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City of Philadelphia: CITY CONTROLLER Retention Schedule

This document outlines retention schedules for records of the City Controller's Office of Philadelphia. It includes records related to post-audit, community affairs, pre-audit, and special fraud investigations. Post-audit records include audit working papers to be retained for 10 years after the report release date and official audit reports to be retained permanently. Pre-audit records include citywide payroll registers to be retained for 75 years and payment vouchers for 10 years. Special fraud investigation case files are confidential and retained for 7 years after the expiration of the appeal period.

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0% found this document useful (0 votes)
94 views7 pages

City of Philadelphia: CITY CONTROLLER Retention Schedule

This document outlines retention schedules for records of the City Controller's Office of Philadelphia. It includes records related to post-audit, community affairs, pre-audit, and special fraud investigations. Post-audit records include audit working papers to be retained for 10 years after the report release date and official audit reports to be retained permanently. Pre-audit records include citywide payroll registers to be retained for 75 years and payment vouchers for 10 years. Special fraud investigation case files are confidential and retained for 7 years after the expiration of the appeal period.

Uploaded by

rmb185
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as PDF, TXT or read online on Scribd
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City of Philadelphia

CITY CONTROLLER Retention Schedule


NOTE: The retention requirements stated in all City retention schedules apply to all records described in the
series, regardless of format. This includes paper, electronic, images, microfilm, microfiche, etc.

Department ID

Department Name

/CC/

City Controller, Office of


Series ID

Description

CC-

CITY CONTROLLER

Confidential

Vital

Total
Retention
Requirement

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 1

Department ID

Department Name

/CC/AU/

Post-Audit
Series ID

Description

CC-

CITY CONTROLLER

CC-AU-

CITY CONTROLLER - POST-AUDIT

CC-AU-0001-

AUDIT WORKING PAPERS - EVENT DATE REQUIRED - CONFIDENTIAL

Confidential

Vital

Total
Retention
Requirement

ACT+10

PRM

EVENT IS REPORT RELEASE DATE


Record of audit procedures performed, relevant audit evidence obtained and conclusions
reached by the Auditor in the conduct of various audit engagements. Includes audits on capital
project / construction contracts, schools and school district performance, City's financial and
economic status and Controller's opinion on five-year plan.
(Previously AU-XX-0005)

CC-AU-0002-

OFFICIAL AUDIT REPORTS - CONFIDENTIAL


Official report of audits conducted by the Controller's Office. Includes audits on capital project /
construction contracts, schools and school district, City's financial and economic status and
performance.

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 2

Department ID

Department Name

/CC/CA/

Community Affairs
Series ID

Description

CC-

CITY CONTROLLER

CC-CA-

CITY CONTROLLER - COMMUNITY AFFAIRS

CC-CA-0001-

CONSTITUENT SERVICE RECORD

Confidential

Vital

Total
Retention
Requirement

CLO+4

Record of response eto Controller's Office Hotline calls, other requests or reports from
constituents or problems arising out of community outreach efforts

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 3

Department ID

Department Name

/CC/PA/

Pre-Audit
Series ID

Description

CC-

CITY CONTROLLER

CC-PA-

CITY CONTROLLER - PRE-AUDIT

CC-PA-0001-

CITYWIDE PAYROLL REGISTERS - CONFIDENTIAL

Confidential

Vital

Total
Retention
Requirement

CR+75

CR+2

Summaries of payroll information per pay period for all City departments combined, dividend into
salary, per diem, Police and Fire and special. Used primarily in the conduct of audits.
(Previoulsy AU-XX-0001)

CC-PA-0002-

PAYROLL RELEASES - CONFIDENTIAL - HOLD ON SITE


Weekly transmittals of payroll summary information from Finance, including time records,
registers and pertinent vouchers. Used to record, control and release disbursements of funds
each pay period for employee salary, per diem, Police and Fire payroll and special payroll
(Previoulsy AU-XX-0008)

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 4

Department ID

Department Name

/CC/PA/

Pre-Audit
Series ID

Description

CC-PA-0003-

PENSION RELEASES - CONFIDENTIAL - HOLD ON SITE

Confidential

Vital

Total
Retention
Requirement

CR+2

Periodic transmittals of pension payment information from the Board of Pensions through
Finance. Used to record, control and release disbursement of funds for pension payments

CC-PA-0004-

CASH REGISTER TAPES / DAILY WORK

FY+3

Cash register tapes and cashier summaries from Revenue Department for all City entities
collecting money on a daily basis. Used to support audit of City agencies that receive funds to
provide services.
(Previously AU-XX-0016)

CC-PA-0005-

EDUCATION TRAINING LEAVE

CR+3

Documents used to track requests by City employees for reimbursement of education and
training costs filed by fiscal year, date of course and employee name.

CC-PA-0006-

BID TALLY SHEETS - HOLD ON SITE

CR+2

Daily log used to record bids received by Procurement in response to solicitations for Supply,
Services and Equipment, Professinal Services, Public Works and Leases and Agreements.

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 5

Department ID

Department Name

/CC/PA/

Pre-Audit
Series ID

Description

CC-PA-0007-

BUDGETARY CONTROL DOCUMENTS - CONFIDENTIAL

Confidential

Vital

Total
Retention
Requirement

FY+3

CR+10

Purchase orders and miscellaneous encumbrance documents used to track funds encumbered
against Supply, Services and Equipment, and Professional Services contracts.

CC-PA-0008-

PAYMENT VOUCHERS - CONFIDENTIAL


Documentation used to verify expenditures before any monies are paid by the City Treasury.
Used also in the conduct of audits. Includes accounts payable, payment vouchers, original
invoices for all payments made by the City and petty cash.
(Previously AU-XX-0014)

CC-PA-0009-

CONSTRUCTION INSPECTION REPORT

CR+3

Record of inspection of capital project architecture and engineering construction and related
expenditures before payments are made

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 6

Department ID

Department Name

/CC/SF/

Special and Fraud Investigations


Series ID

Description

CC-

CITY CONTROLLER

CC-SF-

CITY CONTROLLER - SPECIAL AND FRAUD INVESTIGATIONS

CC-SF-0001-

INVESTIGATION CASES - EVENT DATE REQUIRED - CONFIDENTIAL

Confidential

Vital

Total
Retention
Requirement

ACT+7

EVENT IS EXPIRATION OF APPEAL PERIOD


Record of City Controller's investigation in response to tips and other information which may
indicate fraud, misconduct, abuse, residency issues or conflicting employment issues.
Completed investigations may be referred to the US Attorney or the Office of the District Attorney
for prosecution.

RETENTION CODES:
ACT=Action (Event)
SUP=Superseded

April 2, 2011

AUD=Audit
CLO=Closed
TERM=Termination

CR=Created (Opened)

CY=Calendar Year

FY=Fiscal Year

PRM=Permanent

REF=Reference

SEP=Separation (Employee)

Page 7

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