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HomeMy WebLinkAboutCC RES 01-0911 2 3 4 5 6 7 8 9 10 11 12 13 14 15 �16 17 18 19 20 21 22 23 24 25 26 27 28 CORDS RESOLUTION NO.01 -91 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TUSTIN, CALIFORNIA, ADOPTING THE RECORD RETENTION/ DISPOSITION SCHEDULE WHEREAS, it is recognized by more and more government bodies, corporations, and organizations of all types that a records retention program is not a luxury, but a necessity due to Federal and State laws requiring precise records management control; and WHEREAS, the City Clerk is responsible for managing City records with respect to the legal, fiscal, administrative, and archival value of such records; and WHEREAS, in furtherance of this objective, the City Clerk has developed the Tustin Records Retention Disposition Schedule; and WHEREAS, establishing a Records Retention Schedule will assure that legal requirements governing proper records management are met, will promote cost savings, will provide for efficient records retrieval, and will maintain records in an orderly, standardized manner; and WHEREAS, Government Code Section 34090 permits the head of a City department to destroy any City record, document, instrument, book or paper under his/her charge, without making a copy thereof, in accordance with state law after the same is no longer required provided the method of destruction is: (1) approved by the City Council by Resolution; and (2) the City Attorney has given written consent; and WHEREAS, a Record Retention /Disposition Schedule has been prepared to retain City records in active or inactive status only as long as required, image records when they are required for permanent use, and destroy records when they are no longer needed. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF TUSTIN, CALIFORNIA, finds, determines and orders as follows: SECTION 1. A Records Retention /Disposition Schedule, under the supervision and administration of the City Clerk, is hereby established. SECTION 2. The Record Retention /Disposition Schedule, as set forth in Exhibit A attached hereto and made a part hereof ( "Schedule "), is hereby adopted. As staff functions and categories of records are added or deleted from the Schedule, the City Attorney is hereby authorized to approve those additions and deletions from the Schedule. Amendments to the retention period for functions listed on the attached Record Retention /Disposition Schedule may be made only by action of the City Council. 2 3 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Resolution No. 01 -91 Page 2 SECTION 3. This Resolution does not authorize the destruction of: A. Records affecting the title to real property or liens thereof. B. Court records. C. Records required to be kept by statute. D. Records less than two years old. E. The Minutes, Ordinances, or Resolutions of the legislative body or of a City board or commission. SECTION 4. With the prior approval of the City Council by resolution and the prior written consent of the City Attorney, the City Clerk may destroy any city record, document, instrument, book or paper, without making a copy thereof, pursuant to the retention parameters set forth in the attached Retention /Disposition Schedule. PASSED A D ADOPTED at a regular meeting of the City Council of the City of Tustin on the fld1day o 2001. isr 21 22 23 24 25 26 27 28 CORDS PAMELA STOKER CITY CLERK _2_ Rha G(/ TRACY LS WORLEY, MAYO EXHIBIT A CITY OF TUSTIN RECORDS RETENTION SCHEDULE Code Explanations The following codes are used in the first column (Office of Record) of the retention schedules: Office of Record = The department(s) responsible for preserving original records within the records series until retention requirements have been met. The specified Offices of Record are: AGEN = Other Agencies. These documents are not public records for the City of Tustin. The originating agency is responsible for their preservation in accordance with legal requirements. These documents may be destroyed by the City whenever they are no longer useful for reference purposes. BLDG = Building CA = City Attorney CC = City Clerk CD = Community Development CM = City Manager CS = Parks and Recreation Services DEPT = Any department having original records for the records series FIN = Finance HR = Human Resources PLAN = Planning PD = Police PW = Public Works, Engineering, Field Services, Water The following codes are used to describe retention requirements: C = While current or until completed D = Until disposition E = Until expiration P = Permanent S = Until superseded or settled T = Until terminated AC = After completion AD = After disposition AE = After expiration AP = After paid AS = After settled or superseded AT = After termination 2/D/R = Destroy when no longer required or relevant, retain minimum of 2 years. D/R = Destroy when no longer required or relevant. These records either (1) are not considered to be public records or (2) are other - agency information for which the originating agency has the responsibility for preservation. 1,2,3 = Number of years (unless otherwise specified) after date of document creation Office Of Record Dept 0100 0100 Dept Dept Dept Dept Dept Dept Dept Dept CM Dept CM Dept CM CM Dept HR CM Dept Dept Dept Dept Recd3 Records Description COPIES or DUPLICATES of Records for which a department is not the office of record THE FOLLOWING RETENTION PERTAINS TO ORIGINAL RECORDS, EXCEPT WHERE OTHERWISE NOTED: ADMINISTRATION General Administration Activity Reports, Departmental Assignment Lists Compliments, General Complaints /Inquiries, General Congratulation Letters Council Assistance Requests Daily Work Logs /Reports Directives, Departmental Directives, Management Drafts Goals & Objectives, City -wide Goals & Objectives, Departmental Management Audits Policies /Procedures, City -wide Policies /Procedures, Departmental Organization Charts Referrals Reports, Administrative Service Requests Staff Meeting Notices /Records Surveys /Questionnaires, Admin RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging D/R - no D/R 2 2/D/R 2 S 2 2 2 /D /R S S 2 /D /R S 2 /D /R S S S S 2 2 2 2 /D /R 2 Explanation /Comments Destroy when no longer relevant per Government Code Section 34090.7. It is the policy of the City of Tustin that duplicates and copies distributed to various departments for informational purposes may be destroyed by the departments whenever they are no longer required for reference purposes. 1 no 3 no 2 /D /R Destroy when no longer relevant, retain minimum of 2 years 1 no 3 3 no 3 /AS Until settled; 3 years after settled 1 no 3 1 no 3 - no 2/D/R Destroy when no longer relevant, retain minimum of 2 years - no S Until superseded - yes P Until superseded; permanent for research value - no 2 /D /R Destroy when no longer relevant, retain minimum of 2 years - yes P Until superseded; permanent for historic value - no 2 /D /R Destroy when no longer relevant, retain minimum of 2 years - yes P Until superseded; permanent for research /historic value - yes P Until superseded; permanent for research value - no S Until superseded - yes P Until superseded; permanent for research /historic value 1 no 3 1 no 3 1 no 3 - no 2 /D /R Destroy when no longer relevant, retain minimum of 2 years 1 no 3 Page 1 of 41 Office Of Record 0100 0100 Dept Dept Dept Dept 0110 Dept Dept Dept Dept Dept Dept Dept 0120, 0125 Dept CC Dept CC Dept Dept CC Recd3 Records Description ADMINISTRATION (Continued) General Administration (Cont) Suspense/Tickler Files Work Orders Work /Vacation Schedules Workpapers Reference Correspondence, Chronological Correspondence, Miscellaneous Correspondence, Reference Libraries Memoranda, Interdepartmental Chronological Memoranda, Miscellaneous Reference Periodicals Reference Publications Boards, Commissions & Committees Agenda Packets Appointment Applications: Successful Unsuccessful Audio Tapes of Meetings By -Laws Correspondence /Memos, General Handbooks Minutes RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 2 2 2 /D /R D/R 2 2 2 /D /R 2 D/R D/R 2 E 2 2 S 2 S P 1 no 3 1 no 3 1 no 3 - no 2 /D /R - no D/R 1 no 3 1 no 3 - - 2 /D /R 1 no 3 no D/R no D/R 3 no* 5 2 yes P 1 no 3 1 no 3 yes P 1 no 3 yes P yes P * Explanation /Comments Destroy when no longer relevant, retain minimum of 2 years Destroy when no longer relevant; these are duplicates, not the original records Destroy when no longer relevant, retain minimum of 2 years Destroy when no longer relevant; these are either duplicate City records or other - agency publications Destroy when no longer relevant; these are either duplicate City records or other - agency publications Administrative decision; *recommend selected reports be microfilmed /optical imaging and retained permanently for research /historic value Until expiration of term, plus 2 years; permanent for historic value Until superseded; permanent Until superseded; permanent for historic value Permanent; microfilm /optical imaging for safety only, originals may not be destroyed Page 2 of 41 Office Of Record 0100 0120, 0125 CC Dept Dept CC 0130, 0140, 0150 Agen Agen Agen Agen Agen Dept Agen Dept Agen Agen Agen Dept Dept Agen Agen Agen Agen Recd3 Records Description ADMINISTRATION (Continued) Boards, Commissions & Committees (Cont) Resolutions Rosters /Directories Staff Reports Term Expiration Date Lists Local, Civic & At Large Organizations Governmental /Regulatory Agencies Agendas Annual Reports Brochures Bulletins By -Laws Correspondence Meeting Announcements Membership Applications & Renewals Minutes Newsletters Publications Questionnaires & Surveys Reference Information, Admin Reports Regulations Resolutions Rosters & Directories RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging P - yes P S - yes P 3 2 no 5 S - yes P D/R D/R D/R D/R D/R 2 D/R 2 D/R D/R D/R 2 2 D/R D/R D/R S - no D/R no D/R - no D/R - no D/R - no D/R 1 no 3 - no D/R 1 no 3 - no D/R - no D/R - no D/R 1 no 3 1 no 3 - no D/R - no D/R - no D/R - no S Explanation /Comments Permanent; microfilm /optical imaging for safety only, originals may not be destroyed Until superseded; permanent for historic value Administrative decision; recommend staff reports of significant research, evidential or historic value be retained permanently Until superseded; permanent for historic value Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant These are original City responses to other - agency inquiries or surveys (i.e., correspondence) Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Until superseded Page 3 of 41 Office Of Record Records Description 0100 ADMINISTRATION (Continued) 0160 CM CM Dept CM Dept Dept CC CC Dept CC Dept Dept CM CM CM CM Public Relations & Information Awards /Donations Biographical Data, Council Brochures, City Calendars of Events Contracts Administration Records Correspondence /Memos Emblems & Flags, City Historical Records Holiday Decorations Maps, City Media Correspondence Media Mailing /Distribution Lists Newsclippings, City- related Newsletters, City Photographs, City - related Press Releases Dept Public Ceremonies & Events CM Public Information Reports, City Dept Public Questionnaires & Surveys Dept Publications, City Agen Reference Information, Other - Agency CC Sister City Program Dept Speeches & Lectures Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging C - yes C - yes C - yes C - yes T 3 no 2 1 no 3 C - yes P 2 - yes P 2 1 no 3 C - no P 2 1 no 3 S - no S 2 1 no 3* 2 - yes P 2 1 no 3* 2 1 no 3* C yes P C - yes P C - yes P C - yes P D/R - no D/R C - yes P C - yes P P P P P 3 /AT Explanation /Comments While current; permanent for historic value While current; permanent for historic value While current; permanent for historic value While current; permanent for historic value Until contract termination; 3 years after termination. Original contract documents are filed permanently with City Clerk While current; permanent for historic value Permanent for historic value; transfer to City Clerk for final historic determination and disposition /preservation While current; retain record copy permanently for historic value Until superseded *Recommend selected clippings be retained for historic value and transferred to Clerk for safekeeping Permanent for historic value *Recommend selected photographs be retained permanently for historic value; transfer to City Clerk for safekeeping *Recommend selected releases be retained permanently for historic value While current; permanent for historic value While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value Destroy when no longer relevant While current; permanent for research /historic value While current; permanent for historic value Page 4 of 41 Office Of Record 0100 ADMINISTRATION (Continued) Records Description 0170 Records Management CC Certificates of Destruction Dept Correspondence /Memos CC Destruction Lists with Approvals CC Filing System Guide Dept Forms, Blank Dept Inventories Dept Locator Logs CC Policy & Guidelines CC Retention Schedules Dept Transfer Lists 0180 Risk Management Fin Accident /Injury Reports (with fatalities; other than industrial- related injury reports) Fin Accident /Injury Reports (no fatalities; other than industrial- related injury reports) Accidents or Damage to City Property Bonds, Faithful Performance Fin CC Fin Fin Dept HR HR Recd 3 Bonds, Public Official Claims Against City Contracts Administration Records Disability Claims Injury Reports, Industrial - Related RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging P 2 P S 2 /D /R S S S S S C 2 S C T S T S 2 yes P 1 no 3 yes P no S no 2 /D /R no S no S no S yes P no S yes P 3 no 5 3 no 3 /AS yes P yes P 3 no 3 /AS 3 no 3 /AT 30 yes 30 /AS 8 no 10 Explanation /Comments Permanent; append to Resolution of destruction Permanent; append to Resolution of destruction Until superseded Destroy when no longer relevant, retain minimum of 2 years Until superseded Until superseded Until superseded Until superseded; permanent for evidential value; append to Resolution of adoption Until superseded While current; permanent; administrative decision Administrative decision Until settled; 3 years after settled. Administrative decision; retention conforms to GC 34090 at minimum While current; permanent; originals should be given to City Clerk for filing with contract documents Until terminated; permanent Until settled; 3 years after settled Until contract termination; 3 years after termination. Original contract documents are filed permanently with City Clerk Until settled; 30 years after settled Administrative decision Page 5 of 41 Office Of Record 0100 0180 CC/ Fin CC Fin Fin Fin HR 0190 Dept Dept Dept Dept Dept Dept Dept Dept Dept Dept Dept Recd3 Records Description ADMINISTRATION (Continued) Risk Management (Cont) Insurance Certificates Insurance Policies /Riders/ Renewals Insurance Proposals: Successful Unsuccessful Procedures Manuals Regulations & Policy, City Worker's Compensation Claims Staff Services Computer Reference Info Correspondence Data/Word Processing Reference Information Mail Distribution Lists Mailing Directories /Address Lists Mailing Services Reference Procedures Regulations & Policy, City Software Systems Applications Staff Directories Work Requisitions RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging E E E 2 S C S 2 /D /R 2 2/D/R S S 2 /D /R S C 2 /D /R S 2 yes P yes P yes P 1 no 3 yes P yes P 30 yes 30 /AS - no 2 /D /R 1 no 3 - no 2 /D /R no 5 no S no 2 /D /R no S yes P no 2 /D /R no S 1 no 3 Explanation /Comments Until expiration; permanent; file with related contract in City Clerk's office Until expiration; permanent; file originals with City Clerk Until expiration; permanent; file originals with City Clerk Until superseded; permanent for evidential value While current; permanent for research /historic value Until settled; 30 years after settled Destroy when no longer relevant, retain minimum of 2 years Destroy when no longer relevant, retain minimum of 2 years Until superseded Until superseded Destroy when no longer relevant, retain minimum of 2 years Until superseded While current; permanent for research /historic value Destroy when no longer relevant, retain minimum of 2 years Until superseded Page 6 of 41 Office Of Record Records Description 0200 SAFETY, HEALTH & WELFARE 0200 Dept Dept Dept Agen 0210 Dept Dept Dept 0220 Agen PW PW PW Dept PW Agen PW CC Agen Recd3 Animal Care & Control Complaints /Investigations Contracts Administration Records Correspondence Regulations & Policy, Other - Agency Consumer Issues Complaints /Investigations Consumer Protection /Advocacy Correspondence Disaster Preparedness Brochures /Bulletins /Notices, Other- Agency Civil Defense Planning (working files) Civil Disturbance & Riots Community Resources Correspondence, General Disaster Case Files Hazardous Materials Contingency Plans, Other- Agency _ Mutual Assistance Operational Plans, City Operational Plans, Other - Agency RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging S T 2 D/R S 2 2 D/R 2 /D /R 3 D/R 2 C S 2 C D/R 3 no 3 no Explanation /Comments 3 /AS Until settled; 3 years after settled 3 /AT Until contract termination; 3 years after termination. Original contract documents are filed permanently with City Clerk 1 no 3 no D/R 3 no 3 /AS 1 no 3 1 no 3 - no D/R no 2 /D /R 2 no 5 no D/R 1 no 3 yes P no* S* 1 no 3 yes P no D/R Destroy when no longer relevant Until settled; 3 years after settled Destroy when no longer relevant Destroy when no longer relevant, retain minimum of 2 years Administrative decision Destroy when no longer relevant, These are brochures and information gathered for resource purposes from other agencies. While current; permanent; administrative decision Until superseded; *not a public record unless City is party to Plan, in which case, retain permanently and microfilm /optical imaging. This is reference information only; agreements are filed .permanently with the City Clerk While current; permanent; file record copy with City Clerk Destroy when no longer relevant Page 7 of 41 Office Of Record 0200 0220 PW CC Agen CC PW PW PW 0230 Agen Agen PW Agen PW Agen PW Agen PW Agen Recd3 Records Description SAFETY, HEALTH & WELFARE (Continued) Disaster Preparedness (Cont) Public Education Programs Regulations & Policy, City Regulations & Policy, Other - Agency Reports & Studies, Special City Rosters, Emergency Personnel Training Programs Warning Systems Environmental Issues & Conservation Brochures, Other- Agency Bulletins, Other- Agency Correspondence /Memoranda, General Newsletters, Other - Agency Procedures Reference Information, Other - Agency Regulations & Policy, City Regulations & Policy, Other - Agency Reports & Studies, Special City Reports & Studies, Other- Agency RETENTION /DISPOSITION Office inactive Microfilm/ Total Optical Imaging D/R D/R 2 D/R S D/R C D/R C D/R 3 no 3 + yes P - no D/R yes P no S 3 no 3 + 3 no 3 + - no D/R - no D/R 1 no 3 - no D/R - no S no D/R yes P no D/R yes P no D/R Explanation /Comments While current; minimum of 3 years While current; permanent for research /historic value Destroy when no longer relevant While current; permanent for research /historic value Until superseded While current; minimum of 3 years While current; minimum of 3 years Destroy when no longer relevant Destroy when no longer relevant Destroy when no longer relevant Until superseded Destroy when no longer relevant While current, permanent for research /historic value Destroy when no longer relevant While current, permanent for research /historic value Destroy when no longer relevant Page 8 of 41 Office Of Record 0200 0240 Dept. Agen Agen 0250 Dept Dept Agen Dept Agen Dept Agen 0260 Dept Dept Agen Agen CC Agen Records Description SAFETY, HEALTH & WELFARE (Continued) Health Protection & Services Correspondence Regulations & Policy, Other- Agency Reports & Studies, Other - Agency Human. & Social Services Correspondence /Memoranda, General Program Reference Information Reference Information, Other - Agency Regulations & Policy, City Regulations & Policy, Other - Agency Reports & Studies, Special City Reports & Studies, Other - Agency Fire Prevention & Suppression Services Contract Administration Records Correspondence, General Fire Prevention Activity Reports (copies) Inspections, Other- Agency (copies) Regulations & Policy, City Regulations & Policy, Other - Agency (copies) Agen Reports & Studies, Other - Agency Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 D/R D/R 2 T D/R C D/R C D/R T 2 D/R D/R C D/R D/R 1 no 3 - no D/R - no D/R 1 no 3 3 no 3 /AT - no D/R - yes P - no D/R - yes P - no D/R 3 no 3 /AT 1 no 3 - no D/R - no D/R - yes P - no D/R - no D/R Explanation /Comments Destroy when no longer relevant Destroy when no longer relevant Until program termination; 3 years after termination Destroy when no longer relevant While current, permanent for research /historic value Destroy when no longer relevant While current, permanent for research /historic value Destroy when no longer relevant Until contract termination; 3 years after termination. File original contract documents permanently with City Clerk. Destroy when no longer relevant Destroy when .. no longer relevant While current; permanent Destroy when no longer relevant Destroy when no longer relevant Page 9 of 41 Office Of Record 0200 0260 Agen Agen CC 0270 PD PD PD PD PD PD PD PD PD PD Recd3 Records Description SAFETY & HEALTH (Continued) Fire Prevention & Suppression Services (Continued) Reports & Studies, Other - Agency Statistical Reports (copies) Weed Abatement Case Files RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging D/R D/R C Police Protection & Services Commendations /Awards 2 Contract Administration Records T Correspondence /Memoranda, 2 General Education Program Reference C Grant Applications & Programs 2 Licenses, Permits & Registrations E Reference Information, Other- D/R Agency Regulations & Policy, City C Reports & Studies, Special City C C Statistics /Surveys - no D/R - no D/R - yes P 1 no 3 - no 3 /AT no 3 3 no 3 + 5 no 7 3 no 3 /AE - no D/R - yes P yes P yes P Explanation /Comments Destroy when no longer relevant Destroy when no longer relevant While current; permanent Until contract termination; 3 years after termination; File original contract documents with City Clerk While current; minimum of 3 years Administrative decision; refer to special grant requirements for additional retention Until expiration; 3 years after expiration Destroy when no longer relevant While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value Page 10 of 41 Office Of Record Records Description 0300 FINANCE & FISCAL 0300 Fin Fin Fin Fin Fin Fin Fin Fin Fin Dept Fin Fin Fin Fin Fin Fin Fin Fin Fin 0310 Fin CC/ Fin Fin Recd3 Accounting Accounting Reports Annual Reports Cash Statements Chart of Accounts Check Registers Fiscal Analyses Fixed Assets Inventories Fund Transfers General Ledgers Grant Audit Reports Grant Financial Records Journal Vouchers Petty Cash Vouchers Policies & Procedures Regulations & Policy, City State Controller Reports, Annual Treasurer's Reports Warrant Registers Worksheets Audits Audit Preparation Records Audit Proposals: Successful with related documents Unsuccessful /Rejected with related documents RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 2 2 2 2 2 S 2 2 2 2 5 no 7 yes P 5 no 7 yes P 5 no 7 5 no 7 yes P 5 no 7 yes P yes P 5 no 7 2 5 no 7 2 5 no 7 S - yes S C - yes P 2 5 no 7 2 - yes P 2 - yes P 2 /D /R 2 C 2 Explanation /Comments Administrative decision Permanent Administrative decision Permanent Administrative decision Administrative decision Until superseded; permanent Administrative decision Permanent Permanent Administrative decision; see specific grant requirements for additional retention Administrative decision Administrative decision Until superseded While current; permanent for research /historic value Administrative decision Permanent May destroy original after microfilming /optical imaging; code requires 15 -year retention; administrative decision to retain permanently no 2 /D /R Destroy when no longer relevant, retain minimum of 2 years 1 no 3 yes P 1 no 3 While current; permanent; file successful bids with contract in City Clerk's office Page 11 of 41 Office Of Record 0300 0310 Fin Fin Fin 0320 Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Fin Recd3 Records Description FINANCE & FISCAL (Continued) Audits (Continued) Audit Reports Audit Reports, Grants Audit Schedules Banking Agreements, Banking Armored Transport Receipts Checks, Cancelled, General Checks & Credit Card Slips, Returned Checks, Stale -Dated Correspondence Debit /Credit Memos Deposit Corrections Deposit Slips /Receipts Facsimile Signatures Procedures Regulations & Policy, City Reports, Banking Reports & Studies, Special City Signature Cards Statements & Reconciliations Stop Payments Warrants (paid) Wire Transfers Workpapers RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 - yes P 2 - yes P 2 1 no 3 T 3 no 3 /AT 2 5 no 7 2 5 no 7 2 5 no 7 2 5 no 7 2 1 no 3 2 5 no 7 2 5 no 7 2 5 no 7 S 3 no 3 + S yes S C - yes P 2 5 no 7 C - yes P S 3 no 3 + 2 5 no 7 2 5 no 7 2 5 no 7 2 5 no 7 2 /D /R - no 2 /D /R Explanation /Comments Permanent Permanent Until termination; 3 years after termination Administrative decision Administrative decision Administrative decision Administrative decision Administrative decision Administrative decision Administrative decision Until superseded; minimum of 3 years Until superseded While current; permanent for research /historic value Administrative decision While current, permanent for research /historic value Until superseded; minimum of 3 years Administrative decision Administrative decision Administrative decision; keep warrant registers 15 years or microfilm /optical imaging for permanent retention Administrative decision Destroy when no longer relevant, retain minimum of 2 years Page 12 of 41 Office Of Record Records Description 0300 FINANCE & FISCAL (Continued) 0330 Fin Fin Dept Fin Fin Fin Dept Fin Fin Fin Fin Fin Budgeting Budget, Annual City Budget, Capital Improvements Budget, Departmental Budget, Revenue Sharing Budget Manual & Calendar Budget Reports Budget Requests, Departmental Budget Requests, External Procedures Regulations & Policy, City Revenue Estimates Workpapers 0340 Assessment District Financial Records Fin Financial Records Fin Assessment Proceedings, Abandoned Fin Financing Programs Reference Fin Regulations & Policy, City 0350 Fin/ CC/ PW Fin Fin Recd3 Bond Issues /Debt Service Bond Authorizations & Related Public Hearing Records, Prospectus, Accepted Proposals, Certificates, Notices Bond Bids /Proposals, Rejected Bond Reference Information RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 - yes P 2 - yes P 2 1 no 3 2 - yes P 2 1 no 3 2 5 no 7 2 1 no 3 2 1 no 3 S - yes S C yes P 2 5 no 7 2 /D /R no 2 /D /R C - yes P C 3 no 3 + C 3 no 3 C - yes P T yes P 2 D/R -1 no 3 - no D/R Explanation /Comments Permanent Permanent Permanent Administrative decision Until superseded While current; permanent for research /historic value Administrative decision Destroy when no longer relevant, retain minimum of 2 years While current; permanent While current; recommend 3 years after abandonment While current While current; permanent for research /historic value Until terminated; permanent Destroy when no longer relevant. This refers to other - agency publications and brochures. Page 13 of 41 Office Of Record Records Description 0300 FINANCE & FISCAL (Continued) 0350 Fin Fin Fin Fin Fin Fin 0355 Fin Fin Fin Fin Fin Fin 0360 Fin Fin Fin Fin Fin Fin Fin Fin Fin Recd3 Bond Issues /Debt Service (Cont) Bond Registers Bond - Related Correspondence Bonds & Coupons, Paid/ Cancelled (Revenue Bonds) Bonds, 1911 Improvement Act Bonds, 1915 Improvement Act Regulations & Policy, City Investments Certificates of Deposit Correspondence Investment Portfolio Investment Statements & related documents Regulations & Policy, City Reports & Studies, Special City Payroll Deductions /Authorizations Payroll Registers Prepaid Check Stubs Procedures Regulations & Policy, City Tax Records Time Cards /Sheets Travel /Mileage Expenses Workpapers RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging yes P 1 no 3 3 no 3 /AP 5 1 5 2 5 2 - 2 5 S - C - 2 5 2 1 2 5 2 /D /R - yes yes yes no no yes no P P P 7 3 P 7 yes P yes P no yes no no yes no no no no 7 P 7 S P 7 3 7 2 /D /R Explanation /Comments While current; permanent; may destroy after microfilming /optical imaging Until paid; 3 years after paid. Code permits destruction after bond is paid or cancelled; administrative decision to retain additional 3years. While current; permanent While current; permanent While current; permanent for research /historic value Administrative decision While current; permanent Administrative decision While current; permanent for research /historic value While current, permanent for research /historic value Administrative decision (includes leave slips, W -2 forms, etc.) Permanent Administrative decision Until superseded While current; permanent for research /historic value Administrative decision Administrative decision Administrative decision Destroy when no longer relevant, retain minimum of 2 years Page 14 of 41 Office Of Record Records Description 0300 FINANCE & FISCAL (Continued) 0370 Fin Fin CC Fin 0380 Fin Fin CC Fin Fin Fin Fin/ Dept Fin/ Dept Fin/ Dept Fin CC Fin Recd3 Pension & Retirement Funds Reports Deferred Compensation Reports Retirement Correspondence Retirement Plan Agreements, Amendments, related records Retirement Plan Reports Purchasing Accounts Payable 1099 Forms Bid Notices /Affidavits of Publication Bids for Equipment /Supplies: Cancelled Successful with related documents Unsuccessful /Rejected with related documents Bids for Services: Cancelled Successful with related documents Unsuccessful /Rejected with related documents Equipment Disposition: Auction Lists, Reports, Bills of Sale Equipment Purchase Agreements Inventories, Supply RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging C - yes P 2 1 no 3 C - yes P C - yes P 2 5 no 7 2 5 no 7 C - yes P 2 1 no 3 D 3 no 3 /AD 2 1 no 3 2 1 no 3 C - yes P 2 1 no 3 D 3 no 3 /AD D 3 no 3 /AD S - no S Explanation /Comments While current; permanent While current; permanent; file with City Clerk While current; permanent Administrative decision Administrative decision While current; permanent; file with related contract Until disposition of equipment; 3 years after disposition; file successful bids with contract in City Clerk's office While current; permanent; file successful bids with contract in City Clerk's office Until disposition; 3 years after disposition Until disposition; 3 years after disposition Until superseded Page 15 of 41 Office Of Record 0300 0380 Fin Fin Fin Fin Dept Dept 0390 Fin CD CD CD CD Fin CC CC Dept Dept Dept Dept Dept Dept Dept Fin Fin Fin Fin Recd3 Records Description FINANCE & FISCAL (Cont) Purchasing (Continued) Policies & Procedures Pricing Manuals Purchase Requisitions /Orders Regulations & Policy, City Vendor Catalogs /Brochures Work Orders /Service Requests Revenue & Taxation Accounts Receivable Business Licenses: Case Files Revocations Activity Logs Activity Reports Census Records Fee Schedules Fee Studies Fee Waiver Requests Fees, Proposed Funding Applications, Grants: Successful, with related documents Unsuccessful Funding Applications, Other (Successful) Funding Programs, General (County /State /Federal/ Regional /Private /Corporate) Procedures Regulations & Policy, City Revenue Receipts /Reports Tax Reference Information RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging S S 2 C D/R 2 2 C 2 2 2 2 S C 2 2/D/R 2 2 2 D/R S C 2 D/R no S no S 5 no 7 yes P - no D/R 1 no 3 5 no 7 3 no 3 + yes P yes P yes P 5 no 7 yes P yes P 1 no 3 no 2 /D /R yes P 1 no 3 5 no 7 no D/R no S yes P 5 no 7 no D/R Explanation /Comments Until superseded Until superseded Administrative decision; if grant related, 3 years after disposal or per specific grant requirements; may wish to keep equipment P.O.s until disposal of equipment While current; permanent for research /historic value Destroy when no longer relevant Administrative decision While current; minimum of 3 years Permanent; administrative decision Permanent; administrative decision Permanent; administrative decision May wish to retain record copy permanently for historic value. Until superseded; permanent; append to Resolution of adoption While current; permanent for research /historic value Destroy when no longer relevant, retain minimum of 2 years Permanent; administrative decision Administrative decision; refer to specific funding program for additional retention Destroy when no longer relevant; this refers to other - agency publications, guidelines & requirements. These documents are not public records for the City. Until superseded While current; permanent for research /historic value Administrative decision Destroy when no longer relevant; this refers to other - agency publications, guidelines, requirements, forms, etc. Page 16 of 41 Office Of Record Records Description 0300 FINANCE & FISCAL (Cont) 0390 Fin Fin Revenue & Taxation (Continued) Treasurer Revenue Allocations Workpapers RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 2 /D /R 0400 LEGAL & LEGISLATIVE 0400 Agreements & Contracts CC Agreements /Contracts (except C equipment & leases) CC Agreement /Contract Amendments C & Change Orders Dept Equipment Maintenance/ E Service Agreements CC Lease Agreements E CC Regulations & Policy, City C 0410 CC CC CC 0420 CC CC CC CM CC CM CC CC Recd3 Assessment District Formation Records Assessment District Case Files & related documents Assessment Proceedings, Abandoned Regulations & Policy, City City Council Agenda Packets Agendas Appointments /Resignations Commendations Committee Representatives Correspondence Meeting Notices Minutes C 5 no 7 no 2 /D /R Explanation /Comments Administrative decision Destroy when no longer relevant, retain minimum of 2 years yes P While current; permanent for historic /evidential value; Council - authorized agreements should be filed with City Clerk yes P While current; permanent due to evidential value; file with related agreement 3 no 3 /AE Until expiration; 3 years after expiration 3 no 3 /AE yes P yes P C 3 no 3+ C 2 yes P 3 no* 5 * Until expiration; 3 years after expiration While current; permanent for research /historic value While current; permanent While current; minimum of 3 years While current; permanent for research /historic value Administrative decision; *recommend selected reports be microfilmed /optical imaging and retained permanently for research /historic value 2 1 yes 3 C - yes P While current; permanent for historic value 2 1 no* 3* *May wish . to retain selected records permanently and microfilm /optical imaging for historic value C 3 no 3 + While current; retain minimum of 3 years 2 1 no 3 2 1 no 3 P - yes P Permanent; microfilm /optical imaging for safety only; originals may not be destroyed Page 17 of 41 Office Of Record 0400 0420 CC CC CC CC CC CC CC 0425 CD CD CD 0440 Plan Plan Plan 0445 CC CC CC Agen CC CC Recd3 Records Description LEGAL & LEGISLATIVE (Continued) City Council (Continued) Policies & Procedures Proclamations, City Reorganization /Rosters Rules of Procedure Tapes, Audio Tapes, Video Transcripts Tustin Community Redevelopment Agency Same as Council records, above Agency Formation Records Annual Reports Code Compliance Activity Logs Activity Reports Case Files Conflict of Interest Conflict of Interest Code Economic Interest: Form 721 /700 Statements Form 730/700 Statements Instructions & Regulations, Other- Agency Procedures Regulations & Policy, City RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging S 2 C P 2 2 2/D/R* yes P yes P yes P yes P 1 no 3 - - P no 2/D/R C - yes P C yes P 3 yes P 3 - yes P 3 - yes P S - yes P 4 no 4 4 3 no 7 S - no S S no S C - yes P Explanation /Comments Until superseded; permanent for research /historic value Permanent; administrative decision While current; permanent for historic value Permanent for historic value Permanent; administrative decision Destroy when no longer relevant *unless they officially become part of the minutes, in which case retention for minutes applies. Retain minimum of 2 years While current; permanent While current; permanent Permanent for research value; administrative decision Permanent for research value; administrative decision Permanent for research value; administrative decision Until superseded; permanent for research /historic value If City Clerk maintains a copy and forwards original statement to FPPC, retention is 4 years City Clerk maintains the original, therefore they must be kept for 7 years Until superseded Until superseded While current; permanent for research /historic value Page 18 of 41 Office Of Record 0400 0450 CC CC Agen Records Description LEGAL & LEGISLATIVE (Continued) Elections Absentee Voter Applications & Lists Ballots, Returned Absentee & Spoiled Ballots, City Sample Ballots, Statewide Sample CC Campaign Statements: Successful Candidates Unsuccessful Candidates CC Certificates of Election/ Results of Votes Cast Agen Election Forms CC Election Planning Materials & Reference Agen FPPC Bulletins /Newsletters/ Instructions CC Nomination Papers /Candidates E & Economic Interest Statements CC Petitions, Recall RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 6 mos 6 mos 2 D/R 2 2 2 S S D/R CC CC CC CC Recd3 Petitions, Referendum & Initiative Precinct Maps Precinct Materials & Officer Oaths Procedures, Administrative 8 mos 8 mos 2 6 mos S no 6 mos no 6 mos yes P no D/R yes P 3 no 5 yes P no S no S no D/R 4 yes 4/A E no 8 mos no 8 mos 10 no 12 no 6 mos 3+ no 3+ Explanation /Comments 6 months after election 6 months after election unless election results are legally challenged Permanent for historic value Destroy when no longer relevant not a public record as long as City measure is not on the ballot Permanent for historic value Permanent for historic value Until superseded Until superseded; recommend 2 years after election Destroy when no longer relevant Until expiration of term; 4 years after expiration 8 months after election for which petition qualified or 8 months after Clerk's final examination unless election results are legally challenged 8 months after election for which petition qualified or 8 months after Clerk's final examination unless election results are challenged Per Elections Code for state retention requirement 6 months after election unless election results are legally challenged Until superseded; minimum of 3 years Page 19 of 41 Office Of Record 0400 0450 CC CC CC 0455 CC CC Dept CA Dept HR CA CC Dept CC 0460 Dept CC Agen CC CC CC Recd3 Records Description LEGAL & LEGISLATIVE (Continued) Elections (Continued) Regulations & Policy, City Regulations & Policy, Other - Agency Translator Certificates Legal Operations Affidavits of Posting Affidavits of Publication Certified Mail Receipts/ Returned Mail Court Orders & Subpoenas (other than litigation case files) Legal Notices Oaths of Office, Employees Opinions, City Attorney Notary Bonds /Certificates Public Hearing Notifications Procedures, Legal Legislation Code Excerpts Codes, City Legislation, Other- Agency Legislative Advocacy Ordinances & Resolutions: Adopted Drafts /Proposed RETENTION /DISPOSITION Office Inactive C D/R 6 mos 2 2 2 S C T S E C S D/R S D/R 2 P 2 /D /R Microfilm/ Total Optical Imaging . yes P no D/R no 6 mos yes P yes P 1 no 3 no 3 /AS yes P 3 no 3 /AT yes P 2 no E+ 2 yes P yes • P no D/R yes P no D/R 1 no 3 yes P yes 2 /D /R Explanation /Comments While current; permanent for research /historic value Destroy when no longer relevant 6 months after election Permanent, file with related case records Permanent; file with related case records Until settled; 3 years after settled While current; permanent for evidential value; file with related project Until termination; 3 years after termination Until superseded; permanent for administrative /evidential value Until expiration; expiration of term plus 2 years While current; permanent for research /evidential value Until superseded; permanent for evidential value Destroy when no longer relevant; these are copies Until superseded; permanent; includes Municipal and Uniform Building, Plumbing, Housing, Mechanical & Electrical Codes Destroy when no longer relevant Permanent; microfilm /optical imaging for safety only; originals may not be destroyed Destroy when no longer relevant, retain minimum of 2 years Page 20 of 41 Office Of Record Records Description 0400 LEGAL & LEGISLATIVE (Continued) 0470 CA CA CA CA CA 0480 Dept CC Litigation Investigation Requests Investigations (not resulting in legal actions) Investigations (resulting in legal actions) Litigation Case Files Summons Acknowledgements Special Permits Permits, Temporary Regulations & Policy, City 0490 Real Property CC Acquisition & Disposition Records CC Address Changes CC Appraisals CC/ PW CC/ PW CC CC CC CC CC Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 S S S S Explanation /Comments 1 no 3 3 no 3 /AS Until settled; 3 years after settled yes P 3 yes P yes P E 3 no 3 /AE C - yes P C C C Boundary Maps & C Measurements Condemnation /Eminent Domain C Proceedings Covenant /Agreement to Hold As C One Parcel Declarations of Restrictions C Deeds Deeds Index Easements C S C yes P yes P yes P yes P yes P yes P yes P yes P no S yes P Until settled; permanent; administrative decision; file with related litigation records Until settled; permanent; administrative decision Until settled; permanent; administrative decision; file with related litigation records Until expiration; 3 years after expiration While current; permanent for research /evidential value While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent for research /historic value While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed Until superseded While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed Page 21 of 41 Office Of Record 0400 0490 CC CC CC CC CC CC CC CC CC Recd3 Records Description LEGAL & LEGISLATIVE (Continued) Real Property (Cont) Encroachments, Permanent Inventories, Real Property Liens Offers of Dedication: Accepted Irrevocable Unaccepted Permits, Uncontrolled Embankment Procedures Regulations & Policy, City Title Reports Vacations & Abandonments RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging yes P yes P yes P yes P yes P 1 no 3 yes P no S yes P yes P yes P Explanation /Comments While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent for research /historic value While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent, microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent, microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent, microfilm /optical imaging for safety only, originals may not be destroyed Until superseded While current; permanent for research /historic value While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed While current; permanent; microfilm /optical imaging for safety only, originals may not be destroyed Page 22 of 41 Office Of Record Records Description 0500 HUMAN RESOURCES (HR) 0500 HR Agen HR HR HR HR HR HR HR HR HR HR HR Agen HR Administration Activity Reports Brochures & Publications, Other- Agency Employee Assistance Programs Employee Handbooks Employee Lists Employee Newsletters Employee Orientation Employee Suggestions Turnover Reports HR Policies /Procedures New Position Requests Reports (Equal Rights, Goals, Minority Hiring, Employment Statistics, etc.) Rules & Regulations, City Rules & Regulations, Other - Agency 0510 Classifications & Qualifications HR Class Level Determinations HR Classification Surveys HR Job Descriptions HR Reclassification Requests HR Reports & Studies, Special City Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 D/R 2 S S 2 2 /D /R 2 2 S 2 S C S 1 no 3 no D/R 1 no 3 yes P no S yes P no 2 /D /R 1 no 3 1 no 3 yes P 1 no 3 yes P yes P no S yes P yes P yes P 1 no 3 yes P Explanation /Comments Destroy when no longer relevant Until superseded; permanent for administrative /historic value Until superseded Permanent for administrative /historic value Destroy when no longer relevant, retain minimum of 2 years Until superseded; permanent for research /historic value Until superseded; permanent for research /historic value While current; permanent for research /historic value Until superseded While current; permanent; administrative decision While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value Page 23 of 41 Office Of Record 0500 0520 HR Agen HR HR HR HR HR HR 0530 HR HR 0540 Agen HR HR HR CC CC HR HR HR Agen Recd3 Records Description HUMAN RESOURCES (Continued) Salaries, Wages & Benefits Compensation Plan Cost of Living /Consumer Index Benefits Programs Reference Insurance Programs Reference Reports & Studies, Special City Retirement Programs Reference Salary Studies, City Salary Surveys Employee Records Disability Records Individual Employee Records Labor Relations Bylaws, Unions /Associations Correspondence /Memos, Labor Complaints & Investigations, Discrimination Complaints, Investigations, Grievances & Appeals Employee Organization /Union Recognition Memoranda of Understanding Negotiation Workpapers Procedures Regulations & Policy, City Regulations & Policy, Other - Agency RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging C S S S C S C 2 T T S 2 S S C E 2 /D /R S C DIR yes P no S no S no S yes P no S yes P 1 no 3 30 yes yes 1 3 no no no Explanation /Comments While current; permanent for administrative /historic value Until superseded Until superseded; these are brochures & publications regarding programs, not agreements Until superseded; these are brochures & publications regarding programs, not agreements While current; permanent for research /historic value Until superseded; these are brochures & publications regarding programs, not agreements While current; permanent for administrative /historic value 30 /AT Until termination; 30 years after termination P S 3 3 /AS 3 no 3 /AS yes P yes P no 2 /D /R no S yes P no D/R Until termination; permanent; administrative decision Until superseded or amended Until settled; 3 years after settled Until settled; 3 years after settled While current; permanent Until expiration; permanent for evidential, research and historic value Destroy when no longer relevant, retain minimum of 2 years Until superseded While current; permanent for research /historic value Destroy when no longer relevant Page 24 of 41 Office Of Record 0500 0550 HR HR HR HR HR HR HR HR HR HR HR HR HR 0560 CC Dept HR Dept HR HR HR HR Recd3 Records Description HUMAN RESOURCES (Continued) Recruitment & Selection Affirmative Action Plan, City Appointment Notifications Assessment Centers, General Correspondence, General Eligibility Lists /Certifications Employment Bulletins Examination/Testing Materials Examinations Interview Questions Job Applications /Resumes Position Recruitment Files Recruitment Complaints, Investigations & Appeals Requests for Transfer Education, Training & Employment Programs CETA Agreements & related records Conference/Workshop Materials Educational Counseling Program Educational Reimbursement Policies & Procedures Training Needs Surveys Training Programs, City Youth Employment Programs RETENTION /DISPOSITION Office - Inactive Microfilm/ Total Optical Imaging C 2 2 /D /R 2 2 2 S 2 /D /R 2 /D /R 1 2 S 2 yes 1 no no 1 no 1 no 1 no 1 no no no no 1 no 3 no P 3 2 /D /R 3 3 3 S 2 /D /R 2 /D /R 1 3 3 /AS 1 no 3 T 5 no 5 /AT 2 /D /R 2 2 S 2 /D /R T T no 2 /D /R 1 no 3 1 no 3 - no S no 2 /D /R 3 no 3 /AT 3 no 3 /AT Explanation /Comments While current; permanent for research /historic value Destroy when no longer relevant, retain minimum of 2 years Until superseded Destroy when no longer relevant, retain minimum of 2 years Destroy when no longer relevant, retain minimum of 2 years Includes advertising, correspondence, resumes, etc. Until settled; 3 years after settled Until program termination; 5 years after termination Destroy when no longer relevant, retain minimum of 2 years Until superseded Destroy when no longer relevant, retain minimum of 2 years Until program termination; 3 years after termination Until program termination; 3 years after termination Page 25 of 41 Office Of Record 0600 0600 Plan Plan Plan Plan Plan Plan Plan/ HR Plan Plan Plan 0610 Plan Plan Plan Plan Plan Plan Agen Plan Plan Plan Plan Plan Plan Recd3 Records Description PLANNING & COMMUNITY DEVELOPMENT Development Applications Administrative Adjustments Certificates of Compliance Design Review Lot Line Adjustments Maps, Final Maps, Tentative Parcel Maps, Tentative Tract Permits, Conditional Use Permits, Temporary Use Variances Land Use Control Activity Logs Activity Reports Alcoholic Beverage Control Code Amendments Large Family Daycare Planned Community District Regulations Projects, Other Cities Prezones Specific Plans Use Determinations Policy Determinations Reports & Studies Zone Changes RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging yes P yes P - yes P yes P - yes P yes P yes P yes P yes P yes P no 2 /D /R 1 no 3 1 no 3 yes P yes P yes P 1 no 3 yes P yes P yes P yes P yes P yes P Explanation /Comments While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent Destroy when no longer relevant, retain minimum of 2 years While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent for research /historic value While current; permanent Page 26 of 41 Office Of Record Records Description 0600 PLANNING & COMMUNITY DEVELOPMENT (Continued) 0615 Plan Plan Agen Plan 0620 Plan Agen Plan Plan 0625 CC CC CC CC Plan General Plan General Plan & Elements, City General Plan Amendments General Plans, Other- Agency Spheres of Influence Studies City & Regional Planning Demographic /Statistical Data Regional Plans, Other- Agency Regulations & Policy, City Reports & Studies, Special City City Organization & Formation Annexation /Detachment Case Files & related documents Articles of Incorporation Regulations & Policy, City Reports & Studies, Special City Spheres of Influence Studies 0630 Redevelopment Programs & Projects Plan Case Files Plan Reference Files Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging C D/R yes P yes P no D/R yes P yes P no S yes P yes P yes P yes P yes P yes P yes P yes P no D/R Explanation /Comments While current; permanent for research /historic value While current; permanent for research /historic value Destroy when no longer relevant While current; permanent While current; permanent for historic value Until superseded or no longer useful for reference While current; permanent for research /evidential value While current; permanent for research /historic value While current; permanent While current; permanent While current; permanent for research/ evidential value While current; permanent While current; permanent While current; permanent Destroy when no longer relevant; these are reference records, consultant brochures, copies and working files only Page 27 of 41 Office Of Record 0600 0640 Plan/ Fin Plan/ Fin Plan 0650 Plan Plan Plan/ Fin 0660 Plan/ Fin Plan/ Fin Plan Agen 0670 Plan Plan Plan Plan Recd3 Records Description PLANNING & COMMUNITY DEVELOPMENT (Continued) Community Development Block Grant Program Financial Records Project Records Regulations & Policy, City Housing Programs Case Files Complaints & Investigations Financial Records Grant Programs (other than CDBG) Financial Records • Project Records Regulations & Policy, City Reports & Studies, Other - Agency Historic Preservation Case Files Historic Site Inventories Regulations & Policy, City Reports & Studies, Special City RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 C C D/R 5 no yes yes yes no 5 no 5 no yes yes no yes yes yes yes 7 P P P 3 /AS 7 7 P P D/R Explanation /Comments Administrative decision; refer to specific grant requirements for additional retention. While current; permanent While current; permanent for research /historic value While current; permanent Until settled; 3 years after settled Administrative decision; refer to specific grant requirements for additional retention. Administrative decision; refer to specific grant requirements for additional retention. While current; permanent While current; permanent for research /historic value Destroy when no longer relevant P While current; permanent P While current; permanent for research /historic value P While current; permanent for research /historic value P While current; permanent for research /historic value Page 28 of 41 Office Of Record Records Description 0600 PLANNING & COMMUNITY DEVELOPMENT (Continued) RETENTION /DISPOSITION Office inactive Microfilm/ Total Optical Imaging Explanation /Comments 0680 Sign Control Plan Master Sign Plans C - yes P While current; permanent for research/historic value Plan Sign Code Exceptions E 3 no 3 /AE Until expiration; 3 n ears after expiration Y p o Plan Temporary Sign Permits E 3 no 3 /AE Until expiration; 3 ears after expiration iration y p 0690 Transportation Dept Correspondence 2 1 no 3 Agen Reference Information, Other- S no S Until superseded Agency Plan Regulations & Policy, City C - yes P While current; permanent for resear h /historic value Agen Regulations & Policy, Other - D/R - no D/R Destroy when no longer relevant Agency g Dept Reports & Studies, Special City C yes P While current; p ermanent Agen Reports & Studies, Other- Agency S - no S Until superseded Recd3 Page 29 of 41 Office Of Record 0700 0700 Bldg Bldg Bldg/ PW PW PW 0710 Bldg Bldg PW Bldg Bldg PW Bldg CC/ PW PW Bldg/ PW PW PW PW Bldg Bldg Recd3 Records Description CONSTRUCTION & ENGINEERING General Administration Building Statistics Emergency Abatements Materials Reference Info Street Closure Permits, Temporary Utility Clearances Permits & Inspections Building Permit & Inspection Case Files Building Permit Reports Certificates of Compliance Certificates of Occupancy Contractors' Workers Compensation Certificates Curb Numbering Permits Demolition Permits Encroachments Permits, Temporary Excavation Permits Grading Permits Industrial User Permits Inspection Logs NPDES Permits Permit Valuation /Daily Inspection Calculations Private Improvement Permits RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging C C D/R E C C 2 C C E E C E E C C C C 2 C yes P yes P no D/R 3 no yes yes . P yes P yes P yes P 3 no 3 /AE 3 no 3 /AE yes P 3 no 3 /AE 3 no 3 /AE yes P yes P 3 no 3 /AC yes P no 3 yes P Explanation /Comments While current; permanent for research /historic value While current; permanent Destroy when no longer relevant 3 /AE Until expiration; 3 years after expiration P While current; permanent While current; permanent for life of structure Permanent for research /historic value While current; permanent; administrative decision While current; permanent Until expiration; 3 years after expiration Until expiration; 3 years after expiration While current; permanent; administrative decision Until expiration; 3 years after expiration. Permanent encroachments are retained permanently. Until expiration; 3 years after expiration While current; permanent; administrative decision While current; permanent; administrative decision Until completion; 3 years after completion; administrative decision While current; permanent; administrative decision While current; permanent; administrative decision Page 30 of 41 Office Of Record Records Description 0700 CONSTRUCTION & ENGINEERING (Continued) 0710 Bldg Bldg PW PW 0720 PW PW Bldg Bldg Bldg Bldg Permits & Inspections (Cont) Regulations & Policy, City Reports & Studies, Special City Uncontrolled Embankment Permits Utility Permits Maps & Plans Construction Plans & Specifications Maps & Plans (elevations, utilities, specifications, drainage, sewage, storm drains, capital improve- ments, grading, rivers & streams, tunneling, etc.) Plans, Private Building Plans /Calculations, Private Improvement Soils Reports Structural Calculations 0730 Streets, Sidewalks, Alleyways, Curbs & Gutters Assessment District Projects CC/ PW/ Fin CC/ PW PW PW- Recd3 Capital Project Records Complaints & Investigations Inventories /Surveys RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging yes P yes P yes P yes P yes P yes P yes P yes P yes P yes P yes P yes P no 3 /AS 3 no 3 + Explanation /Comments While current; permanent for research /evidential value While current; permanent for research /historic value While current; permanent; administrative decision While current; permanent; administrative decision While current; permanent While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent While current; permanent for life of structures Until settled; 3 years after settled Until superseded; minimum of 3 years Page 31 of 41 Office Of • Records Description Record 0700 CONSTRUCTION & ENGINEERING (Continued) 0730 PW PW Agen PW PW PW PW PW PW PW 0740 PW PW PW PW 0750 Agen PW Agen PW Agen Recd3 Streets, Sidewalks, Alleyways, Curbs & Gutters (Cont) Maintenance Projects Master Plans, City Master Plans, Other- Agency Regulations & Policy, City Reports & Studies, Special City Specific Plans, Street Standards /Specifications Street Mileage Inventories Street Naming Street Sweeping Bridges Bridge Specifications Inventories /Surveys Regulations & Policy, City Reports & Studies, Special City Highways /Freeways/ Transportation Corridors Master Plans, Other- Agency Regulations & Policy, City Regulations & Policy, Other - Agency Reports & Studies, Special City Reports & Studies, Other - Agency RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging S C DIR C D/R yes P yes P no S yes P yes P yes P yes P no S yes P 1 no 3 yes P 3 no 3 + yes P yes P no S yes P no D/R yes P no DIR Explanation /Comments While current; permanent; administration decision Until superseded; permanent for research /historic value Until superseded While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent While current; permanent for research /historic value Until superseded While current; permanent for research /historic value While current; permanent Until superseded; minimum of 3 years While current; permanent for research /historic value While current; permanent for research /historic value Until superseded While current; permanent for research /historic value Destroy when no longer relevant While current; permanent for research /historic value Destroy when no longer relevant Page 32 of 41 Office Of Record Records Description 0700 CONSTRUCTION & ENGINEERING (Continued) 0760 PW CC/ PW PW PW PW PW Traffic Engineering Accident Reports Capital Project Records Complaints /Requests Correspondence /Requests Engineering Plans Equipment Inventories Agen Reference Information, Other - Agency PW Regulations & Policy, City PW Reports & Studies, Special City PW Signing PW Speed/Traffic Surveys PW Volume Counts 0770 PW PW PW PW PW PW Recd3 Parking Curb Zones Parking District Case Files & related documents Regulations & Policy, City Reports & Studies, Special City Statistical Data Temporary Controls RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 3 no 5 C - yes P 2 2 C S D/R C C S S S C C 1 1 3 no no yes no 3 3 P 3+ no D/R - yes - yes 3 no 3 no no yes yes C - yes C - yes C - yes C 3 no P P 3+ 3+ 3+ P P P P P 3+ Explanation /Comments Administrative decision While current; permanent for life of structures While current; permanent Until superseded; minimum of 3 years; this is a working file and contains copies; fixed assets are filed permanently in the 400 series Destroy when no longer relevant While current; permanent for research /historic value While current; permanent for research /historic value Until superseded; minimum of 3 years Until superseded; minimum of 3 years Until superseded; minimum of 3 years While current; permanent While current; permanent While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value While current; minimum of 3 years Page 33 of 41 Office Of Record 0700 0780 PW PW Agen PW PW PW PW PW PW PW Agen PW PW PW PW Recd3 Records Description CONSTRUCTION & ENGINEERING (Continued) Storm Drainage & Flood Control Complaints /Investigations Correspondence/ Memoranda, General Flood Plain Maps (FEMA) Master Plans, City NPDES: Best Management Practices Discharge /Connection Investigations Monitoring Reports Monitoring Stations Notices of Intent Permit Reports Regulations, Other- Agency Regulations & Policy, City Reports & Studies, Special City Standards & Specifications Statistical Data RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging - no 3 /AS 1 no 3 no S* yes P no S 3 no 3 /AS 3 no 3 + - yes P 3 no 3 + 3 no 3 + no S yes P yes P yes P yes P Explanation /Comments Until settled; 3 years after settled Until superseded; *may wish to retain record copy for historic value While current; permanent for research /historic value Until superseded; administrative decision Until settled; 3 years after settled; administrative decision While current; minimum of 3 years; administrative decision While current; permanent; administrative decision While current; minimum of 3 years; administrative decision While current; minimum of 3 years; administrative decision Until superseded While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value While current; permanent for research /historic value Page 34 of 41 Office Of Record Records Description 0800 PUBLIC UTILITIES 0800 PW CC Communications Correspondence, General Contract Administration RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 T Agen Reference Information, Other- S Agency Agen Regulations & Policy, Other - Agency Dept Reports & Studies, Special City C D/R 0810 PW PW PW PW PW PW 0820 PW PW Agen PW Agen Recd3 Underground Utilities Conversion District Records Correspondence, General Deferments & Waivers Reference Information, General Regulations & Policy, City Reports & Studies, Special City Gas & Electricity Supply Correspondence /Memoranda, General PUC Reference Information Rate Information, Other- Agency Regulations & Policy, City Regulations & Policy, Other - Agency 1 no 3 3 no 3 /AT no S no D/R Explanation /Comments Until contract termination; 3 years after termination; file original contract documents with City Clerk Until superseded Destroy when no longer relevant yes P While current; permanent for research /historic value C - yes 2 1 no C - yes 2 1 no C C 2 D/R S C D/R P 3 P 3 yes P yes P 1 no 3 no no yes no D/R S P D/R While current; permanent While current; permanent White current; permanent for research /historic value While current; permanent for research /historic value Destroy when no longer relevant Until superseded While current; permanent for research /historic value Destroy when no longer relevant Page 35 of 41 Office Of Record 0800 PUBLIC UTILITIES (Continued) Records Description 0830 PW PW PW PW Agen PW Agen PW 0840 PW PW Agen Agen Agen Agen PW PW PW PW PW PW PW PW Recd3 Solid Waste Management Correspondence /Memoranda, General Master Plans, City Program Reference Information Recycling Programs Reference Information, Other - Agency Regulations & Policy, City Regulations & Policy, Other - Agency Reports & Studies, Special City Water Management Complaints & Investigations Master Plans, City Master Plans, Other- Agency Permits, RWQCB Rates, Water, Other- Agency Reference Information, Other - Agency Regulations & Policy, City Reports, Bacteriological Reports, Contaminants, Other Reports & Studies, Special City Sanitary Surveys Service Requests State Approvals of System Water Line Construction RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 C T C D/R C D/R C S C S C S D/R C 2 2 C 2 2 2 C 1 no 3 yes P 3 no 3 /AT no 3 + no D/R yes P no D/R yes P 3 no 3 /AS yes P no S yes P - no S no S yes P 3 no 5 38 no 40* yes P 8 no 10 1 no 3 + 8 no 10 P Explanation /Comments While current; permanent for research /historic value Until program termination; 3 years after termination While current; minimum of 3 years Destroy when no longer relevant While current, permanent for research /historic value Destroy when no longer relevant While current, permanent for research /historic value Until settled; 3 years after settled While current; permanent for research /historic value Until superseded While current; permanent; administrative decision Until superseded Until superseded While current; permanent for research /historic value Administrative decision; recommend 5 years. Code section requires 1 year for microbiological analysis and turbidity analysis. *May be transferred to Federal Environmental Protection Agency after 10 years. While current; permanent for research /historic value Administrative decision Minimum of 3 years Administrative decision While current; permanent Page 36 of 41 Office Of Record Records Description 0800 PUBLIC UTILITIES (Continued) 0850 PW PW PW PW PW PW PW PW PW PW PW PW PW PW Recd3 Wastewater Management Complaints & Investigations Correspondence /Memoranda General Daily Logs Daily Reports Maintenance Records Master Plans Reference Information, Other - Agency Regulations & Policy, City Reports & Studies, Special City Sewer Audits Sewer Availability Reports Sewer Connection Rights Sewer Monitoring Records Sewer Service Variances and Exemptions RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging Explanation /Comments S 3 no 3 /AS Until settled; 3 years after settled 2 1 no 3 2 2 2 C D/R C C 2 S C 2 E 1 1 1 1 3 1 3 no no no yes no yes yes no no yes no no 3 3 3+ P D/R P P 3+ 3+ P 3+ 3/AE Administrative decision Administrative decision Administrative decision; minimum of 3 years While current; permanent for research /historic value Destroy when no longer relevant While current; permanent for research /historic value While current; permanent for research /historic value Administrative decision; minimum of 3 years Until superseded; minimum of 3 years While current; permanent Administrative decision; minimum of 3 years Until expiration; 3 years after expiration Page 37 of 41 Office Of Record 0900 0900- 0950 CC/ Dept Dept CC/ Dept CC CC Dept Dept CC CC Dept CS CS CS Dept Dept Dept Dept Dept Dept CC PW Recd3 Records Description PUBLIC FACILITIES & GROUNDS All Categories Bid Notices /Affidavits Bid /Proposal Requests Bid Plans & Specifications Bid Summary Sheets Bids: Successful & Related Records Unsuccessful & Related Records Capital Improvement Projects Certificates of Completion Change Orders EIRs, Final Facility Reservations Facility Use Denials Facility Use Permits Key Distribution Logs Liability Waivers Litter /Clean -Up Programs Maintenance Manuals Master Inventories Master Plans Notices of Completion Operations & Maintenance Records RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging C - yes P C - yes P C - yes P C - yes P C - yes P 2 1 no 3 C - yes P C - yes P C - yes P C 2 2 E S E 2 D/R S - yes P 1 no 3 1 no 3 3 no 3 /AE - no S .3 no 3 /AE 1 no 3 - no D/R 3 no 3+ C - yes P C - yes P 2 1 no 3 Explanation /Comments While current; permanent; file with related contract in City Clerk's office While current; permanent While current; permanent While current; permanent While current; permanent While current; permanent for life of structures While current; permanent While current; permanent; file with related contract in City Clerk's office While current; permanent; file with related project Until expiration; 3 years after expiration Until superseded Until expiration; 3 years after expiration Destroy when no longer relevant Until superseded; minimum of 3 years; this is a working file and contains copies; fixed assets are filed permanently in the 400 series While current; permanent While current; permanent Page 38 of 41 Office Of Record Records Description 0900 PUBLIC FACILITIES & GROUNDS (Continued) 0900- All Categories (Continued) 0950 Dept Participation Incident Reports PW Plans & Specifications Dept Reference Information, Other - Agency Regulations & Policy, City Reports & Studies, Special City Service Requests Tree Approvals Tree Disapprovals Tree Planting Lists Tree Surveys & Inventories Work Requests Dept Dept Dept PW PW PW PW Dept Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging S C D/R 3 no yes no C - yes C - yes 2 1 no 3 2 no 3 2 no S no S - no 2 1 no 3 /AS P D/R P P 3 5 5 S S 3 Explanation /Comments Until settled; 3 years after settled While current; permanent for life of structures Destroy when no longer relevant While current; permanent While current; permanent for research /historic value Administrative decision Administrative decision Until superseded Until superseded Page 39 of 41 Office Of Record 1000 1000 Dept Dept Dept 1010 Dept 1020 CS CS CS CS CS CS CS '1030 CS CS CS CS CS CS CS Recd3 Records Description ARTS, EDUCATION & COMMUNITY SERVICES Cultural Arts Correspondence, General Resource References Reports & Studies, Special City Education Correspondence, General Recreation Attendance Records Calendars, Scheduling Program Work Files Registration Forms Regulations & Policy, City Reports & Studies, Special City Resource References Senior Adult Programs & Services Attendance Records Calendars, Scheduling Program Work Files Registration Forms Regulations & Policy, City Reports & Studies, Special City Resource References RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging 2 D/R C 2 2 2 T 2 C C D/R 2 2 T 2 C C D/R Explanation /Comments 1 no 3 - no D/R Destroy when no longer relevant - yes P While current; permanent for research /historic value 1 no 3 1 no 3 1 no 3 3 no 3 /AT Until program termination; 3 years after termination 1 no 3 - yes P yes P no D/R 1 1 3 1 no 3 no 3 no 3 /AT no 3 yes P yes P no D/R While current, permanent for research /historic value While current, permanent for research /historic value Destroy when no longer relevant Until program termination; 3 years after termination While current, permanent for research /historic value While current, permanent for research /historic value Destroy when no longer relevant Page 40 of 41 Office Of Record Records Description 1100 EQUIPMENT SERVICE & MAINTENANCE 1100 Fin Dept Dept Dept 1110 Dept See 1100, above Communications Equipment Equipment Inventories Maintenance /Repair Records Operating Instruction /Manuals Work Orders /Service Requests Office & Computer Equipment 1120 PW PW PW PW PW PW PW PW PW PW PW PW Fleet Maintenance Air Pressure Tank Permits Fuel Inventories Fuel Records Identifications (Pink Slips) Inventories Maintenance /Repair Records Maintenance Schedules Operating Instructions Smog Certificates Tire Records Vehicle Inspection Records Work Orders /.Service Requests 1130 Maintenance Equipment PW See 1120, above Recd3 RETENTION /DISPOSITION Office Inactive Microfilm/ Total Optical Imaging S D D 2 E S 2 /D /R D S D S D S 2 /D /R D 2 yes P no 3 + no D 1 no 3 3 no no no no yes 3 no - no no no no no 1 no 3 /AE S 2 /D /R AD P 3 /AD S AD S 2 /D /R AD 3 Explanation /Comments Until superseded; permanent; file with fixed assets in 400 series Until disposition of equipment; minimum of 3 years Until disposition of equipment Until expiration; 3 years after expiration Until superseded Destroy when no longer relevant, retain minimum of 2 years Until disposition of equipment; after disposition Until superseded; permanent; file with fixed assets in 400 series Until disposition of equipment; 3 years after disposition Until superseded Until disposition of equipment; after disposition Until superseded Destroy when no longer relevant, retain minimum of 2 years Until disposition of equipment; after disposition Page 41 of 41 City of Tustin RESOLUTION CERTIFICATION STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS CITY OF TUSTIN ) RESOLUTION NO. 01 -91 1, PAMELA STOKER, City Clerk and ex- officio Clerk of the City Council of the City of Tustin, California, hereby certifies that the whole number of the members of the City Council of the City of Tustin is five; and that the above and foregoing Resolution No. 01 -91 was adopted at a regular meeting of the City Council held on the 17th day of September, 2001 by the 9 g Y Y p � Y. following vote: COUNCILMEMBER AYES: Worley, Thomas, Bone, Doyle, Kawashima COUNCILMEMBER NOES: None COUNCILMEMBER ABSTAINED: None COUNCILMEMBER ABSENT: None Pamela Stoker, City Clerk