Resolution No. 84491
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RESOLUTION NO. 8449
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
VERNON APPROVING AND ADOPTING AN AMENDMENT TO THE
RECORDS RETENTION SCHEDULE 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, on August 27, 2003, the City Council of the City of
Vernon adopted Resolution No. 8269 approving an amendment to the
Records Retention Schedule; and
WHEREAS, on March 24, 2004, the City Council of the City of
Vernon adopted Resolution No. 8409 approving an amendment to the
Records Retention Schedule; 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 June 30, 2004, Bruce V. Malkenhorst,
the City Administrator/City Clerk, recommended that the Records
Retention Schedule be amended to update various sections of the
retention schedule; 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
1 City Council; and
2 WHEREAS, the City Attorney of the City of Vernon consents to
3 the destruction of the records pursuant to the amended Retention
4 Schedule.
5 NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
6 CITY OF VERNON AS FOLLOWS:
7 SECTION 1: The City Council of the City of Vernon hereby
8 finds and determines that the recitals contained hereinabove are true
9 and correct.
10 SECTION 2: The City Council of the City of Vernon hereby
11 approves and adopts the amendment to the Records Retention Schedule, a
12 copy of which is attached hereto and incorporated by reference as
13 Exhibit A.
14 SECTION 3: The City Council of the City of Vernon hereby
15 authorizes the City Clerk and all department heads to maintain the
16 categories of documents and records for the periods required by the
17 amended Retention Schedule and to destroy said documents and records
18 after said periods have ended.
19 SECTION 5: Notwithstanding any of the foregoing, no record
20 shall be destroyed which is pertinent to any current claim against the
21 City, any pending or on -going litigation, or which is expressly
22 required to be retained under California Government Code Section
23 34090.
24 SECTION 6: The City Attorney has given his written consent
25 to the destruction of the City records pursuant to the schedules set
26 forth in the amended Retention Schedule; said written consent is
27 attached hereto and incorporated by reference.
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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 14th day of July, 2004.
ATTESTT-
BRUCE V. MALKENHORST, City Clerk
EONIS C. MALBU G, May r
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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.
8449, 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,
July 14, 2004, and thereafter was duly signed by the Mayor of the City
of Vernon.
(SEAL)
BRUCE V. MALKENHORST, City Clerk
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WRITTEN CONSENT OF CITY ATTORNEY FOR THE
DESTRUCTION OF CERTAIN CITY RECORDS PURSUANT
TO GOVERNMENT CODE SECTIONS 34090 AND 34090.7
I, the undersigned, as the City Attorney of the City of
Vernon have read Sections 34090 and 34090.7 of the Government Code of
the State of California, do hereby consent to the destruction of those
certain City of Vernon records described in the amended Retention
Schedule which is attached to this Resolution No. 8449, and the
continuing destruction of said records pursuant to the time schedules
referred to in the amended Retention Schedule.
This consent is executed pursuant to Sections 34090 and
34090.7 of the Government Code of the State of California and is to be
attached to Resolution No. 8449.
Dated:` -I oa
eL ���
ERIC T. FRESCH, City Attorney
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EXHIBIT
V,A
Gp1,�FONA►
Records Retention
Schedule 2003
Adopted by Resolution No. 7605 on August 22, 2000
Amended by Resolution No. 8269 on August 27, 2003
Amended by Resolution No. 8409 on March 24, 2004
Amended by Resolution No. 8449 on July 14, 2004
CITY OF VERNON
RECORDS RETENTION SCHEDULE 2003
TABLE OF CONTENTS
Page
Legend............................................................................................................................ i
CityAdministrator......................................................................................................... 1
CityClerk...................................................................................................................... 3
Community Services & Water Department................................................................... 8
Finance....................................................................................................................... 12
(General).......................................................................................................... 12
(Payroll)........................................................................................................... 15
(Purchasing).................................................................................................... 17
(Treasurer).......................................................................................................18
FireDepartment.......................................................................................................... 19
HealthDepartment..................................................................................................... 21
Information Technology.............................................................................................. 23
Light& Power............................................................................................................. 26
(Customer Services)........................................................................................ 26
(Dispatcher/System Operations)......................................................................28
(Engineering)................................................................................................... 30
(Power Plant Operations)................................................................................. 32
(Resource Planning)........................................................................................ 34
Personnel................................................................................................................... 37
RiskManagement.......................................................................................................40
GLOSSARY................................................................................................................ 42
Legend
AR - ANNUAL REVIEW
AU - Audit
C
- CLOSED/COMPLETED
CT
- COMPLETION/TERMINATION
CY
- CURRENT YEAR
EL
- ELECTION
E
- EXPIRATION
P
- PERMANENT
S
- Superseded
T
- TERMINATION
WH/C
V - VITAL
H - HISTORICAL
C - CONFIDENTIAL
i
CITY ADMINISTRATOR
Page 1 of 2
1. Budget Files (Department)
2
-
2
-
a) work papers
b) Calculations
2. Correspondence -Miscellaneous
AR
-
AR
-
Organizations Newsletters A-Z
3. Facility Layoffs/Closures
AR
-
AR
-
Files
a) Notifications from
facility/company
b) work papers & revenue
analyses
4. City History Files
AR
P
P
H
a) News clippings
b) Photographs
c) Proclamations
5. Labor Contract Negotiations
E+2
-
E+2
-
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".
10. Personnel Files - Department
T+l
-
T+1
C
Heads
11. Police Department - Duty
1
-
1
-
Rosters
City
Administrator — Page
2 of
2
12. Publications from Outside
AR
-
AR
-
Sources
13. Purchase Requisitions
1
-
1
-
a) Department copies of pur-
chase requisition forms
14. Safety Committee Meetings -
1
-
1
-
Agendas & Minutes
15. Software & Documentation
S
-
S
-
16. Studies & Reports
2
-
2
-
(miscellaneous)
17. Subject & Correspondence
AR
-
AR
-
Files
18. Inter -Departmental
AR
AR
Communications/Memos
City 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. Board of Library Trustees
7
-
7
H
Records
a) Agendas -Certified Copies
7. Personnel Tuition
CT+2
-
CT+2
-
Reimbursement Agreements
8. Certifications of Agendas
CY
2
3
-
a) City Council
b) Finance Committee
c) Personnel Committee
d) Library Trustees
e) Police & Fire Commission
9. City Incorporation
-
P
P
V,H
Note: Permanent storage location
Documents
is the city vault.
CITY
CLERK — Page 2 of 5
10. 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
11. Contract Files
C+5
-
C+5
-
a) Original, executed
contracts
b) Performance bonds/con-
tract bonds
c) Certificates of insur-
ance/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
12. Council Agendas - Working
3
P
P
-
Note: Working copies are notated
Copies
for preparation of draft Council
a) Back-up Data
minutes.
13. 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.
14. Council Minutes, Resolutions
P
-
P
-
& Ordinances Index
15. Council Ordinances
1
P
P
V,H
Note: Permanent storage location
is the city vault or off -site
depository.
16. Council Resolutions
1
P
P
V,H
Note: Permanent storage location
is the city vault or off -site
depository.
CITY
CLERK — Page 3 of 5
17. Easements (Copies)
P
P
P
V
Note: City Clerk has all
easements from June 15, 1978
forward.
18. Elections
a) Applications, absentee
E+6
-
E+6
ballots and envelopes
b) Calendar
E+6
-
E+6
c) Canvas - Records used to
P
-
P
compile final election
results, including tally
sheets, detailed
breakdown of results;
special election results
d) Nomination Papers -
E+6
-
E+6
Successful
e) Notifications and
E+6
-
E+6
Publication or posting of
Election
f) Notifications and
E+6
-
E+6
Publications - proof of
publication or posting,
certification and listing
of notice of posting;
copy of newspaper notice
and certification of
officers (measures) to be
voted for at forthcoming
election; declaration of
results
g) Precinct Records -
E+6
-
E+6
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
h) Oaths of Office -Elected
T+6
-
T+6
Officials
i) Roster of Voters
E+6
-
E+6
j) Statement of Economic
T+7
-
T+7
Note: Originals are filed with
Interests - Form 700 -
FPPC
Candidate Statements of
Elected Officials
19. Encroachment License
E
-
E
-
Agreements
CITY CLERK — Page 4 of 5
20. Finance Committee Agendas
CY
2
3
-
(Reference Copies)
a) Agendas & backup data
21. Finance Committee Minutes
1
P
P
V,H
Note: Permanent storage location
is the city vault.
22. General Plan & Amendments
S
2
S+2
-
Files
a) General plan, elements, &
amendments
b) Environmental impact/
assessment documents
c) Public hearings documen-
tation
23. Litigation Files
C+2
-
C+2
-
Actual Documents required to be
retained shall be decided by the
City Attorney.
24. Municipal Code & Amendments
S
-
S
V
25. Personnel Committee Agendas
CY
2
3
-
(Reference Copies)
a) Agendas & backup data
26. Personnel Committee Minutes
1
P
P
H
Note: Permanent storage location
is the city vault.
27. Police & Fire Commission
CY
2
3
-
Agendas (Reference Copies)
a) Agendas & backup data
28. Police & Fire Commission
1
P
P
H
Note: Permanent storage location
Minutes
is the city vault.
29. Real Property- Deeds Trans-
2
P
P
VH
action Files
a) Correspondence
b) Transmittals
c) Bills of Sale
30. 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
CITY CLERK — Page 5 of 5
31. Records Management Documents
S+2
-
S+2
-
a) Retention Schedules
b) Destroyed Records lists
c) Stored Records lists
32. Statements of Economic
P
-
P
-
Interest - FPPC Form 700
a) Officeholders' statements
b) Appointees' statements
c) Candidates' statements
33. Statement of Economic
2
P
P
-
Interest - FPPC Form 700
a) Filing Officials'
Statements
b) Appointees' Statements
34. Uniform Codes
S+1
P
P
H
a) Building Code
b) Mechanical Code
c) National Electrical Code
d) Plumbing Code
35. Variance Files
T+2
-
T+2
-
a) Requests for variance
b) Public hearings
documentation
c) Correspondence & backup
data
36. Franchise Agreements
-
E+6
E+6
a) Original, executed
agreements
b) Insurance documentation
c) Correspondence & backup
data
37. Personnel Breach of Contract
-
C+2
C+2
C
Note: This record series
Files
documents abandonment of
a) Correspondence & backup
employment contract cases and
data
related settlements. For this
series, C(Closed/Completed)
represents final settlement of
the case. Upon C+1, the file is
to be forwarded to the Personnel
Department, to be added to the
person's Personnel File for the
duration of its retention period.
38. Police & Fire Commission
1
2
3
-
Minutes (Reference Copies)
Community 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
H
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
8. 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
Community Services & Water
De artment
— 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
2
-
P
-
CommunityServices & Water
Department
— 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
Community Services & Water
Department — Page 4 of 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
1
-
1
-
a) Work orders
b) Monthly Garage reports
27. Water Analysis Reports -
5
-
5
-
Bacterial
28. Water Analysis Reports -
CY
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
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
Finance
General — Page 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
permits, encroachment permits,
b) Receipt 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
CY
2
3
-
22. Trial Balance Reports
3
5
8
-
23. Utilities - Cash Receipts
3
-
3
-
13
Record Series Ttti office
Storage
Tatar
ViHI .
c
Office°°Qf;Recc rd = Notes/Rent 6k
Finance
General — Page 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
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
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
Finance
Pa roll — Page 2of2
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 (PERS) 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+l
-
C+1
-
16
Finance
(Purchasing)
Page 1 of 1
1. Bid 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
8. 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
Finance
(Treasurer)
Page 1 of 1
1. Annual Reports of Financial
P
-
P
-
Transactions to State
Controller
2. Breach of Employment
C+l
-
C+1
-
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. Treasurer's Book
P
-
P
-
FIRE DEPARTMENT
Page 1 of 2
1. Address Files
CY
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
&-f-I 4-1/cuox — R"04d4 Rdew&" sdada
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
HEALTH DEPARTMENT
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
5. 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
-
8. 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
CY
6
7
-
11. Monthly (Activity) Reports
2
3
5
-
to Council
21
Health
Department — 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
INFORMATION
TECHNOLOGY
Page
1 of 3
6. Access Authorization
S+2
-
3
c) Server Phone Room
d) P.C. Servers
e) Internet Access
f) VPN Connection Access
g) Dial Up Accounts
h) Password List
7. Agendas & Minutes
CY+1
-
2
-
NOTE: Duplicate Series for City
h) City Council
Council, Finance Committee, and
i) Finance Committee
Personnel Committee. Official is
j) Personnel Committee
in the City Clerk Department.
k) I.T. Meetings
1) Safety Committee Meeting
8. Back -Up Server Tapes
S
-
-
-
NOTE: Refer to tape rotation
f) Data -Base Server
policy of I.T. Directive.
g) E-Mail Server
h) HP 3000 Mainframe
i) City of Vernon (Exchange)
j) Fire
d) Control Center
9. Budget
S+2
-
3
-
NOTE: Duplicate Series. Official
c) Copies of I.T. Budget
is in the Finance Department
d) Back-up Documentation
10. Consultant Files
E+2
-
a) Monthly Reports
b) Back -Up Documentation
c) Correspondence
11. Administrative Personnel
CY+2
-
3
NOTE: Duplicate Series. Official
Files
is in the Personnel and Finance
a) Personnel Action Forms
Departments.
b) Compensation Forms
c) Time off Requests
d) Absence Reports
e) Salaries
f) Payroll Time Sheets
g) Vacation/Compensation
Time Reports
h) Employee Evaluations
i) Tuition Reimbursement
7. City of Vernon Website
S+2
-
3
a) Policies/Supporting
Documentation
b) Vendor Documentation
c) Correspondence
8. General Correspondence &
CY+2
-
3
-
Communications of Importance
a) E-mails
b) Letters
c) Memorandums
23
Information
Technology
—
Page
2 of 3
9. Inventory
S+2
-
3
NOTE: Electronic copies stored in
a) Hardware
accordance with Tape Rotation
b) Software
Policy.
c) Software Licenses
10. Logs & Reports
CY+2
-
3
a) Help Desk Request
b) Webpage Traffic Reports
c) Virtual Private Network
d) Modem Connection
e) I.T. Daily Log
f) Internet Access
(Websense)
g) Firewall
h) Inventory
11. Manuals, Policies and
S+1
-
2
NOTE: This record series is for
Procedures
all manuals, policies, and
a) Technology Directive
procedures, originating from the
b) Equipment Maintenance &
I.T. Division.
Warrantees (Desktop and
Laptop systems)
c) Back-up Documentation
12. Network Information Systems
CY+3
-
4
(LAN/WAN)
a) Switches Configurations
b) Network Diagram/Drops
c) Application
configurations/rules
13. Publications
3
-
3
-
a) Magazines
mos.
mos.
b) Newspaper Articles
S
S
c) Reference Materials
S
S
14. Purchase Records
CY+2
-
3
-
NOTE: Duplicate series. Official
a) Purchase Requisitions
is in the Finance Department.
(Dept. Copies)
b) Purchase Order
c) Invoices
d) Packing Slips/ Copies
e) Partials
f) Request for Payment
g) Petty cash Receipts
h) Back-up Documentation
15. Records Management
CY+2
-
3
-
NOTE: Duplicate series. Official
a) Destroyed Records List
is in the City Clerk's Office.
b) Records Retention
S+1
Schedule
16. Retired Software and
CY+1
-
2
-
NOTE: Original in Finance.
Equipment
a) Surplus Material and
Equipment Reports
b) Donated Material and
Equipment Reports
c) Destroyed Software
Application Reports
d) Back-up Documentation
24
Information
Technology
— Page
3 of 3
17. Computer Application
CY+2
3
Training
a) Training Handouts
b) Training Logs
c) Performance Surveys
d) Back-up Documentation
18. Information Technology
E+2
-
-
Projects
a) Request for
Quotes/Proposals
b) Vendor Responses
c) Back-up Documentation
19. Virus/Trojan Information
CY+2
-
3
a) Incidents
b) Research
c) Back-up Documentation
20. Y-2K Documentation
AR
-
-
a) Publications
b) Certification of
Compliance
c) Correspondence
CY+1
-
2
21. Travel, Meetings, Seminars
& Memberships
a) Back-up Documentation
22. Agreements & Contracts
E+2
-
NOTE: Duplicate series. Official
a) Executed Agreements &
is in the City Clerk's Office.
Contracts
b) Insurance Documentation
23. Telephone System
CY+2
3
NOTE: Original billing.is in the
a) Billing Documentation
Finance Department.
b) Correspondence
c) Back-up Documentation
25
6_"A_I- 4?/MNax — Rwaw a Rea'4" Sek&"
LIGHT & POWER
(Customer Services)
Page 1 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-
1
-
1
-
fiche (Work Copies)
5. Collection Agencies Monthly
C+l
-
C+1
-
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
-
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
26
Light & Power
Customer Services —
Pa e 2 of 2
14. Service Address Files
C
2
C+2
-
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
27
Light & Power
(Dispatcher/System Operations)
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
f) 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
NN
e�4v-Rms
Light & Power
Dis atcher/S stem O
erations
— Pa e 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) Bulk power confirmation
reports
e) Interruption reports
f) Monthly peak amp reports
g) Counter reading 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
29
Light & Power
(Engineering)
Page 1 of 2
1. Budget Files
1
-
1
-
a) Calculations
b) Work papers
2. Contractors/Consultants
C+l
-
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
1
-
1
-
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 transaction
d) Memorandum notices of
joint pole work (Form
48)
30
Light & Power
En ineerin
— 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
1
-
1
-
31
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.
32
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
-
33
Light & Power
(Resource Planning)
Page 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 Consultant
1
-
1
-
Files
a) Monthly reports
b) Correspondence
34
Light & Power
Resource Planning)
—
Pa e 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.
35
Light & Power
Resource Planning)
—
Pa 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
36
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
37
Personnel — Page 2 of 3
5. Personnel Files - Retired
CY
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
(I-9) records
years.
c) Disciplinary actions
d) Absence reports
e) Salary data
f) 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
W.
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 be transferred to the
c) Resumes & correspondence
Personnel File for that
d) Eligibility lists
individual.
39
RISK MANAGEMENT
Page 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
Risk Mana ement — Page 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
individual'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
a) Contracts (copies)
expiration of the contract with
b) Correspondence
the administrator. Original
c) Backup data & reports
contract and contract documents
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