)
years)
Conflict of Interest Code
Conflict of Interest Code — required under Political Reform
Permanent -
GC 87300 et seq.
Act; (positions) must be reviewed by July 1st of every even-
Resolution
numbered year and amended if necessary
Ethics Training Records (AB 1234;
Records required to be kept under Gov. Code section
Filing Year
Hardcopy - 5
GC 53235.2
effective 1/1/06)
53235.2 (effective 1/1/06). Records must show dates that
years after
local officials satisfied the training requirements and the
receipt of
entity that provided the training. Applys to boards,
training;
commissions, and elected officials.
LaserFiche -
permanent.
Statements of Economic Interest -
Copies of original statements of elected officials forwarded
Filing Year
4 years (can
GC 81009(f), (g)
Form 700 (copies) (elected officials)
to Fair Political Practices Commission.
image after 2
years)
Statements of Economic Interest -
Originals of statements of designated employees
Filing Year
7 years (can
GC 81009(e), (g)
Form 700 (originals) (non -elected)
image after 2
years)
Gift to Agency Receipt - Form 801
Filing Year
4 years (can
GC 81009(f), (g)
(elected officials)
image after 2
years)
Agency Report of Ceremonial Role
Filing Year
4 years (can
GC 81009(f), (g)
Events and Ticke/Pass Distributions -
image after 2
Form 802 (elected officials)
years)
Behested Payment Report - Form 803
Filing Year
4 years (can
GC 81009(f), (g)
image after 2
years)
Agency Report of New Positions -
Filing Year
4 years (can
GC 81009(f), (g)
Form 804
image after 2
Agency Report of Consultants - Form
Filing Year
4 years (can
GC 81009(f), (g)
805
image after 2
Public Official Appointments - Form
Filing Year
4 years (can
GC 81009(f), (g)
806
image after 2
Contractors / Service Providers
Certificates of insurance or surety bonds required for
Date of agreement /project
Termination of
GC 34090;
individuals and companies on contract with the City.
agreement/proj
Original insurance
ect + 4 Years
certificates are
part of
appropriate
agreement or
project filed in
respective folder
in the Clerk's
office.
6 of 7
City of Santa Ana Records Retention Schedule
CLERK OF THE COUNCIL
Exhibit B
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
INSURANCE (INS)
Insurance Certificates, City
Liability, performance bonds, employee bonds, property;
Until
GC 34090; also
COTC and
Insurance certificates filed separately from contracts,
superseded
under bonds
respective
includes insurance filed by licensees.
Departments
Insurance, Liability/Property
May include liability, property, Certificates of Participation,
Until
GC 34090
deferred, use of facilities
superseded
Building Movers
Proof of insurance required to be filed with the Clerk; See
Approval Date
Termination of
GC 34090, SAMC
agreements.
agreement + 4
Sec. 18-800
Years
Bus Shelters & Benches
Proof of insurance required to be filed with the Clerk; See
Termination of
GC 34090, SAMC
agreements.
agreement + 4
Sec. 33-104
Years
Helicopter Landings & Other Stadium
Proof of insurance required to be filed with the Clerk; See
Termination of
GC 34090, SAMC
Users
agreements.
agreement + 4
Sec. 2-745
Years
Taxicabs
Proof of insurance required to be filed with the Clerk; See
Termination of
GC 34090,SAMC
agreements.
agreement + 4
Sec. 32-3
Years
Land Annexation / Reorganizations
California Secretary of State Certification, City Certificate
Secretary of State Filing
Permanent
GC 34090
with Affidavit of Completion of Annexation, and annexation
Acceptance
map; Notices, Resolutions, Certificates of Completion
OPEN CALENDARS
Open Calendars (Sunshine Provision)
The Santa Ana Municipal Code (SAMC) Chapter 2, Article
3 Years
GC 34090
COTC
11.111, Section 2-155 requires the Calendars of Certain
Officers to be posted on the City's website .
SPECIAL AGENCIES
By-laws
Records retained by the Clerk acting as the Secretary for
Approval Date
Permanent
COTC assumed
COTC
Industrial Development Authority, Santa Ana Financing
responsibility for
Authority, 'Community Redevelopment Agency,
Mintes of CRA on
Minutes
'Empowerment Zone Countywide Financing Authority,
May 5, 2003; HA
Housing Authority and Successor Agency
on September 2,
'Former
2003
Resolutions
Assessment District -By Number
Established by the City to provide certain services financed
Approval Date
Permanent
GC 34090
by assessments levied on district properties; enacted by
SPECIAL DISTRICTS
Underground Utility District (UUD) - By
Documents including RFCA's on council actions to install
Council Meeting Date
Permanent
GC 34090
COTC
Number
new or move existing utility lines underground as enacted
City Charter
Establishing the City of Santa Ana as a municipal
Date of Voter Approval
Permanent
corporation and chartered city
VITAL RECORDS / City
Minutes
Official record of actions taken during Council meetings
Council Meeting Date
Permanent
GC 34090(e)
COTC
Council
Council Committee Minutes
Development & Transportation Committee, Public Safety &
Permanent
GC 34090(e)
Neighborhood Improvement/Code Enforcement (N.I.C.E.)
Ordinances
Laws or orders adopted by the City Council
Permanent
GC 34090(e)
Resolutions
Legislative actions
Permanent
GC 34090(e)
7of7
City of Santa Ana Records Retention Schedule
CITY ATTORNEY'S OFFICE
Exhibit C
RECORD
RETENTION
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
START DATE
PERIOD
REMARKS
CUSTODIAN
Code of Civil
CAO
FEDERAL COURT CASES
By Case
Case file for Federal Court Case
Closing Date
5 years
Procedures Sec.
337
CRIMINAL CASES
By Case
Case file for Criminal Court Case
Closing date
5 years
JUDGEMENTS &
By Case
Concluding Case documents
Closing Date
10 years
SETTLEMENTS
PERSONNEL BOARD
by Appellant
Personnel
Closing Date
5 years
APPEALS
SUPERIOR COURT
By Case
Case file for Superior Court Case
Closing Date
5 years
CASES
EMINENT DOMAIN CASES
By Property
Closing Date
5 years
GC 304090
GENERAL FILES
By Subject
Subject matter files
Closing Date
2 Years
1 of 1
City of Santa Ana Records Retention Schedule
COMMUNITY DEVELOPMENT AGENCY
Exhibit D
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
GENERAL CDA
Project Files
Project Files including correspondence, reports,
Completion Date
3 Years
Code of Civil
CDA-Admin
and relevant back-up documentation.
Procedures Sec.
337 GC 34090
ADMIN SVCS
Agreements
Contracts entered into by the Agency and City
Expiration Date
4 Years
Code of Civil
CDA - Admin.
relating to goods, services, legal settlements
Procedures Sec.
and program responsibilities; includes joint
337 GC 34090
powers agreements.
CDA Reports
Audited Agency Financial Statements,
Issuance of next FY
10 Yrs from FY
Code of Civil
CDA - Admin.
Redevelopment Agency Annual Report (Report
Statements
date
Procedures Sec.
to State Controller)
337 GC 34090
CDBG/ESG/ HPRP
Grant documents and all supporting documents:
End of Grant Year
4 Yrs from FY
GC 34090 24 CFR
CDA - Admin.
applications, reports, contracts, profect files,
date
570.502 24 CFR
proposals, statements, sub -recipient dockets,
85.42
environmental review, inventory, consolidated
plans, CAPERS, etc.
CDBG/ ESG/ HPRP
Subrecipient binders (application, agreement,
Project Completion
5 Yrs from FY
Code of Civil
CDA - Admin.
backups to payment requests, correspondence,
date
date
Procedures Sec.
etc.)
337 GC 34090
CDBG/ ESG/ HPRP
City project files paid with CDBG funds
Project Completion
5 Yrs from FY
Code of Civil
CDA - Admin.
date
date
Procedures Sec.
337 GC 34090
Loan Files
Documents pertaining to the commercial rehab
Pay -Off Date
5 Years
Code of Civil
CDA - Admin.
loans
Procedures Sec.
337 GC 34090
Action Items
RFCAs and staff reports to commissions,
Date of Action
2 years
Code of Civil
CDA - Admin.
Agency and other legal bodies (not City
Procedures Sec.
Council.) Can be imaged immediately for
337 GC 34090
permanent retention.
Bonds
Authorization/public hearing
Cancellation,
Plus 10 years
CCP 336a, 337.5
CDA-Admin
records/prospectus/proposals/certificates/notice
redemption or
s (transcripts)/registers/statements.
maturity
Grants- Unsuccessful
Applications not entitled
Date of Action
2 years
GC 34090
CDA- Admin
Procedures Manual
Administrative
Until Superseded
Plus 2 Years
Code of Civil
CDA - Admin.
Procedures Sec.
337 GC 34090
REDEVELOPMENT &
Action Items & Agenda
RFCAs and staff reports to commissions,
Date of Action
2 Years
Code of Civil
CDA - Admin.
HOUSING COMMISSION
Packets & Reports
Agency and other legal bodies (not City
Procedures Sec.
Council.) Can be imaged immediately for
337 GC 34090
permanent retention.
1 of 6
City of Santa Ana Records Retention Schedule
COMMUNITY DEVELOPMENT AGENCY
Exhibit D
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Contracts
After Termination
4 Years from FY
CCP 337 CCP
CDA - Admin and
Original contracts and agreements and back-up
date
337.2 CCP 343
Housing
materials, including leases, license agreements,
10 Years after
CCP 337.15
service/maintenance contracts, etc.
completion
Original contracts/agreements regarding the
development of real property, design,
specifications surveying, planning, supervision,
testing, or observation of construction or
improvement to real property.
Notices or Legal Notice
Special Meetings, Notices of public hearings,
Date of Action
2 years
GC 34090 24 CFR
CDA - Admin.
etc. Also proof of publication of notice or proof
570.502 24 CFR
of posting of notice
85.42
Property
Supporting documents regarding sale,
10 Years
CCP 337.15
Acquisition/Disposition
purchase, exchange, lease or rental of property
by the City.
Minutes
Redevelopment Agency/Oversight Board.
Date of Action
Permanent
GC 34090 (e)
CDA - Admin
Documents may be imaged immediately.
SUCCESSOR AGENCY
Action Items & Agenda
RFCAs and staff reports to commissions,
Date of Action
2 Years
CDA - Admin.
Packets & Reports
Agency and other legal bodies (not City
Council.) Can be imaged immediately for
Contracts
Original contracts and agreements and back-up
After Termination
4 Years from FY
CCP 337 CCP
CDA - Admin and
materials, including leases, license agreements,
date
337.2 CCP 343
Housing
service/maintenance contracts, etc.
10 Years after
CCP 337.15
Original contracts/agreements regarding the
completion
development of real property, design,
specifications surveying, planning, supervision,
testing, or observation of construction or
improvement to real property.
OVERSIGHT BOARD
Action Items & Agenda
RFCAs and staff reports to commissions,
Date of Action
2 Years
Code of Civil
CDA - Admin.
Packets, Resolutions &
Agency and other legal bodies (not City
Procedures Sec.
Reports
Council.) Can be imaged immediately for
337 GC 34090
permanent retention.
2of6
City of Santa Ana Records Retention Schedule
COMMUNITY DEVELOPMENT AGENCY
Exhibit D
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Contracts
After Termination
4 Years from FY
CCP 337 CCP
CDA - Admin and
Original contracts and agreements and back-up
date
337.2 CCP 343
Housing
materials, including leases, license agreements,
10 Years after
CCP 337.15
service/maintenance contracts, etc.
completion
Original contracts/agreements regarding the
development of real property, design,
specifications surveying, planning, supervision,
testing, or observation of construction or
improvement to real property.
PARKING
Parking
Official documents, statements and bond
Retirement of Bond
Permanent
Code of Civil
CDA-Admin
information regarding downtown garages.
Procedures Sec.
337 GC 34090
Property Tax Assessments and Reports for
Assessment Date
5 Years
Code of Civil
CDA-Admin
properties held by the Agency
Procedures Sec.
337 GC 34090
Validations and Parking Pass Files
Validation Dates and
2 years
Code of Civil
CDA-Admin
Date Pass Returned
Procedures Sec.
337 GC 34090
Monthly Revenue Statements - Agency and
Date of Receipt
2 years
Code of Civil
CDA-Admin
Authority Only
Procedures Sec.
337 GC 34090
Broken Meter Reports
Report date
2 years
Code of Civil
CDA-Admin
Procedures Sec.
337 GC 34090
Meter Repair Records
Repair date
2 years
Code of Civil
CDA-Admin
Procedures Sec.
337 GC 34090
Meter Database Information
Date of Entry
2 years
Code of Civil
CDA-Admin
Procedures Sec.
337 GC 34090
HOUSING
Loan Files
All approved paid -off Rehabilitation Loans
Payoff Date
5 Years
Code of Civil
Housing
Procedures Sec.
337 GC 34090
Loan Applications
Ineligible loan applicants
Denial Date
5 Years
Code of Civil
Housing
Procedures Sec.
337 GC 34090
3 of 6
City of Santa Ana Records Retention Schedule
COMMUNITY DEVELOPMENT AGENCY
Exhibit D
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Rebate Files
Clients participating on Rebate program
Rebate Check Date
5 Years
Code of Civil
Housing
Procedures Sec.
337 GC 34090
Rebate Clients
Client information. Clients can participate once
Rebate Check Date
Permanent
Code of Civil
Housing
in a lifetime
Procedures Sec.
337 GC 34090
Contractor Files and List
Files on contractors who are eligible to bid on
Project Completion
1 Year
Code of Civil
Housing
rehab projects. Residents have 1 year to file
Procedures Sec.
claim with contractor
337 GC 34090
NSP/ HOME/ HOPWA
Grant documents and all supporting documents:
End of Grant Year
4 Years from FY
GC 34090 24 CFR
Housing
applications, reports, contracts, profect files,
date
570.502 24 CFR
proposals, statements, sub -recipient dockets,
85.42
environmental review, inventory, consolidated
tans, CAPERS, etc.
Housing Programs
Planning/Redevelopment Agency files.
Current Year
Plus 2 Years
GC34090
Housing
Housing Programs
Includes comprehensive Housing Authority
Current Year
4 Years
24 CFR 570.502
Housing
Strategy, Mortgage Credit Certificates,
Low/Mod Housing, Rental Housing Assistance
Development, General
Internal working files including correspondence.
Document Date
2 Years
24 CFR 85.42
Housing
Subject Files, Projects
HOME Program
Certification for tenants and inspections
Date of Certification
7-10 years
Housing
Certifications
Tax Exempt Bond Program
Income Certifications for Tenants Occupying
Date of Certification
7-10 years
Housing
Income Certifications
Affordable Units in Tax Exempt Bond Projects
Tax Exempt Bond Program:
Certifications completed by owners, stating that
Date of Certification
7-10 years
Housing
Annual and Quarterly
their projects are in compliance with bond
Compliance Certifications
program requirements
HOUSING AUTHORITY
Action Items & Agenda
RFCAs and staff reports to commissions,
Date of Action
2 Years
CDA - Housing
Packets, Resolutions &
Agency and other legal bodies (not City
Authority
Reports
Council.) Can be imaged immediately for
permanent retention.
Application for Housing
Applicant application and correspondence while
Date Removed from
3 Years
Housing Authority
Certificate Voucher
on wait list
List
Expired Voucher
Applicant file through voucher issuance
Date of Voucher
3 Years
Housing Authority
Expiration
Tenant file
Application, correspondence and all paperwork
Date of the end of
3 Years
Housing Authority
related to tenant's participation on the program
participation
Funding documents
JAII correspondence regarding funding from HUD
Receipt Date
Permanent
Housing Authority
4of6
City of Santa Ana Records Retention Schedule
COMMUNITY DEVELOPMENT AGENCY
Exhibit D
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Budget documents
All documents related to HUD budget process
Document Date
Permanent
Housing Authority
ECONOMIC
Enterprise Zone Hiring
EZ Hiring Credit Vouchers, Applications and
Date Voucher Issued
Permanent
Econ. Dev. -- EZ
DEVELOPMENT
Credit Vouchers
supporting documents
Business Outreach Files
Business Outreach Information and surveys
Initial Outreach
5 Years
Econ. Dev. -- EZ
obtained through various activities
Marketing, Promotional
Brochures, Announcements
Initial Outreach
2 Years
GC 34090
Econ Dev
Economic Development
Administrative records/Staff reports/Project files
Document Date
2 Years
GC 34090
Econ Deb
Projects
Workforce Investment Act
W IA Forms (enrollment and various participation
Date of Application /
6 Years
29CFR, Part
Work Center
(WIA) & Special Projects
forms)
Form
97.42(bX2)
Offices
Participant payroll records (timecards,
Date of Payroll
6 Years
29CFR, Part
Work Center
participant profiles, payroll printouts)
97.42(bX2)
Offices
Original Procurement Documents (Proposals,
Date of Document
6 Years
29CFR, Part
Work Center
RFPs, Rating Sheets)
97.42(bX2)
Offices
Contracts and other backup data for processing
Date of Document
6 Years
29CFR, Part
Work Center
invoices
97.42(bX2)
Offices
Oversight and monitoring reports including
Date of Document
6 Years
29CFR, Part
Work Center
backup data and program operator audit reports
97.42(bX2)
Offices
Workforce Investment
Meeting Records (agenda packets and minutes)
Date of Document
Permanent
29CFR, Part
WIB Office
Board (WIB)
97.42(bX2)
Procurement records and RFPs
Date of Document
6 Years
29CFR, Part
WIB Office
97.42(bX2)
Subgrantee agreements, plans, participant and
Date of Document
6 Years
29CFR, Part
WIB Office
fiscal reports
97.42(bX2)
Federal Empowerment Zone
Original Procurement Documents (Proposals,
Date of Grant Close
5 years
Econ Dev
Grant
RFPs, Rating Sheets)
Out Ltr from HUD
Contracts and other backup data for processing
Date of Grant Close
5 years
Econ Dev
invoices
Out Ltr from HUD
Oversight and monitoring reports including
Date of Grant Close
5 years
Econ Dev
backup data and program operator audit reports
Out Ltr from HUD
IDB Bonds
Cancellation,
Plus 10 years
Econ Dev
redemption or
SA Empowerment
Meeting Records (agenda packets and minutes)
Date of Grant Close
Permanent
Econ Dev
Corporation (SAEC)
Out Ltr from HUD
5of6
City of Santa Ana Records Retention Schedule
COMMUNITY DEVELOPMENT AGENCY
Exhibit D
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Procurement records and RFPs
Date of Grant Close
5 years
Econ Dev
Out Ltr from HUD
Subgrantee agreements, plans, participant and
Date of Grant Close
5 Years
Econ Dev
fiscal reports
Out Ltr from HUD
Tax Records - Federal and State; Financial
Date of Grant Close
Permanent
Econ Dev
Audits
Out Ltr from HUD
Establishment and Dissolution of the non-profit
Date of Grant Award
Permanent
Econ Dev
6 of 6
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY
Exhibit E
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
BONDS
Bond Documents and
Revenue, Refunding and Financing of city
Audit + 4
Administration
Schedules
projects
ACCOUNTS PAYABLE
Year -End Accrual
End of year accounts payable accruals; Annual
Date prepared
3 years
Accounting &
emission fee report for Corporate Yard - Rule
Budget
301
Distribution Register AP175
Lists of paid invoices by fund and activity
Run Date
10 Years
Accounting &
Budget
Vendor Payment
Supporting documentation for disbursements for
Beginning Grant
10 Years
Documents for Grants and
City expenditures for grants or capital projects
Period
Capital Projects
10 Years
Vender Claim Check
Lists weekly payments to vender
Date prepared
Accounting &
Register (AP265)
Budget
ACCOUNTS RECEIVABLE
Unpaid Billing
Lists unpaid billings
Date prepared
4 years
Accounting &
Budget
Collection Agency Reports
Lists Miscellaneous Accounts Receivable (MAR)
Date prepared
3 years
Accounting &
accounts sent to the City's designed collection
Budget
agency and the monthly status
Department Request to
Source documentation of Accounts Receivable
Date Received in
3 years
Issue Accounts Receivable
invoices from various departments
Accounting
Invoice
Transaction History Report
Accounts Receivable historical data
Run Date
5 Years
Accounting &
AR294
Budget
APPROPRIATION
Reports
Changes to City budgets as approved by the
Date prepared
3 years
Accounting &
ADJUSTMENTS
City Council and/or City Manager;see also
Budget
General Records Schedule
AUDIT
Working papers
Audit documents; year-end financial work
Date prepared
3 years
Accounting &
papers
Budget
BANKS
Statements & Accounts
Lists all bank -cleared City checks; filed by name
Date prepared
3 years
Accounting &
Reconcilement
and by fiscal year
Budget
CAPITAL ASSET AND
Reports
All City Capital Assets
Date prepared
3 Years
Accounting &
PROPERTY TRANSFER
Budget
COMPREHENSIVE
Audited
General Purpose Financial Statements
Publication Date
15 Years
Accounting &
ANNUAL FINANCIAL
Budget
REPORT
GENERAL LEDGER
Expenditure and Revenue
Monthly and Fiscal Year Expenditure & Revenue
Period End Date
10 years
Accounting &
Reports
Reports
Budget
HOUSING ASSISTANCE
Housing Rayment Register
List addresses/payments amounts of Houseing
Date Prepared
3 Years
Accounting &
Assistance recipients
Budget
1 of 7
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY
Exhibit E
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
INTERNAL REVENUE
Form 1099
Self-explanatory; filed by calendar year
Date Prepared
5 Years
Accounting &
SERVICE
Budget
JOURNAL VOUCHERS
Journal Vouchers
Documents used to manually post entries to
Date Prepared
10 years
Accounting &
general ledger/cost ledger
Budget
LABOR
PGIS Internal Service- Fund
List labor charged for PWA Project Management
-Run Date
10 years
Accounting &
86-Labor
employees by account number
Budget
PGIS Labor Distribution
List labor charges
Run Date
10 years
Accounting &
Report
Budget
Posting Errors
List labor charges "Unable to post'
Completion Date
1 Years
Accounting &
Budget
OVERHEAD
Indirect Cost
List indirect costs & overhead charges
Date Prepared
9-10 years
Accounting &
DISTRIBUTION
Budget
ACCOUNTING & BUDGET
PROJECTS
Contains Project Documents for grant
Completion Date
10 years
Accounting &
agreements, billing reimbursements,
Budget
Authorization to Proceed forms, grant
reimbursement check copies, Project and
Activity Analysis Reports
MUNICIPAL UTILITY
Refund check register
Municipal Utility Service refund checks
Date Issued
Current year + 3
Accounting &
SERVICE
Years
Budget
PREVENTIVE
Elevator Repairs, Inspection
Elevator Repairs, Inspection & Preventive;
Life of Asset + 2
State of CA, US
Building
MAINTENANCE
& Preventive Maintenance
Heating Ventilation & Air Conditioning; Chiller
EPA, SCAQMD
Maintenance
Repair; Air Conditioning Systems Refrigerant
Annual Fire Inspection, 5
Inspection Reports
Life of Asset + 2
State of CA
Building
Year Systems Inspection,
Maintenance
Annual Fire Extinguishers
Underground Storage Test
Maintenance of diesel, gasoline tanks at fire
Life of Asset + 2
US EPA, State of
Building
Monthly and 3 Year
stations, police department and corporate yard.
CA, SCAQMD
Maintenance
Inspections
Emergency Generators,
Reports related to emergency power sources
Life of Asset + 2
State of CA,
Building
Internal Combustion
and building fire pump operation
SCAQMD
Maintenance
Pressure Pumps Emission
and Maintenance
2of7
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY
Exhibit E
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
PERSONNEL HEALTH
Oxygen Respirator, Lead
Personnel Quarterly Training Records
Life of Asset + 2
US EPA,
Building
AND SAFETY
Respirator, Pulmonary
SCAQMD, State of
Maintenance
COMPLIANCE
Tests, Material Safety Data
CA
Sheets, Hygiene Complaints
COPIES
Copy Counts
Copier Summaries
Date of Copy Count
Life of Asset +2
Central Services
years
ISSUE SLIPS
Issue Slips
Issue of Paper Supplies, or Inserting or Folding
Issue Slip Date
2 years
Central Services
Services
DUPLICATION REQUESTS
Forms
Date of Request
2 years
Central Services
LIGHT AND HEAVY
Fleet Maintenance
Work Order, Requisitions, Accident Reports,
Generation Date
Active + 5 years
Fleet
VEHICLES, EQUIPMENT
Logs,
CHP BIT Records Program
Driver Inspections
Generation Date
Active + 3
Fleet
months
Driver Time Sheets
Generation Date
Active + 6
Fleet
months
LIGHT AND HEAVY
Driver Proficiency
Generation Date
Life + 1 year
Fleet
VEHICLES, EQUIPMENT
(Cont'd.)
BIT EQU Inspections
Generation Date
1 year
Fleet
CITY YARD
Operating Permits
AQMD UST Permits, Hazardous Waste Permits
Generation Date
Active
Fleet
AQMD UST Annual Renewal
Generation Date
1 year
Fleet
Inspections & Reports
AQMD UST Monthly Insp., KPEDS Monthly
Generation Date
1 year
Fleet
Insp., Haz-mat Generator Fee report
PAYROLL
Accrual Records
Reports to indicate YTD balances, Prior yr.
Date Prepared
3 years
Payroll
DOCUMENTATION
Owing, current yr. Entitlements, time taken,
Attendance Reports
Daily attendance positings (IPPH)
Date Prepared
10 years
Payroll
Retirement Reports
Employee Reportable Earnings/Contribution
Date Prepared
10 years
Payroll
Reports
Employee Earnings W-2
YTD W2 Earnings (ER copies of W2)
Date Prepared
4 years
Payroll
Earnings Check Registers
Pay Period employee earnings
Date Prepared
10 years
Payroll
3of7
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY Exhibit E
4of7
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY
Exhibit E
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Deletion Records
Deleted and/or cancelled accounts
Date Cancelled
T + 3
GC34090
Treasury
Gross Receipts & Variable
Business License Tax statements filed by
Date -Received
CU + 3
GC34090
Treasury
Assessment Statements
business operators
Miscellaneous Receipts
Receipts for miscellaneous payments.
Date Prepared
CU + 3
GC34090
Treasury
Original Applications
Original business license tax application.
Date Received
T + 3
GC34090
Treasury
Payment Records
Statements relating to calculation and payment
Date Received
CU + 3
GC34090
Treasury
of business license tax.
Renewal Registration
Statements relating to business owner
Date Received
CU + 3
GC34090
Treasury
Records
information.
Payments / Daily Cash
Business License Tax payments received and
Date Received
CU + 3
GC34090
Treasury
Receipts
processed via Treasury cashiers.
CHECKS
Voided / Canceled Checks
Check voided/canceled; issued by the City;
Date Issued
AU + 5
GC34090; CCP
Treasury
& Related Reports
includes Housing Authority, Workers
337
Compensation, Payroll and Vendor; includes
checks voided as a result of printer
misalignment
Paid
Paid checks issued by the City; includes
Date Issued
AU + 5
GC34090; CCP
Treasury
Housing Authority, Workers Compensation,
337
Payroll and Vendor checks
Transmission of all checks
List of all City check issued to allow bank to
Date Issued
CU + 2
GC34090.7
Treasury
issued by City to Bank
clear check through account for Positive Pay
DOG LICENSES
Original Applications
Application for Dog License; Including Rabies
Date Received
CU + 3
GC34090
Treasury
Vaccination records
Reports
Daily payment information; unpostables;
Date Received
CU + 3
GC34090
Treasury
renewal; noncompliance; tag list; penalties
Payments / Daily Cash
Dog License payments received and processed
Date Received
CU + 3
GC34090
Treasury
Receipts
via Treasury Cashiers.
Cancellations
Dog Licenses cancelled
Date Received
T + 3
GC34090
Treasury
HOTEL VISITORS TAX
Filing Records
Original Registration
Registration Date
T + 3
GC34090
Treasury
Payment Records
Monthly filings and remittances
Date Received
CU + 3
GC34090
Treasury
WATER ACCOUNTS
Applications for Service
Original copies of applications for installation of
Installation date of
CU + 3
Treasury
new water service originated by Public Works
water service
5 of 7
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY
Exhibit E
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
MUNICIPAL UTILITY
Billing Register Reports
Computerized reports detailing accounts billed &
Date Prepared
CU + 3
GC34090
Treasury
ACCOUNTS
respective charges
Work Orders
Investigations of water meter notices and meter
Date -Completed
CU + 3
GC34090
Treasury
exchanges
Customer files
Miscellaneous information / correspondence
Date Received
CU + 3
GC34090
Treasury
regarding customer accounts
Deposit Reports
List of Municipal Utility Service accounts that
Date Paid
CU + 3
GC34090
Treasury
have a de osit
Payment Report
Lists daily receipts processed via Treasury
Date Received
CU + 3
GC34090
Treasury
Cashiers to Municipal Utility Service accounts by
Payments
Daily receipts processed to Municipal Utility
Date Received
CU + 3
GC34090
Treasury
accounts by Service account number
Municipal Utility Services
Municipal Utility Service refund requests and
Date Prepared
CU + 3
GC34090
Treasury
backup information
MUNICIPAL UTILITY
Aging Report
Lists balances of all Municipal Utility Service
Date Prepared
CU + 3
GC34090
Treasury
ACCOUNTS (Cont'd)
accounts
PARAMEDIC
Billing Payments
Paramedic Billing payments received by
Date Received
CU + 3
GC34090
Treasury
Treasury
Register
Paramedic registers and related invoices
Date Received
CU + 3
GC34090
Treasury
PARKING CITATIONS
Collections
Itemization of citation payments collected by
Date Received
CU + 3
Treasury
contract service agency
Register
Parking citation payments process by Treasury
Date Received
CU + 3
Treasury
Staff
Amounts Written -off Report
List of parking citations written -off by DMV
Date Received
CU + 3
Treasury
Citations Referred to DMV
Itemization of citations referred to DMV for
Date Prepared
CU + 3
Treasury
collection
DMV Collections
DMV parking citation collections
Date Prepared
CU + 3
Treasury
REFUND REQUESTS
Business Tax Office; Utility
Refund requests; includes supporting
Date Processed
CU + 3
GC34090
Treasury
Users Tax; & Misc. Refunds
documentation
TREASURY
Daily Treasurer's Reports
Report of daily revenues received with detail
Date Prepared
CU + 3
Treasury
payment information and related working papers
Video Monitoring
Video monitoring of Treasury Cashiering area
Date of Recording
1 Year
GC34090.6
Treasury
6 of 7
City of Santa Ana Records Retention Schedule
FINANCE & MANAGEMENT SERVICES AGENCY
Exhibit E
RECORD
RETENTION
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
REMARKS
CUSTODIAN
START DATE
PERIOD
Treasury Investment Activity
All documents pertaining to Investment Activity
Date Prepared
CU + 3
GC34090
Treasury
Records
UTILITY USERS TAX (UUT)
Exemption Applications
Homeowners low income exemption application
Approval or
CU + 3
GC34090
Treasury
Disapproval Date
Filing Records
Original registration
Date Received
T + 3
GC34090
Treasury
Maximum Tax Filings
Annual registration and maximum tax payment
Date Received
CU + 3
GC34090
Treasury
records
Payment Records
Monthly filings and remittances
Date Received
CU + 3
GC34090
Treasury
7 of 7
City of Santa Ana Records Retention Schedule City of Santa Ana Santa Ana Risk Management OCFA
FIRE DEPARTMENT Exhibit F
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION PERIOD
RECORD
CUSTODIAN
ARSON
Case Assignments
Case Assignment Logs
Current+3 yrs
NFPA 921
Public Works
Agency
Investigations
Significant Cases; Great
bodily harm, inhabited structure, or property
Incident Date
CL+ 6 yrs
PC 800
Open Investigation
Case Number
Structure
PC 801; UFC
C+3 yrs
104.32
Resulting in Homicide
Permanent
PC 799
COMMUNICATIONS
Audio Tapes, Telephone,
Orange County Fire
Radio Communication
Date of
Cut 180 days
GC 34090.6
Authority
Communication
Climatological
Temperature, rainfall, severe winds
Orange County Fire
Month of Origin
Permanent
National Data
Authority
ROSA
OPERATIONS
Incident Reports
Documentation of findings & action taken by
Vital records filed in
Public Works
suppression personnel
Permanent
Administration
Agency
Date of Incident
office
Dispatch &Daily Logs
GC 4090; CCP338;
CL+3 yrs
GC 34090
Hazardous Waste
HazMat Team disposal records
CC Environmental
Disposal
Health Care Agency
Report Date
10 yrs
40 CFR 122.21
Company Journals
Computer log of significant activities,
Public Works
Including daily personnel records, by fire
Date of Log Entry
CU+2 yrs
GC 34090
Agency
company
Pre -Hospital Care
Record of medical treatment given
Public Works
Reports
Report Date
2 yrs
HIPPA LAW
Agency
General Orders, Policies/
Rules and Regulations/ Manual Of
GC 34090.7
Public Works
Procedures
Operations
Manual Date
S + 2 yrs
CCP 340.5
Agency
PERSONNEL
Personnel Exposure
Sampling results, collection methodology,
Date Record
T+30 yrs
29 CFR 1910.1020
Risk Management
background
Received
Laboratory reports & worksheets
Risk Management
T+1 yrs
29 CFR 1910.1020
1 of 4
City of Santa Ana Records Retention Schedule City of Santa Ana Santa Ana Risk Management OCFA
FIRE DEPARTMENT Exhibit F
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
RETENTION PERIOD
RECORD
CUSTODIAN
START DATE
Personnel Medical
Employees less than 1 year
Risk Management
T+2 yrs
29 CFR 1910.1020
Employees more than 1 year
Risk Management
T+30 yrs
29 CFR 1910.1020
PERSONNEL
Infection Control Program
Infection Control Committee agenda &
Risk Management
INFECTION CONTROL
minutes, research articles, pertinent laws,
Until Superseded
5 yrs
US OSHA / 29 CFR
resource materials
Medical
Confidential medical records of each
OSHA / 29 CFR
Risk Management
employee
Separation Date
30 yrs
1910.1020
PERSONNEL
EMS / ICP
Training Records
Risk Management
INFECTION CONTROL
Separation Date
T+2 yrs
GC34090
PREVENTION
Address Files
Record of Inspections & permits
Uniform Fire Code
Public Works
Agency
File Start Date
CL+3 yrs
(UFC) 103.34
GC 34090.7
Uniform Fire Code
Code Book
Date of Adoption
S+3 yrs
GC34090
Plan Check Construction
Blueprints/ Documents limited to Fire Life
Orange County Fire
Records
Safety Plans
Project Completion
Permanent
Vital records filed in
Authority
Plan Check Office
Permits, Uniform Fire
Process & Use Permits
GC 34090
Public Works
Code
Date Permit Issued
CL+2 yrs
CFC 2001 Ed.
Agency
Permits, Hazardous
Public Works
Materials Storage
GC 34090; CFC
Agency
File Date
C+2 yrs
Art. 80, CHSC Title
23, Chapter 6.95
HAZ-MAT
Compliance with health & safety code;
Federal, State,
Public Works
Business emergency
record of Haz-Mat handlers
Permanent
Permanent
County, & Local
Agency
plans
Regulations
Material Inventories
Record of Hazardous materials
Public Works
Permanent
Permanent
Agency
2of4
City of Santa Ana Records Retention Schedule City of Santa Ana Santa Ana Risk Management OCFA
FIRE DEPARTMENT Exhibit F
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION PERIOD
RECORD
CUSTODIAN
Active Sites - UST
State Requirements
Vital records filed in
Public Works
Underground Tank
Agency
Office, and
Administration
Office GC34090a
GC34090
Approval Date
Permanent
Compliance - UST
Documents Re: Storage
GC34090a
On -going Remediation
Detailed activity of underground tank sites in
GC34090a
the city
Closed Sites
Court Use
GC34090a
Maintenance & Operation
Docs Re: Location, installation, removal,
remediation
Service Date
2 yrs
GC 34090
SUPPORT
Contractor Submittals &
Products and/ or materials used during
Orange County Fire
shop drawings
construction of projects
Project Completion
Permanent
Department Policy
Authority
GC34090
Equipment & Clothing
Personnel issues of clothing/ equipment,
Orange County Fire
equipment surveyed, donated, or lost
Date of Separation
5 yrs
NFPA 1851
Authority
Specifications
Specifications & reference material for
Orange County Fire
station repairs and/or maintenance projects
Project Completion
Permanent
Department Policy
Authority
GC34090
Inventory, Equipment &
Orange County Fire
supplies
Inventory Date
CU+2 yrs
GC34090
Authority
Accidents
Property Accountability forms (PAR),
Orange County Fire
Accident forms, PD forms, drawings of
Repair of Vehicles
CU+2 yrs (non -liability)
GC 34090a
Authority
accidents
4 yrs (potential liability)
GC 34090
Inventory
All Fire Department vehicles
Purchase Date
CU + 2 yrs
GC 34090
3 of 4
City of Santa Ana Records Retention Schedule City of Santa Ana Santa Ana Risk Management OCFA
FIRE DEPARTMENT Exhibit F
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
RETENTION PERIOD
RECORD
CUSTODIAN
START DATE
Schedules
Schedule for vehicle maintenance
Completion of
scheduled
CU+2 yrs
CCP340.5
maintenance
Logs, Fire EquipmenU
Orange County Fire
Gear
Log Date
CU+2 yrs
GC34090
Authority
TRAINING
Training Records
Personnel
Orange County Fire
Hire Date
CU +2 yrs
GC34090
Authority
Training subject matter, lesson plans,
training resources
Until Superceded
S + 2 yrs
GC34090
Certifications/ designations
Record Date
T+2 yrs
GC34090
Reserves
Personnel Records
Separation Date
7 yrs
GC 34090
Training Materials
Standards & Administration
CAL CODE,
Until Superceded
S+2 yrs
Reg. 3204 (d), et
seq.
4of4
City of Santa Ana Records Retention Schedule
LIBRARY
Exhibit G
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
ADMINISTRATION
Cost Operational Analyses
Expiration Date
10 yrs
Library
TECHNOLOGY &
Library Statistical
Slats - Patron usage of library sections
Expiration Date
10 yrs
Library
SUPPORT SERVICES
Information
Inter -Library Loan
Inter -Library Loan Documents Used to Support
Upon Completion
Upon Completion
GC ss62540)
Library
Documents
Inter -Library Loan Transactions (includes patron
request cards & periodical request forms).
Inter -Library Loan
Inter -Library Loan Transaction Report (report
Transaction Date
Fiscal Year + 4
5 CCR ss20265(B)
Library
Transactions
filed with the state documentation inter -library
years
loan transaction), includes reports & backup.
1 of 1
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
1 11
AIR QUALITY
AVR Surveys
Average Vehicle Ridership surveys completed
Survey Completion
3 years
SCAQMD ECRP,
Personnel
Date
Rule 2202
Services
GC 34090
Approved Employee
Annual plan or annual analysis submitted
Date of Approval
3 years
SCAQMD ECRP,
Personnel
Commute Reduction
pursuant to Rule 2202 describing the strategies
Rule 2202
Services
Program (ECRP)
and incentives offered to achieve the City's AVR
GC 34090
CCP 338(k)
Commuter Services
Registration/ payment forms for participation in
Registration Date
3 years
SCAQMD ECRP,
Personnel
Program
the Commuter Services Program.
Rule 2202
Services
GC 34090
ECRP Incentives:
Completed once per month to reimburse
Payment Issue Date
3 years
SCAQMD ECRP,
Personnel
employees who are registered and who meet
Rule 2202
Services
Cash Incentive
the criteria of Commuter Services Program
AB2766 Audit
Payment DPV's
Plan.
Requirements
And Supporting
Documentation
Incentive Program
Claim forms and documentation for cash/ prize
Date Incentive
3 years
SCAQMD ECRP,
Personnel
Components
drawing incentives.
Issued
Rule 2202
Services
GC 34090
Marketing Pieces Employee
Flyers, bulletins, etc., that make EE aware of
Issuance/ Release
3 years
SCAQMD ECRP,
Personnel
Outreach Contacts
activities involving air quality.
Date
Rule 2202
Services
GC 34090
AMERICANS WITH
Complaints/ Requests for
Personnel and employment records,
Date record or
2 years after the
FEHA, Title 11, Div
Personnel
DISABILITIES ACT (ADA)
Accommodation
memorandums, letters or other records of
documentation
date of the
3, Part 2.8, Sect.
Services
complaints or requests received, and responses/
received by
employment or
12946; EEOC, 29
actions taken
Personnel
other action
C.F.R., Sect.
taken
1602.14
AMERICANS WITH
City of Santa Ana ADA
Tracking of structural changes required to bring
1994
Permanent
Americans with
Personnel
DISABILITIES ACT (ADA),
Transition Plan
organization into compliance with Title 11 of the
Disabilities Act
Services
TITLE II
ADA
(ADA), Title II;
Section 504,
Rehabilitation Act
BILLINGS
Medical/Dental/Vision/Life/
Medical/Dental/Vision/Life/LTD/Flexible
Date Received
5 years
Department
Personnel
LTD/Flexible Spending
Spending Account and any other insurance
Defined
Services
Account and any other
carrier billings
Insurance Carrier
Unemployment Insurance
UI quarterly bills from State of California
Department
Personnel
Employment Development Department, and
Defined
Services
summaries of payments made by the City
CONTRACT FILES
Dental
Dental insurance contract files
Expiration Date
Permanent
Department
Personnel
Defined
Services
Life
Life insurance contract files
Expiration Date
Permanent
Department
Personnel
Defined
Services
1 of 9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
LTD Insurance
Long -Term Disability (LTD) contract files
Expiration Date
Permanent
Department
Personnel
Defined
Services
Medical
Medical insurance contract files
Expiration Date
Permanent
Department
Personnel
Defined
Services
Flexible Spending Account
Flexible Spending Account contract files
Expiration Date
Permanent
Department
Personnel
Defined
Services
Employee Assistance
Employee Assistance Program contract files
Expiration Date
Permanent
Department
Personnel
Program (EAP)
Defined
Services
ICMA Retiree Health
Retiree Health Savings Plan contract files
Expiration Date
Permanent
Department
Personnel
Savings Plan
Defined
Services
Public Agency Retirement
Supplementary Retirement Plan for 25 POA
Expiration Date
Permanent
Department
Personnel
System (PARS)
reitrees and one POA President
Defined
Services
DEPARTMENT OF TRANS-
Random DOT Drug and
Records of positive alcohol test results (0.02 or
Record Date
5 years
Procedures for
Personnel
PORTATION (DOT)
Alcohol Testing
greater) and positive drug test results.
Transportation
Services
Workplace Drug
and Alcohol Testing
Programs, Part 40,
Section 40.333
Documentation of refusals to take required
alcohol and/or drug tests; documentation of
follow-up tests and test schedules.
Personnel
Services
Information obtained from previous employers
3 years
Procedures for
Personnel
re: drug and alcohol test results of employees
Transportation
Services
Workplace Drug
Records pertaining to the inspection,
2 years
Personnel
and Alcohol Testing
maintenance, and calibration of EBTs
Programs, Part 40,
Services
Sections 40.333 &
40.25
Records of negative and cancelled drug test
results, and alcohol test results w/concentration
1 year
Personnel
Services
of less than 0.02
EMPLOYMENT
Full -/Part -Time Employees
U.S. Dept. of Justice Immigration and
Date of employment
3 years after the
Immigration Reform
Personnel
ELIGIBILITY
Naturalization forms completed and signed by
date employment
and Control Act of
Services
VERIFICATION
EE and reviewed and verified (with necessary
begins or 1 year
1986, Pub. L. 99-
(FORMS 1-9)
documentation) by employer representative.
after employment
603 (8 U.S.C.
is terminated,
1324a) & WCL,
whichever is
Section 3212
later.
ENROLLMENT FORMS
Dental Insurance
Employee dental insurance enrollment forms
EE separation/
6 years
29 CFR 1620.30-
Personnel
(OFFICIAL)
termination date
.32 & WCL, Section
Services
3212
Flexible Spending, Section
Enrollment forms for flexible spending program.
EE separation/
6 years
Personnel
125
termination date
Services
2 of 9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Life Insurance
Employee life insurance enrollment forms
EE separation/
6 years
29 CFR 1620.30-
Personnel
termination date
.32 & WCL, Section
Services
3212
Long -Term Disability
Employee Long -Term Disability Insurance
EE separation/
6 years
29 CFR 1620.30-
Personnel
Insurance
enrollment forms
termination date
.32 & WCL, Section
Services
3212
ICMA Retiree Health
Retiree Health Savings Plan enrollment forms
EE separation/
6 years
29 CFR 1620.30-
Personnel
Savings Plan
termination date
.32 & WCL, Section
Services
3212
COBRA
COBRA enrollment forms, correspondence,
EE separation/
6 years
29 CFR 1620.30-
Personnel
premium payments
termination date
.32 & WCL, Section
Services
3212
Medical Insurance
Employee medical insurance enrollment forms
EE separation/
6 years
29 CFR 1620.30-
Personnel
termination date
.32 & WCL, Section
Services
3212
EQUAL EMPLOYMENT
Employment and personnel
Personnel and employment records, including
Record Date
2 years
OPPORTUNITY
records
application forms, records pertaining to
COMMISSION (EEOC)
promotions, layoffs, terminations, salaries and
training
Involuntary termination
Personnel records of terminated employee
Termination Date
2 years
EEOC, 29 C.F.R.,
Personnel
Sect.1602.31
Services
EQUAL EMPLOYMENT
Charge of discrimination
Personnel and/or employment records relating
Date of record or
Until final
EEOC, 29 C.F.R.,
Personnel
OPPORTUNITY
to the charge, including application forms,
personnel action
disposition of
Sect. 1602.14 and
Services
COMMISSION (EEOC);
records pertaining to promotions, layoffs,
complaint + 2
Sect. 1602.31
TITLE VII - CIVIL RIGHTS
terminations, salaries and training.
Years
ACT
EQUAL EMPLOYMENT
State and Local
Copy of EEO-4 Report
Report completion
3 years
EEOC, 29 C.F.R.,
Personnel
OPPORTUNITY
Government Information
date
Sect. 1602.32
Services
COMMISSION (EEOC)
Report (EEO-4)
State and Local
Employment records regarding race, color,
Report completion
3 years
EEOC, 29 C.F.R.,
Personnel
Government Information
national origin or sex
date
Sect. 1602.30
Services
Report (EEO-4)
FAIR EMPLOYMENT AND
Complaints
Personnel and employment records,
Date record or
2 years after the
FEHA, Title ll, Div
Personnel
HOUSING ACT (FEHA)
memorandums, letters or other records of
documentation
date of the
3, Part 2.8, Sect.
Services
complaints or requests received, and responses/
received by
employment or
12946; EEOC, 29
actions taken
Personnel
other action
C.F.R., Sec.
taken1602.14
HISTORICAL RECORDS
Discipline History
Forms completed by personnel analysts as a
Record Date
3 years'
Department defined
Personnel
record of disciplinary actions taken on
Services
employees in their assigned department(s).
Fitness for duty
Copies of letters sent to employees re: need for
Letter Date
3 years
Department defined
Personnel
fitness for duty exam. Psychiatrist's
Services
evaluations/results of fitness for duty exams.
3of9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
I REMARKS
CUSTODIAN
Layoffs
Notes/background documentation of layoff
Layoff Date
3 years
Department defined
Personnel
actions
Services
JOB BULLETINS
Master Copies
Originals of master copies of job bulletins
Post Date
Permanent
Department defined
Personnel
Services
Historical Files
Includes job bulletins, past and present.
Bulletin Date
Permanent
Department defined
Personnel
Services
JOB SPECIFICATIONS
Classification/
Basis for salary rates, job descriptions
Date study
10 years
Department defined
Personnel
Compensation Study
completed
Services
Records
Full -Time Positions
Historical collection of job descriptions as
Date job
Ongoing; when
Department defined
Personnel
changed over time for City of Santa Ana full-time
classification deleted
class is deleted
Services
job classifications.
records are
segregated and
may be
microfilmed.
League of Cities Benchmark
Preparation files and final copies for League of
Survey Completion
Two years
Department defined
Personnel
and Benefits Survey
Cities.
Date
Services
Part-time/ Temporary
Background material and final job description for
Date job
Permanent
Department defined
Personnel
Positions
all part-time and seasonal positions
classification deleted
Services
OFFICIAL PERSONNEL
Certification/ Reassignment
Request for Certification and/or reassignment
EE separation/
5 years
29 CFR 1602.30-
Personnel
FILES'
Forms
forms which document and authorize hiring,
termination date
.32 & WCLC,
Services
reassignment, or other employee actions.
Section 3212
Certificates of Training
Certificates issued to EE which show completion
EE separation/
date of training class(es).
termination date
Commendation Letters
Letters of commendation and/or other
EE separation/
congratulatory documents received by and/or
termination date
issued to EE.
Disciplinary Actions
Memorandums, letters, or other records of
EE separation/
proposed and/or implemented disciplinary
termination date
action(s).
Employee Medical and
Notes/medical release forms, etc., submitted
EE separation/
30 years
US OSHA 29 CFR
Personnel
Exposure Records
regarding employee's medical condition.
termination date
1910.20; CAL
Services
OSHA Title 8
Drug Screen Test
Pre -placement and drug screening authorization
EE separation/
30 years
US OSHA 29 CFR
Personnel
and acknowledgement form(s) and results of
termination date
1910.20
Services
drug screening.
4of9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Family and Medical Leave
Basic employee data (name, address, class title,
Date FML
3 years
Federal Family and
Personnel
(FML)
pay rate, hours worked per pay period; additions
requested/is granted
Medical Leave Act
Services
to or deductions from wages) .Dates (or hours)
to EE
of 1993 29
FML designated/ taken; FML notices given to
CFR 825.500 GC
employer by employee; documents from
12946
employer describing FML policies; records of
premium payments of employee benefits;
records of any disputed confidential files:
records/documents relating to medical
certifications.
Grievances (closed)
Files containing EE's, group of employees', or
EE separation/
5 years
29 CFR 1602.30-
Personnel
the Union's timely complaint as defined in the
termination date
.32 & WCLC
Services
MOU.
Section 3212
I.D. Form
Form completed by new employees providing
EE separation/
5 years
Personnel
identifying information used to process Santa
termination date
Services
Ana Police Dept. records check.
Job Application
Applications for employment and resumes (if
EE separation/
5 years
Personnel
any) for hired employees.
termination date
Services
Medical Leave of
Leave of Absence forms used in the
EE separation/
3 Years
29 CFR 825.500
Personnel
Absences—
documentation of medical leave (including
termination date
Services
pregnancy leave and Family and Medical
Leave).
Miscellaneous Documents
Documents not specifically mentioned but kept
EE separation/
If medical-
Medical related -
Personnel
in official personnel file.
termination date
related, 30 yrs;
US OSHA 29 CFR
Services
non -medical, 5
1910.20; non -
years
medical related - 29
CFR 1602.30-.32 &
WCLC, Section
3212
Notice of Separation
Form completed by employee and/or
EE separation/
5 years
29 CFR 1602.30-
Personnel
department indicating effective date of
termination date
.32 & WCLC,
Services
separation, last day on the job, reason for
Section 3212
separation, etc.
Oath of Office
Form completed and signed by employee
EE separation/
5 years
29 CFR 1602.30-
Personnel
affirming allegiance to the Constitution of the
termination date
.32 & WCLC,
Services
United States and the Constitution of the State
Section 3212
of California.
Outside Employment
Form submitted by employee for approval for
EE separation/
5 years
29 CFR 1602.30-
Personnel
employee to be engaged in outside
termination date
.32 & WCLC,
Services
employment.
Section 3212
5of9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIEST
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Performance Evaluations
Employee performance evaluation forms
EE separation/
5 years
29 CFR 1602.30-
Personnel
completed by supervisory personnel re
termination date
.32 & WCLC,
Services
employees' accomplishment of their assigned
Section 3212
duties and responsibilities, etc.
Pre -Employment Medical
Forms completed by employee and medical
EE separation/
30 Years
US OSHA 29
Personnel
clinic to assess physical capability of employee
termination date
CFR 1910.20
Services
prior to hiring.
Security Check Form
Form completed by Personnel Svcs to request
EE separation/
5 years
29 CFR 1602.30-
Personnel
Police Dept to conduct security check on
termination date
.32 & WCLC,
Services
employee prior to hiring.
Section 3212
Special Licenses
Special licenses issued to employees from
EE separation/
5 years
29 CFR 1602.30-
Personnel
DMV, accredited schools, etc., verifying
termination date
.32 & WCLC,
Services
employee meets certain job -related
Section 3212
requirements.
Tuition Reimbursement
Copies of applications for training and
EE separation/
5 years
29 CFR 1602.30-
Personnel
Request
educational assistance which show EE request,
termination date
.32 & WCLC,
Services
department head approval, and final disposition
Section 3212
of request.
Union Bank Donation Form
Form signed by employee authorizing leave
EE separation/
5 years
29 CFR 1602.30-
Personnel
hours be donated to the Union Business Leave
termination date
.32 & WCLC,
Services
Bank to be used by union leaders for Union
Section 3212
Business.
W-4 form
Employee's Withholding Allowance Certificate
EE separation/
Permanent
29 CFR 1602.30-
Personnel
completed by EE authorizing employer to
termination date
.32 & WCLC,
Services
withhold Federal income tax from employee's
Section 3212
pay and/or for indicating exemption.
PAYROLL
Employee Kardex File Cards
Reference for current and/or separated full/part-
EE separation/
Permanent
Department defined
Personnel
time employee information. Note: part-time
termination date
Services
Kardex file cards discontinued as of 7/1/11.
Salary Schedules
Basic Consolidated Classification/
Permanent
Permanent
Department defined
Personnel
Compensation Plans
Services
PERSONNEL BOARD'
Personnel Board Hearing
Employee personnel board hearing files.
EE separation/
5 years
29 CFR 1602.30-
Personnel
Files
termination date
.32 & WCLC
Services
Section 3212
RECRUITMENTS
Background Materials
Materials used in the preparation/
Date recruitment for
2 years
Department defined
Personnel
implementation of recruitments.
position is initiated.
Services
6of9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Bilingual Certification Forms
Forms certifying bilingual capabilities for
Current employees -
Employees: 5
Department defined
Personnel
employees receiving bilingual pay and for
EE separation/
years;
Services
applicants for recruitments which require
termination date;
applicants: 3
bilingual capability.
Applicants in
years.
recruitment - earlier
of eligible list
expiration date or
eligible list
abolishment date
Eligible List Cards
Active and inactive listings of person(s) eligible
Earlier of eligible list
15 Years
Department defined
Personnel
for referral to departments to fill vacancies.
expiration date or
Services
eligible list
abolishment date
Ethnicity Stubs
From employment applications submitted at
Earlier of date
3 years
29 CFR 1620.30-
Personnel
recruitment time, kept for outreach purposes.
eligible list
.32
Services
established or date
recruitment
cancelled.
Examination Answer Sheets
Examination answer sheets completed by
Earlier of date
3 years
29 CFR 1620.30-
Personnel
applicants during testing process and other
eligible list
.32
Services
testing materials.
established or date
recruitment
cancelled.
Examination Files
Recruitment examination file folders
Official Eligible Lists
Eligible lists signed by City Manager. Lists of
individuals placed on an eligible list card for
hiring purposes (copies only - original signed
eligible lists are with recruitment file folder
(according to classification title)).
Testing Materials
Contains historical data, used for testing
Date eligible list
3 years
Department defined
Personnel
candidates
established
Services
REIMBURSEMENT
Flexible Spending, Section
Official records of reimbursement for Flexible
Date Received
3 years
Department defined
Personnel
RECORDS
125 Participants
Spending, Section 125 participants
Services
REPORTS
Employee Changes,
Official monthly reports of medical/dental/life/
End of each month
3 years
Department defined
Personnel
Additions, Deletions In
LTD insurance changes, additions, deletions for
Services
Medical Insurance
each employee
RISK MANAGEMENT/
Accident/Damage to City
Police reports and departmental accident
Report completion
5 Years
CAL OSHA
Personnel
LOSS CONTROL
Property Report
reports
date
Services
Actuarial Studies and Audits
Actuarial Audit
Study Date
2 Years
Department defined
Personnel
Services
7of9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
Certificates of Participation
Similar to revenue bonds which are used to
Bond Issue Date
Life of Bond + 2
Department defined
Personnel
finance things. Our interest is bonds where we
Years
Services
are required to show proof of insurance, and the
BICEP bonds which funded claims reserves.
Insurance Policies
City's liability coverage
Permanent
Permanent
Department defined
Personnel
Services
The City's property coverage
Expiration Date
2 Years
Department defined
Personnel
Services
Workers Compensation Insurance Policies
Issue Date
25 Years
Department defined
Personnel
Services
Liability Claims Against the
Non -litigated tort claims filed against the City for
Final resolution date
2 Years; minors
Department defined
Personnel
City
damages to persons or personal property.
18th birthday
Services
plus one year
Special Events Insurance
A "Special Events" coverage, insures third
Issue Date
5 years
Department defined
Personnel
parties for use of City property providing liability
Services
coverage for the City.
State of California Annual
State report of workers' compensation liabilities.
State Filing Date
2 Years
Department defined
Personnel
Report
Services
DMV Drivers' Records
DMV Pull -Notice Program
Date of employment
Until Superseded
GC 34090 GC 6254
Personnel
Reports
(review every 12
(c) VC 1808.1(c)
Services
months)
Inspection Reports
Loss Control inspection reports which show
Date inspection
5 Years
CAL OSHA
Personnel
date, time, and location of safety inspections;
conducted
Services
also identifies hazards.
OSHA
OSHA Log, Supplementary Record & Annual
Date of incident
5 years
LC 6410; 8 CCR
Personnel
Summary (Federal & State Cal/OSHA)
14300.33
Services
29 CFR 1904.2 -
1904.6
Accident/illness Reports
For Employee Medical Records & Employee
Date of incident
5 years
CAL OSHA
Personnel
Exposure Records regarding exposure to toxic
Services
substances or harmful physical agents.
Includes Safety Data Sheets (SIDS). Does NOT
include: health insurance claims; first aid
records of one-time treatments for minor
injuries; records of employees who worked less
than one (1) year if records are given to
employee upon termination.
TRAINING
AB 1825 Sexual
Sign in sheets and associated training materials
Class Date
5 years
Department defined
Personnel
Harassment Prevention
Services
Attendance Sign -In Sheets
Management and Leadership Training Programs
Sign in date
2 years
Department defined
Personnel
forms
Services
8of9
City of Santa Ana Records Retention Schedule
PERSONNEL SERVICES AGENCY
Exhibit H
RECORD
RETENTION
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
REMARKS
CUSTODIAN
START DATE
PERIOD
Class Training Records
Training records of all classes
Class Date
2 years
Department defined
Personnel
Services
Employee Applications
Applications for the Public Business
Application Date
2 years
Department defined
Personnel
Management classes and the Advanced
Services
Leadership Development classes.
WORKERS'
First Aid/Report Only
Notices that an injury happened - no medical
Final action date
5 years
Labor Code 5405
Personnel
COMPENSATION
Incident
records.
and Title 8
Services
California Code of
Regulations
#14311
Indemnity Claims Files
Open/active and closed/inactive temporary and
Final action date on
5 years except
Title 8 California
Personnel
permanent disability claims files involving
claim
lifetime medical
Code of
Services
exposure to lost time. Permanent disability to
award cases
Regulations
be compensated. Contains medical files and
destroyed upon
#15400.2
payment history.
death of
individual.
"Medical Only" Claims Files
Open/active and closed/inactive claims files.
Final action date on
5 years
Title 8 California
Personnel
Contain claim forms, billings, medical records,
claim
Code of
Services
check copies, etc. EE injury - no loss of work
Regulations
greater than 3 days.
#15400.2
PERS (Sworn) Industrial
Claims filed by EE's (sworn) for PERS disability
Application Date
5 years
Government Code
Personnel
Disability Retirement Files
retirement
Section #21101.
Services
(Official)
* 29 CFR 1602.30-.32 If charge of discrimination filed, personnel records relevant to the charge or action shall be kept until final disposition of the charge or action.
9 of 9
City of Santa Ana Records Retention Schedule
PLANNING AND BUILDING AGENCY
Exhibit I
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
RETENTION
I REMARKS
CUSTODIAN
START DATE
PERIOD
ABANDONMENT
Alley/Street
City agrees to relinquish all rights and fee title to
Approval Date
Permanent
GC34090d
PBA
underlying property
ADDRESS CHANGE
Street Name
Any change to description of the street name
Approval Date
Permanent
GC34090a
PBA
Street Number
Change in numerical identification due to
Approval Date
Permanent
GC34090a
PBA
expansion or decrease in numbers
AGREEMENTS
Contract between City and developer in which
CCP337,337.1(a),3
PBA & CLERK OF
Development
the City agrees to guarantee specific entitlement
Expiration Date
Permanent
37.15; GC3490; 4 8
THE COUNCIL
in exchange for conditions or approval
CFR 4.703
APPLICATIONS
Alternate Methods &
Concepts & materials not covered by current
Approval Date
Permanent
PBA
Materials of Construction
building code
Appealing decision or requirement of Planning
Appeals
Commission, Planning Manager or Zoning
Approval Date
Permanent
PBA
Administrator made by interested party,
individual or group
Appeals to Code
Appealing to Uniform Code Appeals Board to
Approval Date
Permanent
PBA
resolve code disputes
Appeals Board
To appeal a decision or interpretation of the
Approval Date
Permanent
PBA
Building Official to Planning Commission
Conditional Use Permit
Specific use of land or buildings in a land use
Approval Date
Permanent
CG34909a; H&S
PBA
district wherein such use may be so conditionally
19850; 4003; 4004
Development Review
Members of a committee representing all city
Approval Date
3 Years
PBA
agencies coordinate site plan review comments
Documentation of
Exceptions from the requirement of the Title 24
Approval Date
Permanent
PBA
Unreasonable Hardship
Energy Standards
Request for additional time to implement
Extension
conditions of approval for discretionary
Approval Date
3 Years
PBA
applications
Permit Extension
Request for additional time to complete repairs
Permit Issuance
2 Years
PBA
and/or corrections
Floodplain Variance
Request showing sufficient cause to deviate
Permit Issuance
Permanent
PBA
from the Floodplain Management regulations
General Plan Amendment
Alteration or redesignation of land use or policy
Adopted Date
Until Superseded
Agency Policy
PBA
contained in the General Plan
Legal Nonconforming
Legalizing unpermitted additions or conversions
Ito
Approval Date
Life of structure
PBA
structures
1 of 6
City of Santa Ana Records Retention Schedule
PLANNING AND BUILDING AGENCY
Exhibit 1
RECORD
RETENTION
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
REMARKS
CUSTODIAN
START DATE
PERIOD
Lot Line Adjustments
Minor modification of existing lot lines
Recorded Date
Permanent
PBA
A waiver of modification of those zoning
Minor Exceptions
provisions which pertain to minimum
Approval Date
Permanent
PBA
requirements
Pushcart License
Permit to operate a pushcart
Permit Issuance
Duration of
operator's use
PBA
Residential Relocation
Any relocation of a residential structure from one
Permit Issuance
Permanent
PBA
parcel to another
Seismic Safety Certificate of
Compliance with Santa Ana Municipal Code
Approval Date
Permanent
CG34909a
PBA
Compliance
Seismic Safety Ordinance
Mechanism to insure the coordination of signage
Until superseded or
Sign Program
within a development site
building is
2 Years
PBA
demolished
Planning Commission Site
Project plans requiring approval of Planning
Approval Date
Permanent
CG34909a; H&S
PBA
Plan Review
Commission typical of Sd zone
19850; 4003; 4004
Specific Development
Used to create project or area specific standards
Adopted Date
Permanent
CG34909a; H&S
PBA
of property through an amendment application
19850; 4003; 4004
Specific Plan
Used to create special zoning districts through
Adopted Date
Permanent
CG34909a; H&S
PBA
an amendment application
19850; 4003; 4004
Subdivision Parcel Map (or
The consolidation or division of four or fewer
Recorded Date
Permanent
GC 34090
PBA
Parcel Map)
parcels
Tract Map
The division of five or more parcels
Recorded Date
Permanent
CG34909d
PBA
Variance
Request for variation from Chapter 41, Santa
Approval Date
Permanent
CG34909a; H&S
PBA
Ana Municipal Code
19850; 4003; 4004
Amendment Application
Amendment, supplement or change of district
Adopted Date
Permanent
CG34909a; H&S
PBA
boundaries
19850; 4003; 4004
Zoning Ordinance
A change to the zoning ordinance
Adopted Date
Permanent
CG34909a; H&S
PBA
Amendment
19850; 4003; 4004
CERTIFICATES
Compliance
Ensures compliance with current code
Approval Date
Life of Structure
Agency Policy
PBA
2of6
City of Santa Ana Records Retention Schedule
PLANNING AND BUILDING AGENCY
Exhibit I
RECORD
RETENTION
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
REMARKS
CUSTODIAN
START DATE
PERIOD
Land Use - Temporary
A type of permit used for minor uses such as
Approval Date
Current +2years
CG34909a; H&S
PBA
temporary activities
19850; 4003; 4004
Land Use - Permanent
Public documentation of legal exterior pay
Approval Date
Permanent
CG34909a; H&S
PBA
telephones
19850; 4003; 4004
Satellite Dishes
Approval Date
Life of Structure
PBA
Temporary Certificate of
Allows occupancy before final permit is issued
Permit Issuance
Permanent
GC34090
PBA
Occupancy
CALIFORNIA
Brief statement that a project is exempt from
GC34090a +
ENVIRONMENTAL
Categorical Exemption
CEQA
Approval Date
Permanent
CEQA Guidelines
PBA
QUALITY ACT
Environmental Impact
Document disclosing impacts of project
GC34090a +
Report
development; may include detailed technical
Approval Date
Permanent
CEQA Guidelines
PBA
studies
Mitigation Monitoring
Prepared for all projects in which mitigation
GC34090a +
Program
measures have been incorporated in the
Approval Date
Permanent
CEQA Guidelines
PBA
environmental document
Includes Environmental checklist to discuss
GC34090a +
Negative Declaration
areas of potential project impact; Mitigation
Approval Date
Permanent
CEQA Guidelines
PBA
measures may be included
Informs agencies and general public that a lead
GC34090a +
Notice of Completion
agency has prepared a Draft EIR for public
Approval Date
Permanent
CEQA Guidelines
PBA
review
Prepared by lead agency after an EIR has been
Notice of Determination
certified or Negative Declaration has been
Approval Date
Permanent
GC34090a +
PBA
approved; begins a 30-day statue of limitations
CEQA Guidelines
to challenge project
Responses to Comments
After lead agency receives public comments on
GC34090a +
(Final EIR)
the Draft EIR, each comment raised is given
Approval Date
Permanent
CEQA Guidelines
PBA
response
When an EIR is prepared for a project that has
Statement of Overriding
unavoidable adverse impacts, this document is
GC34090a +
Considerations
prepared to provide decision makers with an
Approval Date
Permanent
CEQA Guidelines
PBA
explanation of why the project benefits outweigh
any adverse environmental effects
Facts and Findings
Findings are made for each significant effect
Approval Date
I
Permanent
I
GC34090a +
I
PBA
identified in the EIR
CEQA Guidelines
3of6
City of Santa Ana Records Retention Schedule
PLANNING AND BUILDING AGENCY Exhibit I
RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD RETENTION REMARKS I CUSTODIAN
START DATE PERIOD 11
CITATIONS AND CASE
Min. 2-years;
FILES
Notice of Violations:
For vehicle only in front yard parking vehicle for
Issuance Date
permanent if records
GC 34090
PBA
Infractions
sale
affect title or lien
Notice to appear in court on Santa Ana
Min. 2-years;
Notice -To Appear
Municipal Code violations, Code violations,
Closure Date
permanent if records
GC 34090
PBA
inspection records
affect title or lien
COMPLAINT
Min. 2-years;
Criminal
Referral to City Attorney for action
Issuance Date
permanent if records
GC 34090
PBA
affect title or lien
COVENANTS &
10-years after
AGREEMENTS
Access & Parking
Common access/parking between two or more
Approval Date
termination/
CCP 337.15
PBA
properties
completion
Covenants & Termination of
10-years after
Covenants
Legal description of parcel land
Approval Date
termination/
CCP 337.15
PBA
completion
DETERMINATION OF
NONCONFORMING
By Property
A legal determination of a use or building on a
Approval Date
Permanent
PBA
STATUS
site which does not conform to current standards
FINDING OF FACT
Written finding which shall specify all facts relied
Planning Commission/
upon by City Council, Planning Commission, or
Approval Date
Permanent
GC 34090(e)
PBA
Zoning Administrator
Zoning Administrator in rendering its decision
and in attaching conditions and safeguards
INSPECTION
Business License Certificate
of Occupancy
Inspection for Finance &Planning Divisions
Issuance Date
Permanent
GC 34090
PBA
Notice of Violation
Corrections and/or violations to be resolved prior
Issuance Date
2 Years
GC 34090
PBA
to final approval
Reinspection
For additional inspections above the normal
Issuance Date
2 Years
GC 34090
PBA
requirement
Report: fire Damage
Examination of the extent of the damage
Issuance Date
2 Years
GC 34090
PBA
INVESTIGATION NOTICE
Special Investigation and or
Request by Fire Department
Issuance Date
2 Years
GC 34090
PBA
complaint
Notice & order of
Repairs or demolitions to buildings or structures
Closure Date
Until Settled + 2
GC 34090
PBA
Substandard
Years
Violations
Noncompliance with City codes
Closure Date
Until Settled + 2
GC 34090
PBA
Years
4 of 6
City of Santa Ana Records Retention Schedule
PLANNING AND BUILDING AGENCY
Exhibit I
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
RETENTION
REMARKS
CUSTODIAN
START DATE
PERIOD
Special Investigation
Pre -inspection for code compliance
Inspection Date
2-years
Agency Policy
PBA
PERMITS
Building, Electrical, Grading
Mechanical, Plumbing &
To allow inspections for code compliance
Issuance Date
Permanent
Agency Policy
PBA
Solar
Home occupancy
Business use which does not alter the residence
Approval Date
Current +2years
GC 34090
PBA
PERMITS
System to control size, location, type and
Off Premise Sign
number of off premise signs located on private
Approval Date
2 years
GC 34090
PBA
property
RECEIPTS
Until Audited + 4
years; (Sec. of State
Application
Fees for various divisions' permits, applications,
Validation Date
Guidelines —
26 CFR 31.6001-
PBA
etc.
recommended
1(e)(2)
retention: until
audited + 5 years)
REPORT
Asbestos
Verification of report's accuracy
Issuance Date
Permanent
GC 34090
PBA
Federal/State
Statistics to various government agencies
Issuance Date
Permanent
PBA
Soils Report
Permanent
GC 34090
PBA
PLANS
Engineered plans pertaining to structures
Approval Date
Permanent
Agency Policy
PBA
VITAL RECORDS
RFCA's, applications and photographs of
Register -Santa Ana Historic
perperty designated by Council action as historic
Approval Date
Permanent
GC34090d
PBA
Property
property as enacted by resolution; filed by
property address and name.
Development, Photographs
Aerial Photographs
Approval Date
Current +2-years
GC 30490
PBA
Development Projects not
Building, engineering, planning
Approval Date
2 years
GC 34090
PBA
completed or denied
Development Reports
Acitivty, periodic
Issuance Date
2 years
GC 34090
PBA
5of6
City of Santa Ana Records Retention Schedule
PLANNING AND BUILDING AGENCY
Exhibit I
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION RECORD
START DATE
RETENTION
PERIOD
REMARKS CUSTODIAN
Environmental Quality,
Correpondence, consultants, issues,
Approval Date
Completion +2 years
GC 34090 PBA
Environmental Review
conservation
General Plan Document
Image on completion. 1 paper copy in library Approval Date
Until Completed
GC 34090 PBA
until superseded
1
Materials board, renderings,
planning/Engineering Approval Date
2 years
GC 34090 1 PBA
boards and photographs
Building Signs (Temporary)
Home Occupation, off premise signs Approval Date
2 years
GC 34090 ! PBA
Citizen Feedback
General Correspondence Received Date
2 years
--+-
GC 34090 PBA
Code Enforcement, Liens
2 years; permanent if
and releases
Utilities, abatement, licenses Inspection Date
document is
GC 34090 PBA
recorded
Code Enforcement Reports,
Code Enforcement Statistics; may contain
Min. 2 years;
i
Federal and State
records affecting title to real property or liens ; Inspection Date
i
$ permanent if records
GC 34090 PBA
thereon
affect title or lien
General correspondence, including letter and e-
Correspondence
mail; various files, not related to specific cases Received Date
2 years
GC 34090 PBA
and not otherwise specifically covered by the
retention schedule
Land Use and Development
Approval Date
Until superseded
GC 34090 PBA
Code
6of6
City of Santa Ana Records Retention Schedule
POLICE DEPARTMENT
Exhibit J
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
ABC FILES
Name of Premises
History of ABC locations. Applications for ABC
Date of Application
Permanent
GC 34090
Special
license to sell and/or serve alcoholic beverages
Investigations
ADMINISTRATIVE
Employee Accidents
Investigations of accidents involving on -duty
Date Investigation
5 Years
GC 34090
Internal Affairs
INVESTIGATIONS (Internal
Departmental personnel
Completed
(IA)
Affairs Incidents by Type)
In -Custody Death Reports
Investigations of in -custody deaths
Date Investigation
5 Years
GC 34090
Internal Affairs
Completed
(IA)
In -Custody Injury/Use of
Investigations of in -custody injuries and use of
Date Investigation
5 Years
GC 34090
Internal Affairs
Force
force
Completed
(IA)
K-9 Reports
Investigations of K-9 bite incidents
Date Investigation
5 Years
GC 34090
Internal Affairs
Completed
IA
Officer Involved Shootings
Investigations of officer involved shootings
Date Investigation
5 Years
GC 34090
Internal Affairs
Complete
IA
APPLICANT FILES
By Name
Record of applicants not selected
Date of Creation
3 Years
GC 34090
Personnel Division
APPLICATION PERMITS
Food Vendors Ice Cream
Application forms, letters of approval or denial
Date of Acceptance
2 Years
GC 34090
Traffic Division
Vendors
and miscellaneous correspondence
or Denial
Push Cart Vendors
Application forms, letters of approval or denial
Date of Acceptance
2 Years
GC 34090
Traffic Division
and miscellaneous correspondence
or Denial
Taxi Cab
Application forms, letters of approval or denial
Date of Acceptance
2 Years
GC 34090
Traffic Division
and miscellaneous correspondence
or Denial
Tow Truck
Application forms, letters of approval or denial
Date of Acceptance
2 Years
GC 34090
Traffic Division
and miscellaneous correspondence
or Denial
CITATIONS
By Citation Number
Parking Citations Traffic Citations
Date of Issuance
2 Years
GC 34090
Traffic Division
CITIZEN COMPLAINTS
By Employee Name
Investigations of alleged employee misconduct
Date Complaint
5 Years
PC 832.5; 801.5;
Internal Affairs
Completed
803c EVC1045, GC
(IA)
12946 GC 34090
DISPOSITIONS (SEARCH
By Name
Search and seizure documents received from
Date Probation Ends
2 Years
GC 34090
Records Division
& SEIZURES)
court without case numbers
EMPLOYEE RECORDS
Background File
Record of background investigation
Termination of
5 Years
Personnel Division
Employment
Medical File
Medical information for each employee
Termination of
30 Years
US OSHA 29 CFR
Personnel Division
Employment
191020
Personnel File
Employment records, i.e. evaluations, pay
Termination of
2 Years
GC 34090
Personnel Division
changes, commendations, etc.
Employment
EVIDENCE
Latents by Case Number
Latent prints obtained from crime scenes
Date Obtained
5 Years
GC 34090
ID Lab
Log Books by Case Number
Log books for aeginning and final dispositions of
Permanent
Permanent
GC 34090
Evidence Section
all booked evidence items
1 of 4
City of Santa Ana Records Retention Schedule
POLICE DEPARTMENT
Exhibit J
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
EVIDENCE
Negatives by Case Number
Negatives of photos taken from crime scenes
Date Obtained
5 Years
GC 34090
ID Lab
(Cont'd.)
FIELD INTERVIEW CARDS
By Name
Documentation of a field contact by an officer
Date Written
2 Years
GC 34090
Records Division
FINANCE
Petty Cash Receipts -by
Expense vouchers and reimbursement requests
Date of
2 Years
GC 34090
Special
Fiscal Year
Reimbursement
Investigations
FINANCIAL DISCLOSURE
By Name
Confidential financial disclosure form completed
Separation date from
2 Years
GC 34090
FORM
by employees working designated assignments
designated
assi nment
GRAFFITI TASK FORCE
Correspondence, records of interdepartmental
Date of incident
3 Years
GC 34090
District
actions concerning Task Force issues
Investigations
JAIL ADMINISTRATIVE
Inmate Grievances
Inmate complaints and dispositions
Date of Completion
10 Years
Agendy Policy
Jail Facility
REPORTS
JAIL ADMINISTRATIVE
Inspections
Results of other governmental agencies
Date of Inspection
2 Years
GC 34090
Jail Facility
REPORTS
inspections
Inmate Mail Log
Inmate mail summary
Date of Log
2 Years
GC 34090
Jail Facility
Intake Statistics
Daily summary of intakes
Date of Summary
2 Years
GC 34090
Jail Facility
Population Roster
Daily population roster
Date of Log
2 Years
GC 34090
Jail Facility
JAIL INMATE RECORDS
By Inmate Name
Booking, release and custody files
Date of Arrest
10 Years
Agency Policy
Jail Facility
JAIL OPERATIONS
Activity Summary
Synopsis of population demography
Date of Log
2 Years
GC 34090
Jail Facility
REPORTS
Incident Report
Detailed occurrence documentation
Date of Report
2 Years
GC 34090
Jail Facility
Shift Activity Log
Significant events, welfare checks, etc.
Date of Log
2 Years
GC 34090
Jail Facility
MINUTES
Uniform Committee
Meeting minutes
Date of Meeting
2 Years
GC 34090
Field Operations
PERSONNEL
By Name
City employment requests for record checks of
Date of Request
2 Years
GC 34090
Records Division
new employees and supporting documents
By Name
Explorer Post applications and performance
Date of Termination
2 Years
GC 34090
Training Division
records of explorers
PETITIONS
Petition and Orders under
Court Orders requiring the sealing of records
Date of Order
2 Years
GC 34090
Records Division
PC 1034 (no case numbers)
POLICE REPORTS
Crime Reports Traffic
Incidents wherein a case number is issued
Date of Report
Permanent
Records Division
Reports Information
Reports
2of4
City of Santa Ana Records Retention Schedule
POLICE DEPARTMENT
Exhibit J
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
POLICE REPORTS
Homicide Reports
Incidents wherein a murder is committed
Date of Report
Permanent
PC 799
Records Division
(Cont'd.)
Marijuana Report under 1
Incidents involving less than 1 oz. Of marijuana
Date Occurred
2 Years
H&S Code 113615
Records Division
oz.
POLYGRAPH FILES
By Calendar Year
Pre -employment polygraph examinations
Date of Creation
3 Years
GC 34090
Personnel Division
COP PROJECTS
By Project
Community Oriented Policing (COP) problem
Date Project
3 Years
GC 34090
Field Operations
solving intervention reports
Completed
PSYCHOLOGICAL FILES
By Calendar Year
Pre -employment psychological examinations
Date of Creation
5 Years
GC 34090
Personnel Division
results
ROLL CALL BRIEFING
Information disseminated at Roll Call Briefings
Date of Briefing
2 Years
GC 34090
Field Operations
FILES
'
SEXUAL HARASSMENT
By Calendar Year
Investigations of sexual harassment complaints
Investigation
5 Years
GC 34090
Personnel Division
INVESTIGATION
Completion Date
STATISTICAL REPORTS
UCR (Uniform Crime
State reports of statistics on crimes and
Date of Report
10 Years
GC 34090
Records Division
Report)
supporting documents
Crime Tally Sheets
Forms use to collect crime data
Date of Crime
2 Years
GC 34090
Records Division
SUPERVISOR LOGS
By Supervisor Name
Daily logs written by supervisors documenting
Date Written
2 Years
GC 34090
Individual
shift activities.
supervisor
TRAINING RECORDS
Departmental Orders
Self-explanatory
Permanent
Permanent
GC 34090
Training Division
Employee Training Records
Schools and classes attended by police
Termination Date
5 Years
GC 34090
Training Division
by Employee Name
employees
Jail Training Records - By
Jail employee training records
Termination Date
5 Years
GC 34090
Jail Facility
Employee Name
K-9 Training Records
Training records of K-9 officers
Termination Date
5 Years
GC 34090
K-9 Unit
Law Summary
Summaries issued by City Attorney and Legal
Date of Issue
5 Years
GC 34090
Training Division
Advisor
TRAINING RECORDS
Range Records
Employees' scores and documentation
Date Created
5 Years
GC 34090
Training Division
STC Reports (Standards
Mandated quarterly and annual report submitted
Date of Report
2 Years
GC 34090
Jail Facility
and Training for Corrections)
to STC
Training Bulletins
Self-explanatory
Permanent
Permanent
GC 34090
Training Division
TRESPASS FORMS
Permission form signed by property owner
Date of initial Report
2 Years
GC 34090
Field Operations
3of4
City of Santa Ana Records Retention Schedule
POLICE DEPARTMENT
Exhibit J
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
VEHICLE LOGS
PPI Logs (Records)
Record of private party impounds
Date of Log
2 Years
GC 34090
Records Division
Impound Logs
Record of vehicle impounds
Date of Log
2 Years
GC 34090
Field Operations
WEEKEND LOGS
Record of weekend activities
Date of Log
2 Years
GC 34090
Computer
WARRANT
Served warrant working papers with no case
Date of service
2 Years
GC 34090
Records Division
INVESTIGATIVE
number
WORKSHEETS
4 of 4
City of Santa Ana Records Retention Schedule
PUBLIC WORKS AGENCY
Exhibit K
RECORD CATEGORY
RECORD SERIES
RECORD DESCRIPTION
RECORD
START DATE
RETENTION
PERIOD
REMARKS
CUSTODIAN
ADMINISTRATIVE
Permits
Bus Shelters, News racks
Approval Date
Expiration Date
GC 34090
Enterprise
SERVICES
of contract + 2
Contracts
Years
Administrator
SRRE & Implementation
Recycling Plan & Implementation Records
Adoption date
Permanent
GC 34090
Central
(Source Reduction and
Files/Admin
Recycling Element
Street Light Authorizations
Edison Notice of Lamp Change
Authorization Date
Permanent
Enterprise
Contracts
Administrator
Recycling
Used oil grants, HHW grants
Grant ending date
Permanent
GC 34090
Central
Files/Admin
City Map (Official)
Amended every three years
Date Amended
Permanent
GC 34090
GIs
CONSTRUCTION
Disadvantaged Business
Federal Projects
End of Current Fiscal
5 years
Construction
ENGINEERING
Enterprise Program
Year
Engineering
Post Construction Critiques
Project/Contractor Reviews
Construction
10 years
Central Files
Completion Date
Project Files
Construction project related files
Construction
10 years
Central Files
Completion Date
Bench Marks
Vertical Survey Data
Survey Date
Permanent
Central Files
Centerline Ties
Horizontal Survey Data
Survey Date
Permanent
Central Files
Project Data
Project Survey Data
Survey Date
Permanent
Construction
Engineering
Structures
Demolitions
Completion Date
Permanent
Central Files
DESIGN ENGINEERING
Soil Reports
Detailed soil analysis/construction
Report Date
Permanent
Design
recommendations
Engineering
Material Specifications
Specifications of materials used in construction
Date Approved
Permanent
Design
projects
Engineering
Contractor's Bid List
Contractors bidding on City projects
Until Superseded
1 year
Central Files
Acquisition File
Agent's diary, offer letter and other
Close of escrow
10 years
GC 34090
Design
correspondence, escrow documents
Engineering
Relocation File
Informational documents, claim forms,
Receipt of final
10 years
GC 34090
Design
verification of payment, etc.
relocation payment
Engineering
Appraisals
Assesses value of property
Close of escrow
2 years
GC 34090
Design
Engineering
1 of 5
City of Santa Ana Records Retention Schedule
PUBLIC WORKS AGENCY
Exhibit K
DESIGN ENGINEERING
Residential Real Estate
Includes deeds, parcel maps, tract maps, right
Creation Date
Permanent
GC 34090
Design
(Cont'd.)
Records
of way maps.
Engineering
Right-of-way
Property Acquisition
Completion Date
10 years
GC 34090
Design
Engineering
DEVELOPMENT
Industrial Discharge Permits
National Pollution Elimination System
Expiration Date
Permanent
GC 34090
Central Files
ENGINEERING
Street Work and Utility
Encroachment permits
Completion Date
5 years
GC 34090
Development
Permits
Engineering
Transportation/Wide Load
Oversized vehicles
Completion Date
3 years
GC 34090
Development
Permits
Engineering
Colored AP Maps on
Drainage Fees Collected
Date issued
Permanent
GC34090
Development
Drainage Assessment Fee
Engineering
Studies
Runoff/drainage
Date Approved
5 years
GC 34090
Development
Engineering
NPDES
Correspondence and related documents
Date issued
5 years
GC 34090
Central Files
WQMP
Water Quality Management Plan
Date Approved
Until Superseded
GC 34090
Central Files
Industrial Commercial
Records required by permit
Inspection Date
5 years
GC 34090
Development
Inspection Records
Engineering
City Program Effectiveness
Annual NPDES Report
Submittal Date
Permanent
GC 34090
Development
Assessment
Engineering
SWPPP
Storm Water Pollution Prevention Plan
Certificate of
1 year from
GC 34090
Development
Occupancy
Certificate of
Engineering
Occupancy
MCT
Miscellaneous Cash Transaction - Contains
Date Issued
3 years after
GC 34090
Development
Specific Notes
issuance
Engineering
Certificate of Insurance
Proof of Liability insurance and endorsement
Date Received
Project
GC 34090
Development
Completion + 10
Engineering
Years
Development Projects
Public Works requirements of approval for
Completion of
5 Years
Development
Folder
private development projects and site plans.
Project or Expiration
Engineering
Development Conditions
Public Works conditions of approval for private
Date issued
Permanent
Development
development projects
Engineering
Special Studies
rointpower authorities, etc.
Date Completed
Permanent
Development
Engineering
DEVELOPMENT
Certificates of Compliance
City Engineer approval of existing subdivision
Date Recorded
Permanent
Central Files
ENGINEERING (Con't'd.)
2of5
City of Santa Ana Records Retention Schedule
PUBLIC WORKS AGENCY
Exhibit K
Transportation
Alignment and environmental studies
Project Date
Permanent
Development
Engineering
Reports
Measure M, Congestion Management Plan,
Report Date
10 years
Development
Arterial Highway Program
Engineering
Over the Counter
Public Works requirements of approval for Over
Final Sign -Off of
2 years
Development
the Counter Projects; site plans
Permit
Engineering
Correspondence Regarding
Conditions of Approval for Private Development
Date
Permanent
Development
Conditions of Approval
Projects
Correspondence is
Engineering
Created and Signed
DRAWINGS
Plans/Drawings Including
Drawings
Date Signed
Permanent
Central Files
Channelization, signal and
Interconnect Plans, City -
owned buildings, structures,
wells, reservoirs, widenings,
overpasses, traffic
management studies,
counts, phasing, city yard
construction drawings, civic
center facilities, park
structures, streets, alleys,
medians, curbs and gutters,
sidewalks, transportation
center, sewer and water
mains, booster stations, lift
stations, pump stations,
MWD connections
Traffic Control
Traffic control plans
Date Signed
Permanent
Central Files
Plans/Drawings
Bike Path
Bike lane, bike trail
Completion Date
Permanent
Central Files
Parks
Improvements
Completion Date
Permanent
Central Files
MAINTENANCE
Driver Equipment
Motor Carrier Safety Requirements
Date issued
10 years
Personnel
Certification
Field Work Records
Supervisor's Crew Work Records
Date of Work
2 years
City Yard
Graffiti Removal
Locations/sq.ft. of Graffiti removed
Date of Work
2 years
City Yard
MAINTENANCE
Service Request
Request for Maintenance Services
Request Date
2 years
City Yard
(Cont'd.)
Street Work Reports
Monthly Street Work Summary
Report Date
2 years
City Yard
3of5
City of Santa Ana Records Retention Schedule
PUBLIC WORKS AGENCY
Exhibit K
Weed Abatement Violations
Notices issued and Action taken
Notice Date
Completed + 5
City Yard
ears
Weed Abatement
Weed Removal costs charged to tax bills
Council Meeting
Completed + 5
City Yard
Assessments
Date
years
Maintenance
Street Maintenance, slurry seal, resurface
Completion Date
5 years
City Yard
Weed, rubbish, graffiti
Completion Date
5 years
City Yard
Trees
Planting, Removal
Completion Date
3 years
City Yard
Trimming
Completion Date
5 years
City Yard
TRAFFIC
Traffic Signals
Traffic Control Computer, Maintenance
Completion Date
Until Superseded
Central Files
Accident Data/Collision
Location / accident / type / collision diagrams
Diagram/Collision
10 years
Traffic
Diagrams
Date
Engineering
Average Daily
Count Data
Collection Date
10 years
Traffic
Traffic/Turning Counts
Engineering
Dept. Traffic Orders
Various parking and traffic controls
Install date
Permanent
Traffic
Engineering
Permit Parking
Applications, etc.
Expiration Date
1 year
GC 34090
Traffic
Engineering
School Crossing Study
Study to justify Crossing Guard
Completion Date
10 years
Traffic
Engineering
Signal Cabinet Prints
Signal Wiring diagram
Install date
Until Superseded
Central Files
Signal/LT Phase Warrant
Studies to justify left turn installation
Install date
10 years
Traffic
Engineering
Signal Maintenance
Operation Maintenance (Claims/Historical)
Maintenance Date
5 years
GC 34090
Traffic
Engineering
Signal Timing
Operation Timing (Claims/Historical)
Maintenance Date
5 years
GC 34090
Traffic
Engineering
Speed Limit Study
Restudied every 5 years
Approval Date
10 years
GC 34090
Traffic
Engineering
Traffic control Devices
Installation and Maintenance Data
Work Date
Life of Structure
GC 34090
Traffic
Inventory
+ 5 Years
Engineering
TRAFFIC
Traffic/Parking Studies
Neighborhoods, schools, parks, special
Study Date
10 years
Traffic
(Cont'd.)
Engineering
Requests for Service
Citizen -requests, studies
Request Date
10 years
Traffic
Engineering
4 of 5
City of Santa Ana Records Retention Schedule
PUBLIC WORKS AGENCY
Exhibit K
Backflow Inventory
Location, size, type of device
Perpetual
Permanent
City Yard
WATER
Customer Inquiries
Detailed description of inquiries
Inquiry Date
2 years
City Yard
Field Work Records
Water/sewer install/repair locations
Install/repair date
2 years
GC 34090
City Yard
Fire Service Traps
Fire service locations
Install date
Permanent
City Yard
Fire Hydrant Permits
Water for Construction Site
Completion Date
Permanent
City Yard
Fire Hydrant Taps
Types, sizes and locations
Install Date
Permanent
City Yard
Gate Valves
Gate Valve Locations
Install Date
Permanent
GC 34090
City Yard
Meter inventory
Type, sizes and locations
Install Date
Permanent
City Yard
Meter Exchange Inventory
Record of work at each address
Exchange Date
2 years
City Yard
Sewer Lateral Inventory
Location of each sewer lateral
Install Date
Permanent
40 CFR 141.33
City Yard
Water Line Inventory
Location of all water lines
Install date
Permanent
City Yard
Water Pressure Data
Weekly/Monthly Pressure Data
Chart Date
Permanent
City Yard
Water Production Reports
Monthly water production reports
Report Date
Permanent
City Yard
Water Service Taps
Location of all service taps, active/inactive
Tap Date
Permanent
City Yard
Underground Service Alert
Locating tickets showing underground structures
for excavation site
Ticket Date
2 years
GC 34090
City Yard
5of5
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