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Resolution No. 8269
1 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 T2 W QnT.TTfPTnW Wrn 07 C.0 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AND ADOPTING AN AMENDMENT TO THE CITY OF VERNON RECORDS RETENTION SCHEDULE 2000 FOR MAINTAINING DOCUMENTS AND RECORDS BY ALL CITY DEPARTMENTS EXCEPT THE POLICE DEPARTMENT WHEREAS, on August 22, 2000, the City Council of the City of Vernon adopted City of Vernon Records Retention Schedule 2000 for maintaining documents and records by all City departments except the Police Department; and WHEREAS, the City of Vernon is required by various laws of the State of California to maintain certain documents and records for certain periods of time; and WHEREAS, City ordinances and administrative convenience also suggest that other documents and records be maintained for other periods of time; and WHEREAS, by letter dated August 21, 2003, Bruce V. Malkenhorst, the City Administrator/City Clerk, recommended that the Records Retention Schedule be updated; and WHEREAS, Government Code Sections 34090, 34090.5 and 34090.7 provide, among other things, that certain public records may be destroyed with the consent of the City Attorney and concurrence of the City Council; and WHEREAS, the City Attorney of the City of Vernon consents to the destruction of the records pursuant to the amended Retention Schedule. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS: SECTION 1: The City Council of the City of Vernon hereby 1 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 finds and determines that the recitals contained hereinabove are true and correct. SECTION 2: The City Council of the City of Vernon hereby approves and adopts the amendment to the Records Retention Schedule, a copy of which is attached hereto as Exhibit "A" and made a part hereof. SECTION 3: The City Council of the City of Vernon hereby authorizes the City Clerk and all department heads to maintain the categories of documents and records for the periods required by the amended Retention Schedule and to destroy said documents and records after said periods have ended. SECTION 5: Notwithstanding any of the foregoing, no record shall be destroyed which is pertinent to any current claim against the City, any pending or on -going litigation, or which is expressly required to be retained under California Government Code Section 34090. SECTION 6: The City Attorney has given his written consent to the destruction of the City records pursuant to the schedules set forth in the amended Retention Schedule; said written consent is attached hereto and made a part hereof. SECTION 7: The City Clerk of the City of Vernon shall certify to the passage of this resolution, and thereupon and thereafter the same shall be in full force and effect. APPROVED AND ADOPTED this 27th day of August, 2003. LE NIS C. MAL URG, Mayor ATTEST• d BRUCE V. MALKENHORST, City Clerk - 2 - L, r '♦ , r. 1 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 STATE OF CALIFORNIA ) ) ss COUNTY OF LOS ANGELES ) I, BRUCE V. MALKENHORST, City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. 8269, was duly adopted by the City Council of the City of Vernon at an adjourned regular meeting of the City Council duly held on Wednesday, August 27, 2003, and thereafter was duly signed by the Mayor of the City of Vernon. (SEAL) BRUCE V. MALKENHORST, City Clerk 3 - EXHIBIT FAA ve non RECORDS RETENTION Schedule 2003 CITY OF VERNON RECORDS RETENTION SCHEDULE 2003 TABLE OF CONTENTS Page Legend................ ................................................................................................ i City Administrator's Office CityClerk's Office................................................................................................. 3 COMMUNITY SERVICES & WATER DEPARTMENT........................................................ 8 FINANCE DEPARTMENT A. GENERAL................................................................................12 B. PAYROLL................................................................................15 C. PURCHASING.........................................................................17 D. TREASURER...........................................................................18 FIREDEPARTMENT................................................................................................19 HEALTHDEPARTMENT........................................................................................... 21 LIGHT AND POWER DEPARTMENT A. CUSTOMER SERVICE DIVISION ........................................... 23. B. DISPATCH / SYSTEM OPERATIONS ..................................... 25 C. ENGINEERING..........................................................................27 D. POWER PLANT OPERATIONS .............................................. 29 E. RESOURCE PLANNING......................................................... 31 PERSONNEL DIVISION ...................... ....... 34 REDEVELOPMENT AGENCY.................................................................................... 37 RISK MANAGEMENT DIVISION................................................................................. 40 RESOLUTIONNO.8269............................................................................................. GLOSSARY......................................................................................................42 LEGEND AR - ANNUAL REVIEW AU - AUDIT C - CLOSED/COMPLETED CU - CURRENT YEAR EL - ELECTION E - EXPIRATION P - PERMANENT S - Superseded T - TERMINATION V/H/C V - VITAL H - HISTORICAL C - CONFIDENTIAL i Aug-27-03 01:30P Xr 4Vomm -r 4'9*^Vm Se Record Series Title Office storage - ..TOW v/H/c Office of Record — Notes/Remarks cityAdministrator - Page 1 of 2 1. Budget Files (Department) 2 - 2 - a) Work papers b) Calculations 2. Correspondence Chronological 2 - 2 - Files 3. Facility Layoffs/Closures AR - AR - Files a) Notifications from facility/company b) Work papers & revenue analyses 4. Franchise Agreements P - P a) Original, executed agreements b) Insurance documentation c) Correspondence & backup data 5. Labor Contract Negotiations 2 P P - Note: Official copy of agreement Files (Police) is in record series No. 4, a) Negotiations documen- "Agreements & Leases Files". tation b) Agreements (copies) c) Correspondence & backup data 6. Lobbyist Files 3 - 3 - a) Reports b) Correspondence 7. Manuals, Policies, Pro- S+2 - S+2 - Note: This record series is for cedures, & Bulletins all manuals, policies, procedures, & bulletins originating from the City Clerk Department. 8. Manuals, Policies, Pro- S - S - cedures, & Bulletins 9. News Releases & Public AR - AR - Note: If documents from this Information record series have historical significance, they should be added to the record series "City History Files". Aug-27-03 01:31P P. 03 Record Series Title Ofte Storage Total VM/c Office of Record — Notes/Remarks C* Clerk Page 1 of 5 1. Agreements & Lease Files E+6 E+6 - Note: City Clerk Department ,a) Original, executed agree- maintains all original agreements ments, & leases and leases except the following, b) Insurance documentation which are maintained in the c) Correspondence & backup Finance Department. Ground data leases, Franchise agreements, License agreements, and, Encroachment agreements. See the Finance Department retention schedule for disposition of these record series. 2. Annexation Files 2 P P a) Secretary of State Acceptance Certificates b) Other documentation 3. Annual Budget Detail Files P P (City Budget) 4. Audit Reports 10 10 a) Financial Statements b) Auditor's Reports c) Accountant's Reports 5. Board of Library Trustees P P H Records a) Agendas b) Minutes c) Backup data 6. Campaign Statements - Fair 7 7 Note: City Clerk is the Office of Political Practices Commis- Record for these FPPC forms. sion (FPPC) Forms 420-490 a) Candidates' (not elected) statements b) Candidates' (not elected) committees' statements c) Political Action Commit- tees' (PAC) statements 7. Campaign Statements - Fair 10 P P Note: City Clerk is the Office of Political Practices Commis- Record for these FPPC forms. sion (FPPC) Forms 420-490 a) Officeholders' statements b) Officeholders committees, statements c) Successful candidates' statements d) Successful candidates' committees' statements Rug-27-03 01:31P P_04 Record Series Title offioe ! swage I Tow I vm1c I Office of Record — Notes/Remarks) Ci Clerk — Page 2 of 5 8. Certifications of Agendas CU 2 3 - a) City Council b) Finance Committee c) Personnel Committee d) Library Trustees e) Police & Fire Commission 9. City History Files AR p p H a) News clippings b) Photographs c) Proclamations 10. City Incorporation - P P V,H Note: Permanent storage location Documents is the city vault. 11. Conditional Use Permits T+2 - T+2 - Files a) Permits (originals) b) Public hearings documen- tation c) Correspondence & backup data d) Environmental assessment/ impact documents 12. Contract Files C+5 - C+5 - a) Original, executed contracts b) Performance bonds/con- tract bonds c) Certificates of insur- anee/Insurance Documen- tation d) Requests for proposal/ Invitations to bid e) Proof of publication f) Lists of bidders g) Proposals/bids h) Correspondence & backup data 13. Council Agendas - Working 3 P P - Note: Working copies are notated Copies for preparation of draft Council a) Back-up Data minutes. 14. Council Minutes 1 P P V,H Note: Minutes books also contain Council meetings notices (special meeting notices and adjourned meeting notices). Permanent storage location is the city vault. 4 Aug-27-03 01;31P P. 05 eAly Rawd� sw^44 Record Series Title offer I Mora" I Total-vnUc - Office of Record — Notes/Remarks L- Q Clerk 3 of 5 15. Council Minutes, Resolutions P _Page P & Ordinances Index 16. Council Ordinances I P P V, H Note: Permanent storage location is the city vault or off -site depository. 17. Council Resolutions 1 P P V, H Note: Permanent storage location is the city vault or off -site depository. 18. Easements (Copies) T T Note: City Clerk has all easements from June 15, 1978 forward. 19. Election Administration 2 P P Files a) Legal notices b) Proof of publication c) Certified lists of candidates d) Sample ballots e) Rosters of voters f) Declarations of results g) Fair Political Practices Commission communications & procedures h) Administrative materials 20. Election Candidate Materials T+6 T+6 Note: For this record series, a) Candidate Statement T(Termination) represents term of b) Nomination Papers & office. Petitions c) Oath of Office (elected candidates only) 21. Election Materials EL+ EL+ EL+ 6mos 6mos 6mos a) Ballots b) Tally sheets C) Copies of indexes d) Challenge lists e) Assisted voters lists f) Inspectors receipts for ballots g) Precinct officers appointment forms h) Absentee applications i ) Absentee I.D. envelopes A Aug-27-03 01432P P.06 Record Series Title office ! storage I Total ( viwc ! Office of Record — Notes/Remarks I City Clerk — Page 4 of 5 22. Election Petitions C+1 - C+1 - Note: For this record series, a) Initiatives petitions b) Referendum C(Closed/Completed) represents petitions completion of the election for c) Charter amendment petitions which petitions were circulated. d) Recall petitions 23. Encroachment License E - E - Agreements 24. Finance Committee Agendas CU 2 3 - (Reference Copies) a) Agendas & backup data 25. Finance Committee Minutes 1 P P V,H Note: Permanent storage location is the city vault. 26. Franchise Files E - E - a) Franchise agreements (copies) b) Correspondence 27. General Plan & Amendments S 2 S+2 - Files a) General plan, elements, & amendments b) Environmental impact/ assessment documents c) Public hearings documen- tation 28. Litigation Files C+2 - C+2 - Actual Documents required to be retained shall be decided by the City Attorney. 29. Municipal Code & Amendments S - S V 30. Personnel Committee Agendas CU 2 3 - (Reference Copies) a) Agendas & backup data 31. Personnel Committee Minutes 1 P P H Note: Permanent storage location is the city vault. 32. Police & Fire Commission CU 2 3 - Agendas (Reference Copies) a) Agendas & backup data 33. Police & Fire Commission 1 P P H Note: Permanent storage location Minutes is the city vault. I Aug-27-03 Olz32P P_07 eiry o/owm Record Series Title Ofte I storage Total I vmic I Office of Record — Notes/Remarks Ci Clerk — Pa 5 of 5 34. Real Property- Deeds Trans- 2 - 2 - action Files a) Correspondence b) Transmittals c) Bills of Sale 35. Real Property Files - P P V Note: Permanent storage location a) Deeds is the city vault. b) Easements c) Liens d) Condemnations e) Title Insurance Records 36. Records Management Documents S+2 - S+2 - a) Retention Schedules b) Destroyed Records lists c) Stored Records lists 37. Redevelopment Agency - 5 - 5 Audit Reports 38. Statements of Economic P - P _ Interest - FPPC Form 700 a) Officeholders' statements b) Appointees' statements c) Candidates' statements 39. Statement of Economic p - P _ Interest - FPPC Form 700 a) Designated City Employees 40. Statement of Organization/ P - P - Duplicate Series. Official is Termination - FPPC Forms 405 with California Secretary of - 415 State. 41. Uniform Codes S+1 P P H a) Building Code b) Mechanical Code c) National Electrical Code d) Plumbing Code 42. Variance Files T+2 - T+2 - a) Requests for variance b) Public hearings documentation c) Correspondence & backup data W Aug-27-03 01.32P Y P_08 Record Series Title Ofr= ge E Total viw c Office of Record — Notes/Remarks Commun Services & Water Department — Page 1 of 4 1. Accident Files C+7 - C+7 a) Police reports (copies) b) Labor & supplies data c) Billings 2. Aerial Photographs P - P H 3. Annexation Files P p P a) Studies & reports b) Correspondence & backup data 4. Annexation Maps, Plans, & P - P - Note: Final, approved versions Drawings only; drafts are considered part of Annexation Files. 5. Building Activity Reports P - P g 6. Certificate of Occupancy T+5 - T+5 - 7. Conditional Use Permits T+2 - T+2 - Note: For this record series, Files T(Termination) represents a) C.U.P. applications termination of use of the permit. (copies) Original applications, b) Correspondence environmental documents, minutes c) Resolutions granting and resolutions are in City Clerk permits (copies) Department d) Site' plans/drawings e) Engineer's reports f) Environmental assessments (copies) g) Negative declarations h) Notices of preparation i) Notices of intent j) Minutes (copies) k) Approval letters B. Correspondence 3 3 - Chronological Files 9. Encroachment Permit Files E+1 5 E+,6 - Note: Original encroachment a) Applications agreements are in Finance b) Billings Department c) Correspondence 10. File Permits Files E+1 4 E+5 - a) File permits b) Descriptions of operations c) Applications d) Correspondence & backup data Aug-27-03 01:33P P.09 G Vivow,* — Rx" 4 06", Salo" Record Series Title ors storage TOWI vita Office of Record - Notes/Remarks c Communit Services & Water Department — Page 2 of 4 11. Fire Prevention Street T+3 - T+3 - Note: For this record series, Address Files T(Termination) represents a) Fire sprinkler demolition of structures at an Permits address. Original underground b) Fire prevention plans tank and hazardous materials c) Inspection reports permits are in Health Department; d) Underground tank removal original certificates of occupancy permits (copies) are in record series No. 6, e) Hazardous materials "Certificates of Occupancy". storage permits (copies) f) Certificates of occupancy(copies) 12. Garage Activity Reports 2 - 2 - 13. Graffiti Removal Consent S S - Files a) Master address lists b) "Consent" forms c) "No Consent" letters 14. Industrial Waste Permit S - S - Note: Los Angeles County issues Application Files permit and has final a) Correspondence with documentation, original County applications and original notices b) Application (copies) of violation. c) Notices of violation (copies) d) Inspection reports 15. Industrial Waste Plans S+2 - S+2 - 16. Lot Line Adjustment C+2 - C+2 -. Note: Original resolutions'are in Files City Clerk Department a) Legal descriptions (before/after adjustments) b) Resolutions from City Council (copies) c) Recorded copy of legal description from County 17. Manuals, Policies, S+2 - S+2 - Note: This record series contains Procedures & Bulletins all manuals, policies, procedures & bulletins originating from the Community Services Department. 18. Parcel Maps P - P - Aug-27-03 01:33P P_10 4glm~ - moo" z4�wm S'id(oaihlt Record Series Title office storage ray V" Office of Record — Notes/Remarks c Communi Services & Water De rt►nent - Page 3 of 4 19. Plans & Drawings - C T+5 T+5 - Note: For this record series, Building & Safety T(Termination) represents demolition of the structure. Plans and drawings are maintained in the office until completion (c) of construction; they are then moved to storage and kept there for five years beyond demolition of the structure. 20. Plans & Drawings - S - S - Engineering a) Traffic b) Pavement c) Water distribution d) Sewer systems e) Storm drains f) City Hall g) Other city properties 21. Project Files C+3 3 C+6 - Note: Official copy of contract is a) Contract (copies) & in City Clerk Department. related documents b) Drawings & Plans c) Contractor data & payments d) Correspondence 22. Publications from Outside AR - AR - Sources 23. Street Address Files P P P - Note: For this record series, a) Correspondence T(Termination) represents b) Mechanical permits - demolition of structures at an plumbing, heating, air- address. Original conditional use conditioning, venti- permits resolutions are in City lation, refrigeration Clerk Department; original c) Electrical permits business license applications are d) Building permits in Finance Department. e) Trailer permits f) Zoning variance approvals & conditions g) Building variance approvals & conditions h) Conditional use permits resolutions (copies) i) Plans/drawings j) Inspection records k) Business license applications (copies) 10 Aug-27-03 01:34P P_11 Record Series Title owce I storage I Total I v/w Office of Record — Notes/Remarks c CommunServices & M r Ede artment — Pa e 4 & 4 24. Subject & Correspondence AR - AR - Files 25. Variance Files - Zoning/ 5 - 5 - .Building , a) Applications b) Council approval documentation c) Approval & conditions d) Correspondence & backup data 26. Vehicle Maintenance Records a) Work orders b) Monthly Garage reports 27. Water Analysis Reports - 5 - 5 - Bacterial 28. Water Analysis Reports - CU 10 11 - Chemical 29. Work Order Logs 2 - 2 - 30. Work Order Open/Closed 2 - 2 - Reports 31. Work Orders 2 13 15 - Note: Includes work orders for all public works and water division activities. 11 Aug-27-03 01:34P P_12 s , 411mw — s SCE Record Series Title Offim Ice Stye zi vrty Office of Record - Notes/Remarks c Finance General — Page 1 of 3 1. 1099 Files 7 - 7 - a) 1099 listings reports b) 1099 forms (City copies) 2. Alarm Permits Card Indexes 2 - 2 _ 3. Alarm Permits Files E+2 - E+2 - a) Applications/Renewal form b) Response records c) Receipts d) False alarm reports e) Correspondence f) Suspension letters g) Master file listing 4. Bank Reconciliation Records AU 5 6 - a) Bank statements b) Canceled/voided checks c) Deposit slips d) Monthly deposits recap listings e) Canceled/voided memo checks 5. Bond Files E+2 3 E+5 - .a) Trustee statements b) Payment documentation 6. Business License Files T+4 - T+4 - a) Applications b) Business licenses (official city copies) c) Correspondence d) Backup data 7. Cash Receipts 3 - 3 - a) Cash receipts - yellow copies. 8. Cash Receipts Registers 1 2 3 _ a) Cash receipt proof list 9. Correspondence Chronologi- 2 - 2 _ cal Files 10. Finance Computer System - 5 5 - Backup Tapes 11. General Ledger Detail 3 P P H Reports 12 Aug-27-03 O1c34P � e�?/owraie — 7G'aeorila ,�'da�Ywe $ems P.13 Record Series Title I ors I storage I Tots, I v/ , Office of Record -- Notes/Remarks Finance General — Pa e 2 of 3 12. Ground Leases E+l 6 E+7 - a) Original, executed leases b) Insurance documentation c) Correspondence & backup data d) Payment receipts 13. Invoice Files (City -Issued) AU+2 - AU+2 - Note: Includes invoices for alarm a) Invoices b) Receipt permits, encroachment permits, copies damages to city property, c) Requests for invoice utilities customers services, (from departments) license agreements, etc. d) Backup data 14. Journal Entries Backup AU+2 - AU+2 - Files a) Monthly backup folders 15. Journal Entries/Books 5 5 10 - 16. Ledgers Reports 3 - 3 - a) Expenditure Ledgers reports b) Revenue Ledgers reports 17. Phone Listing 1 - 1 - 18. Receipts Files AU+4 - AU+4 - Note: Includes receipts for a) Receipts (white copies) payments of sales taxes, property b) Remittance advice taxes, trust deposits, and other c) Backup data payments. 19.. Redevelopment Agency 3 - 3 a) Receipts b) Bank statements c) Canceled checks d) Blue copies w/backup 20. Redevelopment Agency 5 5 10 a) Warrant register - original b) Warrant register proof lists 21. Travel & Expense Vouchers CU 2 3 - 22. Trial Balance Reports 3 5 8 - 23. Utilities - Cash Receipts 3 - 3 - 13 City of Vernon - Records Retention Schedule AMM L _L Finance General - Pa e 3 of 3 24. Utilities - Customer Cer- - T T - Note: for this record series, tificates of Deposit T(Termination) represents the return of the original certificate of deposit to the customer. 25. Utilities - Annual Reports 7 - 7 - to Federal Energy Regula- tory Commission (FERC) 26. Utilities - Transmission C+2 - C+2 - Note: For this record series, Invoices C(Closed/Completed) represents full payment of invoice 27. Warrant Register - Original AU+2 - AU+2 - (Includes back-up files and Payroll Warrant Register) 28. Water Work Orders / Billing Construction Jobs 2 - 2 _ 29. Workers Compensation & 2 P P - Liability a) Backup files b) Canceled checks 14 Aug-27-03 01:44P P_03 ay4/owac — ,'tea a Sealdc Record Series Title oric Storage Total VMic Office of Record — Notes/Remarks Finance(Payroll - Page 1 of 2 1. Certification Records 2 5 7 - Note: Official copies of Personnel Payroll Action Forms are in Personnel a) Certification sheets Department. b) Holiday records c) Fair Labor Standard Act (FLSA) records d) Vacation recap sheets e) Holiday recap sheets f) Overtime recap sheets g) Biweekly time sheets h) Compensation recaps & details i) Personnel Action Forms (copies) 2. Deduction Authorizations C - C - Note: For this record series, Files C(Closed/Completed) represents a) W-41s closure of a deduction b) Other authorization forms authorization; authorizations may (deferred compensation) be superseded or terminated. 3. Deduction Registers T+3 - T+3 - 4. Deferred Compensation 5 - 5 = Carriers' Annual Activity Reports 5. Deferred Compensation 2 - 2 - Carriers' Quarterly Activity Reports F 6. Labor Distribution Reports AU+2 - AU+2 - 7. Leave Reports 2 - 2 - 8. Payroll Bank Reconciliation 2 3 5 - Records a) Monthly statements b) Cancelled employee payroll checks 9. Payroll Memo Checks 3 - 3 - 10. Payroll Registers P - P - 15 Aug-27-03 01.45P 4,vm aw - i6;= Sl� Record Series Title office storage Total VIFuc Office of Record - Notes/Remarks Finance (Payroll - Pa e 2 of 2 11. Payroll System Backup Tapes - P P - - Annual a) Deduction registers back up b) Proof lists backup c) Labor distribution reports backup d) Leave reports backup e) Payroll registers backup f) PERS listings reports backup 12. Payroll System Backup Tapes. 1 - 1 - - Biweekly 13. Proof Lists 2 - 2 - a) Payroll check proof list b) Hours input proof lists 14. Public Employees Retirement 3 - 3 - System (PER$) Actuarial Reports & Studies 15. Public Employees Retirement 2 5 7 - System (PERS) Annual Report to Participates 16. Public Employees Retire- 7 - 7 - ment System (PERS) Listings - Reports to PERS a) Group coverage detail listings b) Payroll summaries 17. Reports to State & Federal 7 - 7._ C Note: Reports may be submitted in Tax Agencies either hard copy or on magnetic a) Quarterly tax withhold- media. ings distribution reports b) Annual tax withholdings distribution reports c) Forms W-2 (official City copies) d) Transmittal forms 18. Wage Assignments Records C+1 - C+1 - Aug-27-03 01:45P P. 05 e 4Voars+c — Salt Record Series Title OfFm Storage roar V/litC Office of Record — Notes/Remarks Finance Purchasin - Page 1 of 1 1. Sid Files 3 2 5 - a) Requests for bid b) Vendor lists c) Vendor bids d) Correspondence 2. Civil Defense - Purchasing 5 _ 5 Records a) Purchase orders - depart- ment copies 3. Department of Motor Vehicles T - T - Note: For this record series, (DMV) Files — City Vehicles T(Termination) represents a) Pink slips termination of use of the vehicle b) Registration slips 4. Equipment Maintenance & T - T - Note: For this record series, Warranty Files T(Termination) represents a) Manuals & instructions termination of use of the b) Warranty records equipment. 5. Purchase Order Logs 2 _ 2 6. Purchase Order Proof Lists 2 - 2 - 7._ Purchase Orders - Numeric AU+4 - AU+4 - Files a) Purchase orders — yellow copies S. Surplus Materials/Equipment AU+4 - AU+4 - Files a) Reports of surplus mater- ials/equipment b) Correspondence c) Auctioneer records 9. Vendor Files p _ p _ a) Purchase orders - green copies b) Invoice copies 17 Aug-27-03 01:45P R. 06 Record Series Title Office I Stomp Total V/H/C Office of Record — Notes/Remarks Finance (Treasurer ) - Paqe I of 1 1. Annual Reports of Financial P P Transactions to State Controller 2. Breach of Employment C+l C+l Note: For this record series, Contract -Settlement Files C(Closed/Completed) represents a) Payment records final payment of settlement. City b) Receipt copies Clerk Department has full documentation of employment contract cases; Finance Department maintains the financial settlement records. 3. Certificates of Deposit E+2 E+2 V Files a) Certificates of deposit b) Bank statements c) Contracts for public funds 4. Council Expense Vouchers 1 5. Fixed Assets Records AU+4 AU+4 For this record series, T(Termination) represents sale/disposition of a fixed asset. 6. Investment Records 2 P P a) Funds available reports b) Monthly investment transaction reports c) Local Agency Investment Funds statements d) Safekeeping statements e) Daily bank confirmation records f) Investment transaction slips g) Investment/cash journal entries h) Quarterly investment report 7. Investment Spreadsheets 2 P P V a) Monthly recap of daily cash investment transactions 8. Redevelopment Agency 5 5 Audit Reports 9. Treasurer's Book P P 18 Aug-27-03 01 46P P,_07 } "�'ploa�s — ,�eaiaild RetartYas Sabuf�dc Record Series Title Office I storage I Tobi I V/wc office of Record — Notes/Remarks Fire De attment — Page 1 of 2 1. Address Files CU 10 11 - Note: For this record series, a) Hazardous material T(Termination) represents reporting forms (copies) demolition of structures at an b) Inspection reports address. Original hazardous c) Incident reports (copies) materials reporting forms are in d) Material safety data Health Department. Original sheets (MSDS) incident reports are in record e) Tank records series No. 13, "Field Incident f) Correspondence Files". 2. Budget Files - Department 2 - 2 - 3. Civil Defense - AR - AR - Administrative Files. a) Questionnaires b) Rules & regulations c) Correspondence & backup data 4. Civil Defense - Budget Files 2 - 2 - 5. Civil Defense - Emergency S - S - Operation Plan 6. Communications/Correspon- 2 3 5 - dence Chronological File 7. Department of Motor Vehicles 1 - 1 - Note: Signature cards expire after Driver Classification one year and must be renewed a) Signature cards annually. 8. Department of Motor T - T - Note: For this record series, Vehicles Driver Training T(Termination) represents Records termination or retirement of a) DMV form DL-170 employee. b) Training Detail Information c) Class Outline d) Class Calendar 9. Equipment Files T+1 - T+1 - Note: For this record series, a) Manuals T(Termination) represents b) Specifications termination of use of the c) Maintenance records equipment (life of unit). d) Garage work orders (Department copies) e) Test records f) OSHA certifications 10. Field Incident Files C+3 - C+3 - a) Incident reports b) Fire/Police dispatch alarm tickets 19 Rug-27-03 01:46P R-08 Record Series Title arce I storage I Totai I Vmic I Office of Record — Notes/Remarks Fire De artment — Page 2 of 2 11. Fire Department Activity 2 - 2 - Report to Council - Biweekly 12. Hazardous Material Squad T+10 T+20 30 - Note: For this record series, Personnel Files T(Termination) represents a) Training records termination or retirement of b) Medical records employee. c) Certifications 13. Manpower Reports 2 3 5 - 14. Personnel Training Records T+5 - T+5 - Note: For this record series, a) Fire training records T(Termination) represents b) Hazardous material termination or retirement of (OSHA) training records employee. c) Fire science certificates d) Hazardous material certificates e) Employee drill records 15. Promotional Exam Postings & 20 - 20 - Results a) Exam results b) Correspondence 16. Staff Meetings Minutes ""& 10 - 10 - Agendas 17. Station Activity Logs 2 23 25 - 18. Subject & Correspondence AR - AR - Files 19. Vacation Logs 2 _ 2 20 Aug-27-03 01:46P P_Q9 Record Series Title office I storage I Tote, I V' "C Office of Record - Notes/Remarks . Health De artment — Page 1 of 2 1. Address Files C+1 5 C+6 - Note: For this record series, a) Business plans C(Closed/Completed) represents b) Contingency plans completion of occupancy by a c) Training plans business or tenant; a new occupant d) Correspondence will generate a new set of records e) Vermin inspections at that. address. f) Water permits g) Hazardous materials permits h) Underground tanks permits i) Food permits & inspection reports j) Hazardous materials inventories/manifests 2. Administrative Files 3 - 3 - a) Inter -office correspon- dence b) Memos c) Sweeps 3. Budget Files (Department) AU+2 - AU+2 - 4. Catering Trucks Files 2 - 2 - a) Inspections b) Permits c) Renewals S. Citations Files 1 4 5 - a) Citations (copies) b) Statements of fact c) Court documentation 6. Cross -Connection Control 2 3 5 - Reports 7. Dog Licenses 2 - 2 - B. Hazardous Materials AR - AR - Note: Includes materials from Administrative Files Southern California Air Quality a) Correspondence Management District (SCAQMD) and b) Reports & studies other county, state, and federal c) Policies, procedures, & agencies. directives d) Contractors lists 9. Inspector Activity Logs 1 1 2 - 10. Jail Inspections CU 6 7 - 11. Monthly (Activity) Reports 2 3 5 to Council 21 Aug-27-03 01_47P P.10 �i °1F �larrerc — �osr�i Sala Record Series Tile owe I storage I Total I viHm I Office of Record Notes/Remarks Heaith De attment - Page 2 of 2 12. Permit Billing Records 2 - 2 - 13. Permits Register 2 - 2 - 14. Remediation Case Files P - P - a) Studies & reports b) Contamination data c) Permits for soil boring d) Site safety plans 15. Closed Underground Tank P - P - Records 16. Pest Control Records 2 2 - a) Pesticide Use Reports b) Employee Safety Training 17. Risk Management Prevention C+5 - C+5 - Note: For this record series Plans (RMPP) C(Closed/Completed) represents completion of occupancy by a business or tenant at a particular address. 18. Rubbish Permits 2 8 10 - 19. Subject & Correspondence AR - AR - Files 22 Aug-27-03 01:47P Record Series Title Office Storap Total VJH/C Office of Record — Notes/Remarks Light & Power (Customer ServIL-ces)— Page I of 2 1. Abnormal Read Reports 2mo 2mo (Meters) 2. Billing Registers - Hard 2mo 2mo Note: Hard copy is kept until Copy microfiche copy is verified, then can be destroyed. 3. Billing Registers - Micro- 7 7 fiche (Original) 4.'Billing Registers - Micro- I fiche (Work Copies) 5. Collection Agencies Monthly C+l - C+l - Note: For this record series, Summary Reports C(Closed/Completed) represents closure of all outstanding collection accounts. 6. Customer Service Billing S - S - System Backup Tapes 7. Customer Services Historical AR - AR - Data 8. Financial Transactions 1 1 2 - Reports a) Daily accounts receivable reports b) Month end reports c) Payment Posting reports d) Write-offs reports 9. Lock Box Records 2 a) Lock box reports b) Copies of payments c) Deposit totals d) Bill stubs 10. Meter Readings Computer S S Tapes 11. Operational Reports 2 2 a) 48hr. disconnect reports .b) Final notice reports c) Shut-off reports 12. Payment Stubs 2 2 13. Reports to U.S. Department 2 2 of Energy a) Monthly b) Quarterly c) Annual 23 Aug-27-03 01=47P N. vow" — M*kW" Salk Record Series Title Office Storage TotW V/WC Office of Record — Notes/Remarks Light Power Customer Services — P e 2 of 2 14. Service Address Files C 2 C42 - Note: Original water work orders a) Applications are in Community Services - Water b) Credit reports c) Community Service reports d) Electrical inspection reports e) Water liability forms f) Requests for power load data g) Control cards h) Electrical work orders (original) i) Water work orders (copies) j) Account adjustment documentation k) Special meter readings 1) Bankruptcy documentation m) Collection accounts documentation 24 Aug-27-03 01:48P R_13 Record Series Title I offim I storage I row I viruc I Office of Record - Notes/Remarks Light & Power (Dis er/S stem O erations - Page 1 of 2 1. Bulk Power Log Sheets 10 - 10 - 2. Communications/Correspon- 2 - 2 - dence Chronological Files 3. Dispatch Orders 10 - 10 - 4. Division Administration 2 - 2 - Reports a) Office supplies reports b) Departmental supplies reports c) Forms reports d) Phone use reports e) Phone bill reports £) Security activity reports 5. Manuals, Policies, Pro- S - S - cedures, & Bulletins a) General operations b) Electrical system c) Water system d) Work practices 6. Monthly Activities Reports 1 - 1 7. Safety Meetings Reports 3 - 3 _ 8. Switching Programs 5 - 5 - 9. System Administration Files 2 - 2 - a) Dispatcher shift update & duties b) Key locker reports c) Switching summaries d) Substation upkeep reports e) Chart maintenance & storage reports f) Over-generation/Resource reports g) Generation training reports h) Circuit map variance reports i) Operator weekly task lists j) Shift trade reports k) Shift trade requests 10. System Documentation Back- S - S - up - Floppy disks 25 Aug-27-03 01e48P ' P_14 ---- Record Series Title ors I storage I Total I vmtc Office of Record — Notes/Remarks Light & Power(Dis atcher/S st O ations — Page 2 of 2 11. System Logs 10 - 10 - Note: If either system is shut a) Electrical system events down for an extended period, keep b) Water system events the last 10 years of system logs for future reference. In that case, the system logs would be maintained indefinitely until the system is reactivated, at which time the 10 year retention would start again. 12. System Operations Monthly 10 - 10 - Note: The monthly activity reports Control Center Activity are compilations of individual Reports reports listed elsewhere in this a) Monthly dispatch orders retention schedule. Monthly summaries activity reports are maintained b) Monthly switching pro- for a longer period of time for grams summaries reference and management c) Monthly water reports information purposes. d) Monthly counter reading reports e) Monthly interruption reports f) Monthly peak amp reports 13. System Operations Reports - 3 - 3 - Electrical a) Daily amp reports b) Generation reports c) Kwh reading (generation) d) Sulk power confirmation reports e) Interruption reports f) Monthly peak amp reports g) Counter read''-ng reports h) Dispatch orders report i).Shift check reports 14. System Operations Reports - 3 - 3 - Water a) Daily water reports b) Monthly water reports c) Elevated tank reports 15. System Prints, Schematics & S - S - Drawings 26 Aug-27-03 01>:48P mo.... — SGia dt Record Series Title ome storage -roes, V"c Office of Record — Notes/Remarks Light & Power(Engineering) — Page 1 of 2 1. Budget Files 1 - 1 - a) Calculations b) Work papers 2. Contractors/Consultants C+1 - C+1 - Files 3. Correspondence Chronological 2 - 2 - Files 4. Easements (Originals) T - T - Note: Utilities Engineering is the office of record for all easements obtained between August 1, 1933 and June 14, 1978. The City Clerk Department is the office of record for all easements obtained from June 15,, 1978 and forward. 5. Engineering Drawings/ S - S - Blueprints Mylar Originals 6..Equipment Records T - T - Note: For this record series, a) Manuals & technical data T(Termination) represents b) Tests & inspections termination of use of the c) Studies & reports equipment. d) Maintenance data 7. Equipment Specifications S S - 8. Interruption Report Analysis 9. Joint Pole Committee Hand- S - S - books 10. Joint Pole Committee Meet- 2 - 2 - ing Minutes 11. Pole Records - Card Files T - T - Note: For this record series, T(Termination) represents termination of use of the pole. 12. Pole Transaction & Main- 10 - 10 - tenance Records a) Bills of sale (Form 44) b) Invoices c) Authorizations for joint pole transac_ion d) Memorandum notices of joint pole work (Form 48) 27 Aug-27-03 01249P R.16 Record Series Title offioe storage rote V"c Office of Record. Notes/Remarks Li ht &Power (Engineering) — Page 2 of 2 13- Publications from Outside AR - AR - Sources a) Technical publications b) Standards & practices c) Vendor catalogs & publications 14. Subject & Correspondence AR - AR - Files 15. Work Orders 28 Aug-27-03 01:49P R_17 Record Series Title orr«m Storage Total V/wc Office of Record -- Notes/Remarks Light & Power Power Plant Operations) - Page 1 of 2 1. Air Quality Management 2 - 2 District (AQMD) Fuel Reports 2. Air Quality Management S - S - District (AQMD) Permits 3. Air Quality Management 10 - 10 - District (AQMD) Source Tests 4. Auxiliary Man Log Sheets 2 - 2 - 5. Budget Files •2 - 2 - 6. Cooling Tower -Water Chemical 2 - 2 - Activity Sheets 7. Cooling Tower -Water Chemical 2 - 2 Vendors Files a) Monthly reports b) Correspondence 8. Crane Maintenance Reports 5 - 5 - 9. Equipment Maintenance & 5 - 5 - Inspection Records a) Crankcase inspections b) Generator run sheets c) Lube oil sample results d) Plant lubrication reports e) Ring & cylinder inspections f) Turbine computer log readouts g) Turbine inspections h) Turbine log books i) Generator running hours 10. Fuel & Plant Inventories 5 - 5 - 11. Generation Reliability 5 - 5 - Reports 12. Generation Reports 2 - 2 - 13. Generator Kilowatt Readings 2 - 2 - 14. Generator Test Records 2 - 2 - a) Test data & reports 15. Hazardous Materials 1 - 1 - Note: All Hazardous Material Manifests manifests are to be transferred to Utilities Administration files after one year retention. 29 Aug-27-03 01.•_49P Record Series Title o+ri storage Total I vlwc Office of Record — Notes/Remarks Light & Power Power Plant Operations) — Page 2 of 2 16. Material Safety Data Sheets AR - AR -- 17. Operations Log Books 10 - 10 - Note: If diesel plant is shut down, keep the last 10 years of Operations Log Books for future reference. In that case, the Log Books would be maintained indefinitely until the plant is reactivated, at which time the 10 year retention period would start again. 18. Personnel Job Assignment 2 - 2 - Sheets 19. Personnel Safety & Training 1 - 1 - Reports 20. Time Sheets (Daily) 2 - 2 - a) Employee's daily time sheets b) Subcontractors, daily time sheets 21. Turbine Activity Sheets 5 - 5 - 30 Au9-27-03 01350P P.. 19 Record Series Title off" storage Tote) V"c Office of Record Notes/Remarks Light Power Resources Planning) - Pa e 1 of 3 1. Annual Division Reports 5 - 5 - 2. Annual Reports to Federal 5 - 5 - Energy Regulatory Commission (FERC) 3. Bulk Power Purchasing/Sup- - C+5 C+5 - Note: Original agreements are in plier Records the City Clerk Department. This a) Agreements (copies) record series contains records b) Evaluations taken from the "Bulk Power c) Financial data Purchasing/Supplier Work Files" d) Reports & studies (record series No. 4) which have e) Correspondence & backup been selected for long term data retention (completion of the terms f) Bill copies of the agreement plus 5 years). These records are used by this division for research and evaluation. 4. Bulk Power Purchasing / Sup- AR - AR - Note: Original agreements are in plier Work Files the City Clerk Department. The a) Agreements (copies) files in this record series are b) Evaluations reviewed annually for long term c) Financial data value; records to be retained d) Reports & studies become part of record series No. e) Correspondence & backup 3, "Bulk Power Purchasing/Supplier data Records". f) Bill copies 5. California Energy Commission C+3 - C+3 - (CEC) Filings a) Docket filings b) Common Forecasting Methodology (CFM) filings 6. California Energy Commission S - S - (cEC) Filings - Work Files a) Calculations & workpapers b) Procedures '& guidelines 7. Consultant Files AR - AR - a) Monthly reports b) Correspondence c) Backup data 8. Correspondence Chronological 2 - 2 - Files 9. Environmental Co:sultant 1 - 1 - Files a) Monthly reports b) Correspondence 31 Aug-27-03 01:50P . . R_20 Record Series Title ofece storage Total V/HM Office of Record - Notes/Remarks Light & Power Resource Planning) -Pape 2 of 3 10. Federal Energy Regulatory C+3 - C+3 - Note: This record series does not Commission (FERC) Filings include annual reports to FERC; a) Docket filings see record series No. 2, "Annual Reports to Federal Energy Regulatory Commission (FERC)". 11. Federal Energy Regulatory S - S - Commission (FERC) Filings - Work Files a) Calculations & work - papers b) Procedures & guidelines 12. Litigation Files C+5 - C+5 - Note: For this record series, a) Transcripts & exhibits C(Closed/Completed) represents b) Rulings/judgements final ruling on a case and c) Correspondence & backup completion of the appeal process. data 13. Load Data Reports AR - AR - 14. Manuals, Procedures, & S+2 - S+2 - Note: This record series contains Bulletins all manuals, procedures, & bulletins originating from the Resource Planning Division. 15. Power Operations Reports 5 - 5 - 16. Project.Historical Records - C+5 C+5 - Notes: Original agreements and a) Studies & reports resolutions are in City Clerk b) Correspondence Department. Original permit c) Permit application applications are in organization .documents (copies) issuing the permits. Includes d) Resolutions ;copies) transmission and generation e) Licensing information projects. The files document all f) Bond data aspects of a project, including g) Progress reports development, construction and h) Financial analyses operations. This record series i) News clippings contains records taken from the j) Consultant proposals & "Project Work Files" (record backup data series No. 18) which have been k) Meetings minutes selected for long term retention 1) Agreements (drafts & (completion of the project plus 5 copies) years). These records are used by m) Mailing lists this division for research and n) Engineering data evaluation. 32 Aug-27-03 01c50P R.21 ext eivowmw - �;;71 AAWWW S Record Series Title Ofte storage Total vnM Office of Record — Notes/Remarks Light Power Resource Planning) - P e 3 of 3 17. Project Work Files AR - AR - Notes: Original agreements and a) Studies & reports resolutions are in City Clerk b) Correspondence Department. Original permit c) Permit application applications are in organization documents (copies) issuing the permits. Includes_ d) Resolutions (copies) transmission and generation e) Licensing information projects. The files document all f) Bond data aspects of a project, including g) Progress reports development, construction and h) Financial analyses operations. The files in this i) News clippings record series are reviewed j) Consultant proposals & annually for long term value; backup data records to be retained become part k) Meetings minutes of a record series No. 17, 1) Agreements (drafts & "Project Historical Records". copies) m) Mailing lists n) Engineering data 18. Rates Schedules S+6 - S+6 - a) Retail tariff schedules b) Wholesale rates schedules 19. Rates - Work Files S - S - a) Calculations & work - papers b) Backup data 20. Regulatory Agencies Admin- AR - AR - Note: Includes files for istrative Files regulatory agencies such as the a) Studies & reports Federal Energy Regulatory b) Correspondence Commission (FERC), California c) Rules, regulations & Energy Commission (CEC), and guidelines Southern California Air Quality d) Docket filings & back- Management District (SCAQMD). ground data (other power companies) 21. Southern California Air E+5 - E+5 - Note: original permits are in Quality Management District Power Plant Operations Division. (SCAQMD) Filings a) Permits (copies) b) Correspondence c) Backup data 22. Southern California Gas 2 - 2 - Company -Billings a) Bill copies 23. Subject & Correspondence AR - AR - Files 33 Aug-27-03 01251P P.22 Personnel - Page 1 of 3 1. Computerized Personnel Sum- S - S C mary Information a) Salary data b) Address c) Classification d) Emergency contacts 2. Manuals, Policies, Pro- S+2 - S+2 - Note: This record series contains cedures, & Bulletins all manuals, policies, procedures, and bulletins originating from the Personnel/Risk Management Department. 3. Personnel Benefits Records E+2 5 E+7 C Note: For this record series, a) Enrollment documentation E(Expiration) represents the b) Retirement (PERS) data expiration of benefits for the c) Benefits data employee, and his or her spouse d) COBRA data and dependents (if applicable). Includes medical, dental, life insurance, retirement, and other benefits programs. 4. Personnel Files -- Active T - T C Note: For this record series, Employees T(Termination) can represent a) Applications termination or retirement of b) Employment verification employee. At that point, the (I-9) records Personnel File becomes part of the c) Disciplinary actions appropriate record series d) Absence reports (Personnel Files - Terminated e) Salary data Employees or Personnel Files - f) Educational data & Retired Employees). reimbursements g) Classification records h) Attendance & time off i) Pictures j) Reference checks k) Resumes 1) Orientation check -off sheets m) Commendations n) Emergency contact infor- mation. o) Personnel Action Forms p) Psychological Profiles 34 Aug-27-03 01=51P P_23 od?lowroR ^ �'ecords., iti SAW" Record Series Title Office storage Total wruc Office of Record —Notes/Remarks Personnel — Page 2 of 3 5. Personnel Files - Retired CU 2 3 C Pursuant to Resolution 7187 Employees adopted July 28, 1998. Police a) Applications Department employees personnel b) Employment verification files retained for total of 5 (1-9) records years. c) Disciplinary actions d) Absence reports e) Salary data Educational data & reim- bursements g) Classification records h) Attendance & time off i) Pictures j) Reference checks k) Resumes 1) Orientation check -off sheets m) Commendations n) Medical/dental claims documentation o) Workers compensation records p) Emergency contact infor- mation q) Personnel Action Forms r) Psychological profiles 35 Rug-27-03 01':51P P.24 Record Series Title otter storage T w I Vffc Office of Record - Notes/Remarks Personnel - Page 3 of 3 6. Personnel Quarterly 3 - 3 C Evaluations 7. Publications from Outside AR - AR - Sources a) Reference books & materials b) Job openings, notices, & flyers c) Employee information publications 8. Recruitment Files C+3 - C+3 - Note: If a qualified applicant is a) Job applications hired, the contents of this record b) Tests series will betransferred to the c) Resumes & correspondence Personnel File for that d) Eligibility lists individual. 36 Aug-27-03 01:52P 4 1 P-25 Record Series Title office Stoma Total V"C Office of Record — Notes/Remarks Redevelopment A ien cy - Page I of 3 1. Redevelopment Agency - E+10 E+10 Agreements & Leases Files a) Original, executed agreements & leases b) Insurance documentation c) Correspondence & backup data 2. Redevelopment Agency Board 7 7 Agendas - Certified Copies 3.`-Redevelopment Agency Board 2 2 - Note: Working copies are notated Agendas - Working Copies for preparation of draft Agency Board Minutes. 4. Redevelopment Agency Board 4 4 - Duplicate Series. official is with Members - Statements of Fair Political Practices Economic Interest (FPPC Commission (FPPC) Form 700) 5. Redevelopment Agency Board 1 P P V,H Note: Permanent storage location Minutes is the city vault or off -site depository. 6. Redevelopment Agency Board 3 3 Duplicate Series. official minutes Minutes (Reference Copies) are stored permanently in the city vault or off -site depository. 7. Redevelopment Agency Board 1 P P V,H Resolutions S. Redevelopment Agency - E+6 E+6 Contract Files a) Original, executed con- tracts b) Performance/Contract bonds c) Certificates of insurance/Insurance documentation d) Requests for proposal/ Invitation to bid e) Proof of publication f) Lists of bidders g) Proposals/bids h) Correspondence & backup data 37 A 0A-77_9'%'2 9'17---- i Record Series Title o� s TOW v�uc Office of Record -- Notes/Remarks Redevelopment A 3ency - Page 2 of 3 9. Redevelopment Agency 7 - 7 - Note: City Clerk is the Office of Employees - Statements of Record for these FPPC forms. Economic Interest (FPPC Form 700 - designated employees) 10. Redevelopment Agency - Pro- C+5 5 C+10 V,H Note: For this record series ject Area Adoption Records C(Closed/Completed) represents a) Survey area final financial close-out of the documentation project. b) Redevelopment plans c) Project Area Committee records d) Reports to City Council e) Fiscal review documen- tation f) Relocation plans g) Owner participation rules & contracts h) Public hearings documen- tation i) Environmental impact /assessment documents j) Maps, plans, drawings, & photographs k) Studies & reports 1) Correspondence & backup data 38 Aug-27-03 01t52P p_27 Record Series Title arm storage Total VIM Office of Record Notes/Remarks Redevelo ment A ienty— Page 3 of 3 11. Redevelopment Agency - Pro- C+5. 5 C+10 V,H Notes: Official copies of ject Files agreements are in record series a) Owner participation No. 51, -Redevelopment Agency - records Agreements & Leases Files". b) Developer selection documentation Documents establishing real c) Negotiation/Development property ownership are in record agreements (copies) series No. 49, "Real Property d) Acquisition Files". documentation (see note) e) Environmental impact/ assessment documents f) Public hearings documen- tation g) Design & review records h) Relocation records i) Infrastructure/public improvements records j) Right-of-way documen- tation (see note) k) Site preparation & con- struction management documents" 1) Studies & reports m) Correspondence & backup data 39 Aug-27-03 01:53P &# oil/et-ow fe Xd 406 Sd eddo ` P_28 Record Series Title I Ofka I storage I Total I vm1c I Office of Record — Notes/Remarks Risk Mans ement - Pa e 1 of 2 1. Accident investigation C+1 6 7 - Note: Final documentation is in Committee Files City Council records and/or a) Investigation documen- personnel files. tation b) Conclusions/findings 2. Claims Against the City C+1 4 C+5 - a) Claim forms b) Correspondence c) Investigative reports d) Administrator correspon- dence and reports. 3. Department of Motor Vehicles 1 - 1 Pull Notice Records 4. Fidelity Bonds - City C+5 P P - Employees 5. File Permits Files C+5 P P - a) Correspondence b) Certificates of Insurance c) Backup Data 6. Loss Run Analysis Reports 5 - 5 - a) General Liability reports b) Workers Compensation reports 7. Medical/Dental Claims Files T - T C Notes: Original claims forms, .a) Claims documentation correspondence and documentation (copies) are with the individual employees b) Psychological Evaluations and the program administrators. The records represented in this record series are added to an individual's personnel file upon termination or retirement (see Personnel Department retention schedule). 8. Medical/Dental Programs E+3 - E+3 - Note: For this record series, Administrators Files E(Expiration) represents a) Backup data & reports expiration of the contract with b) Billing copies the administrator. Original c) Correspondence contracts are in City Clerk d) Contracts (copies) Department. 40 Aug-27-03 01:53P . 4` M • P_29 Record Series Title ore Storage Total V&VC Office of Record — Notes/Remarks Risk Mana ement - Pa e 2 of 2 9. Occupational Safety & Health 5 - 5 - Note: This record series is Administration "200" (OSHA) required by California OSHA to be logs maintained by the city for 5 years. 10. Reinsurance Policies Files P - P V Note: Includes insurance policies a) Policy documentation for Workers Compensation, b) Original policies Property, General Liability, c) Publications Boilers & Machinery. Information. d) Correspondence is also retained by the e) Backup data Independent Cities Risk Management Authority (ICRMA). 11. Reports to Finance Depart. 7 - 7 - a) Monthly workers compen- sation reports. b) Monthly auto insurance reports 12. Safety Committee Meetings - P - P - Agendas & Minutes 13. Tailgate Meetings — Minutes P - P - Note: This is the name given to departmental safety meetings and reviews. 14. Workers Compensation Case T+2 P P - Note: The records represented by Files this record series are added to an a) Pre -employment physicals individua_'s personnel file upon b) Claims termination or retirement (see c) Correspondence Personnel Department retention d) Reports schedule). e) 5020 Forms f) DW-1 Forms g) Workers compensation log h) Physician designation forms 15. Workers Compensation Insur- E+2 P P - Note: For this record series, ance Administrators Files E(Expiration) represents expiration of the contract with a) Contracts (copies) the administrator. Original b) Correspondence contract and contract documents c) Backup data & reports are in City Clerk Department. 16. Public Self -Insurer's 10 - 10 V Annual Report (Non-JPA Member) 41 GLOSSARY OF RECORDS RETENTION DEFINITIONS Annual Review - Yearly review of operations, procedures, policies, or documents relating to the retention schedule. *Audit - Review for acceptance of records relating to operations, policies and procedures, financial documentation and historical documents by regulating agencies. *Closed/Completed - A file or record on which action has been completed and to which an audit or further action is not likely to occur. Confidential - A record of information requiring protection against unauthorized disclosure. Current - The current year. Election - Voter ballots and other documents regarding current City public elections. Expiration - The act of coming. to a close. *Historical - In appraisal, the value attributed to a record which preserves documentation on significant historical events including the City's operations, origin, policies, authorities, functions, and organizations, as well as significant administrative decisions. *Permanent - Recorded information which is required by law to be retained; or which has been designated for continuous preservation because of its administrative or historical significance. *Superseded - The replacement of an existing document. Termination - Discontinued (example - employment, term of office, use of equipment, permits, etc...) *Vital - Those records containing information necessary to continue the operation of government, affirm the powers and duties of government and to protect the rights and interests of persons. * Definitions taken from the August 1999, Local Government Records Retention Guidelines, City Clerk's Association of California. 42 Aug-27-03 01:57P P.01 ^ '* r au K s r 1 RESOLUTION 8269 SUPPORTING DOCUMENTS CITY COUNCIL LEONIS C. MALBURG Mayor THOMAS A. YBARRA Mayor Pro-Tem WM. 'BILL" DAVIS Councilman H. "LARRY" GONZALES Councilman / W. MICHAEL MCCORMICK Councilman BRUCE V. MALKENHORST City Administrator/City Clerk FAX (323) 826-1438 City Council City of Vernon Honorable Members: CITY HALL 4305 SANTA FE AVENUE, VERNON, CALIFORNIA 90058 TELEPHONE (323) 583-8811 August 20, 2003 EDUARDO OLIVO City Attorney FAX: (562) 869-1883 KEVIN WILSON Director of Community Services & Water FAX: (323) 826-1435 KENNETH J. DeDARIO Director of Utilities FAX: (323) 826-1425 STEVEN E. PARKER Fire Chief FAX: (323) 826-1407 BRUCE W. OLSON Police Chief FAX: (323) 826-1481 The city has in effect an approved Records Retention Schedule for all departments with the exception of the Police Department. The current retention schedule has been reviewed by the Finance Administrator in order to update & revise certain records series for certain departments. It is hereby recommended that the Records Retention Schedule be amended to reflect the revisions to the Treasurer's Department, the Finance Department, the Light & Power Department and the Municipal Gas System to be effective immediately. Very truly yours Bruce V. Malkenhorst City Administrator/City Clerk MEMORANDUM Date: August 20, 2003 To: Bruce V. Malkenhorst City Administrator From: Eric T. Fresch Finance Administrator RE: Amendment of City's Records Retention Schedule Mr. Malkenhorst, I recommend the City amend its records retention schedule for maintaining documents and records. These amendments shall bring the City's records management into compliance with the State of California's Local Government Records Management Guidelines and the Federal Government Code of Federal Regulations concerning preservation of records of Public Utilities. 18 CFR S 125.3 18 C.F.R. § 125.3 C CODE OF FEDERAL REGULATIONS TITLE 18--CONSERVATION OF POWER AND WATER RESOURCES CHAPTER I --FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY SUBCHAPTER C- ACCOUNTS, FEDERAL POWER ACT PART 125--PRESERVATION OF RECORDS OF PUBLIC UTILITIES AND LICENSEES Current through July 28, 2003; 68 FR 44415 § 125.3 Schedule of records and periods of retention. Table of Contents Corporate and General 1. Reports to stockholders. 2. Organizational documents. 3. Contracts including amendments and agreements. 4. Accountants' and auditors' reports. Information Technology Management 5. Automatic data processing records. General Accounting Records 6. General and subsidiary ledgers. 7. Journals: General and subsidiary. 8. Journal vouchers and entries. 9. Cash books. 10. Voucher registers. 11., Vouchers. Insurance 12. Insurance records. Operations and Maintenance Page 1 13.1. Production --Public utilities and licensees (less nuclear). 13.2 Production --Nuclear. 14. Transmission and distribution --Public utilities and licensees. 15. Maintenance work orders and job orders. Plant and Depreciation 16. Plant ledgers. 17. Construction work in progress ledgers. 18. Retirement work in progress ledgers. 19. Summary sheets. 20. Appraisals and valuations. 21. Engineering records. 22. Contracts relating to utility plant. 23. Reclassification of utility plant account records. 24. Accumulated depreciation and depletion of utility plant account records. Purchase and Stores 25. Procurement. 26. Material ledgers. 27. Materials and supplies received and issued. 28. Records of sales of scrap and materials and supplies. Revenue Accounting and Collection 29. Customers' service applications and contracts. 30. Rate schedules. 31. Maximum demand and demand meter record cards. Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works 18CFRS 125.3 32. Miscellaneous billing data. 33. Revenue summaries. Tax 34. Tax records. Treasury 35. Statements of funds and deposits. 36. Records of deposits with banks and others. Page 2 Miscellaneous 37. [Reserved] 38. Statistics. 39. Budgets and other forecasts. 40. Records of predecessors companies. 41. Reports to Federal and State regulatory commissions. 42. Advertising. Schedule of Records and Periods of Retention Item No. and description ------------------------------------------------------------------------------- Retention period Corporate and General 1. Reports to stockholders: Annual reports or statements to stockholders ..................... 5 years. 2. Organizational documents: (a) Minute books of stockholders', directors', and directors' committee meetings ......... 5 years or termination of the corporation's existence, whichever occurs first. (b) Titles, franchises, and licenses: Copies of formal orders of regulatory commissions served upon the utility ................... 6 years after final non -appealable order. 3. Contracts, including amendments and agreements (except contracts provided for elsewhere): (a) Service contracts, such as for management, accounting, and financial services ........ All contracts, related memoranda, and revisions should be retained for 4 years after expiration or until the conclusion of any contract disputes pertaining to such contracts, whichever is later. (b) Contracts with others for transmission or the purchase, sale or interchange of product .................................... All contracts, related memoranda, and revisions should be retained for 4 years Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works 18 CFR S 125.3 (c) Memoranda essential to clarifying or explaining provisions of contracts listed above, including requests for discounts ... (d) Card or book records of contracts, leases, and agreements made, showing dates of expirations and of renewals, memoranda of receipts, and payments under such Page 3 after expiration or until the conclusion of any contract disputes or governmental proceedings pertaining to such contracts, whichever is later. For the same periods as contracts to which they relate. contracts ................................. For the same periods as contracts to which they relate. 4. Accountants' and auditors' reports: (a) Reports of examinations and audits by accountants and auditors not in the regular employ of the utility (such as reports of public accounting firms and commission accountants) ................... 5 years after the date of the report. (b) .Internal audit reports and working papers ... 5 years after the date of the report. Information Technology Management 5. Automatic data processing records (retain original source data used as input for data processing and data processing report printouts for the applicable periods prescribed elsewhere in the schedule): Software program documentation and revisions thereto ............ Retain as long as it represents an active viable program or for periods prescribed for related output data, whichever is shorter. General Accounting Records 6. General and subsidiary ledgers: (a) Ledgers: (1) General ledgers ........................ 10 years. (2) Ledgers subsidiary or auxiliary to general ledgers except ledgers provided for elsewhere ............... 10 years. (b) Indexes: Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works 18 CFR S 125.3 Page 4 (1) Indexes to general ledgers ............. 10 years. (2) Indexes to subsidiary ledgers except ledgers provided for elsewhere ....... 10 years. (c) Trial balance sheets of general and subsidiary ledgers ........................ 2 years. 7. Journals: General and subsidiary ................. 10 years. 8. Journal vouchers and journal entries including supporting detail: (a) Journal vouchers and journal entries ........ 10 years. (b) Analyses, summarization, distributions, and other computations which support journal vouchers and journal entries: (1) Charging plant accounts ................ 25 years. See § 125.2(g). (2) Charging all other accounts ............ 6 years. 9. Cash books: General and subsidiary or auxiliary books .......................................... 5 years after close of fiscal year. 10. Voucher registers: Voucher registers or similar records when used as a source document ......... 5 years. See § 125.2(g). 11. Vouchers: (a) Paid and canceled vouchers (one copy -analysis sheets showing detailed distribution of charges on individual vouchers and other supporting papers)...... 5 years. See § 125.2(g). (b) Original bills and invoices for materials, services, etc., paid by vouchers .......... 5 years. See § 125.2(g). (c) Paid checks and receipts for payments of specific vouchers ......................... 5 years. (d) Authorization for the payment of specific vouchers .................................. 5 years. See § 125.2(g). (e) Lists of unaudited bills (accounts payable), list of vouchers transmitted, and memoranda regarding changes in audited bills ..................................... Destroy at option. (f) Voucher indexes ............................. Destroy at option. Insurance 12. Insurance records: (a) Records of insurance policies in force, showing coverage, premiums paid, and expiration dates .......................... Destroy at option after expiration of such policies. (b) Records of amounts recovered from insurance companies in connection with losses and of claims against insurance companies, including reports of losses, and supporting papers ........................ 6 years. See § Copr. © West 2003 No Claim to Orig. U.S. Govt. Works 18 CFR S 125.3 Page 5 125.2(g). Operations and Maintenance 13.1 Production --Public utilities and licensees (less Nuclear): (a) Boiler -tube failure report .................. 3 years. (b) Generation and output logs with supporting data: ..................................... 3 years. (c) Station and system generation reports and clearance logs: (1) Hydro -electric ......................... 25 years. See § 125.2(g). (2) Steam and others ....................... 6 years. See § 125.2(g). (d) Generating high-tension and low-tension load records................................... 3 years. (e) Load -curves, temperature logs, coal, and water logs ................................ 3 years. (f) Gauge -reading reports ....................... 2 years, except river flow data collected in connection with hydro operation must be retained for life of corporation. (g) Recording instrumentation charts ............ l year, except where the basic chart information is transferred to another record, the charts need -only be retained 6 months provided the record containing the basic data is retained 1 year. 13.2 Production --Nuclear: For informational purposes, refer to the document retention requirements of the Nuclear Regulatory Commission. 14. Transmission and distribution --Public utilities and licensees. (a) Substation and transmission line logs ....... 3 years. (b) System operator's daily logs and reports of operation ................................. 3 years. (c) Transformer history records ................. For life of transformer. (d) Records of transformer inspections, oil tests, etc ................................ Destroy at option. 15. Maintenance work orders and job orders: (a) Authorizations for expenditures for maintenance work to be covered by work orders, including memoranda showing the estimates of costs to be incurred ......... 5 years. Copr. 0 West 2003, No Claim to Orig. U.S. Govt. Works 16 17 18 CFR S 125.3 (b) Work order sheets to which are posted in detail the entries for labor, material, and other charges in connection with maintenance, and other work pertaining to utility operations ........................ (c) Summaries of expenditures on maintenance and job orders and clearances to operating other accounts (exclusive of plant accounts) ................................. Plant and Depreciation Plant ledgers: (a) Ledgers of utility plant accounts including land and other detailed ledgers showing the cost of utility plant by classes ...... (b) Continuing plant inventory ledger, book or card records showing description, location, quantities, cost, etc., of physical units (or items) of utility plant owned..................................... Construction work in progress ledgers, work orders, and supplemental records: (a) Construction work in progress ledgers ....... 5 years. 5 years. 25 years. See § 125.2(g). 25 years. See § 125.2(g). 5 years after clearance to plant account', provided continuing plant inventory records are maintained; otherwise 5 years after plant is retired. (b) Work orders sheets to which are posted in summary form or in detail the entries for labor, materials, and other charges for utility plant additions and the entries closing the work orders to utility plant in service at completion 5 years after clearance to plant account, provided continuing plant inventory records are maintained; otherwise 5 years after plant is retired. (c) Authorizations for expenditures for additions to utility plant, including memoranda showing the detailed estimates of cost, and the bases therefor (including original and revised or subsequent authorizations) ........................... 5 years after Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works Page 6 18 CFR S 125.3 Page 7 clearance to plant account except where there are ongoing Commission proceedings. (d) Requisitions and registers of authorizations for utility plant expenditures ............ 5 years after clearance to plant account except where there are ongoing Commission proceedings. (e) Completion or performance reports showing comparison between authorized estimates and actual expenditures for utility plant additions ................................. 5 years after. clearance to plant account except where there are ongoing Commission proceedings. (f) Analysis or cost reports showing quantities of materials used, unit costs, number of man-hours etc., in connection with completed construction project ............ 5 years after clearance to plant account except where there are ongoing Commission proceedings. (g) Records and reports pertaining to progress of construction work, the order in which jobs are to be completed, and similar records which do not form a basis of entries to the accounts ................... Destroy at option. 18. Retirement work in progress ledgers, work orders, and supplemental records: (a) Work order sheets to which are posted the entries for removal costs, materials recovered, and credits to utility plant accounts for cost of plant retirement ..... 5 years after plant is retired. (b) Authorizations for retirement of utility plant, including memoranda showing the basis for determination to be retired and estimates of salvage and removal costs .... 5 years after plant is retired. (c) Registers of retirement work ................ 5 years. 19. Summary sheets, distribution sheets, reports, statements, and papers directly supporting debits and credits to utility plant accounts not covered by construction or retirement work Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works 18 CFR S 125.3 Page 8 orders and their supporting records ............ 5 years. 20. Appraisals and valuations: (a) Appraisals and valuations made by the company of its properties or investments or of the properties or investments of any associated companies. (Includes all records essential thereto.) ............... 3 years after appraisal. (b) Determinations of amounts by which properties or investments of the company or any of its associated companies will be either written up or written down as a result of: (1) Mergers or acquisitions ................ 10 years after completion of transaction or as ordered by the Commission. (2) Asset impairments ...................... 10 years after recognition of asset impairment. (3) Other bases ........................... '. 10 years after the asset was written up or down. 21. The original or reproduction of engineering records, drawings, and other supporting data for proposed or as -constructed utility facilities: Maps, diagrams, profiles, photographs, field survey notes, plot plan, detail drawings, records of engineering studies, and similar records showing the location of proposed or as -constructed facilities ..................................... Retain until retired. 22.. Contracts relating to utility plant: (a) Contracts relating to acquisition or sale of plant ..................................... 6 years after plant is retired or sold. (b) Contracts and other agreements relating to services performed in connection with construction of utility plant (including contracts for the construction of plant by others for the utility and for supervision and engineering relating to construction work) ...................................... 6 years after plant is retired or sold'. 23. Records pertaining to reclassification of utility plant accounts to conform to prescribed systems of accounts including supporting papers showing the bases for such reclassifications ........... 6 years. 24. Records of accumulated provisions for depreciation and depletion of utility plant and supporting computation of expense: Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works 18 CFR S 125.3 Page 9 (a) Detailed records or analysis sheets segregating the accumulated depreciation according to functional classification of plant ..................................... 25 years. (b) Records reflecting the service life of property and the percentage of salvage and cost of removal for property retired from each account for depreciable utility plant 25 years. Purchase and Stores 25. Procurement: (a) Agreements entered into for the acquisition of goods or the performance of services. Includes all forms of agreements not specifically set forth in Subsection 7 such as but not limited to: Letters of intent, exchange of correspondence, master agreements, term contracts, rental agreements, and the various types of purchase orders: (1) For goods or services relating to plant construction ......................... 6 years. See § 125.2(g). (2) For other goods or services ............ 6 years. (b)' Supporting documents including accepted and unaccepted bids or proposals (summaries of unaccepted bids or proposals may be kept in lieu of originals) evidencing all relevant elements of the procurement ...... 6 years. See § 125.2(g). 26. Material ledgers: Ledger sheets of materials and supplies received, issued, and on hand ......... 6 years after the date the records/ledgers were created. 27. Materials and supplies received and issued: Records showing the detailed distribution of materials and supplies issued during accounting periods........................................ 6 years. See § 125.2(g). 28. Records of sales of scrap and materials and supplies: (a) Authorization for sale of scrap and materials and supplies .................... 3 years. (b) Contracts for sale of scrap materials and supplies .................................. 3 years. Revenue Accounting and Collecting 29. Customers' service applications and contracts: Contracts, including amendments for extensions of service, for which contributions are made by customers and others ........................... 4 years after expiration. 30. Rate schedules: General files of published rate sheets and schedules of utility service. Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works 18 CFR S 125.3 Page 10 Including schedules suspended or superseded .... 6 years after published rate sheets and schedules are superseded or no longer used to charge for utility service. 31. Maximum demand, and demand meter record cards .... 1 year, except where the basic chart information is transferred to another record the charts need only be retained 6 months, provided the basic data is retained 1 year. 32. Miscellaneous billing data: Billing department's copies of contracts with customers (other than contracts in general files) .................... Destroy at option. 33. Revenue summaries: Summaries of monthly operating revenues according to classes of service. Including summaries of forfeited discounts and penalties ...................................... 5 years. Tax 34. Tax records: (a) Copies of tax returns and supporting schedules filed with taxing authorities, supporting working papers, records of appeals of tax bills, and receipts for payment. See Subsection 11(b) for vouchers evidencing disbursements: (1) Income tax returns ..................... 2 years after final tax liability is determined. (2) Property tax returns ..................: 2 years after final tax liability is determined. (3) Sales and other use taxes .............. 2 years. (4) Other taxes ............................ 2 years after final tax liability is determined. (5) Agreements between associate companies as to allocation of consolidated income taxes ......................... 2 years after final tax liability is determined. (6) Schedule of allocation of consolidated Federal income taxes among associate companies ............................ 2 years after final tax liability is determined. Copr. © West 2003 No Claim to Orig. U.S. Govt. Works 35 36. 18 CFR S 125.3 Page 11 (b) Filings with taxing authorities to qualify employee benefit plans 5 years after discontinuance of plan. (c) Information returns and reports to taxing authorities ............................... Treasury Statements of funds and deposits ................ 3 years after final tax liability is determined. For nuclear decommissioning funds, retain records for all items listed for 3 years after final decommissioning is completed. If amortization reserve funds related to licensed projects are maintained, retain' until the Commission makes a final determination of the disposition of amortization reserves. (a) Statements of periodic deposits with fund administrators or trustees Retain records for the most recent 3 years. (b) Statements of periodic withdrawals from fund Retain records for the most recent 3 years. (c) Statements prepared by fund administrator or trustees of fund activity including: ... Retain records until the fund is dissolved or terminated. (1) Beginning of the year balance of fund; (2) Deposits with the fund; (3) Acquisition of investments held by the fund; (4) Disposition of investments held by the fund; (5) Disbursements from the fund, including party to whom disbursement was made; (6) End of year balance of fund. Records of deposits with banks and others: (a) Statements from depositories showing the details of funds received, disbursed, transferred, and balances on deposit ...... Destroy at option after completion of Copr. © West 2003 No Claim to Orig. U.S. Govt. Works 37 38 39. 40 18 CFR S 125.3 Page' 12 audit by independent accountants. (b) Check stubs, registers, or other records of checks issued ............................. 3 years. Miscellaneous [Reserved] Statistics: Financial, operating and statistical reports used for internal administrative or operating purposes ............................. 5 years. Budgets and other forecasts (prepared for internal administrative or operating purposes) of estimated future income, receipts and expenditures in connection with financing, construction and operations, including acquisitions and disposals of properties or investments.................................... 3 years. Records of predecessor companies ..,............... Retain consistent with the requirements for the same types of records of the utility. 41. Reports to Federal and State regulatory commissions including annual financial, operating and statistical reports .............. 5 years. 42. Advertising: Copies of advertisements by or for the company on behalf of itself or any associate company in newspapers, magazines, and other publications, including costs and other records relevant thereto (excluding advertising of appliances, employment opportunities, routine notices, and invitations for bids all of which may be destroyed at option) ........... 2 years. ------------------------------------------------------------------------------- [Order 450, 37 FR 6293, March 28, 1972, as amended by Order 258, 47 FR 42725, Sept. 29, 1982; 48 FR 44483, Sept. 29, 1983; Order 617, 65 FR 48156, Aug. 7, 2000; Order 617, 65 FR 50638, Aug. 21, 2000] < General Materials (GM) - References, Annotations, or Tables > 18 C. F. R. § 125.3 18 CFR § 125.3 END OF DOCUMENT Copr. 0 West 2003 No Claim to Orig. U.S. Govt. Works City of Vernon - Records Retention Schedule ..... ;<:>:<:>::>:::>:::>:<::::<:>::::<::»::>;::>:: wn <> Finance General - Pa e 3 of 3 24. Utilities - Customer Cer- - T T - Note: for this record series, tificates of Deposit T(Termination) represents the return of the original certificate of deposit to the customer. 25. Utilities - Annual Reports 7 - 7 - to Federal Energy Regula- tory Commission (FERC) 26. Utilities - Transmission C+2 - C+2 - Note: For this record series, Invoices C(Closed/Completed) represents full payment of invoice 27. Warrant Register - Original AU+2 - AU+2 - (Includes back-up files and Payroll Warrant Register) 28. Water Work Orders / Billing Construction Jobs 2 - 2 - 29. Workers Compensation & 2 P P - Liability a) Backup files b) Canceled checks 14 memo (f} N ' O5 ��l 1 IOU GE 4s��'ELY 1�pJ� To: Bruce V. Malkenhorst, City Administrator/City Clerk From: Eric Fresch, Finance Administrator Date: September 3, 2003 Re: Records Retention Schedule - Resolution No. 8269 Adopted August 27, 2003 Through my oversight, the final copy of the City's recently adopted Records Retention Schedule, page 14, specifically item 27 under Finance (General), should have been deleted. I will discuss with you the appropriate way to correct this error. 0 Page 1 City of Vernon Records Retention Schedule ..................... ....................... . . ......... . ... . . .. .. . ....... ......... .... ... .............. ....... ...... .4 ........... H". ....... 1.*.,:.......,.,..".,..,................. . . ... ....... .... - :: . . ... . ....... X: ... ............ ..... .... ........... ..... J: ....... _- ..... ... ... ..... :XXX ..... .. .......... ........... ...... . ...... . . . . . . ........ ............................ ........................ . ... ......... ................ .............................. ... ............. . ......... : ............................. ..... . ............ .... . .................................... ............ ........... . .... ............ . . ....... ........ . . ..... ..... . ............ . ......... X . ....... %. ........... ...... ....... . . . . . ..... ...... ......... ......... ............ %..,. . .. ... . Finance (General) - Pa ge 3 of 3 24. Utilities - Customer Cer- T T - Note: for this record series, tificates of Deposit T(Termination) represents the return of the original certificate of deposit to the customer. 25. Utilities - Annual Reports 7 7 - to Federal Energy Regula- tory Commission (FERC) 26. Utilities - Transmission C+2 C+2 - Note: For this record series, Invoices C(Closed/Completed) represents full payment of invoice 27. Warrant F11 ) Pink AU+2 AU+2 a eeples w/baek up b) Purehase Eequisitlens Requests fef e) payment d) Griginal inveiee& e ) Baeleup data paeking slips, et---. f) Ganeeled eheeles Warrant Register - Original (Include -A" .N.". Payroll Warrant Register) Water Work Orders / Billing Construction Jobs 2 2 workers compensation & 2 P P Liability a) Backup files b) Canceled checks 14 City of Vernon - Records Retention Schedule 24. Utilities - Customer Cer- T T - Note: for this record series, tificates of Deposit T(Termination) represents the return of the original certificate of deposit to the customer. to Federal Energy Regula- tory Commission (FERC) 26. Utilities - Transmission C+2 - C+2 - Note: For this record series, Invoices C(Closed/Completed) represents full payment of invoice (Includes back-up files and Payroll Warrant Register) 28. Water Work Orders / Billing Construction Jobs 2 2 Liability a) Backup files b) Canceled checks 14 Page 1 of 1 Molleda, Gloria From: Orosco, Gloria Sent: Wednesday, September 03, 2003 11:20 AM To: Molleda, Gloria Cc: Lehr, Judy we will be doing another "amendment" to the records retention schedule. mr. fresch didn't catch an error in the final schedule. Just prepare a letter for the next council meeting Gloria Jean Chief Deputy City Clerk 9/3/2003 CITY COUNCIL LEONIS C. MALBURG Mayor THOMAS A. YBARRA Mayor Pro-Tem WM. 'BILL" DAVIS Councilman H. "LARRY" GONZALES Councilman W. MICHAEL McCORMICK Councilman BRUCE V. MALKENHORST City Administrator/City Clerk Executive Director of Light & Power FAX: (323) 826-1438 May 5, 2004 ERIC T. FRESCH City Attorney FAX: (323) 826-1491 KEVIN WILSON Director of Community Services & Water FAX: (323) 826-1435 STEVEN E. PARKER Fire Chief FAX: (323) 826-1407 BRUCE W. OLSON Police Chief FAX: (323) 826-1481 CITY HALL LEWIS J. POZZEBON 4305 SANTA FE AVENUE, VERNON, CALIFORNIA 90058 Director of Enviromental Health TELEPHONE (323) 583-8811 FAX: (323) 588-4320 2C� [(K�y VIA FEDERAL EXPRESS Channing D. Strother, Jr., Esq. McCarthy, Sweeney & Harkaway 2175 K Street N W Washington, D.C. 20037 Dear Chan: Subject: PG&E Data Request Enclosed please find a certified copy of Resolution No. 8269 (record retention schedule is attached) and a CD containing a copy of the resolution as well as Edison bills from July 2000 to December 2003. Sincerely, oe J�drge S. Somoano Engineering Operations Manager Light and Power Department Enclosures cc: Chief Executive Officer, Light and Power Dept (w/o Encls.) Eduardo ivo, ega }Counsel (w/o Encls.) Eric T. Fresch, City Attorney (w/o Encls.) CITY ADMINISTRATOR/CITY CLERK'S MEMORANDUM DATE: September 16, 2003 TO: Kevin Wilson, Director of Community Services and Water Kenneth J. DeDario, Director of Utilities Steven E. Parker, Fire Chief Lewis Pozzebon, Director of Environmental Health FROM: Gloria J. Oros 60-1� Chief Deputy Ci k RE: Resolution No. 8269 Transmitted herewith is the above -mentioned resolution, approving and adopting an Amendment to the City of Vernon Records Retention Schedule 2000 for maintenance documents and records by all City Departments except the Police Department, approved on August 27. 2003. gm CC: Martha valenzuela Sharon Johnson Joan Francone Greg Tsujiuchi poTy COUNCIL LEONIS C. MALBURG Mayor THOMAS A. YBARRA Mayor Pro -Tern WM. 'BILL" DAVIS Councilman H. "LARRY" GONZALES Councilman W. MICHAEL MCCORMICK Councilman BRUCE V. MALKENHORST City Administrator/City Clerk FAX (323) 826-1438 August 25, 2003 CITY HALL 4305 SANTA FE AVENUE, VERNON, CALIFORNIA 90058 TELEPHONE (323) 583-8811 Mr. Bruce V. Malkenhorst City Administrator City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Re: Revised City Records Retention Schedule 2003 Dear Bruce: EDUARDO OLIVO City Attorney FAX: (562) 869-1883 KEVIN WILSON Director of Community Services & Water FAX: (323) 826-1435 KENNETH J. DeDARIO Director of Municipal Utilities FAX: (323) 826-1425 STEVEN E. PARKER Fire Chief FAX: (323) 826-1407 BRUCE W. OLSON Police Chief FAX: (323) 826-1481 I recommend the City adopt the attached, revised Records Retention �cor he management of its records. I have thoroughly researched California and federal law concerning the retention requirements for local government records. I have revised the City's Records Retention Policy and attach the new document to this letter. I recommend eliminating duplicate records as unnecessarily redundant and burdensome to the City. The new revised Records RetentionyAwis based upon the State of California Local Government Records Management Guidelines issued by the Secretary of State's office and the Code of Federal Regulations sections pertinent to the Preservation of Records of Public Utilities. I attach both documents to this letter. The relevant statutory citations are included in each document. I am available to discuss any questions you may have regarding these documents. Sincerely, 6�: -7�� Eric Fresch • . • OF (J/ ,'A �e4 on.. \� s l LY Lly,.,5 tt,9/t RECORDS RETENTION SCHEDULE2003 SECRETARY OF STATE LOCAL GOVERNMENT RECORDS MANAGEMENT GUIDELINES SECRETARY OF STATE BILL JONES ARCHIVES AND MUSEUM DIVISION RECORDS MANAGEMENT (916) 653-1537 JUNE 2002 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES LOCAL GOVERNMENT RECORDS MANAGEMENT GUIDELINES TABLE OF CONTENTS CALIFORNIA GOVERNMENT RECORDS MANAGEMENT PROGRAM ............ 2-1000 BACKGROUND....................................... :..................................2-1010 AUTHORITY...............................................................................2-1020 DEFINITIONS.............................................................................2.1030 RECORDS MANAGEMENT......................................................................2.2000 PRINCIPLES...............................................................................2-2010 INVENTORY................................................... .........................2-2020 APPRAISAL AND SCHEDULING...................................................2-2030 RETENTION SCHEDULES............................................................2.2040 DISPOSITION OF RECORDS .................... .................................... 2-2050 SUMMARY.................................................................................2-2060 ACKNOWLEDGEMENT................................................................2-2070 ADMINISTRATIVE RECORDS - TYPICAL RETENTION PERIODS..............ATTCH A RECORDS MANAGEMENT RESOURCES..............................................ATTCH B CITY RECORDS RETENTION GUIDELINES...........................................ATTCH C COUNTY RECORDS RETENTION GUIDELINES.....................................ATTCH D 2 LOCAL GOVERNMENT -RECORDS MANAGEMENT GUIDELINES LOCAL GOVERNMENT RECORDS MANAGEMENT GUIDELINES California Government Records Management Program 2-1000 Background 2-1010 In 1968 the Legislature passed the California Public Records Act (PRA) (Government Code, Section 6250 et seq.) which is modeled after the federal Freedom of Information Act and details what government information is, and is not, available to the public. In general, all records are open to the public except 28 specific exemption categories listed in PRA, Section 6254. The PRA applies to all records, in whatever form, maintained by either state or local public agencies. In 1978 the Information Practices Act (IPA) (California Civil Code, Section 1798 et seq.) became effective to protect personal privacy rights for individuals. The IPA is modeled after the Federal Privacy Act of 1974 and supercedes portions of the PRA. It does not apply to local public agencies except under voluntary contractual agreements. The State Records Management Act (Government Code Section 14740-14774) requires the Director of the Department of General Services (DGS) to establish and administer the state's records management program. The program applies "... to the creation, utilization, maintenance, retention, preservation, and disposal of state records." DGS administers the program though the State Administrative Manual (SAM), Chapter 1600 and the California Acquisition Manual (CAM). SAM and CAM require every state agency to establish Records Retention Schedules which, when approved, become the legal authority for. the agency to dispose of official public records. Retention schedules are the key element in effective records management programs for both government and private industry. State agencies must revise and update their schedules every five years or whenever a change occurs that impacts the. keeping or disposing of agency records. The Records Management AcL SAM and CAM do not apply to local public agencies. Since, with the exception of the PRA, legislation and directives establishing the state Records Management Program do not apply to local government, county an or city government agencies do not hij3vg a standardized ro r of a countabilit for their treat ,men o pu is ems. Nor does local government have standard retention periods for various record categories other than certain record types identified in government codes that mandate specific local programs. To alleviate this situation the 1999 legislature added Section 12236 to the Government Code, which states in Section 12236 (a) "The Secretary of State shall establish the Local Government Records 3 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES', Program to be administered by the State Archives to establish guidelines for local government retention and to provide archival support to local agencies in this state." These guidelines are an initial attempt to provide some standards and structure to the local government records management effort. Other attempts at standardization include the California City Clerks Association's 1998 list of common local government records and recommended retention periods. The goal of the State Archives in compliance with GC 12236 is to consolidate information resources and provide local government with a single source for archival and records management support and guidance. Authority 2-1020 • California Public Records Act (Government Code, Section 6250 et seq.) • Government Code, Section 12236 Definitions 2-1030 • Active Records — As a measure of activity for records that are referred to at least once a month per cubic foot of records. Also — As a retention period for a Perpetual Record that remains "active" until some event occurs to change its status, at which time it has fulfilled its function. (See also Perpetual Record) • Administrative Records — Records commonly found in all offices and typically retained only for short time periods — less than five years. Examples include subject, chronological, budget, and policy files. • Archival Records - Records with enduring value because they reflect significant historical events, document the history and development of an agency, or provide valuable research data. • Discovery — The pretrial disclosure of pertinent facts or documents by one or both parties to a civil action or proceeding. Anything requested during discovery must be disclosed if it exists — even non -records and records that should have been destroyed earlier. Discovery effectively freezes selected holdings until released by opposing attorney or the court. • Local Government — Government Code, Section 6252 states: "'Local Agency' includes a county; city, whether general law or chartered; city and county; school district; municipal corporation; district; political subdivision; or any board, commission or agency thereof; other local public agency; or nonprofit entities that are legislative bodies of a local agency pursuant to subdivisions (c) and (d) of Government Code, Section 54952." 4 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES Non -Records - Material not usually included within the definition of records, such as unofficial copies of documents kept only for convenience or reference, working papers, appointment logs, stocks of publications and processed documents, and library or museum material intended solely for reference or exhibition. Also, documents such as rough notes, calculations or drafts assembled or created and used in the preparation or analysis of other documents. (See also Discovery) • Permanent Records — Records that are required in perpetuity, usually identified by statute or other written guidance. Examples include original birth certificates, death certificates, Spanish land grants, etc. • Perpetual Records — Records retained for an indefinite period of time and then stored or destroyed after some event takes place. Examples include office personnel files which are kept until a person leaves the office, policy files kept until the policy is changed, contract files kept until the contract terminates, etc. • Program Records - Records that relate to the primary function of the agency in response to its daily mission. Examples include lien files, recorders files, election files, probate records, medical records, etc. • Public Records - Any information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics. • Records - All papers, maps, exhibits, magnetic or paper tapes, photographic films and prints, punched cards, and other documents produced, received, owned or used by an agency, regardless of physical form or characteristics. • Records Retention Schedule - A list of all records produced or maintained by an agency and the actions taken with regards to those records. A retention schedule is an agency's legal authority to receive, create, retain, and dispose of official public records. It assists the agency by documenting which records require office or temporary storage, which records have historic or research value, and which records should be destroyed because they no longer have any administrative, fiscal, or legal value. In the event of litigation, courts accept a retention schedule as establishing an agency's "normal course of doing business". • Retention Period — The length of time a record must be retained to fulfill its administrative, fiscal and/or legal function. Then a record should be disposed of as soon as possible in accordance with an approved Records Retention Schedule. 5 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES Records Management 2-2000 Principles 2-2010 According to Government Code, Section 14740, California's Records Management Program is designed to "...apply efficient and economical management methods to the creation, utilization, maintenance, retention, preservation, and disposal of state records". Effective Records Management ensures that records are kept only as long as they have some administrative, fiscal, or legal value. When records no longer fulfill the value for which they were created, they should be destroyed unless they also have some historic or research significance. If that is the case the records should be preserved by an appropriate historical agency. Staff members should realize that an effective records management program is not only cost effective, it will also make their jobs easier. They should also know that records retained beyond their value "just in case" only extend the agency's legal liability in the event of adverse litigation. These principles apply to all levels of government. Inventory 2-2020 The first step in records management is a records inventory. Agencies need to know what records they have, where the records are kept, the volume, and how the records are used. This information is essential for developing a Records,Retention Schedule to document the agencies normal course of doing business. The Records inventory Worksheet, state form STD 70, is available to assist agencies in gathering information needed in a records management program. Regardless of the form used, the following information should be obtained during any inventory of agency records: Record Series - A record series is a group of similar records arranged under a single filing system or kept together as a unit. They deal with a particular subject (budget, personnel, etc.), result from the same activity (arrest reports, property assessments, etc.), or have a special form (blueprints, maps, etc.). The title of each record series should be as accurate as possible, since future references to the records will be by the record series name. Avoid vague titles such as "Corporate Papers", "Official Documents", or "Vital Correspondence". • Media — Determine the media for each record series such as paper, microfilm, etc. Also note if the same record exists in several medium. X LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES • Years covered — Determine the period of years covered by each record series. (Example: 1994-98). • Activity Level - The amount of activity involving a record determines where the record should be stored. Active records need to be readily available and are generally stored in the office because they are accessed frequently. Inactive records that are still needed but only accessed occasionally should be warehoused in low cost storage. • Volume — Note the volume of each record series by the cubic feet of space they occupy. This number is a spot count and should represent only those records on hand at the time of inventory. A typical file drawer or archive box contains approximately one cubic foot of actual records. Folders, separators, tab cards, etc. are not considered part of a record. Appraisal and Scheduling 2-2030 After the inventory, sound records management requires a realistic appraisal of records in relation to their period of usefulness and their value to the agency that owns them. The appraisal will: • Establish reasonable retention periods. • Identify records that can be destroyed immediately. • Identify records that should be transferred to low cost storage. • Identify vital and/or confidential records. • Identify records with historic and/or research value. • Determine the method of disposition. Once records are inventoried, determine the immediate and future usefulness of the records. In general, records should be retained only as long as they serve the immediate administrative, legal and/or fiscal purposes for which they were created. When records no longer serve these purposes, they should be disposed of or preserved for archival purposes, whichever is appropriate. Records with administrative value are created to help accomplish the functions for which an agency is responsible and have administrative value only as long as they assist the agency in performing current or future work. Their administrative use is exhausted when the transactions to which they relate are complete and from that point on they lose value rapidly. Records with legal value contain evidence of legally enforceable rights or obligations of the agency. Examples are records that provide the basis for action, such as legal decisions and opinions; fiscal documents representing agreements, such as leases, titles and contracts; and records of action in particular cases, such as claim papers and legal dockets. 7 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES Fiscal records pertain to the financial transactions of the agency, such as budgets, ledgers, allotments, payrolls and vouchers. After some records have served a basic administrative function, they may still have sufficient fiscal value to justify additional retention to protect the agency against court action and/or audits. Some records will also have enduring value because they reflect significant historical events or document the history and development of an agency. Others contain accumulated data that can be useful for both scientific and genealogical research. At the local level historical societies and/or public libraries may be able to assess this potential value for the agency. The final step in appraising records is determining their retention period. Keeping records, either in offices or storage areas, is very expensive and the actual or potential value of the records must be weighed against the cost. Most managers tend to keep records too long "just in case" and unwittingly extend the agency liability for as long as the records exist. Except for perpetual records, most administrative records should on be kept two or three years and certainly not more than fives. Program records (unique and representative of the function of the office) are typically large files and kept for longer periods of time. Attachment A contains recommended retention periods for common administrative records maintained by several state agencies. Questions to ask are how serious would it be if a particular record 5 or 10 years from now were unavailable? What are the chances of it being needed? Are the consequences serious enough to justify keeping a large volume of records for long periods of time at considerable cost? Is the information available anywhere else? What would it cost to reconstruct the record if necessary? Answering these questions will lead to a more realistic approach to the problem of determining how long records should be kept. Establishing retention periods may also involve negotiation with the people who use the records. They should be encouraged to look realistically at their need for the records. Don't accept the answer that 'the records are used all the time and therefore must be kept permanently'. "Permanent" t io — vanLexpensive, rarely necessary, usually must be iuStified by a specific written requirement suc as a_statI&, legal opinion aovernment code, etche State assumes "permanent" to mean 500 years! Will your records really have any value 500 years from now? Once retention periods have been established for all records, a Records Retention Schedule can be developed. The schedule formalizes the retention and disposition of the agency's records and establishes the agency's "normal course of doing business". LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES Retention Schedules 2-2040 A properly prepared and approved Records Retention Schedule is an agency's legal authority to do whatever needs to be done with records and documents entrusted to the agency's care. It certifies the life, care, and disposition of all agency records. If subpoenaed records have been destroyed, agency schedules (AND EVIDENCE OF COMPLIANCE WITH THOSE SCHEDULES) will defend the agency's actions. However, to prove there was no adverse intent when records were destroyed, schedules must be specific and consistently used. Adverse intent (to keep records out of court) is both a civil and criminal offense. The state uses two forms to create Records Retention Schedules: the Records Retention Schedule Approval Request, STD Form 72 (Ddfl; and the Records Retention Schedule, STD Form 73 (pdf). The Form 72 contains signature elements from the agency involved, the Records Manager, the approval authority, and an archival review. The Form 73 is the schedule itself and contains an agency description or mission statement plus the listing of all agency records. ,Both of these forms are for state agencies but could easily be adapted/modified for use by local government. Use of these or similar forms help an agency ensure their schedule contains all the elements necessary to withstand legal scrutiny. The signatures of the program manager (record custodian) and agency Records Manager attest to the completeness and accuracy of the information on the schedule. The approval authority should be the government body having administrative authority over the agency. For local government this authoritycould be the County Board of Supervisors, County Administration, Mayor's Office, City Administrator or similar government functions. Archival review at the local level could be from a county or city historical society, historical museum, library, or similar organization. In state government schedules are considered current for five years unless amended sooner due to a significant change in an agency's record keeping practices. A change of mission, added functions, new programs, etc. would all trigger an amendment to an existing schedule. Regardless of any amendments, a new schedule must be prepared and approved after five years to ensure the schedule accurately and completely reflects the agency's records holdings and disposition. Renewing schedules more frequently is always an option, and is required in some states. Local government agencies should adopt whatever cycle is most practical within their jurisdiction. Physical location, complexity, and activity levels of records are some of the factors to consider when determining how many schedules are needed to support an agency's records management program. Small agencies housed in one facility with narrowly focused missions may only need one schedule for the entire agency. Larger, more complex agencies may need many schedules to efficiently and effectively document the varied records maintained by the agency. For example, County Health Services in a large populous county would probably require separate schedules for Children's Services, Mental Health, Health Promotion, Elder Care Services, etc. On the other E LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES hand, a small county Health Services Agency might use a single schedule and list record series in groups under each different agency function. Disposition of Records 2-2050 Once records have fulfilled their administrative, fiscal, or legal function they should be disposed of as soon as possible in accordance with their Records Retention Schedule. A properly completed schedule provides an agency with the legal authority to dispose of records entrusted to its care. Disposition may include sending appropriate records to an archival facility, recycling unneeded records, and/or destroying unneeded confidential records. Remember, in the event of litigation the court will want to know what the agency does in the normal course of doing business. Your Records Retention Schedule spells out the normal course of business for how your agency handles and disposes of its records. In general, most agencies keep records well beyond the record's administrative, fiscal, or legal value "just in case" the records may be desired for future purposes. That is one of the worst reasons to retain records because excess records over -burden staff, slow response times to public requests, and extend the agency's legal liability. A court can not demand an agency produce documents that have been destroyed in accordance with accepted and documented (your retention schedule) industry practices. Summary 2-2060 Records Management's primary concern is the efficient, effective and economical management of information. The guiding principle of Records Management is to insure that information is available when and where it is needed, in an organized and efficient manner, and in a well -maintained environment. Records Management is more than retention schedules and the disposition of records; records management also encompasses all the record -keeping requirements that allow an organization to establish and maintain control over information flow and administrative operations. Records Management seeks to control and manage records through the entirety of their life cycle, from their creation to their final disposition. In today's litigious society Records Management is more important than ever but unfortunately is still overlooked and under -funded at all levels of government. In court an astute attorney can discredit an agency in the eyes of a judge or jury by attacking the way the agency handles its records. The fact that the records may refute or support a particular position is obscured by the attack on how the agency accounts for and handles those records. The agency's legal position in the litigation may be influenced by how well or how poorly they comply with accepted records management practices. A sound records management program doesn't cost — it pays. It pays by improving customer service, increasing'staff efficiency, allocating scarce resources, and providing 10 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES a legal foundation for how an agency conducts its daily mission. It helps identify and justify opportunities for new technology. Microfilm, optical disk, optical character recognition, workflow, e-mail, bar code, and other related technologies cannot be adequately evaluated and cost justified without a good records management program. Other benefits of effective records management include: • Space -Savings • Reduced expenditures for new filing equipment • Increased efficiency in information retrieval • Compliance with legal, administrative, and fiscal retention requirements • Identification and protection of vital records • Control over creation of new records • Identification of records with research value • Identification of records with historical value Acknowledgement 2-2070 The California State Archives would like to acknowledge the League of California Cities, the City Clerks Association of California, and Tuolumne County for their major contribution to these guidelines. Attachment C regresents severalyears of effort by the League and the Association to provide standard retention periods for record series common to most citv jurisdictions. t ac ment D is based on research conducted by T.uolumne County to standardize county record retention. Please forward comments and/or corrections to these retention periods to the California State Archives. For assistance in developing a Records Management Program or to comment on this web site please contact: Blaine Lamb, Local Government Records Coordinator Secretary of State Archives and Museum Division 1020 O Street Sacramento, CA 95814 (916) 657-3634, Fax (916) 653-7363 blamb@ss.ca.gov 11 Administrative Records - Typical Retention Periods Type of Record Years Remarks Correspondence Chron Files 2 General/Public 3 Controlled 2 Reports 3 Subject Files 3 Reproduction/PrintingReproduction/Printing Requests 2 Financial >4/7 = 4 yrs for state funds/7 for federal funds< Expense Reports 4/7 Or until audited, whichever is first Budgets 4/7 Or until audited, whichever is first Billing/Accounting Reports 4/7 Or until audited, whichever is first Budget Change Proposals 4/7 Or until audited, whichever is first Budget Change Concepts 4/7 jOr until audited, whichever is first Audits 4/7 Invoices 4/7 Or until audited, whichever is first Fees/Receipts 4/7 Or until audited, whichever is first Checks/Ledgers/Registers 4/7 Or until audited, whichever is first Cal Stars Reports Active+1 lActive until new budget aroved* Cost Recovery- Federal Active+7 Active until claim paid then 7 or until audited, whichever is first* Cost Recovery - State Active+4 Active until claim paid then 4 or until audited, whichever is first* Grants Active+2 Active until end of grant ear* Equipment/Supplies/Space Inventory Active Active until revised* Purchase Request/Order Active+4/7 Active until items received 4/7 if subject to audit)* Service Orders/Authorizations Active Active until serviceperformed* Vendor Information Active Active until revised* Building Maintenance/Leases Active Active until lease terminates* Inspection Re orts/Moves/S pace Active Active until revised/rescinded/su erseded* Equipment Maintenance Active+2 Active until maintenance complete* Hardware/Software Documentation Active Active until revised/rescinded/superseded* Vehicle Files 2 Personnel ,Duty Statements Active Active until revised* UAW LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT Employee Records Active+1 Active until employee leaves/terminates. PRA 6254, IPA 1798.40, Confidential Destruction. CD * Attendance Active+1 Active until employee leaves/terminates. PRA 6254, IPA 1798.40, CD.* Travel Active+1 Active until travel complete. PRA 6254, IPA 1798.40, CD.* Training 3 PRA 6254, IPA 1798.40, CD. Applications 2 PRA 6254, IPA 1798.40, GC 12946, CD. Interview Documents 2 PRA 6254, IPA 1798.40, CD. Affirmative Action Active Active until revised* Merit Awards 3 PRA 6254, IPA 1798.40, CD. Superior Accomplishments 3 PRA 6254, IPA 1798.40, CD. Labor Relations 2 Production/Assignment Los 2 Overtime Los 2 1PRA 6254, IPA 1798.40, CD. Action Requests/Grievances 2 PRA 6254, IPA 1798.40, CD. Toxic Exposure Reports Active Active until employee leaves/terminates. PRA 6254, IPA 1798.40, CD. Transfer R t with employee.* Polio /Procedure/Or anization Policies All Active Active until revised* Procedures All Active Active until revised* Compliance Requirements Active Active until revised* Organization Charts Active Active until revised* Mission Statements Active lActive until revised* Associations Active Active while membership is current* Meetings/Minutes/Agendas 2 Activity Reports 2 Studies/Statistics 3 Feasibility Studies 5 Request for Proposals 3 Delegation Orders Active Active until revised/su erseded/Revoked* Conferences/Committees 3 Contracts Active+4/7 Active until contract terminates/+4/7 if subject to audit* Emergency Preparedness Active Active until revised* Public Hearings 5 Health/Safety 3 Plans and Goals Active Active until revised/rescinded/su erseded/Com lete* Records Management Records Retention Schedule Active Active until revised* Records Transfer List STD 71 Active Active until disposal of records* Records Destruction Authorization 4 A-2 LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT Forms File Active+1 Active until revised/rescinded/su erseded* Leg islation/Re ulations/Le al Bill Analysis 3 PRA 6254 Research Information 3 PRA 6254 Proposed Legislation/Regulations 4 PRA 6254 Legal Opinions Active+1 Active until issues resolved* Law Suits/Small Claims Active+1 Active until litigation complete* Enrolled Bill Report 4 PRA 6254 PRA/IPA Files 2 Public Relations Clippinqs 2 Press Releases 2 Speeches 2 * "Active" retention is for Perpetual Records that remain "active" until some event occurs. After the event occurs the records are disposed of or may require retention for an additional short period of time. The "Remarks" section of a retention schedule also identifies records not subject to public disclosure because of code or statute, as well as any other unusual or significant characteristics about a record series. PRA refers to the California Public Records Act and IPA refers to the Information Practices Act. CD stands for Confidential Destruction. Most administrative records are small in volume and the records retained for less than five years. Program Records: There are no typical retention periods for program records because they are unique to the individual office. They represent the reason the office exists and their retention is usually specified in some statute or regulation that established the office or program. A few program records may be identified for permanent retention however most will be retained for a specific number of years, or as perpetual records with an "Active" period, just like administrative records. Most program records are large in volume and may be required much longer than administrative records. As with administrative records, program records should be retained only as long as they have some administrative, fiscal, or legal value. After that they should be disposed of in accordance with an approved Records Retention Schedule. URI LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT B Records Management Resources Many resources exist to assist you in your records management program. This list is not all-inclusive but will provide you with several contacts where you can ask questions and receive professional answers to many records management issues. All of these resources provide information free of charge and some also offer membership in the organization, which entitles you to additional benefits. AIIM - Association for Information and Image Management International. AIIM is the global industry association that connects the users and suppliers of document and business process management technologies and services. By focusing on the core of an effective business infrastructure in the digital age, AIIM offers invaluable assistance in the transition to e-business. World Headquarters 1100 Wayne Avenue, Suite 1100 Silver Spring, MD 20910 1-800-477-2446 http://www.aiim.org ARMA International — Association of Records Managers and Administrators. The mission of ARMA International is to provide education, research, and networking opportunities to information professionals, to enable them to use their skills and experience to leverage the value of records, information, and knowledge as corporate assets and as contributors to organizational success. ARMA International 4200 Somerset Dr., #215 Prairie Village, KS 66208 1-800-422-2762 http://www.arma.org NAGARA — National Association of Government Archives and Records Administrators. Nationwide association of local, state, and federal records agencies interested in improved administration of government records. NAGARA 48 Howard Street Albany, NY 12207 1-518-463-8644 http://www.na_qara.or-q L5 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT B NARA — National Archives and Records Administration The mission is to ensure ready access to the essential evidence that documents the rights of American citizens, the actions of Federal officials, and the national experience National Archives and Records Administration 700 Pennsylvania Avenue, NW Washington, D.C. 20408 1-800-234-8861 htti)://www.nara.gov CA Secretary of State — Local Government Records California State Archives 1020 O Street Sacramento, CA 95814 (916) 657-3634 blamb(a)-ss.ca.gov CA Department of General Services — California Records and Information Management (Ca1RIM) Department of General Services Procurement Division California Records and Information Management Program 1500 5th Street, Suite 101 Sacramento, California 95814 (916) 324-4809 www.dgs.ca.gov/pd B-2 (LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C LOCAL GOVERNMENT RECORDS RETENTION GUIDELINES August 1999 City Clerks' Association of California California State Archives 2002 Version C-1 (LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT Cj LOCAL GOVERNMENT RECORDS RETENTION GUIDELINES TABLE OF CONTENTS DISCLAIMER.................................................................................C-3 RECORD CLASSIFICATIONS...........................................................C-4 ITEMINDEX..................................................................................C-5 LEGEND & CITATIONS..................................................................C-16 ADMINISTRATIVE RECORDS..........................................................C-17 DEVELOPMENT RECORDS............................................................C-25 FINANCE RECORDS.....................................................................C-29 PUBLIC SAFETY RECORDS..........................................................C-32 EMERGENCY MANAGEMENT...............................................C-32 FIRESAFETY.....................................................................C-32 HAZARDOUS MATERIALS...................................................C-33 LAW ENFORCEMENT..........................................................C-33 PUBLICWORKS..........................................................................C-42 TRANSPORTATION ..................................................................... C-47 C-2 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C Disclaimer Local Government Retention Schedule Guidelines The guidelines as enclosed have been endorsed by resolution of the General Assembly of the League of California Cities, and by the City Clerks Association of California. They represent extensive research as to the minimum leqal re uirements for the retention of loja government records and do not reflect the administrative, operational, financial or historical needs of the jurisdiction. It is strongly recommended that cities consult with legal counsel when formulating their retention schedules so as to best meet their particular needs. The committee's research was as complete as possible and reviewed by many legal officers but may not include every record series pertinent to local government. The guidelines are just that and are fluid, very much subject to additions and updates which will be coordinated through the office of the State Archivist under the Secretary of State. Reference to retention periods, unless otherwise indicated, refers to the current year plus the years shown. For example, Cu + 2 refers to the Current year plus two, or 1998 plus years 1997 and 1996. C-8 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C RECORDS RETENTION CLASSIFICATIONS — CITY GOVERNMENT August 1999 DMINISTRATION Audit Community Services Elections General Subject Grants Human Resources Information Services Legal/Legislative Municipal Clerk Policies & Procedures Public Information Public Financing Authority Risk Management DEVELOPMEN Administration Building Code Enforcement Engineering Environmental Quality Housing Municipal Facilities Planning Property Redevelopment FINANC Accounting Administrative Services Fixed Assets License Payroll Purchasing Reports Treasurer PUBLIC SAFET=' Animal Control* Emergency Management Fire Safety Administration Personnel Property Reports Hazardous Materials Health & Welfare Law Enforcement Administration Investigations Patrol Services UBLIC WORK , Parks Sanitation/Solid Waste/ Wastewater Streets/Alleys Utilities Water RANSPORTATION] Administration Airport Ground Transportation Harbor *Anticipate will be addressed by County Officials C-4 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C. INDEX ITEM CATEGORY PAGE Abandoned Vehicles Development C-26 Abandonment Development C-28 Abandonment/Vacations Public Works C-43 Accident Reports - City Assets Administration C-24 Accounting/Cash Reconciliation Public Safety C-33 Accounts Payable Finance C-29 Accounts Receivable Finance C-29 Acquisition/Disposition Development C-28 Adjustments Finance C-29 Administration — General Subject Administration C-19 Administration — Public Financing Authority Administration C-23 Administrative/Internal Public Safety C-33 Affidavit Index Administration C-17 Agenda Reports (Master, Subject Files) Administration C-22 Agendas Administration C-22 Agendas, Board Public Works C-42 Agreements Transportation C-47 Air Quality Development C-27 Airport Certification Transportation C-47 Airport Noise Monitoring and Complaint Transportation C-47 Alarm Records Public Safety C-33 Annexation Case Files Development C-28 Annual Financial Report Administration C-17 ApparatusNehicle Public Safety C-32 Appeals, Civil Administration C-22 Applications - Aircraft Storage Transportation C-47 Applications - Parking Transportation C-47 Applications - Slip Rentals Transportation C-47 Applications - Special Events Transportation C-47 Applications Finance C-29 Applications, Absentee Ballots Administration C-17 Applications, Boards, Commissions, Committees Administration C-22 Appraisals Development C-28 Acquisition/Disposition Development C-28 Arrest/Conviction Public Safety C-36 Articles of Incorporation Administration C-22 Asbestos Development C-27 Assessment Districts Administration C-23 Assessment Districts Finance C-29 Asset Forfeiture - Investigations/Proceedings Case File Public Safety C-34 Asset Forfeiture - Notifications Public Safety C-34 Assisted, Challenged Voters List Administration C-17 Audits Finance C-30 Auto for Hire Transportation C-48 Ballots Administration C-17 Ballots — Prop. 218 Administration C-17 Bank Reconciliation Finance C-29 Bank Statements Finance C-30 Benchmark Data Development C-25 Benefit Plan Claims Administration C-20 Benefit Plan Enrollment, Denied Administration C-20 C-5 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Bids & Proposals (Unsuccessful) Development C-25 Bids, RFQ's, RFP's Finance C-30 Billing Records Finance C-29 Billing/Customer Records Public Works C-44 Biographies Administration C-19 Blueprints, Specifications Development C-26 Bond, Personnel Fidelity Administration C-20 Bonds - Administration Finance C-31 Bonds - Security Development C-25 Bonds - Development Development C-25 Bonds - Account Statements Finance C-31 Bonds - Bonds and Coupons Finance C-31 Bonds Administration C-17 Bonds Development C-27 Bonds, Insurance Administration C-24 Books, Fire Code Public Safety , C-32 Brochures, publications, newsletter, bulletins Administration C-24 Budget adjustments, journal entries Finance C-29 Budget Operating (copies) Administration C-17 Budget Operating (copies) Finance C-29 Budget Administration C-17 Budget, Accounting Finance C-29 Budget, Adopted Finance C-29 Budget, Proposed Finance C-29 Business License Finance C-29 Calendar Administration C-17 Calendar, City Administration C-24 California Environmental Quality Act (CEQA) Development C-27 Canvass Administration C-17 Capital Improvement, Projects Development C-27 Capital Improvements, Construction Development C-28 Cards- Dispatch Public Safety C-38 Cards - Field Interview Public Safety C-38 Case Books, Investigative Public Safety C-34 Case Files - Homicide Investigator's File Public Safety C-34 Case Files - Narcotics (No arrest, Narcotics Cases) Public Safety C-34 Case Files - Officer Involved Shootings Public Safety C-34 Case Files Development C-26 Case Files, Planning and Zoning Development C-28 Case Log Administration C-22 Case Records - (High Profile) Administration C-22 Case Records - (Routine) Administration C-22 Certificates (Building) Development C-26 Certificates (Planning) Development C-28 Certificates of Election Administration C-17 Charter-Amendments/Measures Administration C-17 Checks Finance C-29 Chemicals/Film Inventories Public Safety C-39 Citations - 11357(e), Juvenile Public Safety C-38 Citations - 11357b H&S, 11357c H&S, Public Safety C-38 11360b H&S Violations Citations - California Vehicle Code Infractions (Duplicates) Public Safety C-39 C-6 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Citations - Cite and Release Public Safety C-38 Citations - Parking/Traffic, Duplicates Public Safety C-39 Citations - Transmittals Public Safety C-39 Claim Files Public Safety C-33 Claims, Damage Administration C-24 Classifications and Appointments Administration C-19 Closures Public Works C-43 Code Books Development C-25 Collections/Landfill Public Works C-42 Community Development Block Grant and Administration C-19 Urban Development Community Services — Library Administration C-17 Community Services — Plaques Administration C-17 Community Services — Sports Organization Administration C-17 Congestion Management Development C-27 Connection Records Public Works C-44 Construction (Approved) Development C-26 Construction Tracking, Daily Development C-27 Contractor Development C-25 Contracts and Agreements — Excl. Capital Improvement Administration C-22 Contracts and Agreements — Incl. Capital Improvement Administration C-22 Correspondence Administration C-19 Correspondence Development C-25 Court - Daily Schedule Public Safety C-34 Court - Sign -In Logs Public Safety C-34 Court - Tracking System Records Public Safety C-34 Crime - Felony Crimes With Or Without Arrests Public Safety C-36 Crime - Misdemeanor/Infractions Public Safety C-36 Crime - Supplemental, Felony Capital Crimes, Public Safety C-36 Crimes Punishable by Death, Life Imprisonment Deeds & Promissory Notes Development C-28 Deferred Compensation Finance C-30 Department Manual Public Safety C-33 Deposits, Receipts Finance C-29 Destruction - Guns Public Safety C-36 Destruction - Narcotics Public Safety C-36 Development (includes CDBG) Development C-25 Development Agreements Development C-25 Development Conditions Development C-25 Development Standards Development C-25 Disposition of Arrest/Court Action Public Safety C-36 Drawings, Project Plan Development C-25 Drawings, Traffic Control Plan Development C-27 Easements, Dedications, Rights -of -Way Public Works C-43 Employee Handbook Administration C-20 Employee Programs Administration C-20 Employee Rights Administration C-20 Employee Time Sheets Finance C-30 Environmental Review Development C-27 Equipment - Communication Public Safety C-33 Equipment - Inventory Public Safety C-33 Equipment - Inventory/Sign-out Cards -,Photo Lab Public Safety C-39 C-7 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Equipment - Operations Files - Photo Lab Public Safety C-39 Equipment - Radio Logs (Communication) Public Safety C-39 Evidence, Disposition Forms Public Safety C-34 Exposure - Personnel Public Safety C-32 Facilities (Sanitation/Solid Waste/Wastewater) Public Works C-42 Facilities (Utilities) Public Works C-44 Facility Rentals/Use Development C-28 Fair Political Practices - Administration, Statements Administration C-18 Fair Political Practices - Campaign disclosure, elected Administration C-18 Fair Political Practices - Campaign disclosure, not elected Administration C-18 Fair Political Practices - Campaign disclosure, unsuccessful Administration C-18 Fair Political Practices - Candidate Statements Administration C-18 Fair Political Practices - History Administration C-18 Fair Political Practices -Statement of Economic Interest, Administration C-18 Elected Fair Political Practices - Statement of Economic Interest, Administration C-18 not elected False Alarm (Duplicate) Public Safety C-36 Federal and State Grants Administration C-19 Field Books Public Works C-43 Field, Non -fire and Logs Public Safety C-32 Financial, Annual Finance C-30 Financial Records - Grants Administration C-19 Financial Records, Public Financial Authority Administration C-24 Fingerprint - Applicants Files Public Safety C-34 Fingerprint - Inked/Palm Cards Public Safety C-34 Fingerprint - Records Latent Public Safety C-34 Fingerprint - Suspect, Adult/Juvenile Public Safety C-34 Fire, Non -arson and Logs Public Safety C-32 Flood Control - Drainage Facilities Public Works C-44 Flood Control - Flood Zones Public Works C-44 Flood Control - Insurance Programs Public Works C-44 Flood Control - Polices/Procedures Public Works C-45 Flood Control - Reports/Studies Public Works C-45 Flood Control Development C-27 Flood Records Development C-28 Franchises Development C-25 Fueling Transportation C-47 Gas & Electric Rates Public Works C-44 General Administrative Administration C-23 General Orders Public Safety C-39 General Orders, Policies/Procedures Public Safety C-32 General Plan Amendments - Approved Development C-28 General Plan Amendments - Denied Development C-28 General Plan and Elements Development C-28 General Subject Files Development C-25 Goals & Objectives Administration C-19 Grants - Parks (refer to Admin.) Public Works C-42 Grants - Street/Alleys (see Admin.) Public Works C-43 Grants - Water (see Admin.) Public Works C-45 Grants, Community/Urban Development (includes CDBG) Development C-25 Grievance Files Public Safety C-40 w LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Guns, Dealers Record of Sale Public Safety C-34 Hazardous Waste Disposal Public Safety C-33 Hazardous Waste Disposal Transportation C-47 Hearing or Review Administration C-17 Historic Preservation Inventory Development C-25 History, Sanitation Public Works C-42 Hourly Employees Administration C-20 Immigrant Administration C-20 Incident Files Development C-25 Incident Reports Administration C-24 Incident Public Safety C-32 Incineration Plants, Sludge Public Works C-42 Incinerator Operations, Treatment Plant Public Works C-42 Index, Attorney Case Administration C-22 Informant Files Public Safety C-34 Inspection Development C-26 Inspection, Runway Transportation C-47 Inspection, Safety Self Transportation C-47 Inspections, Fire Prevention Public Safety C-32 Insurance, ACCEL JT Powers Agreement Administration C-24 Insurance, Certificates Administration C-24 Insurance, Liability/Property Administration C-24 Insurance, Workers Compensation Administration C-24 Internet, World Wide Web Administration C-22 Interpretations Development C-28 Intersection Records Public Works C-43 Inventory Finance C-29 Inventory, Equipment Parts & Supplies Transportation C-47 Inventory, Equipment & Supplies Public Safety C-32&C-33 Inventory, Equipment - Parks Public Works C-42 Inventory, Equipment - Water Public Works C-45 Inventory, Information Systems Administration C-22 Inventory, Records Administration C-23 Inventory, Traffic Control Device Public Works C-43 Inventory, Vehicle Ownership and Title Transportation C-47 Investigations - Background Public Safety C-40 Investigations - Background Hired Public Safety C-40 Investigations - Notifications Public Safety C-34 Investigations, Evidence Arson - Administration Public Safety C-32 Investigations, Evidence Arson - Reports Public Safety C-33 Investment Transactions Finance C-30 Invoices Finance C-29 Jail - Daily Logs Public Safety C-35 Jail - Inmate Record Public Safety C-35 Jail - Inspection Files Public Safety C-35 Jail - Surveys Public Safety C-35 Journals - Utility Billing Finance C-29 Journals, Fire Station Public Safety C-32 Labor Distribution Finance C-30 Land Uses, non -conforming Development C-25 Landscape - Parks Public Works C-42 Landscaping — Streets/Alleys Public Works C-43 C-9 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Ledger, General - Voucher Finance C-29 Legal Advertising Administration C-23 Licenses - Bicycle Public Safety C-35 Licenses - Bingo, Mace Public Safety C-35 Licenses - Business License Review Board Public Safety C-35 Administrative Files Licenses - Duplicate (Pink), Secondhand Dealer, Public Safety C-35 Pawn Brokers Licenses, Permits Transportation C-47 Liens & Releases - Recorded Development C-26 Liens & Releases - Supporting Development C-26 Lighting Public Works C-43 Lobbyist Registration Administration C-18 Locations Public Works C-45 Logs Development C-27 Logs - Administration Development C-25 Logs - Auto Theft Public Safety C-35 Logs - Case Assignment Public Safety C-35 Logs - Code Enforcement Development C-27 Logs - Daily, Activity Public Safety C-35 Logs - Daily, Officer Public Safety C-35 Logs - Daily, Report Summary Public Safety C-35 Logs - Investigative (Pre -Arrest) Public Safety C-35 Logs - Juvenile Detention Public Safety C-35 Logs - Property Control Public Safety C-35 Logs - Rap Sheet Public Safety C-35 Logs - Subpoena Public Safety C-35 Logs, Attorney Service Request Administration C-23 Logs, Fire Equipment/Gear Public Safety C-32 Lot Split Cases Development C-28 Maintenance and Operations Transportation C-47 Maintenance and Operations - Municipal Facilities Development C-28 Maintenance and Operations - Parks Public Works C-42 Maintenance and Operations - Public Works C-42 Sanitation/Solid Waste/Wastewater Maintenance and Operations - Service Public Works C-45 Maintenance and Operations - Streets/Alleys Public Works C-43 Maintenance and Operations - Well & Pumping Public Works C-45 Maintenance, FAA Transportation C-47 Management Reports Administration C-24 Maps & Plats Development C-26 Maps - Parks Public Works C-42 Maps - Streets/Alleys Public Works C-43 Maps - Water Public Works C-45 Maps, City Boundary Development C-28 Maps, Plans, Drawings, Exhibits, Photos Development C-28 Maps, PrecinctsNoter Information Administration C-18 Maps, Septic Tank Public Works C-42 Master Plans - Streets/Alleys Public Works C-43 Master Plans -Water Public Works C-45 Master Plans, Annual Development C-26 Media Relations Administration C-24 C-10 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Medical Leave Administration C-20 Medical - Personnel Public Safety C-32 Meter Operations Public Works C-45 Meter Reading Finance C-30 Minutes Administration C-23 Minutes, Board Public Works C-42 Motor Vehicle Pulls (DMV) Administration C-20 Municipal Code Administration C-23 Mutual Aid, Strategic Plans Public Safety C-32 Negotiation Administration C-20 Network Information Systems (LAN/WAN) Administration C-22 Nomination Papers Administration C-18 Non -Criminal Occurrences Public Safety C-36 Non -Safety Employees Administration C-21 Notices, Meeting Administration C-23 Notifications and Publications Administration C-18 Oaths of Office Administration C-18 Opinions Administration C-23 Ordinances Administration C-23 Parades & Special Events File Public Safety C-40 Parking - Lots Public Works C-43 Parking - Regulations Public Works C-43 Patrol Requests (Correspondence) Public Safety C-39 Pawn Slips/Tickets Public Safety C-35 Permits - Alcoholic Beverage Control License Public Safety C-40 Permits - Concealed Weapons Public Safety C-40 Permits - National Pollutant Discharge Elimination Public Works C-45 System (NPDES) Permits - Others Public Works C-45 Permits Development C-26 Permits Public Works C-43 Permits, Construction Development C-26 Permits, Encroachment Public Works C-43 Permits, Hazardous Materials Storage Public Safety C-33 Permits, Improvement Public Works C-43 Permits, Other Development C-26 Permits, Oversize Load Public Works C-43 Permits, Parking Public Works C-43 Permits, Paving Public Works C-43 Permits, Uniform Fire Code Public Safety C-32 Permits, Use (Temporary) Public Works C-43 PERS Employee Deduction Reports Finance C-30 PERS, Social Security, SSI Administration C-21 Personnel Records (copies) Administration C-21 Pest Control Development C-27 Petitions - Elections Administration C-18 Petitions- Legal/Legislative Administration C-23 Photographs - Daily Report (Negatives) Public Safety C-35 Photographs - Inmates (Negatives) Public Safety C-35 Photographs - Negative Log Public Safety C-40 Photographs - Negatives, Misc. Public Safety C-40 Photographs - Personnel Public Safety C-40 C-11 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C MOWN ITEM CATEGORY PAGE Photographs Development C-26 Photographs - Parks Public Works C-42 Photographs - Streets/Alleys Public Works C-43 Photographs, Negatives, Film Administration C-24 Plans, Capital Improvement, Projects Public Works C-43 Plans, Proposed Public Works C-42 Policies & Procedures, Departmental Administration C-19 Policies and Procedures - Naming and numbering Public Works C-43 Policies and Procedures - Speed Limits Public Works C-44 Policies and Procedures - Parks Public Works C-42 Policies and Procedures - Water Public Works C-45 Policy, Council/Proclamations Administration C-23 Precinct Records Administration C-19 Press Releases Public Safety C-40 Press, Video Programs (Community Relations) Public Safety C-40 Program Files and Directories Administration C-22 Programs - Federal Aid Urban Public Works C-44 Programs - Traffic Safety Public Works C-44 Programs Development C-27 Programs, Household Hazardous Waste Public Safety C-33 Projects, Not Completed or Denied Development C-26 Promotional Marketing — Eternal, Internal Administration C-19 Property Files Public Safety C-40 Property Original Public Safety C-37 Property, Pawn Broker/Secondhand Public Safety C-40 Public Records Request Administration C-23 Radar Calibration Records Public Safety C-39 Railroad Right-of-way Public Works C-42 Range Inventory Public Safety C-37 Rates - Sanitation/Solid Waste/Wastewater Public Works C-42 Rates - Water Public Works C-45 Reclamation Public Works C-45 Records Management Disposition Certification Administration C-23 Records Management Administration C-23 Records Retention Schedule Administration C-23 Recruitment Administration C-21 Recycling Programs Public Works C-42 Redevelopment Development C-28 Register Finance C-30 Registers, Transient Vessel Reservation Transportation C-48 Registration Files, Arson, Sex and Narcotics Public Safety C-36 Regulations Development C-27 Regulations Public Works C-42 Relocation Files Development C-28 Report, Accident (Copies) Transportation C-48 Reports - Accident and Incident (Aircraft) Transportation C-48 Reports - Accident Public Safety C-39 Reports - Accident Public Works C-42 Reports - Activity Public Safety C-33 Reports - Airport Operational (Administrative) Transportation C-47 Reports - Airport Operational (Regulatory) Transportation C-47 Reports - Audit Administration C-17 C-12 INDEX ITEM CATEGORY PAGE Reports - Bridges & Overpasses Public Works C-44 Reports - Chemical Emissions Public Safety C-33 Reports - Conservation Public Works C-45 Reports - Consumption Public Works C-45 Reports - Corrosion Control Public Works C-45 Reports - Dealer of Gun Sales, Duplicate Public Safety C-40 Reports - Departmental Administration C-19 Reports - Discharge Monitoring Public Works C-45 Reports - Drinking Water Corrections Public Works C-45 Reports - Federal and State Tax Finance C-30 Reports - Human Resources Administration C-21 . Reports - Hydrograph Public Works C-45 Reports - Inspection Public Works C-44 Reports - Lead Service Line Public Works C-45 Reports - NOTAM (Notice to Airmen) Transportation C-48 Reports - Others Public Works C-42 Reports - Public Education Public Works C-46 Reports - Quality Parameters Public Works C-46 Reports - Sanitary Surveys Public Works C-46 Reports - Source Water Public Works C-46 Reports - Staff Administration C-19 Reports - State Certification Public Works C-46 Reports - Studies (Sanitation/Solid Waste/Wastewater) Public Works C-42 Reports - Studies Public Works C-42 Reports - Studies Public Works C-43 Reports - Survey Response Files Public Safety C-33 Reports - Tonnage Public Works C-42 Reports - Traffic Collision Fatalities Public Safety C-39 Reports - Traffic Count Public Works C-44 Reports - Variances, Water System Public Works C-46 Reports - Vehicle Accident Public Works C-44 Reports - Well Level Public Works C-46 Reports Development C-26 Reports Public Safety C-37 Reports, Federal and State - Code Enforcement Development C-27 Reports/Studies Public Works. C-43 Requisitions - Purchase Orders Finance C-40 Requisitions - Stores Finance C-40 Research Project Files Public Safety C-37 Resolutions Administration C-23 Resolutions, Board Public Works C-42 Restraining Orders, Emergency Protective Orders, Public Safety C-40 Temporary Restraining Orders, Legal Stipulations, Orders After Hearing Reviews, Internal/External Periodic Administration C-17 Risk Management Reports Administration C-24 Roster of Voters Administration C-19 Rosters (Divisional) Public Safety C-40 Routes, School Bus & Truck Public Works C-44 Safety Employees Administration C-21 Salary Records Finance C-30 C-13 LOCAL GOVERNMENT— RECORDS MANAGEMENT GUIDELINES ATTACHMENT C, INDEX ITEM CATEGORY PAGE Schedules - Daily Public Safety Schedules - Municipal Clerk Administration Schedules - Watch Assignment/Timekeeping Records Public Safety Schedules, Class & Events Public Works Sealed - Adult Found Factually Innocent Public Safety Sealed - Juvenile Public Safety Seismic Retrofit Program Development Signage Public Works Signs (Temporary) Development Slip Rental Index Transportation Slip Rental Permits Transportation Slip Rental Waiting List Transportation Soil Development Soil Reports Development Sources Public Works Speaker Requests Public Safety Special Districts Development Special Projects Administration State Controller Finance Statistical (Crime Analysis) Public Safety Statistical (UCR), Uniform Crime Reports Public Safety Street Names and House Numbers Development Street/Alley (Abandonment/ Vacation) Development Studies, Special Projects & Areas Development Subpoenas (Duplicate) Public Safety Support Services Administration Surplus Property - Auction Finance Surplus Property - Disposal Finance Surveyor Field Notes Public Works Surveys Development Surveys and Studies Administration Surveys, Water System Sanitary Public Works Tapes - Audio, Telephone and Radio Communications Public Safety Tapes - Audio, Video Administration Tapes - Surveillance/Security Video (Jail) Public Safety Tapes Information Systems Administration Taxes Receivable Finance Tests - Bacteriological Analysis Public Works Tests - Chemical Analysis Public Works Tests - Quality Public Works Tests, Densitometer Results (Photo Lab) Public Safety Traffic Signals Development Traffic Signals Public Works Training - Bulletins Public Safety Training - Event Files Public Safety Training - Lesson Plans, Range Public Safety Training Materials Public Safety Training - Personnel Public Safety Training - Personnel (by name) Public Safety Training - Schedules, Range Public Safety Training Records - Non -Safety Administration Training Records - Personnel (by name) Administration C-14 C-40 C-23 C-40 C-42 C-38 C-38 C-26 C-44 C-26 C-48 C-48 C-48 C-27 C-27 C-46 C-40 C-27 C-19 C-30 C-37 C-37 C-26 C-27 C-26 C-38 C-19 C-29 C-29 C-46 C-26 C-21 C-46 C-38 C-23 C-38 C-22 C-29 C-46 C-46 C-46 C-40 C-27 C-44 C-41 C-41 C-41 C-33 C-32 C-41 C-41 C-21 C-21 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Training Records - Safety Administration C-21 Travel Records Administration C-19 Underground Public Works C-44 Underground Storage Tank - Public Safety C-33 Maintenance and Operations Underground Storage Tank - Compliance Public Safety C-33 Unsuccessful Grants Administration C-19 Use of Force Supervisory Review Files Public Safety C-38 Utility Rebates Finance C-30 Valve Main Records Public Works C-46 Vehicle Assignment Transportation C-47 Vehicle Ownership& Title Finance C-29 Vehicle - Assignment Reports Public Safety C-39 Vehicle - Down Reports Public Safety C-39 Vehicle Mileage Reimbursement Rates Administration C-21 Vehicle - Repossession/Private impounds Public Safety C-39 Vehicle - Service Schedules Public Safety C-39 Vendor Register Finance C-30 Vests, Bulletproof Letters Public Safety C-39 Violations, Drinking Water Public Works C-46 Violations, Building, Property & Zoning Development C-27 Volunteer Card Files Public Safety C-41 Voter Affidavits Administration C-19 Voter Registration Signature Copy Administration C-19 Warrant Register Finance C-29 Warrants - Felony Public Safety C-38 Warrants - Misdemeanor Criminal Public Safety C-38 Warrants - Parking Public Safety C-39 Warrants - Served Public Safety C-38 Warrants - Traffic Public Safety C-39 Warrants - Unserved (Local) Public Safety C-38 Weapons, Database Public Safety C-39 Weed Abatement Public Safety C-33 Weigh Scales Public Works C-44 Workers Compensation Administration C-24 C-15 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C AC = Active AU = Audit CU = Current Year E = Election P = Permanent T = Termination LEGEND Records Retention AD = Adoption CL = Closed/Completion DOB = Date of Birth L = Life S = Supersede CITATIONS B&P — Business and Professions H&S — Health & Safety CAC — California Administrative Code HUD — Housing and Urban Development CCP — Code of Civil Procedure OSHA — Occupational Safety & Health Act CCR — Code of California Regulations PC — Penal Code CEQA — California Environmental POST — Police Officers Standards Quality Act Training CFR — Code of Federal Regulations UFC — Uniform Fire Code EC — Election Code USC — United States Code FMLA — Family & Medical Leave Act, WIC — Welfare & Institutions Code 1993 GC — Government Code C-16 LOCAL GOVERNMENT— RECORDS MANAGEMENT GUIDELINES ATTACHMENT C F_1jo kMVk►IMIM-1%ILoy Record Series Retention Citation Descriptor AUDIT Annual Financial CL + 2 GC34090 Independent auditor analysis Report Bonds CL + 10 GC34090; Final bond documentation CCP 337.5 Budget P GC34090 Annual operating budget approved by Legislative Body Budget Operating S GC34090 Departmental Reference (copies) Hearing or Review AU + 2 GC34090; Documentation created and or received in connection OMB A-128 with an audit hearing or review Reports AU + 4 GC34090; Internal and/or external OMB A-128 Reviews, CU GC34090; Daily, weekly, monthly, quarterly or other summary, Internal/External GC6250 review, evaluation, log, list, statistics, except a report Periodic COMMUNITY SERVICES Libraries CU + 2 GC 34090 Books, art, gifts, donations, exhibits, theatre, music, special events, etc. Plaques P Historic value Sports Organization S + 2 ELECTIONS Affidavit Index CL + 5 EC 17001 Applications, Absentee E + .5 EC 17505; From date of election Ballots and Envelopes EC 17302 Assisted, Challenged E + .5 EC 17304 From date of election Voters List Ballots E + .5 EC 17302 From date of election; ballots submitted to precincts/City Clerk that were not used - unless contested EC 17302 c retention by court order Ballots P California Property related fees (Assessment Ballot proceeding) Prop. 218 Constitution (Assessment Art. XIII Districts Calendar E + 2 GC 34090 Canvass P GC 22932; Notifications and Publication of Election; Records EC 17130; used to compile final election results, including tally EC 2653 sheets, voting machine tabulation, detailed breakdown of results; special election results Certificates of Election T + 4 GC 81009(a) Certificates of election; Original reports and d statements Charter P GC34458-60; Chapter designations by Secretary of State following Amendments/ GC34090 adoption of voters Measures C-17 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION (CONTINUED) Record Series Retention Citation Descriptor Fair Political Practices Administration/ CU + 5 FPPC Opinions Campaign Statements and Conflict of Interest Campaign P GC81009(b) FPPC Filings disclosure, Elected Campaign E + 5 GC81009(b) FPPC Filings disclosure, Not Elected Campaign E + 7 GC81009 FPPC Filings disclosure - Unsuccessful (all other committees Candidate E + 4 Sample ballot retained permanently. Statements History P GC 34090 History of elections, sample ballots, certificates of destruction, other resolutions re: elections Statement of T+7 GC FPPC Filings economic interest - 81009(e) Elected Officials Statement of E + 5 GC FPPC Filings economic interest - 81009(b) Not Elected Lobbyist Registration P EC Statements 81009 b Maps, Precincts/Voter E + 2 GC 34090; Information EC 17501; EC 17301 Nomination Papers Successful E + 4 EC 17100 Unsuccessful E + 2 GC 81009 b Notifications and E + 2 GC 34090 Proof of publication or posting, certification and listing Publications of notice of posting; copy of newspaper notice and certification of offices to be voted for at forthcoming election Oaths of Office T + 6 GC34090; Elected Officials 29 USC 1113 Petitions .75 EC 17200, From date of filing or election; Initiative, referendum, 17400; GC recall, Charter Amendments 7253.5; EC 14700 + GC 3756:8 C-18 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION (CONTINUED) Record Series Retention Citation Descriptor Precinct Records E + .5 EC 17503 From date of election: Precinct official material; declaration of intention, precinct board member applications, orders appointing members of precinct boards and designating polling places Includes notice of appointment of office and record of service Roster (Of Voters) E + 5 EC 17300 From date of election; Initiative, referendum recall, general municipal election, Charter Amendments Voter Affidavits CL + 5 EC 17000 Voter Registration Signature Copy CU + 5 EC 17000 Fire, special or school district GENERAL SUBJECT Administration P GC 34090 Biographies CU + 2 GC34090 Classifications and Appointments P GC 34090; GC 12946; 29 CFR 516.6(2); 29 CFR 1602.4 Includes supplemental Personnel records. Wage rate tables 2 years. Correspondence/ Originating Department CU + 2 GC34090(d) If not attached to agreement or project file Goals & Objectives CU + 2 GC34090 Departmental goals & objectives Policies & Procedures, Departmental S + 5 GC34090(d) Retain while current Promotional Marketing External CU + 7 Internal 2 Reports Departmental CU + 2 GC34090 Special/or final summary, review or evaluation Staff CU + 2 GC34090 Non -agenda related, includes supporting documentation -Special Projects CU + 2 GC34090 Support Services CU + 2 GC34090 Reproduction; printing; postal/mailing services, other internal resources Travel Records CU + 2 GC34090 GRANTS Community Development Block Grant and Urban Development T + 4 GC34090; 24 CFR 570.502 24 CFR85.42* Applications, reports, contracts, supporting documents; *OMB Cir. A-102, A-110, A-128 Federal and State CL + 5 GC34090 Refer to grant application close-out procedure Financial Records CL + 5 GC34090 Refer to grant application close-out procedure Unsuccessful CL + 2 GC34090 Applications not entitled C-19 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION (CONTINUED) Record Series Retention Citation Descriptor HUMAN RESOURCES Benefit Plan Claims P GC6250 et May include dental, disability, education, health, life and seq; vision including dependent care and Employee OMB A-129 Assistance 29 CFR *29 CFR 1637.3; 29 USC 1027; 29 CFR 1627.3; 29 USC 1602.30; 1113 32; Lab Rel Sec 1174* Benefit Plan CL + 4 GC34090; Enrollment, Denied OMB A-128 Bond, Personnel T + 2 GC34090 Employee Fidelity Bonds Fidelity Employee Handbook S + 2 GC 34090 General employee information including benefit plans Employee Programs CL + 2 GC 34090; Includes EAP and Recognition GC 12946 Employee Rights GC12946; May include Arbitration, grievances, union requests, General Employees T + 2 29 CFR sexual harassment and Civil Rights, complaints, Safety (Police) T + 5 1602; 29 disciplinary actions USC 211 (e); 203(m); 207 Hourly Employees T + 6 GC12946; *29 CFR 1627.3, Labor Relations Section 1174 GC34090* Immigrant Immigratio I-9's n Reform/Co n-trol Act 1986 Pub. L 99-603 Medical Leave CL + 30 FMLA 1993 May include Family leave; certifications; tests; W-4's; US OSHA; *29 CFR 1602.30.32; 49 CFR 193-9; 29 CFR; 1910.20* Motor Vehicle Pulls CL + 7 GC12946, * *CA 91009; 8 USC 1324 (a) DM Negotiation P 29 USC Notes, notebooks, correspondence, contracts, and Sections Memorandums of Agreements 211(c), 203(m), 207 C-20 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION CONTINUED Record Series Retention Citation Descriptor Non -Safety Employees T + 3 Reference: Non -safety employees may include: Release 29 CFR Authorizations; Certifications; Reassignments; outside 1627.3; employment; commendations disciplinary actions; CCR Sec terminations; Oaths of Office; evaluations -pre -employee 1174; 29 medicals; fingerprints; identification cards (ID=s) CFR *1607.4; 29 CFR 655.202; 29 CFR 516.6 et seq; 45 CFR 1602.30.32; 1068.6(a) GC6250 et seq; 29 CFR; GC 12946, 34090* Personnel Records CU + 2 GC34090; Attendance; evaluations; drafts; worksheets; postings (copies) GC6250 PERS, Social Security, P 29 CFR EEOC/ADEA SSI 1627.3(2); GC 12946, 34090 Recruitment CL + 3 Reference: Applications, resumes, alternate lists/logs, indices; GC12946; ethnicity disclosures; examination materials; GC6250 et examination answer sheets, job bulletins; eligibility; seq; electronic database 29 CFR 1602 et seq 29 CFR 1607; 29CFR 1627.3 Reports CU + 2 GC34090 Employee statistics, benefit activity; liability loss Safety Employees T + 5 Reference: Police, fire, emergency employees may include; Release 29 CFR Authorizations; Certifications Reassignments; outside 16273; CCR _ employment; commendations disciplinary actions; Sec 1174; terminations; Oaths of Office; evaluations -pre -employee 29 CFR medicals *29 CFR 1602.30.32; 29 CFR 655.202; 29 CFR 1607.4; * 516.6 et seq; 45 CFR 1068.E a Surveys and Studies CU + 2 GC 12946, Includes classification, wage rates 34090; 29 CFR 516.6(2); 29 CFR 1602.14 Training Records CU + 7 GC6250 et Employee applications, volunteer program training, Non -Safety seq class training materials, internships; Personnel (by name) T + 7 GC34090 Paperwork documenting officers internal and external training Safety CU + 2 GC34090 Certifications/designations Vehicle Mileage S + 2 GC 34090 Annual mileage reimbursement rates Reimbursement Rates C-21 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION (CONTINUED) Record Series Retention Citation Descriptor INFORMATION SERVICES Internet, World Wide S + 2 GC34090 Management/Policies and supporting documentation Web Inventory, Information S + 2 GC34090 Hardware/Software Inventory logs; systems manuals Systems Network Information CU + 4 GC34090; Configuration maps and plans Systems (LAN/WAN) CCP 337.2; _ 343 Program Files and CU + 2 GC34090; Annual backup Directories CU + (2 GC34090.7 Daily backup mos.) CU + 1 Monthly backup CU + .5 Weekly backup Tapes Information CU + 2 GC34090 System Generation Systems LEGAL/ LEGISLATIVE Agendas CU + 2 GC34090 Original agendas and special meeting notices, including certificates of posting, original summaries, original communications and action agendas for Council, Boards and Commissions Agenda Reports CU + 2 GC34090 Documentation received, created and/or submitted to Master, Subject Files d Council Appeals, Civil CU + 3 CCP 583.320(a)( 3); GC 34090 Applications, Boards, CL + 2 GC34090 Not selected Commissions, Committees Applications, Boards, T + 5 GC34090; Selected Commissions, GC40801 Committees Articles of P GC34090; Incorporation CCP 337.2 Case Log CL + 7 CCP 337.2; From Close of cases listed; Chronological listing of 343 cases Case Records - (High P GC6254 Significant cases which have importance/or set legal Profile) precedence. Includes logs, complaints, police reports, court orders, motions, notes, briefs Case Records CO + 7 42 USC Includes logs, complaints, police reports, court orders, s1983 motions, notes, briefs, closing statements (unless minors - 3 years after attaining 18 Contracts and Agreements T + 5 CCP 337.2, 343; Includes leases, equipment, services or supplies *PU7685; 48 CFR:2; GC53066 Excl. Capital B&P7042.5; Im rovement * Incl. Capital P 2.08.110;* Construction Improvement *GC37090a; 4004; H&S 19850 Index, Attorney Case L GC6254 Including notations on activities related to case C-22 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION CONTINUED Record Series Retention Citation Descriptor Legal Advertising CU + 4 CCP 343, Includes public notices, legal publications 349 et seq.; GC 911.2; GC 34090 Logs, Attorney Service CU + 2 GC34090 Service request, summaries of monthly requests Request Minutes P GC34090(d) Official minutes and hearing proceedings of governing ; GC36814; body or board, commission or committee GC40801 Notices, Meeting CU + 2 GC Special meetings 34090.7, 54960.1(c)( 1 Opinions S + 2 GC34090; Confidential GC6254 Ordinances P GC34090(d) Charter amendments; municipal code 40806 Petitions CU + 1 GC50115; Submitted to legislative bodies GC6253 Resolutions P GC34090(d) Legislative actions 40801 Tapes, AudioNideo CU + 3 GC 34090.7 When used for minute preparation and may have MOS. historical value. MUNICIPAL CLERK Assessment Districts P GC 34090 Original documentation Inventory, Records CU + 2 GC34090; Inventory of non -current or inactive records holdings 80 OPS and location, indices. Tapes may be recycled. Atty. Gen. 106 Municipal Code P GC 34090 Supplements included Public Records CL + 2 GC 34090 Request Records Management CL + 2 GC34090 Document includes retrieval, transfers - inactive Records Management .P GC34090 Documentation of final disposition or records Disposition Certification Records Retention S + 4 CCP 343 Schedules POLICIES/ PROCEDURES General Administrative S + 2 GC34090; All city policies and procedures 40801 Policy, Council/ S + 2 GC34090 Policies, directives rendered by Council not assigned a Proclamations resolution or ordinance number PUBLIC FINANCING AUTHORITY Administration P GC 34090 C-23 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ADMINISTRATION (CONTINUFm Record Series Retention Citation Descriptor Financial Records P GC 34090, 40802, 53901 Management Reports 2 GC 34090 PUBLIC INFORMATION Brochures, S + 2 GC 34090 publications, newsletter, bulletins Calendar, City CU + 2 GC 34090 Media Relations CU + 2 GC 34090 Includes cable, newspaper, radio, message boards, presentations. RISK MANAGEMENT Accident Reports - City CL + 7 29 CFR Reports and related records Assets 1904.2; 29;* * CFR 1904.6 Bonds, Insurance P CCP 337.2; Bonds and insurance policies insuring city property and 343 other assets Claims, Damage CL + 5 GC34090; Paid/Denied GC25105.5 Incident Reports CL + 7 29 CFR Theft, arson, vandalism, property damage or similar 1904.2; 29 occurrence (excluding fire/law enforcement) CFR 1904.6 Insurance, ACCEL JT P GC34090 (Authority California Cities Excess Liability Insurance) B Powers A reement Accreditation/ MOU=s/a reemenVa endas Insurance, Certificates P GC34090 Insurance certificates filed separately from contracts, includes insurance filed by licensees Insurance, P GC34090 May include liability, property, Certificates of Liability/Property Participation, deferred, use of facilities Insurance, Workers P GC6410; Indemnity; PERS - working files - originals with Compensation 29 CFR Administrator 1910.20 Photographs, CL + 2 GC34090 Negatives, Film Risk Management CL + 5 OMB 1220- Federal OSHA Forms; Loss Analysis Report; Safety Reports 0029; 29 Reports; Actuarial Studies CFR1904.4; GC 34090 Workers P CCR 14311; Claim Files, Reports, Incidents Compensation 15400.2; (working files) originals filed with Administrator CA Labor Code 110-139.6 C-24 LOCAL GOVERNMENT— RECORDS MANAGEMENT GUIDELINES ATTACHMENT C DEVELOPMENT Record Series Retention Citation Descriptor ADMINISTRATION Benchmark Data CU + 2 GC34090d Horizontal, vertical & control Bids & Proposals CL + 2 GC34090d Unsuccessful Bonds CL + 10 CCP 337.5 Housing; Industrial Development Development Security CL + 2 GC34090 Documentation created and or received in connection with the performance of work/services for the city, or for parcel maps and subdivision work Code Books P GC34090e National Electrical Code, Uniform Building, Fire, Mechanical, Plumbing & Supplements Contractor CU + 2 GC34090d Current listing Correspondence CU + 2 GC34090d Working documentation Development L GC34090 Mitigation measures; filed with case files Conditions Development P CCP337, Infrastructure contracts, franchises. Original Agreements 337.1(a), maintained for 7 years. 337.15; GC34090;4 8 CFR 4.703 Development P GC34090a Landscape mediums, parkway landscape Standards develo meet, public works construction Drawings, Project Plan CU + 2 GC34090d Does not include those usually filed with case or project Franchises P GC65864, Including subdivision agreements, contracts for sale 65869.5, or purchase of property, cable, grant of easements 34090* and/pr involving construction of improvements *CCP 337.2, 343; AC16023 General Subject Files CU + 2 GC34090d Internal working files including correspondence Grants, CL + 4 24CFR Project files, contracts, proposals, statements, reports, Community/Urban 570.502(b) sub -recipient dockets, Environmental review, grant Development (includes (3); documents, applications, inventory, consolidated plan, CDBG) 241CFR etc. Includes Section 108 loan guarantee *OMB Cir. 85.42 & A-102 & 128, HUD regulations OMB Cir. A- 110, Attach. C; Historic Preservation 2 GC34090d Historic structures & landmarks Inventory Incident Files 2 GC34090d Emerqency Call Outs Land Uses, P GC34090a Building or site usage which does not conform to nonconforming current standards Logs CU + 5 Logs, registers or similar records listing permits, certificates of occupancy issued; may include IL inspection, building activit , daily, plan check, utili C-25 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C, DEVELOPMENT(CONTINUED) Record Series Retention Citation Descriptor Maps & Plats P GC34090a Engineering & field notes and profiles; cross-section of roads, streets, right-of-way, bridges; may include annexations, parks, tracts, block, storm drains, water easements, bench marks, trees, grading, landfill, fire hydrants, base maps, etc. Master Plans, Annual S + 2 GC34090 Special or long range program plan for municipalities - coordination of services; strategic planning Permits, Construction P GC34090a; Plans, building, signs, grading, encroachment, H&S19850; including blueprints and specifications 4003; 4004 Permits, Other CL + 2 GC34090d Alterations, encroachment, excavations, road, street sidewalks & curb alterations, transportation, swimming pool drainage, temporary uses, etc. Photographs S + 2 GC34090d Aerial photographs Projects, Not CL + 2 GC34090d Building, engineering, planning completed or Denied Reports CU + 2 GC34090 Activity, periodic Seismic Retrofit P GC34090a Includes Certificates of Compliance Program Street Names and P GC34090a Street dedications, closings, address House Numbers assignment/changes Studies, Special CL + 2 GC34090d Engineering, joint powers, noise, transportation Projects & Areas Surveys P GC34090a Recording data and maps BUILDING Blueprints, CL + 2 GC34090d Submitted by contractors with application for permit specifications and builds for Certificate of Occupancy Certificates L GC34090a Compliance, elevation, occupancy which affect real property Construction P GC34090a; New commercial and residential construction, tenant (Approved) 4003; 4004; improvements room additions, spa, signs, block wall, H&S 19850, remodel including security bonds 19853 Inspection CL + 2 GC34090d Correspondence, fees, appeal requests, reports Permits P GC34909a; Plans, building, signs, grading, encroachment permits H&S 19850; 4003;4004 Signs (Temporary) S + 2 GC34090d Home occupations, off -premise signs CODE ENFORCEMENT Abandoned Vehicles CL + 2 GC34090d Case Files CL + 2 GC34090d Building, housing and mobile home code violation records including inspections; public nuisance rubbish and weed abatement, vehicle abatement, citations, massage parlor permits, general Liens & Releases,. Supporting CL + 2 GC34090 Utilities, abatement, licenses Recorded P C-26 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C DEVELOPMENT(CONTINUED) Record Series Retention Citation Descriptor Los CU + 2 GC34090d Lien Recovery, citations, complaints Regulations S + 2 GC34090d Includes rules Reports, Federal and State P GC34090a Code enforcement statistics; may contain records affectingtitle to real property or liens thereon Violations, Building, Property & Zoning CL + 2 GC34090d Supporting code enforcement activity ENGINEERING Capital Improvement Projects CL + 10 CC337.15 Supporting documents including bidders list, specifications, reports, plans, work orders, schedules, etc. Construction Tracking, Dail P CC337.15 Assesses value of real property Drawings, Traffic Control Plan P GC34090a Signs, signing & striping, road construction Flood Control CL + 2 GC34090d Storm Drains Special Districts P GC34090a Supporting documents re: improvement, lighting, underground utility; bonds, taxes & construction Street/Alley (Abandonment/ Vacation CL + 2 GC34090d Relinquishment of rights and fee title Traffic Signals CL + 2 GC34090d Counts, collisions, accidents ENVIRONMENTAL QUALITY Air Quality (AQMD) CU + 7 CCP 338(k); GC34090 Participants/voucher logs, Total Daily Mileage Survey (TDM); various local authorities; Commute Alternative Asbestos P GC34090a Documents abatement projects, public buildings California Environmental Quality Act (CEQA) P GC34090a + CEQA Guidelines Exemptions, Environmental Impact Report, Mitigation monitoring, negative declaration, notices of completion and determination, comments, statements of overriding considerations Congestion Management CU + 2 GC34090d Ride sharing, trip reduction Environmental Review CL + 2 GC34090d Correspondence, consultants, issues, conservation Pest Control CU + 2 GC34090d Pesticide applications, inspections & sampling, documents Soil CL + 2 GC34090d Analysis, construction recommendations Soil Reports P GC34090d Final Reports HOUSING Bonds CL + 4 CCP 337 Revenue Bond Documentation Programs CL + 3 24 CFR 570.502(b)( 3); 24 CFR 85.42 & OMB Cir. A- 110, #C Includes comprehensive Housing Authority Strategy, Meeting Credit Certificate, Housing bond advisory, HOME, In -Lieu Housing Mitigation, Low/Moderate Housing, Rental Housing Assistance C-27 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C DEVELOPMENT(CONTINUED) Record Series Retention Citation Descriptor Redevelopment Budgets P GC 34090, Includes annual audit 40802, 53901 Bond Issues P GC43900 et seq. MUNICIPAL FACILITY Capital Improvements, P 2.083110; Contains records re: Planning, design, construction, Construction GC34090a; conversion or modification of local government -owned 4004; H&S facilities, structures & systems 19850; GC34090a Facility Rentals/Use CU + 2 GC34090 Permits, contracts, diagrams, schedules, insurance binders Maintenance & CU + 2 GC34090d Service requests, invoices, supporting documentation; Operations buildings, equipment, field engineering, public facilities including work orders and graffiti removal PLANNING Case files, Planning P GC34909a; Pertains to real property. May include blueprints, and Zoning H&S 19850; drawings, maps, plans, reports, evaluations, 4003;4004 correspondence, uses, permits, variances, studies, appeals, compliance certificates, lot line adjustments or other planning -related matters brought before legislative body Certificates L GC34090 Retain during life of structure Flood Records CU + 2 GC34090 General Plan and P GC34090 Includes sphere of influence Elements General Plan Amendments Approved CL + 2 GC34090 Denied CU + 3 GC65103; * * GC50110 Interpretations CU + 2 GC34090 Maps, Plans, P GC34090; Zoning, tentative subdivision, parcel, land use map, Drawings, Exhibits, H&S 19850; aerial photos, specific plans Photos GC34090.7 PROPERTY Abandonment P GC34090a Buildings, Condemnation, Demolition Acquisition/ CL + 10 GC34090a; Supporting documents re: sale, purchase, exchange, Disposition GC6254 lease or rental of property by City Disposition Annexation Case Files P GC34090a Reports, agreements, public notices Appraisals CL + 2 GC34090; Exempt until final acquisition or contract agreement GC6254 h obtained Deeds & Promissory P GC34090a * * 24 CFR 570.502(b)(3); 24 CFR 8.42 & OMB Circ. SA - Notes 110 Maps, City Boundary P GC34090d Recorded maps, surveys, monuments Lot Split Cases P GC34090 Relocation Files CL + 2 GC34090 e.g., Redevelopment C-28 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C FINANCE Record Series Retention Citation Descriptor ACCOUNTING Accounts Payable AU + 4 GC34090 Invoices, check copies, supporting documents Accounts Receivable AU + 4 GC 34090 Applications CL + 2 GC34090 Utility connections, disconnects, registers, service Assessment Districts P GC 34090 Collection information; Original documentation files with municipal clerk Bank Reconciliation AU + 5 GC34090; 26 CFR 16001-1 Statements, summaries for receipts, disbursements & reconciliation Billing Records AU + 2 GC34090 Customer name, service address, meter reading, usage, payments, applications/cancellations Budget AU + 2 GC 34090 Budget adjustments, journal entries AU + 2 GC34090 Account transfers Checks AU + 5 GC34090; CCP 337 Includes payroll, canceled &voided checks Deposits, Receipts AU + 4 GC 34090; CCP 337 Checks, coins, currency Invoices AU + 2 GC34090 Copies sent for fees owed, billing, related documents Journals Utility Billing CU + 2 GC34090 Billing including monthly activity Ledger, General P GC34090; * * CCP 337 Voucher AU + 4 GC34090; CCP 337 Account postings with supporting documents Taxes, Receivable AU + 3 CCP338 Warrant Register AU + 2 GC 34090.7 ADMINISTRATIVE SERVICES Budget Operating (copies) S GC34090 Departmental Reference Budget, Proposed CU + 2 GC34090 Presented to Council Adopted P GC 34090 FIXED ASSETS Inventory AU + 4 GC34090; 26 CFR 301 65- 1F Reflects purchase date, cost, account number Surplus Property Auction AU + 2 GC34090 Listing of property Disposal AU + 4 GC34090; CCP 337 Sealed bid sales of equipment Vehicle Ownership & Title L VC 9900 et seg. Title transfers when vehicle sold LICENSE Business T + 4 GC34090; CCP 337 Paid & reports C-29 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C FINANCE (CONTINUED) Record Series Retention Citation Descriptor PAYROLL Adjustments AU + 4 GC 34090 29 CFR 516.5 — 516.6 Audit purposes Employee Time Sheets AU + 6 GC34090; 29 CFR 516.2* Signed by employee for audit & FEMA Reports *20 CFR 516.6(1); IRS Reg. 31.6001-1(e)(z); R&T 19530; LC 1174 d PERS Employee Deduction Reports T + 4 GC34090; CAC 22- 1085-2 Record of deductions (PERS Public Employee Retirement System) *26CFR 31.6001-1;29 CFR 516.5, 516.6, LC 1174 d Register P GC34090; GC37207 Labor costs by employee & program Salary Records T + 3 GC34090; 29 CFR 516.2 Deduction authorization, beneficiary designations, unemployment claims, garnishments PURCHASING Bids, RFQ's, RFP's Successful Unsuccessful AU + 4 AU + 5 CU + 2 GC34090; CCP 337; * Requests for Qualifications; Requests for Proposals regarding goods and services * GC 25105-1; GC 34090 Requisitions Purchase Orders AU + 4 GC34090; CCP 337 Original documents Stores CU + 2 GC34090 Completed forms for ordering Vendor Register P GC34090 Alpha vendor listing of purchase orders, invoices, account numbers and check date REPORTS Audits P GC 34090 Deferred Compensation T + 5 GC34090; 26 CFR 16001- 1* Records of employee contributions and city payments *29 CFR 1627.3(2) Federal and State Tax AU + 4 GC34090; 29USC 436 * Forms 1096, 1099, W-4's and W-2's *26 CFR 31.6001.1-4; IRS REG 31.6001-1(e)(2);R&T 19530;29 CFR 516.5-516.6 Financial, Annual AU + 7 GC 34090.7 Investment Transactions P GC34090; CCP 337; GC 53607 Summary of transactions, inventory & earnings report Labor Distribution AU + 2 GC34090 Costs by employee & program Meter Reading CU + 2 GC34090 State Controller P GC34090 Controller may destroy after 5 years Utility Rebates CU + 2 GC34090 TREASURER Bank Statements AU + 2 FC 3368, 30210; GC 43900 et se . Financing authority C-30 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C FINANCE (CONTINUED) Record Series Retention Citation Descriptor Bonds Account Statements CL + 10 GC34090; CCP 337.5 Monthly statement of transactions. Administration CL + 10 GC34090; CCP 337.5 Supporting documents Bonds and Coupons CL + 2 GC34090; 53921 Paid/canceled C-31 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY Record Series Retention Citation Descriptor EMERGENCY MANAGEMENT Mutual Aid, Strategic Plans S + 2 GC34090 FIRE SAFETY ADMINISTRATION Books, Fire Code S + 3 GC34090.7 CCP 340.5 Include OPS manuals General Orders, Policies/Procedures S + 2 Inspections, Fire Prevention CL + 3 UFC 103.34 Alarm/sprinkler systems, prevention efforts Investigations, Evidence Arson P PC 799 Support prosecution resulting in homicide Investigations, Evidence Arson CL + 6 PC 800 Great bodily harm, inhabited structure or property Journals, Fire Station CU + 2 GC34090 Activities, personnel, engine company Permits, Uniform Fire Code CL + 2 GC34090 PERSONNEL Exposure T + 30 29 CFR 1910.1020 Sampling results, collection methodology, background Exposure T + 1 29 CFR 1910.1020 Laboratory reports and worksheets Medical T + 30 29 CFR 1910.1020 Medical T + 2 29 CFR 1910.1020; * Employees less than one year *GC34090 Training T + 2 GC34090 Certifications/designations PROPERTY Apparatus/Vehicle CU + 2 GC34090 CCP 340.5 * Repair and Maintenance . *8 CAL Code Reg. 3203 b 1 Inventory, Equipment & Supplies CU + 2 GC34090 Logs, Fire Equipment/Gear CU + 2 GC34090 REPORTS Incident CL + 3 GC34090 CCP338 * Dispatch and daily, logs *CCP 340.5 Field, Non -fire and Los CU + 2 GC34090 Fire, Non -arson and Logs CU + 2 GC34090 C-32 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor Investigations, CL + 3 PC 801; UFC Structure Evidence Arson 104.32 Weed Abatement CL + 2 GC34090 Reports, assessments, resolutions, documentation HAZARDOUS MATERIALS Hazardous Waste CU + 10 CAL OSHA; Documentation re handling and disposal of hazardous Disposal 40 CFR waste 122.21 Permits, Hazardous CU + 2 GC34090 Departments consistently recommend permanent Materials Storage retention of environmentally sensitive materials. Programs, Household S + 2 GC34090 Hazardous Waste Training Materials S + 2 Cal Code * Standards and Administration *Re. 3204 d , et seg. Underground Storage Tank P GC34090a Documents re: storage Compliance CU + 2 GC34090 Location, installation, removal, remediation Maintenance & Operation. LAW ENFORCEMENT ADMINISTRATION Accounting/Cash CU + 2 GC34090 Reconciliation Alarm Records CU + 2 GC34090 Claim Files CL + 6 PC 832.5 Claim copy, correspondence, photographs, supporting documents relative to incidents involving the Police De artment filed by citizens Department Manual S Changes to manual are recorded in the General Orders (permanent) Equipment T + 2 GC34090 Retained until termination of equipment use; Manuals, Communication instructions, procedures Inventory S + 2 GC34090 Listing of equipment assigned to division, to whom it is assigned Reports CU + 2 GC34090 Weekly/monthly/quarterly/ Activity annual activity/statistical reports by division. Retain only one form for retention period Chemical Emissions CU + 2 GC34090 Survey CU + 2 GC34090 Surveys, responses, correspondence with other Response agencies requesting statistical data Files INVESTIGATIONS Administrative/Internal CL + 5 PC 832.5 Initiated by citizens complaints or internally initiated; EVC 1045 includes complaint, reports, findings GC 12946 PC 801.5; 803(c) VC 2547 C-33 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descri for Asset Forfeiture CL + 2 GC34090 Investigations/ Proceedings Case File Notifications CU + 2 GC34090 To legal property owner prior to case filing that property is subject to asset forfeiture proceedings. If case is filed, notification becomes part of forfeiture case file. Case Books, CL + 2 GC34090 Retained by division until a case is suspended/closed; Investigative transfer to Records Division to be filed with associated Daily Report DR file Case Files P PC 799 Homicide Investigator's File Narcotics (No CL + 2 GC34090 Retained by division until no longer useful for arrest, Narcotics Cases) investigative purposes Officer Involved CL + 25 GC34090 Shootings Court' CU + 1 GC34090.7 Printouts of daily court scheduling Daily Schedule Sign -in Los CU + 2 GC34090 Logs officers' names, time in/out for court appearances Tracking CU + 2 GC34090 Database records subpoena number, officer name, case System Records number, defendant name, district attorney name, court information disposition Evidence, Disposition Attach to duplicate Property Report, file w/DR in Forms Records Division Fingerprint T + 2 GC34090 Paperwork authorizing fingerprinting and background Applicants Files checks for city employment applicants and business license applicants Inked/Palm AC + 20 Persons booked into detention facility; (Copies Cards distributed to county, state, federal agencies) Records Approp. PC 1) Retain for applicable case statute of limitation; 2) or Latents Section until evidence in case is destroyed; Hard copy and digitized Suspect, CL Law Adults/juveniles suspected of a crime, taken for Adult/Juvenile Enforcement comparison. Destroy after original purpose achieved Management Guide by POST Guns, Dealers Record CU + 6 PC 12070 Applicants, Monthly Gun Audits, Applications Denied, of Sale Stolen DOJ File Informant Files T + 10 Legal notifications, identification information, payment information, activities information C-34 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY CONTINUED Record Series Retention Citation Descri for Record Series Retention Citation Descriptor Jail CU + 6 GC34090 Daily report of staffing, bookings/releases, transfers, Daily Los trans ortation Inmate Record Dependent on facility's classification; see Laws and Guidelines for Local Detention Facilities by Board of Corrections State of California Inspection Files CL + 6 Inspections by various agencies Surveys CL + 2 GC34090 Prepared quarterly, forwarded to State Board of Corrections Licenses CU + 2 GC34090 Bicycle Bingo, Mace CU + 2 GC34090 Business T + 1 GC34090 License Review Board Administrative Files Duplicate (Pink), CU + 2 GC34090 Original to licensee, Blue duplicate to DOJ; Pink duplicate retained by agency; renewals issued annually Secondhand by.local agency Dealer, Pawn Brokers Logs S Auto Theft Case CU + 1 Assignment Daily CU + 2 GC34090 Activity Officer CU + 2 GC34090 Daily activity of incidents not reported by use of official report Report CU + 2 GC34090 Report numbers, type, names, dates retained for Summary research value Investigative CL + 10 GC34090 Retained by division until cases are suspended and Pre -Arrest closed Juvenile CU + 2 GC34090 Logs document juvenile processing per CYA Detention Property CU + 2 GC34090 Logs items coming into and going out of property room Control Rap Sheet CL + 2 GC34090 Requests for criminal history Subpoena CU + 2 GC34090 Subpoenas received/served daily Pawn Slips/Tickets CU + 3 B & P 21628 Photographs Crime Scene, Registrant/Applicant, Photo file, Accident. Retain according to practical and functional association. Daily Report T GC34090 Assigned DR number, retained as form of evidence, (Negatives) destroyed at same time evidence for associated case is destroyed Inmates CU + 20 By Prisoner number (Negatives) C-35 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT CC, PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor Registration Files, Life of Fingerprint Card, photo, information also forwarded to Arson, Sex and registrant DOJ Narcotics within juris- diction Arrest/Conviction H&S 2 (Man- H&S Applicable to convictions occurring after January 1, Section 11357 (b), (c), datory 11361.5 1996 or arrests not followed by a conviction occurring (d), (e) or H&S Section destruc- after January 1, 1996; Exception: H&S 11357(e), the 11360 (b) violations tion from record shall be retained until a juvenile offender attains (Occurring after date of the age of 18 years, then destroyed pursuant to 11361.5 January 1, 1996) convic-tion or date of arrest with no convic- tion Arrest/Conviction Man-datory H&S 11361.5 Applicable to convictions occurring prior to January 1, H&S Section 11357(b), Destruc- (c) 1996 or arrests not followed by a conviction occurring (c), (d), (e) or H&S tion prior to January 1, 1996 for violations of H&S Code Section 11360 (b) (Upon 11357, 11364, 11365 and 11550 violations (Occurring notice from before January 1, 1996) Depart- . ment of Justice Crime See PC 800 Prosecution for an offense punishable by imprisonment Felony Crimes descriptor PC 801 in state prison for eight years or more must commence With within 6 years after offense commission. Or Without Commencement of prosecution defined in PC 804. Arrests Exception: See PC 803 - Tolling/Extension of time periods; Appeals process and "Three Strikes" also considerations in assigning retention. Misdemeanor/ CL + 2 GC34090 No arrests, identifiable property or missing persons Infractions See: Note 1 Supplemental P PC 799 No statutory limitation for prosecution. Includes Felony Capital Crimes, Murder, kidnapping for ransom, treason, procuring Crimes Punishable by execution by perjury, train wrecking, assault with a Death, Life deadly weapon by a life -term prisoner, bombing Imprisonment resulting in death or bodily injury, making defective war materials that cause death Destruction P Guns Narcotics P Disposition of Retention determined by action taken; i.e., recordable Arrest/Court Action arrest or detention released no arrest False Alarm Du licate CU + 2 GC34090 Non -Criminal CU + 2 GC34090 Injured or sick persons; missing persons where person Occurrences has been returned; traffic collision reports not used as the basis for criminal charges C-36 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor Property Original Until case Copy retained in records case file; Refer to Managing is adjudi- Property in Law Enforcement Agencies (By POST) cated/ disposi-tion deter- mined Range Inventory S + 2 GC34090 Quarterly reports of inventories of weapons and ammunition held by Department Range Reports CU + 2 GC34090 Arrest & Citation Register; Arson Offenses; Crimes Against Senior Citizens; Death in Custody; Domestic Violence; FBI Include Return A/Supp; Hate Crime Incidents; Homicide Reports, Supp.; Officers Killed or Assaulted; Original to FBI - DOJ; Uniform Crime Reports Statistical (Crime CU + 2 GC34090 Internally generated information using activity logs, Analysis) citizen calls, current and past crime statistic reports, finance dept expenditure and budget records; citations, crime reports, accident reports, permits, receipts. Reports created for variety of purposes including increases/decreases in criminal activity; officer workload, deployment, time usage Statistical (UCR), CU + 2 GC34090 Originals sent to FBI, DOJ Uniform Crime Reports Mandatory to DOJ (LEIC); FBI Include Return A/Supplement; Supplementary Homicide Report; Law Enforcement Officers Killed or Assaulted; Monthly Return of Arson Offenses Know to Law Enforcement; Number of Violent Crimes Committed Against Senior Citizens; Monthly Report of Domestic violence Related Calls for Assistance; Monthly Arrest and Citation Register; Monthly Hate Crimes Incidents; Death In Custody Reporting. Research Project Files CL + 2 GC34090 May include request forms, background materials, staff reports, final pr2ject reports and supportin2 data C-37 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor Sealed Manda-tory PC 851.8 General provision: Upon petition, records of agency Adult Found Destruc- must be sealed and destroyed in accordance with the Factually Innocent tion Upon provisions set by court record; exceptions. and Pursu- ant to Court Order Juvenile Manda-tory WIC 826 (a) Upon petition, local laws enforcement records within Destruc- & (b) WIC 826(b) may be destroyed as ordered by the court, if tion upon WIC 781 (a) related probation and juvenile court records have been and pursu- destroyed by the probation officer. Records involving ant to court arrests, detention and/or petitioning juvenile before order juvenile court Subpoenas (Duplicate) CU + 2 GC34090 Tapes CU + 180 GC34090.6 Exception: Recordings used as evidence in a criminal Audio, days prosecution or claim filed or litigation or potential Telephone and Radio claims and litigation shall be preserved for 100 days Communications after conclusion of the court action Surveillance/Se CU + 13 GC34090.6 curity Video Jail mos. Use of Force CU + 2 GC34090 Includes review forms, arrest report copies, logs Supervisory Review Files Warrants Recall after Recommended by the California Law Enforcement Felony 10 years. Warrant Officer's Association Excep-tion: Murder/ Escape Misdemeanor Recall after Recommended by the California Law Enforcement Criminal 5 years Warrant Officer's Association Served CU Includes Warrant Service Information Card, alpha index card Unserved Until (Local) served, recalled or ur ed PATROL Cards CU + 2 GC34090 Dispatch Field Interview CL + 2 GC34090 Citations CL + 2 11361.5 H&S 11357(e), Juvenile 11357b H&S, CL + 2 11361.5 *CA Admin Code, Chapter 1, Title 11, Sec. 708 11357c H&S, 11360b H&S* H&S Violations Cite and CL + 2 GC34090 Release C-38 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor California CU + 90 GC34090 Original is forwarded to court. Vehicle Code days Infractions (Duplicates) Parking/Traffic, CU + 2 GC34090.7 Originals are forwarded to court after agency Duplicates processing; includes citations electronically created Transmittals CU + 2 GC34090 Listing of citations forwarded to court, filed for reference Equipment CU + 2 GC34090 Documents problems, malfunctions, resolution to Radio Logs provide equipment performance history Communication General Orders P Patrol Requests CU + 2 GC34090 From citizens for patrol presence (Correspondenc e Radar Calibration T + 2 GC34090 Documentation of Radar instruments retained during Records use/ownership Reports CL + 2 GC34090 Non -Jury Accident Traffic Collision P Fatalities Vehicle S Record of assignments Assignment Reports Down Reports CU + 1 Printouts reporting which vehicles are down for repair, maintenance, etc. Repossession/P CU + 2 GC34090 rivate Impounds Service S GC34090 Schedules Vests, Bulletproof CU + 2 GC34090 Authorization to purchase Letters Warrants Recall after Recommended by the California Law Enforcement Parking 1 year Warrant Officer's Association Traffic Recall after Recommended by the California Law Enforcement 5 years Warrant Officer's Association Weapons, Database P Departmentally -owned weapons, personal weapons, alternate weapons, secondary handguns; produces inventoryreports SERVICES Chemicals/Film S Inventories Equipment T Inventory/Sign- out Cards- Photo Lab Operations Files T Retain until equipment no longer owned/used by - Photo Lab department; Manuals, instructions, procedures for use/operations of photographic equipment C-39 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor Grievance Files CL + 2 GC34090 Grievance filed by employees, supporting documentation Investigations, CL + 2 GC34090 Non hired Background Background P Include original reports re: PC 832.5 investigations Hired Parades & Special CL + 2 GC34090 Reports, memos, correspondence, scripts, supplier Events File information, assignments, deployments, supporting documentation Permits L + 2 GC34090 Approval process Alcoholic Beverage Control License Concealed CL + 2 GC34090 Weapons Photographs S + 2 GC34090 Personnel Negative Log CU + 2 GC34090 Negatives, Misc. CU + 2 GC34090 Not case -related (Public relations, promotions, events, ceremonies, staffphotos) Press Releases CU + 2 GC34090 Press, Video Programs CU + 2 GC34090 Collection of videos of programs and events; outside (Community Relationspress coverage of department Property Files CU + Z GC34090 Original reports and supplemental documentation (Lost, Found, Safekeeping) Property, Pawn CU + 2 GC34090 Sales, slips. Dealer required to file duplicate with Broker/Secondhand agency Reports CU + 6 GC34090.7 Original maintained by DOJ. Dealer required to file Dealer of Gun mos. duplicate with agency Sales, Duplicate Restraining Orders, CU Destroy after law enforcement actions described in PC Emergency Protective (See 273.5, 273.6, 646.9, 12028.5, 13700 and Family Code Orders, Temporary descriptor) Sections 6380-6383 are fulfilled and effective date of Restraining Orders, restraining order has expired. Legal Stipulations, Orders After Hearin Rosters Divisional S + 2 GC34090 Personnel assigned to division. Schedules CU + 2 GC34090 Schedules of Officers on duty Dail Watch CU + 2 GC34090 Assignment/ Timekeeping Records Speaker Requests CU + 2 GC34090 Community and business requests for public appearances, speakers Tests, Densitometer T + 2 GC34090 Daily tests of development chemicals/processes for Results Photo Lab) quality control. C-40 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY (CONTINUED) Record Series Retention Citation Descriptor Training Bulletins P Event Files CU + 2 GC34090 Correspondence, brochures, promotional materials, info on speakers, guests, supporting documents Lesson Plans, Range CL + 15 Scope, content, time period of courses Personnel (by name T + 7 GC34090 Paperwork documenting officers' internal and external training Schedules, Range CU + 2 I I GC34090 Daily, weekly, monthly schedules of training events at I range Volunteer Card Files T + 2 I GC34090 I Volunteers' identification, contact information Note 1: The destruction of felony, misdemeanor and infraction Crime/Supplemental Reports is permitted providing: 1. They do not relate to an unadjudicated arrest except for H&S 11357 or H&S 11360 violations; 2. They do not relate to unserved warrants; 3. They do not involve identifiable items which have not been recovered; 4. They do not relate to PC 290, PC 457.1, or H&S 11590 registrants; 5. They do not relate to violations listed in PC Sections 799 and 800; 6. The cases are not presently involved in either a civil or criminal litigation. C-41 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC WORKS Record Series Retention Citation Descriptor PARKS Agendas, Board CU + 2 GC34090 Grants (refer to Admin.) Inventory, Equipment AU + 2 GC34090 Warranties, purchase orders Landscape CU + 2 GC34090 Drawings, contracts, complaints, specifications, photos, reports Maintenance/ Operations C + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints Maps P GC34090 Irrigation, plot plans Minutes, Board P GC34090 Photographs S + 2 GC34090 Plans, Proposed CU + 2 GC34090 Future plans, new sites, expansions Policies and Procedures S + 2 GC34090 Includes rules and regulations Railroad Right-of-way CL + 3 36 CFR 6,4.11 Land acquisitions, correspondence, improvements, statutory records Reports Accident CL + 2 GC34090 Patrons, employees Others CL + 2 GC34090 Studies CL + 2 GC34090 Future sites, expansions Resolutions, Board P GC34090 Schedules, Class & Events CU + 2 GC34090 Enrollment, liability releases, evaluations, attendance, flyers SANITATION/ SOLID WASTE/ WASTEWATER Collections/Landfill CU + 2 GC34090 Daily records, usage Facilities CU + 2 GC34090 Correspondence, maps, patron list History, Sanitation P GC34090 Where City -owned Incineration Plants, Sludge CU + 2 40 CFR 61.54 Sludge, sampling, charging rate to measure mercury content Incinerator Operations, Treatment Plant CU + 2 40 CFR 60.153 Gas flow through wet scrubbing, oxygen content of exhaust gas, sludge rate, temperatures, fuel flow, total solids and volatile solids Maintenance and _Operations CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints Maps, Septic Tank P GC34090 Location maps Rates CU + 2 GC34090 -Recycling Programs S + 2 GC34090 Regulations S + 2 GC34090 Includes legislation Reports Studies CL + 2 GC34090 Tonna a CU + 2 GC34090 C-42 LOCAL GOVERNMENT —RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC WORKS (CONTINUES) Record Series Retention Citation Descriptor STREETS/ALLEYS Abandonment/ Vacations P GC34090 Closures P GC34090 Easements, Dedications, Rights -of - Way P GC34090 Field Books P GC34090 Grants (see Admin.) Intersection Records CU + 2 GC34090 Includes correspondence, volume counts, accident history Inventory, Traffic Control Device S + 2 GC34090 Signs, lights Landscaping CU + 2 GC34090 Plants, tree maintenance, work orders Lighting CU + 2 GC34090 Maintenance, work orders Maintenance/ Operations CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints, signals, striping Maps P GC34090 Fire hydrants, lighting districts, wheel chair ramps, storm drains, streets, sidewalks, sewers Master Plans CU + 2 GC34090 Copies Parking Lots CU + 2 GC34090 Regulations S + 2 GC34090 Reports/Studies CL + 2 GC34090 Permits Encroachment P GC34090 Improvement CL + 2 GC34090 May include curbs, sidewalks; Applications for excavation, fill, alterations Oversize Load CL + 2 GC34090 Parking CL + 2 GC34090 Residential Paving CL + 2 GC34090 Use (Temporary) CU + 2 GC34090 Includes Special Events Photographs S + 2 GC34090 Includes aerials Plans, Capital Improvement, Projects P GC34090 Streets, curbs, gutters, sidewalks, storm drains Policies and Procedures S + 2 GC34090 Includes rules, regulations, standards Naming and numbering P GC34090 C-43 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT CI PUBLIC WORKS (CONTINUES) Record Series Retention Citation Descriptor Speed Limits S + 2 GC34090 Programs Federal Aid Urban CL + 23 CFR 633 (a) & (c) Traffic Safety S + 2 GC34090 Drivers Education, Pedestrian Safety, Bicycle Lanes Reports Bridges & Overpasses L GC34090 Life of structure Inspection CU + 2 GC34090 Includes intersection, sidewalks. Bridges and Overpasses, keep life of structure Studies CL + 2 GC34090 Traffic volume, accident history, requests, statistics, drawings supporting traffic devices Traffic Count CL + 2 GC34090 Evaluation of traffic volume Vehicle Accident CL + 2 GC34090 Routes, School Bus & Truck S + 2 GC34090 Truck routes, access ramps, rest areas Signage L + 2 GC34090 Log books, index register cards, inventory lists, records of traffic signs Traffic Signals L Logs, drawings, wiring diagrams, codes, circuit numbers, installation records, testing and maintenance. Weigh Scales S + 2 GC34090 UTILITIES Facilities T + 2 GC34090 If city owned Gas & Electric Rates S + 2 GC34090 Underground P GC34090 GC4003, GC4004; H&S 19850 WATER Billing/Customer Records CU + 2 GC34090 Billings, correspondence, complaints Connection Records P GC34090 Maps, water line connections Flood Control Drainage Facilities P GC34090 Includes dams, lakes, basins, creeks Flood Zones P GC34090 Includes flood maps Insurance Programs S + 2 GC34090 Includes copies of policies, rules, programs C-44 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC WORKS (CONTINUES) Record Series Retention Citation Descriptor Policies/ Procedures S + 2 GC34090 Rules and Regulations Reports/ Studies CL + 2 GC34090 Grants (see Admin.) Inventory, Equipment CU + 2 GC34090 Locations P GC34090 Mains, valves, hydrants, wells Maintenance and Operations CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints Service CU + 2 GC34090 Includes work orders, entry cards, manholes, service to property owners Well & Pumping CU + 2 GC34090 Times operational, power used and quantity Maps P GC34090 Line location; easements Master Plans CU + 2 GC34090 Copies Meter Operations CU + 2 GC34090 Reader reports, orders, tests Maintenance Reports Permits National Pollutant Discharge Elimination System NPDES) P 40 CFR 122.28 Municipalities of 100,000/more, compliance with Clean Water Act re; pollutants Others CU + 2 GC34090 May depend on terms of state or federal agency Policies and Procedures S + 2 GC34090 Includes rules and regulations Rates S + 2 GC34090 Reclamation CU + 5 40 CFR 122.41 Daily operations including sewage flow, grit removal, chlorine usage, lab analysis results, etc. Reports Conservation CU + 2 GC34090 Consumption CU + 2 GC34090 Corrosion Control CU + 12 40 CFR 141.91 Compliance documentation Discharge Monitoring CU + 5 40 CFR 122.41 Average amount of pollution discharged into waters of municipality. Drinking Water Corrections Cu + 10 40 CFR 141.33 Hydrograph P GC34090 Daily flow of streams Lead Service Line CU + 12 40 CFR 141.91 Compliance documentation C-45 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC WORKS (CONTINUES) Record Series Retention Citation Descriptor Public CU + 12 40 CFR Compliance documentation Education 141.91 Quality CU + 12 40 CFR Compliance documentation Parameters 141.91 Sanitary CU + 10 40 CFR Statistics, reports, correspondence Surveys 141.33 Source CU + 12 40 CFR Compliance documentation, e.g. lead & copper Water 141.91 State CU + 12 40 CFR Compliance documentation Certification 141.91 Variances, CU + 5 40 CFR Water System 141.33 Well Level CU + 2 GC34090 Sources CU + 2 GC34090 May include wells, rivers, lakes, districts Surveyor Field Notes P GC34090 Notes preparatory to maps of water installations Surveys, Water System CU + 10 40 CFR Statistics, reports, correspondence Sanitary 141.33 Tests Bacteriological CU + 5 40 CFR Compliance records include location, date, method Analysis 141.33 and results; corrections, analysis of bacterial content Chemical CU + 10 40 CFR Compliance records include location, date, method Analysis 141.33 Used and results; corrections, analysis of chemical content Quality CU + 12 40 CFR Compliance documentation including sampling data, 141.91 analysis, reports, surveys, documents, evaluation, schedules, valves, etc. Valve Main Records P GC34090 Violations, Drinking CU + 3 40 CFR Retention applies to each violation Water 141.33 C-46 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C TRANSPORTATION Record Series Retention Citation Descriptor ADMINISTRATION Agreements T + 4 CCP 337 Including concessionaire, slip rental, facility storage Applications T + 2 GC34090 Payment invoices, inventory listings, billing correspondence Aircraft Storage and other related documents Parking Slip Rentals Special Events CU + 2 GC34090 Permits, correspondence, related documents re use of rights of way Fueling AU + 3 CCP 337 Meter readings, fuel consumption reports, invoices, receipts and records pertaining to refueling operations Hazardous Waste CU + 10 CAL Documentation re: the handling and disposal of hazardous Disposal OSHA; waste 40 CFR 122.21 Inventory, Equipment L + 2 Includes vehicles, aircraft, vessels and related documents re Parts & Supplies repairs Inventory, Vehicle L + 2 Owner s manual, warranty documents, Department of Motor Ownership and Title Vehicle title and registration, and related documents Licenses, Permits CU + 2 Forms, related documentation re: licenses and permits required by federal and state agencies Maintenance/ L + 2 GC34090 Related to requests for service and work orders for fuel, Operations vehicle and equipment maintenance and repairs Report, Accident CU + 2 GC34090 Memos and working documents (Copies) Vehicle Assignment CU + 2 GC34090 Log books, request forms, lists AIRPORT Airport Certification P 14 CFR Federal Aviation Administration (FAA) required manuals 139.207b & 171.13- 171.213 Airport Noise CU + 10 Correspondence, studies, memos, reports, log books, Monitoring and documents related to assessment of noise levels at airports Complaint and resolution of complaints Inspection, Runway CU + 10 Maintenance including Inspection reports, work orders and related records Inspection, Safety Self CU + 2 CFR Safety inspection and related document include reviews and 139.327 analysis of all aspects of airport operation Maintenance, FAA P 14 CFR Forms and reports required by FAA including Forms FAA- 171.13 - 198, -418,-6030-1,-6790-4 171.213 C-47 LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C TRANSPORTATION (CONTINUED) Record Series Retention Citation Descriptor Reports Accident and Incident (Aircraft) CL + 8 Accidents, injuries, property damages, general conditions re pilot and aircraft Airport Operational (Regulatory) P Annual and special reports to federal and state regulatory agencies. Airport Operational (Administrative) CU + 2 Logs, statistical summaries; administrative records NOTAM (Notice to Airmen) CU + 3 Reports re: conditions affecting airport maintenance/operations GROUND TRANSPORTATION Auto for Hire T + 4 GC34090 License, permits for Taxicabs, shuttles, etc HARBOR Registers, Transient Vessel Reservation AU + 3 Reservation applications, receipts, and index registers relating to boats in transit, temporarily moored Slip Rental Index CU + 5 Annual and periodic reports of slip renters Slip Rental Permits CL + 2 Applications, statement of rental conditions, vessel inspection check sheets, copy of DMV registration, boat owner information, and other documents re: dock slip spaces Slip Rental Waiting List CU + 2 C-48