RES-2006-078RESOLUTION NO. aoob-o7s
A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF ANAHEIM APPROVING THE RECORDS
RETENTION SCHEDULE, FOR THE FINANCE
DEPARTMENT
WHEREAS, Section 34090, et seq., of the Government Code of the State of
California provides for the retention and destruction of certain records, documents,
instruments, books and papers (hereinafter "records"); and
WHEREAS, in accordance with the provisions of Section 34090 a Records
Retention Schedule was previously approved by the City Council for the Finance
Department; and
WHEREAS, changes have been recommended to the Records Retention Schedule
for the Record Series in the Finance Department as shown on the attached exhibit; and
WHEREAS, the Records Policy Committee of the City of Anaheim concurs in
these changes; and
WHEREAS, the City Council concurs in these recommended changes to the
Records Retention Schedule for the Finance Department.
NOW THEREFORE, BE TT RESOLVED by the City Council of the City of
Anaheim that the Records Retention Schedule for the Finance Department, as amended,
and as more particularly described in Exhibit "A" attached hereto and incorporated herein
by this reference is hereby approved.
THE FOREGOING RESO TION is hereb proved and adopted by the City
Council of the City of Anaheim 9th da May ,2006.
MAYO O THE CITY F ANAHEIM
ATTES .
C CLERK F THE CITY OF ANAHEIM
APPROVED AS TO FORM:
CITY ATTORNEY
ATTEST: AYES: Mayor Pringle, Council Members Sidhu, Sernandez, Galloway, Chavez
NOES: NONE
ABSENT: NONE
ABSTAIN: NONE
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
Pro ram Name: Accountin a roll, Collections, Information Services, Re ro a hics, Risk Mana ement
Pro ram No.: 0150; 1152, 1155, 1381, 1382, 1383, 1385, 8258
Codes and Definitions
Record Paper, correspondence, foams, photographs, microfilm, and audio tapes, maps, drawings, or other documents, including all
copies thereof, as well as originals (created by the City in the ordinary course of business) which directly relate to the functioning
of the or anization.
Non-record Material that does not relate directly to the functioning of the organization; is not produced by or specifically for, the
or anization..
Retention Code
A Audit (as in after audit)
CV Current Version
CY Current Yeaz
L Life of contract, buildin or ui meat Other Codes
P Permanent CAC California Administrative Code
V Vital Record CCP Code of Civil Procedures
WC While Current CCR Code of California Re lations
Y Year(s) CFR Code of Federal Re lations
CLC California Labor Code
DP De artment Preference
GC Government Code (California)
IRS Internal Revenue Code
OMB Office of Mana ement & Bud et (US
USC United States Code
**If files are not audited within the retention period, they will be destroyed after seven (7) years; i.e. an `A+2Y' retention period will be retained for
seven years, if the file does not get audited within seven years it will be destroyed after the seventh years unless otherwise stated in contracts.
5/8/2006 Page 1 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
RECORII SERIES : ' ~. ~ CLASS RETEI~f'1'XOI~T~~~ -' ~. ~ AI,3TI~IOR1"f~~: ~~~ ~ ~ ~. ~::....::(:(?MM~EN'll~• .
Accident Reports -City assets Reports CL +7 Y 29CFR 1904.2
29CFR 1904.6 Reports and related
documentation
Accounts Receivable Re orts A + 4 Y GC34090
Armored Car Recei is CY DP
Assessment Districts Reports P GC34090 Collections Info;
documentation files
with Cit Clerk.
Bids, RFQs, RFPs -Successful Other A + 6 Y GC34090
CCP 337 Requests for
Qualifications,
Requests for Proposals
Services, a ui ment
Bids, RFQs, RFPs -Unsuccessful Other CY + 2 Y GC34090
CCP 337
Billin Char es, Interde artmental Re orts CY + 2 Y DP
Bud et (final as submitted) Other CY + 3 Y Generic
Bud et (work sheets) Files CY + 3 Y Generic
Bud et Ad'ustments, 'ournal entries Re orts A + 2 Y GC34090 Account transfers
Calendars, diaries Other CY + 2 Y Generic
Checks Other A + 5 Y GC34090
CCP 337 Payroll, canceled,
voided
Checks, Accounts Pa able (co ies) Other A + 4 Y GC34090
Citations (Parking), Customer Copy Paid Other CY City Attorney's
memo 06/07/95
Collection Officer receipts, Originals Forms CY + 2 Y DP Copy with submitting
de artment
Collection on Recei is (COR's) Re orts A + 1 Y DP
5/8/2006 Page 2 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
RECORD SERIES ~ CLASS ~ RETEN'T'ION ~:~ITfHOR : ~: ~ '~.:::: ~~ C(3~MMENTS
Collections (COR's) Recei is A + 5 Y DP
Contracts, Vendor Case Files L + 5 Y DP
Control Worksheets Other CY + 2 Y DP
Copies DI Generic Extra copies no longer
needed; research
materials publicly
available from other
sources.
Comes ondence, external, internal Corres on-deuce CY + 2 Y Generic
Data Processin - Com uter Network Re orts CY DP Minimum 2 Years
Data Processing -Computer Network Other CY + 4 Y GC34090
CCP 337.2
CCP 343
Data Processing Attendance Statistical Series -
(com uter re orts T7, 8 & 9) Reports CY DP
Data Processin Charter Other P DP
Data Processin Downtime Los CY + 2 Y DP
Data Processin Five Year Plan Other WC DP Minimum 2 Years
Data Processin Problem Mana ement S stem Re orts CY+2 Y DP
Data Processin Production Chan Control Re 'ster L DP
Data Processin Production Runs Re orts WC DP Minimum 2 Years
Data Processing Program Files, Directories -
Quarterly backup Other CY + 1 Y GC34090
GC34090.7 By Department. Source
code for software
execution
Data Processing Program Files, Directories -
Annual backup Other CY + 2 Y GC34090
GC34090.7 By Department. Source
code for software
execution
5/8/2006 Page 3 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
RECORD SERIES ~ CLASS ~ ~ ~ RE')t'ENTION~~~~~~~~ ~ AC.T111tiZ3RIT.Y,~~:~;~: :;...~.. .C.~}A~S.~'.~ ~..:~~.
Data Processing Program Files, Directories - Other P DP Finance Department;
Six Month backup GIS System; City Clerk
Document Imaging;
Engineering Tract
Maps; Permit System.
Source code for
software execution
Data Processing Program Files, Directories - Other P DP Finance Department;
Annual backup GIS System; City Clerk
Document Imaging;
Engineering Tract
Maps; Permit System.
Source code for
software execution
Data Processing Program Files, Directories - Other CY + 5 Y DP Water Utility SCADA
Server -Sic Month backup (Supervisory Control
and Data Ac uisition)
Data Processin Pro'ect Control Sheets Re orts CY+2 Y DP
Data Processin Work uests DATA-37 Forms CY + 7 Y DP
Delive Re uests Forms CY + 2 Y Generic
De ositor Trust Fund Recei is L + 5 Y 12CFR 350.6
Deposits, Receipts Receipts A + 4 Y GC34090 Checks, currency
CCP 337
Direct De osit (ACH) Re 'ster CY + 4 Y DP
Division Staff Meetin s, Dail Minutes CY + 9 Y DP
5/8/2006 Page 4 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
RECORD SERIES CLASS ~. RETENTION ~ ~ AUTHORITY :`~~~ COMMENTS
Drafts DI Generic Office memos, minutes,
internal reports,
working files
duplicating official
records
ui ment Manuals Other WC Generic
Ex nse Claims Other CY + 3 Y Generic
Finance Accountin O erations Re orts A + 5 Y DP
Financial Records (Departmental) Reports CY + 3 Y Generic May includes cash
register tapes, receipts
for cash transactions,
deposit slips, invoices,
etc
Financial, Annual Re orts A + 7 Y GC34090.7
Fixed Assets Led ers A + 2 Y DP
Fixed Assets, Inventory Report A + 4 Y GC34090 Purchase data, cost,
26 CFR 3001 account numbers
65-1
Information Mana ement S stem Re orts CY +2 Y DP
Insurance, Workers Compensation Other P GC6410
29CFR 1910.20
Interde artmental char es Re orts CY + 3 Y Generic
Inventories Re orts CY + 3 Y Generic
Invento Withdrawals Forms A + 5 Y DP
Invoices Other CY + 2 Y DP Sent for monies owed,
billin
IRS W-2 -Returned Forms CY + 4 Y DP
5/8/2006 Page 5 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
REeORD SERIES ~ . ~ ~ ~ CI:A55 RETENTION AI]'f'l1l~RITY ~. ~ ~ : ~~. COMMENT5~
IRS Withholdin Certif. W-4/DE4 Forms CY + 4 Y IRC 3402
Itineraries CY + 2 Y Generic
Ledger, General Ledger P GC34090
CCP 337
Notes, handwritten DI Generic Notes that do not
reflect relevant matter,
histo
Notices to bill Re orts CY + 2 Y DP
Or anization charts Other CV+2 Y Generic
Payroll Reports CY Generic YTD statistics; MPPS
series computer reports
Payroll. reports showing
charges (dollar
amounts/hours) to
accounts kept. by
departments; not
retained in Finance.
Payroll, Adjustments Reports A + 4 Y GC34090
29 CFR 5 ] 6.5
29 CFR 516.6
Pa roll, Flexible Com nsation Authorizations Forms CY DP
Payroll, Regular and Event Register P GC34090 Labor costs by
GC37207 em to ee and ro am
5/8/2006 Page 6 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
RECORD SERIES ~ ~ CLASS RETENTION : ~ .~: ~ Ai1T11#.OR~'I`Y~ COI~I.MILN'1rS~
Payroll, Salary Records Files T + 3 Y GC34090 Deduction
29 CFR 516.2 authorizations,
beneficiary
designations,
unemployment claims,
arnishments
Personnel file (each staff member) Files T + 4 Y Generic LA -employee &
supervisor(s); also
management review for
romotion
Personnel, Grievances Files T + 5 Y Generic Create as needed
Personnel, MAPS documentation Files CV + 5 Y DP LA -employee &.
su rvisors
Personnel, Medical Records Files T + 2 Y DP
Policies, rocedures, De artmental Other WC + 5 Y Generic
Printin R uisitions Forms CY + 3 Y DP
Public Employees Retirement System (PERS) - Ledgers CY+3 Y DP
Contribution
Public Employees Retirement System (PERS) - Reports T + 4 Y GC34090
Deductions CAC22-1085-2
29 516.5
Public Employees Retirement System (PERS) - Correspondence CY + 4 Y DP
olic
Purchase Orders Files A + 4 Y GC34090 Original documents
CCP 337
Purchase Orders, RFDs - en Re orts A + 4 Y DP
5/8/2006 Page 7 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18/1998
RECORD SERIES CLASS . RETENTION AUTHORI3'Y ~ Ct3MMENTS
Reconciliations, Bank/Cash Reports A + 5 Y GC34090 Statements, summaries
26 CFR l 6001- for receipts,
l disbursements,
reconciliations
Re uest for delive Forms CY + 2 Y DP
R uest for work Forms CY + 2 Y DP
Risk Management Reports CL + 5 Y OMB 1220- OSHA forms, loss
0029 analysis reports, safety
CFR 1904.4 report, actuarial studies
GC34090
Software Licenses Other L Generic Retain onsite while
software is in use.
Staff Meetin (de artment) Minutes CY+3 Y Generic
Staff Reports to City Council Reports CY + 2 Y Generic Record copy: City
Clerk Available on
ima 'n s stem
Statements, Annual Financial Re orts P DP
Stores, Material drawn from stock Forms CY + 2 Y DP
Stores, Orders Files CY + 2 Y GC34090 Com leted forms
Surplus Property Reports A + 4 Y GC34090 Disposal
CCP 337
Taxes, Federal & State Reports A + 4 Y GC34090 Forms 1096, 1099, W-
29USC436 4, W-2
IRS31.6001
29CFR516.5-6
Technical Manuals, Vendor Other CV DP Minimum 2 Years.
Tele hone Messa sli s Other DI Generic
5/8/2006 Page 8 of 9
EXHIBIT A
CITY OF ANAHEIM
RECORD RETENTION SCHEDULE
DEPARTMENT: FINANCE PREVIOUS RESOLUTION N0.98-168
AGENCY NO: 309 DATE APPROVED: 08/18J1998
RECORD SERIES ~ ~~ CLASS .RETENTION ~~. ~ ~~AII.QRIE~. ~': ~'. .. ~.. ~ 'CONIll~~1TS
Tele hone Messa es Los CY+2 Y Generic
Tele hone Usa a Re orts CY + 2 Y Generic
Time Reports (staff hours worked) Reports CY + 2 Y DP Reports prior to input
into computer payroll
s stem
Time Re orts, Re lar - Si ed
Time Sheets (Department) Re orts
Other A
A + 6 Y DP
Generic
GC34090
29 CFR 516.2
IRS 31.6001-1
Time sheets held within
each department.
Time Sheets, Event Other A + 2 Y DP
Utilit Dail Control Parameters Los CY + 2 Y DP
Utilit Lo Sheets Los CY + 2 Y DP
Utilit Refunds Re 'ster A + 6 Y DP
Variances (Bud t) Re orts CY + 2 Y Generic
Vendors, General Files CY + 2 Y DP
Verbal Orders Case Files A + 3 Y DP
Vouchers Other A + 4 Y GC34090
CCP 337 Account postings with
su ortin documents
Warrants Re 'star A + 2 Y GC34090.7
Work Re uests Forms CY + 2 Y Generic
Workers Compensation Files P CCR 14311
CCR ] 5400.2
CLC 110-139.6 Claims files, incident
reports
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