RES-9499 Adopting Records Retention Policy and Retention ScheduleRESOLUTION NO. 9499
A
RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF ORANGE ADOPTING A RECORDS RETENTION
POLICY AND RECORDS RETENTION SCHEDULE.
WHEREAS,
the City Clerk is responsible for the administration and management of
City records and public records and their retention as determined by their legal, fiscal.administrative
and archival value; and WHEREAS,
Sections 34090 and 34090.5 of the Government Code of the State of California
provide for the disposition of City records and public records; and WHEREAS,
Section 34090.7 of the Government Code of the State of California provides
for the destruction of duplicate City records and public records that are no longer
needed for reference, and in a manner prescribed by the legislative body of the City;
and WHEREAS,
the City Clerk has developed a Records Retention Policy for the purpose
of aiding in the administration and management of City records and public records,
including procedures for reviewing and approving requests for records destruction;
and WHEREAS,
establishing a Records Retention Policy, under the supervision and administration
of the City Clerk. will ensure that legal requirements are met, will effect cost
savings, provide for efficient records retrieval, and protect the City's vital records;and
WHEREAS,
the City Council desires to adopt a Records Retention Policy and a Records
Retention Schedule that will facilitate the orderly and efficient retention and destruction
of City records and public records; and WHEREAS,
the Records Retention Schedule, attached hereto as Exhibit "B" and incorporated
herein by this reference, itemizes all records maintained by each department of
the City specified therein; and WHEREAS,
each
record series contained in the attached Records Retention Schedule has
been examined and approved for retention or destruction by the City Attorney, the
City Clerk and the appropriate Department Head.NOW THEREFORE,
BE IT RESOLVED by the City Council ofthe City of Orange as
follows:Section 1.
The Records Retention Policy, in the form attached to this Resolution as
Exhibit "A" and made a part hereof by reference, is hereby adopted and the
City Clerk is hereby authorized and directed to supervise and administer said policy on
behalf ofthe City.
Section 2. The Records Retention Schedule, in the form attached to this
Resolution as Exhibit "B" and made a part hereof by reference, is hereby approved and
adopted.
Section 3. The City Clerk is hereby authorized and directed to retain and
destroy records identified on the Records Retention Schedule and in accordance with the
retention schedules set forth therein and the procedures contained in the Records
Retention Policy, including the prior obtainment of the approval of the City Attorney of
the Annual List of Records Destruction provided by the Department Heads.
Section 4. Amendments, modifications and/or supplements to the Records
Retention Schedule shall only be authorized by resolution of the City Council.
Section 5. Nothing contained in this Resolution authorizes the destruction of
the following City records and public records:
a. Records affecting the title to real property or liens thereon.
b. Court Records.
c. Records required to be kept by statute.
d. Records less than two (2) years old.
e. The minutes, ordinances and resolutions of the City Council of the City of
Orange or of any City advisory body, board, committee or commission.
ADOPTED this 14th day of August, 2001.
ATTEST:
e City of Orange
Cassandra J. Ca art, City Clerk, City of Orange
Reso No. 9499 2 TJR
I
hereby certify that the foregoing Resolution was duly and regularly adopted by the
City Council of the City of Orange at a regular meeting thereof held on the 14th day of
August, 2001 by the following vote:AYES:
COUNCILMEMBERS: SLATER. ALVAREZ. MAYOR MURPHY, COONTZ. CAVECCHE NOES:
COUNCILMEMBERS: NONE ABSENT:
COUNCILMEMBERS: NONE ABSTAIN:
COUNCILMEMBERS: NONE 4f"~
Cassandra
J. cart, City Clerk, City of Orange Reso
No.
9499 3 TJR
EXHIBIT A
City of Orange
Records Retention Policy
I.Scope
This policy applies to all departments of the City, to all records of the City, and to
all officers and employees who create, receive or maintain City records or public
records as part oftheir work on behalf ofthe City.
II. Program Objectives
This Records Retention Policy has been developed with the following objectives:
To ensure that all Federal, State and City legal, historical, fiscal and
administrative requirements are satisfied before records are destroyed;
To ensure that no City records are destroyed unless authorized by the adopted
Records Retention Schedule and otherwise in accordance with Federal and State
law;
To conserve staff time, resources and space by removing inactive or obsolete
material from files;
To maintain a regular, controlled flow of records from departments to destruction
or archival storage; and
To ensure that the physical destruction of records is carried out in accordance
with the adopted Records Retention Policy.
II. Definitions
Records: City Records and Public Records, collectively referred to as "records"
throughout this document, are any writing, document, instrument, book, paper or
recording of any event or information which was made or retained for the purpose
of preserving its information content for future reference, and includes, but is not
limited to, all paper, microfilm/fiche, video or audiotape, electronic or other
information media created or received by the City in the course of operation.
Records Disposition: destruction or systematic transfer to archival storage of
records no longer needed for everyday operations, frequent reference, or
satisfaction of external agency requirements.
Destruction: physical destruction by means of pulping, shredding or recycling.
Retention Period: the length of time a record needs to be maintained to satisfy
the purposes for which it was created and to fulfill legal, fiscal, and administrative
requirements of the City and Federal and State laws. At the conclusion of the
retention period, the record may be destroyed or transferred to archival storage
depending upon the actions prescribed in the Records Retention Schedule.
Page I
EXHIBIT A
Records Retention Schedule: adopted by Resolution by the City Council of the
City of Orange showing actions to be taken in relation to the disposition of
records. The Schedule enumerates the record type at the series level, the office of
record. and the retention period in years for the original and other copies of City
records.
Office of Record: that office that is designated as the primary repository for
producing the records if needed for audit or other purposes. Office of Record is
not necessarily office of origin.
Custodian of Record: the City Clerk is the designated Custodian of Record of
the City of Orange. The Custodian of Record administers the City's records
program, assumes custodial responsibility for the City's records, and organizes
them for controlled access.
III. Ownership of Records
All records received or created in the course of operations are City property.
These records are not the property of individual staff members to use, remove,
retain personally or destroy at will. Staff members are the custodians ofrecords
they create and! or retain.
IV. Retention of Records
The City Council, through the approval of its Records Retention Schedule, and
it's revisions, shall decide the retention periods of records as long as that decision
is not in conflict with any applicable Federal or State law.
V. Records Retention Committee
The City Manager has designated a committee known as the Automated Records
Management System (ARMS) Users Group to review the City's Records
Retention Policy and Records Retention Schedule, and to recommend to the City
Council revisions thereto necessary. The ARMS Users Group is comprised of a
designated representative from each City department.
VI. Records Retention Manual
The adopted Records Retention Policy, Record Retention Schedules by
Department, and general records procedures are maintained in the Records
Retention Manual, a copy of which shall be retained as a working document in
each department.
VII. Retention Schedules by Department
Each City department has developed a retention schedule covering those records
that support its mission. This schedule has been reviewed for legal authority and
appropriateness in supporting the department and the City as a whole and is
subsumed in the City's Records Retention Schedule.
Page 2
EXHIBIT A
VIII. Responsibilities and Procedures
The following outlines those actions required of City staffby this policy.
ACTION RESPONSIBILITY Provide
guidance
and assistance to departments on City Clerk Records disposition
and retention maters.Distribute information
regarding the City's Records City Clerk Program to
departments, including distribution of revisions to
the Records Retention Schedule manual.Assign one
individual in each department to represent the Department Heads department on
the Records Retention Committee and to monitor records
disposition within the Department.Appraise records
within department custody and apply Department Heads appropriate retention
periods as outlined in the adopted Records Retention
Schedule.Assist the
City Clerk in identifying vital records and Department Heads establishing necessary
procedures for their protection.Transfer to
the City Clerk those records identified as Department Heads Vital for
permanent retention.Compile and
distribute the annual list of records to be City Clerk destroyed for
review by the departments and the City Attorney.Forward
to
the City Clerk records ready for destruction Department Heads in accordance
with adopted Records Retention Schedule.Review and
approve by signature the annual list of Department Heads records to
be destroyed when received from the Records Manager.Review
and
approve by signature the annual list of City Attorney records to
be destroyed in the form of "Exhibit A" when received from
the Records Manager.Review and
approve by signature Statement of Records Department Heads Policy adherence
when received with the annual list of records to
be destroyed and return it to the Records Manager.Ensure
compliance
with State and Federal law. City Clerk Audit department
records retention during annual City City Auditor audits.Prepare
and
maintain the Records Retention Manual City Clerk outlining procedures
archiving, securing, transferring,and destroying
City Records.Coordinate City
review of Records Retention Schedule City Clerk as required.
Review and
update the Records Retention Schedule as Records Retention needs change,
as new types of records are created, or as Committee specific types
of records become obsolete.Page 3
EXHIBIT A
IX. Suspension of Destruction
Under emergency conditions, the City Manager may authorize the suspension of
destruction for specified records. Such suspensions shall be in force for a stated
time period. or six months if no time period is stated.
X. Default Retention Schedule
Records shall be destroyed in the approved manner within two years plus the
current year unless listed on the adopted Records Retention Schedule with a
longer retention period.
Xl. Retaining Records at Off-site
Locations As a safeguard in case of physical disaster, records of permanent or
long-term value or archival copies of same are stored in secure off-site
locations. The City has negotiated agreements with appropriate vendors for
this off-site storage.Designated records are sent to and retrieved from these
facilities
by the City Clerk.
XlI. Methods of Disposal Records are disposed of by a certified
destruction company. The certified destruction company provides the City with
a Certificate of Destruction,certifying that the listed records are completely destroyed
and that during the destruction process they have not been handled, tampered with
or read
EXHIBIT B
RETENTION SCHEDULE
CITY OF ORANGE
August
14,2001 CITATIONS
ADM
Administrative Manual, City of Orange B&
P Business and Profession CAC
California Administrative Code CCP
Code of Civil Procedure CCR
Code of California Regulations CEQA
California Environmental Quality Act CFR
Code of Federal Regulations DPC
Department Procedure, City of Orange EC
Election Code FMLA
Family & Medical Leave Act, 1993 GC
Government Code H&
S Health & Safety BUD
Housing and Urban Development OSHA
Occupational Safety & Health Act ORD
Ordinance, Orange Municipal Code PC
Penal Code POST
Police Officers Standards Training RES
Resolution, City of Orange UFC
Uniform Fire Code USC
United States Code WIC
Welfare & Institutions Code Definition
of Permanent - Recorded information required by law to be retained; or which has been designated
for continuous preservation because of its administrative or historical significance.August
14,2001
I
City Clerk's Department
NOTE: Permanent documents are scanned into the Automated Records Management System.
Record Series Retention Authority Descriptor; Notes
A2100.0 PERMANENT DPC 20 years hardcopy in CC vault;
Agreements GC 53066 prior years to offsite storage.
GC 37090a
A2500.0 PERMANENT DPC Pubic Hearing files; hardcopy
Amendments to GC 34090 retained in CC vault for 10 years
OMC then destroyed.
A3100.0 PERMANENT GC 34090a 20 years hardcopy in CC vault;
Annexations prior years to offsite storage.
A4000.0 PERMANENT DPC Public Hearing files; hardcopy
Appeals GC 34090a retained in CC vault for 10 years
then destroyed.
B4000.0 PERMANENT DPC 1991 - current, see Agreements.Bids
GC 53066 1983 - 1990 scanned as bids; no GC 37090a
bid documents in system prior to 1983.C2300.
A-
M PERMANENT GC 34090 General plan documents; master City
of Orange - plan documents; public hearings General Plans
retained in CC vault.C2500.0
PERMANENT GC 34090d Originals in CC vault.Minutes GC
36814 GC 40801
C2500.0
15 months GC 34909.7 Used for Minute Preparation. May Council audio/
video have historical value.tapes C2500.
0
2 years GC 34090 Agendas C2500.
0
2 years DPC Agenda recaps
August 14,
2001 2
Record
Series Retention Authority Descriptor; Notes C2500.
0 PERMANENT DPC Council policies not assigned City
Council- GC 34090 Resolution number.Policy
C2500.
0 10 years DPC Agenda items; ARMS only. No City
Departments hard copies retained unless public hearing.
C2500.
0 5 years DPC Non-agenda items
City Departments
C2500.F PERMANENT GC 34090 Treasurer's monthly reports
City-Departments - CCP 337
Treasurer GC 53607
C2500.J.l.l PERMANENT GC 34090 Annual budget documents; public
City Departments- hearings; audits; CFRS
Finance - Budgets C2500.
M.14 PERMANENT GC 34090 Hardcopy retained in CC vault for City
Departments - 10 years then destroyed.Public Works-
Condemnations,abandonments,
eminent
domain
C2500.M.
16.1 PERMANENT GC 34090 Agenda item hardcopy destroyed City Departments -
in 10 years. Recorded hardcopy Public Works- retained
permanently with Lot Line Adjust.
Resolution.C2500.M.16.
2 PERMANENT GC 34090 Agenda item hardcopy destroyed City Departments - GC
34090.7 in 10 years.Public Works- H&S
19850 Tent. Parcel Maps C2500.
M.l8 PERMANENT
GC 34090City Departments - GC 34090.
7 Public Works- H&S 19850
Elevation Plans C2500.P Release +
2 GC
34090 Not in ARMS; agreement, bid,City Departments - years tract bonds
with permanent files.Public Works-Project Bonds C3200.0
7 years
GC 34090
Claims GC 25105 August 14,2001
3
Record Series Retention Authority Descriptor; Notes
C3300.0 PERMANENT DPC Public Hearings. Other agenda
Conditional Use GC 34090d items are destroyed in 10 years;
Permits non-agenda items are destroyed
in 5
years.D4000.0 PERMANENT GC
34090a Deeds, Easements;
CPR Promissory
Notes EI100.0 Elections - 30 days after EC 20442
Pair Campaign election
Practices code
EllOO.O Elections- Term of Office EC 17100
Nomination Papers + 4 years
EI100.0 Elections - 2 years EC 17200 After certification of election Petitions:
Initiatives, EC 17400 results which the petition qualified Referendums,
or, if no election is held, 2 years Recalls
after the clerk's final examination ofthe
petition EIIOO.
O Elections- PERMANENT Calif. State Proposition 218 Assessment
Districts Constitution Article
XIII EI100.
0 Elections - PERMANENT GC 34090 Sample ballots. election history History EllOO.
O
Elections- PERMANENT GC 81009b Elected - Mayor, Council.PPPC - Original GC
81009g Controlled Co. Candidates; may be Campaign imaged after 2
years Statements EllOO.O Elections-
5
years GC 81009b Candidates Not Elected PPPC - Original May be
imaged Campaign Statements EI100.0 Elections -
7
years
GC 81009c May be imaged -- Original Reports PPPC - Other and Statements Offices EI100.0
Elections - 7 years GC 8100ge
Not
otherwise Specified - may be PPPC - Copies of imaged Statements by Piling OfficersPPPC - Pair
Political Practices Commission August 14,
2001 4
Record Series Retention Authority Descriptor; Notes
EllOO.O Elections 4 years GC 81009f Copies of statements by filing
FPPC - Not officers not receiving originals Receiving
Originals ElIOO.
O Elections - 7 years DPC Mayors, Council Members, City FPPC - Form
700 GC 8100ge Managers, Attorneys, Treasurers,Statement of Chief
Administrative Officers.Economic Interest Planning
Commissioner,Candidates EIIOO.O
Elections-
7 years DPC Designated Officials FPPC - Form 700
GC 81009b Statement of Economic Interest
E1400.0
PERMANENT GC
34090a Environmental CEQA Impact Reports
Guidelines FllOO.
O PERMANENT GC
65864 see Franchise agreements Franchises GC 65869.5
GC 34090 H1500.0
PERMANENT GC
34090 Includes Articles ofIncorporation History II 200.0
PERMANENT
GC 34090 Contract related certificates filed Insurance GC 6410 with
agreement. Other hard copies destroyed after 5 years.
Ll200.0 PERMANENT GC
34090a Public Hearings. Other agenda Landscape items are destroyed
in 10 years;Maintenance Dist. non-agenda
items are destroyed in 5 years.N1200.
0 PERMANENT
GC 34090A Public Hearings. Other agenda Negative H&S
19850 items are destroyed in 10 years;Declarations non-agenda
items are destroyed in 5 years.
OR1800.0 -
5 years GC 34090 Organizations - GC40801 Appointments
ORI800.0- 2
years
GC 34090 Organizations -Apps not appointed
ORI800.0-
PERMANENT DPC Boards,
Commissions,Organizations - GC 34090D Committees Minutes
GC 36814 OR1800.0 - 5
years DPC Organizations -
Other items August 14,2001 5
Record Series Retention Authority Descriptor; Notes
ORD1500.0 PERMANENT GC 34090d
Ordinances
ORD1500.0.l PERMANENT GC 34090
Orange Municipal
Code
P1300.0 5 years
Permits & Licenses
P2000.0 7 years DPC
Proclamations GC 34090
P2500.0 10 years GC 34090a Agenda items; non-agenda
items Property GC 6254 destroyed in 5
years.R2000.0 PERMANENT GC
34090d Resolutions
40801 R3500.0 PERMANENT GC
34090 Redevelopment -
Minutes
R3500.0 PERMANENT GC 34090d
Redevelopment -Ordinances
R3500.
0 PERMANENT GC 34090d Redevelopment -
40801 Resolutions R3500.
0
PERMANENT GC 34090 Public Hearings. Other agenda Redevelopment - items
are destroyed in 10 years;Other non-agenda
items are destroyed in 5 years.
TllOO.O
PERMANENT GC 34090a Public Hearings. Other agenda Tax Assessment
items are destroyed in 10 years;Districts non-
agenda items are destroyed in 5
years.T4000.
0 PERMANENT GC 34090a Public Hearings. Other agenda Tracts
H&S 19850 items are destroyed in 10 years;non-
agenda items are destroyed in
5 years.
August 14,2001 6
Record Series Retention Authority Descriptor; Notes
1300.0 PERMANENT GC 34090a Public Hearings. Other agenda
Variances H&S 19850 items are destroyed in 10 years;
non-agenda items are destroyed
in 5
years.Z1500.0 PERMANENT GC 34090a Public Hearings. Other
agenda Zone Changes H&S 19850 items are destroyed in 10
years;non-agenda items are
destroyed in
5
years.August 14,2001
City Attorney
Active files maintained in office; retention period begins after file closure.
Record Series Retention Authority Descriptor; Notes
Accounting Files 5 years DPC
Budget Files 5 years DPC
ClaimslPotential 3 years DPC Originals in City Clerk's office.
Claims
General Files 2 years DPC
Litigation Files PERMANENT GC 6254 Hard copy destroyed after 5 years.
42 USC sl983
Redevelopment 3 years DPC
Files
August 14, 2001 8
City Manager
Record Series Retention Anthority Descriptor; Notes
Budget Information 9 years DPC Active plus two years in office.
GC 34090
City Manager Chron 7 years DPC Active plus two years in office.
Claim Vouchers 2 years DPC Active plus one year in office.
Computer Loans - 10 years DPC Active plus ten years in office.Employee
Correspondence
7 years DPC Active plus two years in office.GC
34090d Departmental
Files 2 years DPC Active plus one year in office.GC
34090 Interoffice
7 years DPC Active plus two years in office.Correspondence
GC 34090d Labor
Negotiation 9 years DPC Originals in Personnel. Active Material
plus two years in office.MIS
Management 7 years DPC Active plus two years in office.Personnel
Matters 9 years DPC Active plus three years in office.Personnel
Matters - 10 years DPC Originals in Personnel. Active Labor Negotiations
plus two years in office.Reports 7
years DPC Active plus two years in office.GC 34090
Reports to
Council - 7 years DPC Active plus two years in office.WeeklylMonthly GC 34090
Special Projects 10
years DPC Active plus three years in office.GC 34090 Theo
Lacy PERMANENT
DPC Permanent files also retained in City Clerk's
office.August 14,2001
9
Mayor & City Council
Record Series Retention Authority Descriptor; Notes
Claim Vouchers 2 years DPC Active plus one year in office.
Correspondence 7 years DPC Active plus two years in office.
GC 34090d
Correspondence - 7 years DPC Active plus two years in office.Interoffice
GC 34090d Mayor'
s Hotlines 2 years DPC Active plus one year in office.GC
34090 Press
Releases 5 years DPC Active plus two years in office.Reports
7 years DPC Active plus two years in office.GC
34090 Speeches
5 years DPC Active plus two years in office.August
14, 2001 10
Community & Library Services
Record Series Retention Authority Descriptor; Notes
Agenda Reports 5 years DPC
Budget 5 years DPC
CIP 5 years DPC
Community Services 5 years DPC
Files
Correspondence - 3 years DPC General (
Public)Correspondence -
2 years DPC Other City
Depts.Interlibrary loans
3 years DPC Invoices 3
years DPC Defer to Finance Dept Library Board
of PERMANENT Calif. Law Minutes are permanent; all Trustees 5
years* 18900 other 5 years Library Services
5 years DPC Files Orange
Unified
5 years DPC School District
Personnel IO
years DPC Projects 10
years DPC Senior Center
3 years DPC August 14,
2001 11
Community Development
Community Development - Planning Division Record
Series Retention Authority Descriptor; Notes Administrative
PERMANENT GC 34090a Hardcopy retained in office Adjustments
H&S 19850 files/storage Annexations
PERMANENT GC 34090a Hardcopy retained in office files/
storage Conditional
Use PERMANENT GC 34090a Hardcopy retained in office Permits
H&S 19850 files/storage Design
Review 10 years DPC Hardcopy retained in office until Board -
Files destroyed Environmental PERMANENT
GC 34090a Hardcopy retained in office Impact Reports
CEQA files/storage Guidelines General
Plan
PERMANENT DPC Hearing files held for CC Amendments Land
Division
Files PERMANENT GC 34090a Hardcopy retained in office files/storage
Negative PERMANENT
GC 34090a Hardcopy retained in office Declarations CEQA
files/storage Guidelines Old
Towne
Steering PERMANENT DPC Hardcopy retained in office Committee Planning
PERMANENT
GC 34090d Binders with hardcopies are Commission - GC
36814 retained in office Minutes DPC Staff
Review PERMANENT
DPC Hardcopy retained in office Committee - Files files/
storage Tentative Tracts PERMANENT GC
34090a Hardcopy retained in office files/storage Variances PERMANENT
GC 34090a
Hardcopy retained in office H&S 19850 files/
storage Zone Changes PERMANENT GC
34090a Hardcopy retained in office H&S 19850 files/
storage August 14,2001 12
Community Development - Building Division Record
Series Retention Authority Descriptor; Notes Building
PERMANENT GC 34090a Microfilm stored in office PermitsIPlans
H&S 19850 DPC
Code
Enforcement 5 years GC 34090d Hardcopy retained in office until Case
Files DPC destroyed Soils
Reports/Cales PERMANENT DPC August
14,2001 13
Economic Development Department
Active files maintained in office; retention period begins after file closure.
Economic Development - Administration Record
Series Retention Anthority Descriptor; Notes Classifications
and PERMANENT GC 34090 Includes supplemental Personnel Appointments
GC 12946 records. Wage rate tables 2 29
CFR 516.6(2) years.29
CFR 1602.4Commercial
Loans PERMANENT DPC Includes notes, deed restrictions.Correspondence -
2 years GC 34090(d) If not attached to agreement or General project
file.Film Permits
4 years GC 34090(d)Goals and
Objectives PERMANENT GC 34090 Departmental goals and objectives.Legal
Advertising
4 years CP 343, 349 et Includes public notices, legal seq.; GC
911.2 publications.GC 34090
Policies & Procedures,
5 years GC 34090(d) Retain while current and five Departmental years
after superseded.Seismic Retrofit
PERMANENT GC 34090a Includes Certificates of Program Compliance.
Support Services
2 years GC 34090 Reproduction; printing;postal/mailing
services, other internal resources.
Travel Records
2 years GC 34090 August 14,
2001 14
Economic Development - Grants Record
Series Retention Authority Descriptor; Notes Community
4 years GC 34090 Applications, reports, contracts,Development
Block 24 CFR 570.502 supporting documents; *OMB Grant
Program 24 CFR 85.42* Circ. A-I02, A-IIO,
A-128.Consolidated
Plan and miscellaneous
HUD documents.Federal and State 5 years GC 34090 Refer to
grant application
closeout procedure.Financial Records 5 years GC 34090 Refer to
grant application
closeout procedure.Home Investment 4 years DPC Refer to
grant application Partnerships Act
closeout
procedure.Program Unsuccessful 2 years GC 34090 Applications not
entitled for Applications
grant/loan.Economic Development -
Housing Record Series Retention Authority Descriptor;
Notes Affordable Housing PERMANENT
DPC Monitoring
Files Bonds Issues PERMANENT GC 43900 et
seq.Deeds of Trust and PERMANENT GC 34090a Retained in the Office of
the Promissory Notes 24CFR Agency
Clerk.570.502(b )(
3)24 CFR85.
42 OMB Circ.
A-
llO.Deferred Payment PERMANENT DPC Working files. Original
loan Loans documents approved by
Agency retained in the Office of
the Agency
Clerk.August 14, 200 I
Record Series Retention Authority Descriptor; Notes
First Time Homebuyer PERMANENT DPC Working files. Original loan
Program/Loans documents approved by Agency
retained in the Office of the
Agency Clerk.
Housing Program 3 years DPC Mortgage Credit Certificate
Program
Orange County 4 years DPC Agendas, Minutes.
Housing
Authority/Staff Home
Improvement
Committee
Orange Housing PERMANENT DPC
Development Corp.
Start-up
Costs Relocation Files 2 years GC
34090 Economic Development - Reports
Record Series Retention Authority Descriptor; Notes
Appraisals 2 years GC 34090
GC 6254(h)
Bids and Proposals 2 years GC 34090d
Unsuccessful)
Budget Reports PERMANENT GC 34090 Includes annual audit.
GC 40802
GC 53901
August
14,2001 16
Finance Department
Active files maintained in office; retention period begins after file closure.
Finance -
Accounting Record Series
Retention
Authority Descriptor; Notes Appropriations 4 years
DPC Transfers (year)Balance
Sheets 4
years DPC Cash Bonds- 10
years after GC 34090 Account Statements closing
CCP 337.5 Cash Bonds - Detail
4 years DPC Report Cash Bonds 3
years
after DPC closing GC 34090 GC
53921 General Ledger
PERMANENT GC
34090 CCP 337 General Ledger -
2 years
DPC Control Detail By Batch General
Ledger - 2 years
DPC
Control Summary By Month General Ledger -
I year
DPC Destroy
at year end Transactions MTD accounting General Ledger - 4 years
DPC Transactions YTD
Investment 3 years DPC Transactions Journal
Vouchers 7
years DPC GC 34090
CCP
337 August 14,2001 17
Record Series Retention Authority Descriptor; Notes
Vehicle Reports 2 years GC 34090
Warrant Register 2 years GC 34090.7 Destroy after audit
Warrant Register- I year GC 34090.7 Destroy after audit
Monthly by Fund
Warrant Register- 4 years GC 34090.7 Destroy after audit
Monthly by Warrant
Number
Warrant Register- I year GC 34090.7 Destroy after reversion to
Outstanding general fund
Warrants
Warrant Register- I year GC 34090.7 Destroy after audit
Warrant Writing by
Fund
Warrant Register - I year GC 34090.7 Destroy after audit Warrant
Writing by Warrant
Number Finance -
Payroll Record Series
Retention Authority Descriptor; Notes Adjustments P
DPC American Payroll Association APA Employee
Time
4 years DPC Sheets APA
PERS Employee
P DPC Deduction Reports
Register P
DPC APA August
14,
2001 18
Finance -
Assistant Finance Director Record Series
Retention Authority Descriptor; Notes AHFP Timecards,
3 years DPC etc.Annual
Street
3 years DPC Report Appropriations -
4
years DPC Department Summary by
Fund
Appropriations - 4 years
DPC Project History Appropriations - 4
years DPC
Project Recap by Activity Appropriations -
I year DPC
Transactions
MTD Appropriations - 4 years DPC
Transactions YTD
Budget Reports - 2 years after
GC 34090
Budget Preparation Audit Budget Reports - 2 years after
GC 34090 Budget
Request Audit Attachment 3 Budget Reports - 2 years
after GC 34090
Cycle 0
Audit Maintenance Budget Reports - 2 years after GC
34090 Cycle 6
Salary
Audit Negotiation Budget Reports - 2 years after GC
34090 Salary Negotiations Summary
Personnel
service Audit and Detail Budget Reports -Regular Employees for Budget Cycle
Budget Reports - 2 years after
GC 34090 Submittals
by Audit
Department August 14,
2001 19
Record Series Retention Authority Descriptor; Notes
Gann 5 years DPC
Appropriations
Limitations
Revenue Reports 4 years DPC
Recap
Revenue Reports - 5 years DPC Sharing
Use Revenue
Reports - 1 year DPC Transactions MTD
Revenue Reports -
4 years DPC Transactions YTD SB90Claims
5 years
DPC Reimbursement State Controller'
s
5 years DPC Report Water Asset
5
years Capitalization Finance - Purchasing
Record
Series Retention Authority
Descriptor; Notes Purchase Orders, 4 years
after GC 34090 Closed Audit CCP 337
Purchase Orders, I year
DPC Destroy after audit Open August 14,2001
20
Finance - General Revenues Record
Series
Retention Authority Descriptor; Notes Accts Receivable -
4 years GC 34090 Destroy 4 years after proj ect Invoices - closes Developer
Billings Accts Receivable -
4 years
GC 34090 Destroy 4 years after Audit.Invoices (yellow)Accts Receivable - 4
years GC
34090 Destroy 4 years after Audit.Reports -Collections Accts Receivable - 4 years
GC 34090
Destroy
4 years after Audit.Reports - Invoices Accts Receivable - 4 years GC 34090
Destroy 4 years
after Audit.Reports - Refunds Accts Receivable- 4 years GC 34090 Destroy 4
years after Audit.
Reports - Write Offs Business License 1 year DPC Summary page saved
in Monthly Statistics
supervisor
file Business Tax - 4 years GC 34090 Destroy 4
years after closeout.Applications
CCP 337 Business Tax- 4 years GC34090 Destroy 4 years after closeout.
Renewals CCP 337
Cash Reconciliation 1 year DPC Destroy at end of fiscal
year.Contractor Lists
2 years DPC Daily Master 1 month DPC Register Misc. Receipts -
2 years DPC Daily Summary
Backup Misc. Receipts - 2 years
DPC
Department Backup August 14,2001 21
Record Series Retention Authority Descriptor; Notes
Misc. Receipts - 2 years OPC BlueTR
Notice
of License 2 years OPC Oue
Paramedic
Reports 2 years OPC Adjustments
Paramedic Reports -
2 years GC 34090 Enrollment Paramedic Reports
5
years OPC Incident Passbooks/Certificat
OPC
Returned to payee upon project es ofOeposit completion
Transient 4 years*
OPC *Oepartment practice is to destroy Occupancy Tax GC
34090 2 years after hotel closes.License CCP 337
Finance - Utility Billing
Record Series Retention Authority
Descriptor; Notes Accounts 2 years OPC
Receivable -Reading areas CYD
Adjustment Sheets
3 years OPC
GC 34090 Billing, Water & 2
years GC
34090 Bills, final notices, turn-off notices Sanitation - Regular Billing, Water &
2 years GC
34090 Bills, Weekly Balance sheets Sanitation - Closing Correspondence, 2 years
GC 34090d Turn-
ons, turn-offs, mailing address Miscellaneous changes, complaints, etc.
August 14,2001 22
Record Series Retention Authority Descriptor; Notes
Customer Deposit 2 years DPC Balance Ledgers (Open &
Trust Fund Closed)
Customer Deposit Current DPC Used to balance, to computer
Trust Fund - Listing runs, accounting, and to easily find
and use records on the trust fund
after the data has been cleared
from the computer Customers
Deposit 4 years* DPC *Department practice to hold Trust
Fund- GC 34090 until deposit returned to Receipts
CCP 337 customer.Hydrant
Meter F- 2 years GC 34090 Filed with deposit receipt WB
14-Applications
Memos,
Interoffice 2 years DPC Payment
Edit 2 years DPC Separated by month listings -
Daily Payment stubs &
I year DPC Batch Listings -
Daily Records Radio
Log 2
years DPC Reading Planning 1
year DPC Calendars Records, 2
years
DPC Lockup orders, sani. count &Miscellaneous Water Consumption
by book Water Plant)Service
2 years
GC 34090 Applications Source of
Revenue
I year DPC Sheets Turn-offs,
3
years DPC Delinquent Water
Service
2 years GC 34090 Closed Address Cards
August 14,
2001 23
Fire Prevention
NOTE: Active files maintained in office; retention period begins after file closure.
Record Series Retention Authority Descriptor; Notes
Business Plans 5 years CCR T27 Records requirements set by
Sect 15188 CUPA.
Correspondence! 3 years DPC Hard copy destroyed after 5 yrs.
Memorandums GC 34090d
Department records, 3 years GC 34090d Reports, documents, logs or papers
Other that are considered Public
Documents.
Hazardous Materials 5 years CCR T27 Records requirements set by
Disclosure records Sect 15188 CUPA (Certified Unified Program
Agency).
Incident Reports PERMANENT GC 62554F Maintained on computer at
PC Sect. 13000 Dispatch Center
Inspection Records 3 yrs GC 62554F Hard copy destroyed after 5 yrs.
Investigation Files Active + 1 year H & S 13000 5 years maximum or discretion of
CEQA952 the Arson Investigator.
GC 6254
Maps - Tent. Tract; Current until CCR T14 Hard copy destroyed after 5 yrs.Parcel;
Street superceded Sect. 1280 Microfiche copy kept indefinitely.Medical
Training PERMANENT CCP 1798 Until employee dies.Files
Personnel
Files - 2 years GC 34090 Candidates not hired.Background Investigations
Personnel
Files -
PERMANENT GC 34090 Candidates hired: until employee Background CCP 1798
dies.Investigations Personnel Files -
Active +
1 year GC 34090d Records are kept 5 years after General Training leaving employment.
Personnel Files - 3 years
GC Timecards Plans- Current until CCR
T14
Hard copy destroyed after 5 years.Development; superceded Sect. 1280 Microfiche
copy kept indefinitely.Building Underground tank 5 years
CCR
T27 Records requirements set by forms, remediation CUPA.reports.August
14,2001 24
Personnel
Department
Personnel Services
Record Series
Retention Authority Descriptor; Notes Background Files
4 years GC 34090 Benefit Files
7 years DPC Budget Files
5 years DPC City Clerk's Office holds original.Employees.
Current
Termination + DPC Department file until 5 years
termination.Employees, 5
years DPC Terminated -Civilian
Employees. PERMANENT
DPC
7 years then scanned Terminated - Sworn Police
Officers Litigation Files
10 years
DPC City Clerk's Office holds original.Negotiations PERMANENT 29
USC
Sections 21l(c),203(m),
207 (g)Personnel 5
years DPC
City Clerk's Office holds Resolutions original.Recruitment Files -
Closed + 3
GC 12946; GC Department file for I year, then Closed years 6250 et seq;
29 archive.CFR 1602 et seq.29
CFR 1607; 49 USC
2000 (e) - 8;2000 (
c) - 12 Recruitment Files - Closed +
3 DPC Department file
until recruitment Open years closes.Specification Files 5 years DPC
and Reference Files
Subject Files 2 years DPC
Trip Reduction 3
years DPC Program August 14,
2001 25
Risk Management
Record Series Retention Authority Descriptor; Notes
Clandestine Lab. Retirement + CCR T 8 5192 Copies only. Originals
Investigation Hazard 30 years maintained by Bureau of Narcotic
Assessment and Enforcement.
Recognition Plan
HARP)
Commercial Drivers Current + 4 49 CFR382 Random drug testing results.
Random Mandatory years or until GC 34090
Drug Testing superseded
Damage Claims - Current + I DPC Copies: police/department City
Property year GC 34090 damage reports for reference.Damage
Reports - Current + 2 DPC Copies: police/department Vehicles years
GC 34090 damage reports for reference.Originals maintained
by departments.DMV
Pull
Records Until CFR Current employees who operate Superseded or
8USC1324(a) city vehicles. Retained in termination CA
91009 secondary source at DMV.Employee Physician
Until OSHA 1970 Working files & reference log.Designation Records
Superseded or 29 CFR 1904 termination GC
34090 Insurance - Current +
I DPC City property and events.Certificates year GC
34090 Secondary source: Robert F.Driver, Inc.Insurance -
Property 20
years DPC Active files + 5 years in office.Insurance Records GC 34090
Secondary source: OCCRMA General Mgr.Insurance - Public
Current audit
DIR-Self Copies of assessment fees, annual Self-Insurer's Insurance
Plans reports from 1988 to present.Annual Report Originals
retained DIR.Insurance - Self- 10
years DPC OCCRMA/JP A documents,Insured Liability GC 34090
agendas, pool contracts,Records Dept. of insurance
coverage. Active files Industrial + 2 in office.
Secondary source:Relations OCCRMA General Mgr.
Mechanic's Tool Until
M.O.U. Original tool inventory of garage Inventories Termination Tool Replace-
mechanics. Secondary source:ment Provision DPW Fleet
Division.GC 34090 August 14,
2001 26
Record
Series Retention Authority Descriptor; Notes Occupational
Safety Current + 4 29 CFR 1904 Includes annual log and DWC and
Health Act Log years OMBPublic 5020 reports.of
Illnesses/InjuriesLaw 91-596 29
USC 651
Safety Boot 2 years DPC Active + 1 year in office.
Purchase Records CCR T8 3203
GC 34090
Safety Meeting 2 years DPC
Minutes CCR T8 3203
GC 34090
Subject Files Current + 10 DPC Emergency procedures;
years safety/health information;
government regulations.
Training Records Active + 15 CCR T8 3203 Class descriptions; dates;
years DPC employees participating in
training.
Workers' Comp.- Current year DPC Copies: check registers; vouchers Claim
Admin. Check GC 34090 Registers
Workers'
Comp.- 10 years DPC Claims, correspondence, medical Current Employees
29USC 651 reports. Originals maintained 29 CFR
1904 with claims admin. Retention GC 34090
period starts with file closure.Workers' Comp.-
Retirement + CCR T8 5192 May include Supervisor's First Aid/Infor-
30 years 29USC 651 Reports, medical reports. Current mationOnly 29 CFR
1904 year + 4 retained in office files.Exposure Reports Workers'
Comp.- 10
years DPC Active files + 4 in office.First Aid/Infor- 29
USC 651mation Only Reports 29
CFR 1904 Workers' Comp.- 10 years
DPC Active files maintained in office.Term. Employees' 29USC 651 Originals
retained by claims Litigated /Settled 29 CFR 1904
administrator.Claims GC 34090 Workers' Comp.-
10 years DPC
Retention period starts with Terminated 29USC 651 termination. Files retained
for 2 Employees 29 CFR 1904 years in
office.GC 34090 August 14,2001 27
Police Department
Record Series Retention Authority Descriptor; Notes
Administrative 3 years DPC
Budget Records
Arrest & Citation 10 years DPC
Register GC 34090
Arrest DRs - "M" 2 years H&S 11361.5 (a) 2 years from conviction or Marijuana
arrest date Bicycle
Files 2 years GC 34090 Automated)
Call
Slips 2 years GC 34090 Automated)
Check
Files 3 years DPC Citations
2 years GC 34090 H&
S 11361.5Complaints
against 5 years PC 832.5 Exception: those that relate PD
Personnel - PC 801.5 directly or indirectly to any Investigations, PC
803c litigation currently in progress.Internal EVC
1045 GC 12946
VC 2547
Correspondence - 2
years GC 34090d Reviewed annually Confidential Correspondence - 2
years
GC 34090d Clearance letters, Div. misc.Miscellaneous records Correspondence - 2
year GC
34090d Reviewed annually Police Chief Criminal History 3
years DPC
Requests (No Dept.Report number)
August 14,2001
28
Record
Series
Retention Authority Descriptor; Notes Field Interview
2 years GC 34090 Cards (Automated)
Gun/Mace
File - 2 years GC 34090.7 Gun Dealers/or
DOJ NCIC Computer)Investigations -
2 years
GC 34090 Candidates not hired Background Investigations - PERMANENT GC
34090
Candidates hired Background Logs - Officers/ 3 years
DPC
Supervisors Activity GC 34090 Logs - 2
years GC 34090 Counter
DR # log, Arrest Log,Miscellaneous Tow log Personnel Files - 3 years
DPC Separated Employees
Receipts, Financial 2 years GC 34090
Transactions
Reports -
7 years DPC Department (DR) GC
34090
Reports - Domestic 9 years DPC
Violence GC 34090 Reports -
PERMANENT PC 799 Embezzlement of PC
424 public funds;
PC 426 Falsification of PC
115 public records Reports -
Fatal PERMANENT DPC Accident
GC 34090 Reports - PERMANENT
DPC Kidnapping
for PC 209 ransom Reports -
Major PERMANENT DPC
Armed Robbery PC 211
August 14,2001 29
Record Series Retention Authority Descriptor; Notes
Reports - Major PERMANENT DPC Sexual
Assaults PC 288 Reports -
Traffic 3 years DPC Accident GC
34090 Reports, Special -
PERMANENT DPC Homicide PC 187
Timekeeping 5 years
DPC Records August 14,
2001
30
Public
Works Department Public
Works - Water Division Record Series
Retention Authority Descriptor; Notes Budget Information
PERMANENT DPC Check Out
Slips 6 years DPC Contract Jobs -
PERMANENT DPC Completed Correspondence - 6
years
DPC Division Managers Correspondence - 6
years DPC
Inter City Memos Correspondence - DPC
Water Manager has
decided not to vanous eliminate any of these files
at this time.Detector Checks PERMANENT DPC Diemer (
Intertie)
PERMANENT DPC Engineering - Allan
PERMANENT DPC McCulloch Pipeline-
MWDOC Engineering - ACTIVE + DPC Working
files Chlorination
1
year Engineering - PERMANENT DPC Department reference
source Continuing contracts/
projects Engineering - ACTIVE + DPC Department reference source
Current
Projects 1
year Engineering - ACTIVE + DPC Finance Clerk determines
Inventory Results 1 year
destruction.August 14,2001 31
Record Series Retention Authority Descriptor; Notes
Engineering - PERMANENT DPC Reservoir #
1 Engineering -
Wells PERMANENT DPC Department reference source 23,24 &
25 Financial - Accounts
5 years DPC Receipts for cash received,Receivable files Deposit
slips, cash reconciliation forms Financial - Invoices
6
years DPC Construction meter rentals; water usage; damaged fire hydrants;
vendors (paid)Hydrant Crew
4 years
DPC Reports Hydrant meters - ACTIVE +
2
DPC applications years Hydrant meters- ACTIVE+
2 DPC
read sheets years Hydrant meters-
3 years DPC
request for invoice 1-5 (
Freeway project) PERMANENT
DPC Department reference source Index Files - ACTIVE + DPC
Construction Meters 1 year muse
Index Files - ACTIVE + DPC
Construction
Meters 1 year returned Index
Files - ACTIVE + DPC Employee
statistics
1 year cards Inventory Records
6 years DPC Job
Analysis
PERMANENT DPC Records August 14,
2001 32
Record
Series Retention Authority Descriptor; Notes Jumpers
files 6 years DPC Large
Services PERMANENT DPC Meter
Crew Records ACTIVE + DPC 1
year Miscellaneous
Files ACTIVE + DPC 1
year Miscellaneous
PERMANENT DPC Department reference source Reports
and Studies Monthly
Reports PERMANENT DPC New
Service Slips PERMANENT DPC Old
drawings PERMANENT DPC Orange
Park Acres PERMANENT DPC Agreements, annexations,correspondence
Personnel-
Medical PERMANENT DPC records -
former employees Personnel-
6
years DPC Overtime slips
Personnel- Time
6 years DPC Cards Personnel -
Time
11 yearsDPC keeping books and
time sheets Project
Reference PERMANENT
DPC Card Files August
14,2001
33
Record Series Retention Authority Descriptor; Notes
Service Number PERMANENT DPC
Card Files
Service Record PERMANENT DPC
Books
Special Project Files PERMANENT DPC
Tract Files PERMANENT DPC
Vendor Files ACTIVE + 5 DPC
years
Water Districts PERMANENT DPC
Water Service- PERMANENT DPC Department reference source
Ledger
Water Service- PERMANENT DPC
Lookups
Public Works - Street Division Record
Series Retention Authority Descriptor; Notes Budget
Files 4 years DPC Working)
Claims
8 years DPC Trip & falls; tree damage DOB
Permits 3 years DPC Drop-
Off Bins)
Measure "M" Street 6 years DPC Slurry; pavement management
Projects
August 14,2001 34
Record Series Retention Authority Descriptor; Notes
Orange Resource 6 years DPC History files.
Recovery Systems
Orange Disposal 6 years DPC Correspondence; rate analysis.
Services History files.
Sidewalk Repair 6 years DPC
Notices
Solid Waste Mgmt. PERMANENT AB 939
compliance
Storm Water Drains 6 years DPC
Street Maintenance 6 years DPC
Street Trees - 4 years DPC Tree removal permits; hotline calls Correspondence
Street
Trees - Tree 6 years DPC Inventory Streets
Div.
Files - 4 years DPC Bus shelters Miscellaneous August 14,
2001
35
Public Works - Engineering Record
Series Retention Authority Descriptor; Notes Abandonment
Files PERMANENT GC34090 Annexations
PERMANENT GC34090 Assessment
District PERMANENT GC34090 Files
Assessment
District PERMANENT GC34090 Maps
Assessor
Parcel Map PERMANENT GC34090 Books
Base
Maps PERMANENT GC34090 City
Project Books - PERMANENT GC34090 Misc.Community
PERMANENT
GC34090 Facilities District
Drainage Files
PERMANENT GC34090 Easements PERMANENT
GC34090 Encroaclnnent PERMANENT
GC34090 Permits Flood
Insurance/
PERMANENT DPC Hard copy 1 year Control Files
GC34090 Landscape PERMANENT
GC34090 Maintenance District
Lot Line
PERMANENT GC34090 Adjustments August
14,
2001 36
Record
Series Retention I Authority Descriptor; Notes Parcel
Map Files PERMANENT GC34090 Parcel
Maps PERMANENT GC34090 Personnel
Files - 2 years DPC Destroy 2 years after closing DPW Employees
Precise Alignment
PERMANENT GC34090 files Public
Works
Files - 8 years DPC Misc.Quitclaim Deeds
ACTIVE +
DPC Original deeds maintained in City I year Clerk'
s Office.Rental Property ACTIVE +
DPC I year Right-
of-way -
ACTIVE + DPC Future Projects
I year Right-of-
way - ACTIVE + DPC Current
Projects 1 year Sanitary/
Storm! PERMANENT GC34090 Map Index Sewer
Index Book SAVIBook
PERMANENT GC34090 Sewer
Files PERMANENT GC34090 Sewer
Frontage PERMANENT GC34090 Book
Sewer
Plans PERMANENT GC34090 August
14, 2001 37
Record Series Retention Authority Descriptor; Notes
Soils Reports PERMANENT GC34090
Special Project Files PERMANENT GC34090
Special Projects PERMANENT GC34090
Index Book
Storm Drain Plans PERMANENT GC34090
Street Improvement PERMANENT GC34090
Plans
Survey Maps Record PERMANENT GC34090
Tentative Parcel PERMANENT GC34090
Map files
Tract Files PERMANENT GC34090
Tract Maps PERMANENT GC34090 Grading & street improvements
August 14,2001 38
Public
Works -
Traffic Record Series Retention
Authority Descriptor; Notes Accident reports 3
years GC34090 Administration files 3
years DPC Correspondence 3 years
DPC Correspondence - 6 years
DPC Litigation Growth Management PERMANENT
DPC
3 years at front counter Area files - GMA 3-
4-7 Malfunctions log - 3
years
DPC Street lights Malfunctions log - 3
years DPC
Traffic Signals Permits - Banner 2 years
GC34090 Permits -
2 years GC34090 Transportation Projects file
2 years DPC Southern California
2
years GC34090 Edison - Shared maintenance
records Street history PERMANENT GC34090
Street light PERMANENT
GC34090 authorization
files August 14,2001
39
Record Series Retention Authority Descriptor; Notes
Street projects PERMANENT GC34090
Traffic Accident cost 3 years GC34090
recovery files
Traffic Commission 5 years DPC
Generalfiles Traffic
Commission PERMANENT GC34090 Scanned Minutes
Traffic Counts
ACTIVE+2 GC34090 years Traffic
study
reports PERMANENT GC34090 August 14,
2001 40