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Resolution No. 2013-077RESOLUTION NO. 2013-77 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 Resolution No. 7605 approving and adopting the City of Vernon Records Retention Schedule 2000, as emended by Resolution Nos. 8269, 8409, and 8449, 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, the Dodd -Frank Wall Street Reform and Consumer Protection Act requires that certain documents maintained by the City be maintained; and WHEREAS, the City Council consents to the destruction of the records if made 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 finds and determines that the above recitals are true and correct. SECTION 2: The City Council of the City of Vernon finds that this action is exempt under the California Environmental Quality Act (CEQA), in accordance with Section 15061(b)(3), the general rule 090513800 that CEQA only applies to projects that may have an effect on the environment. SECTION 3: 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. SECTION 4: 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 Records 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. - 2 - 090513800 SECTION 6: The Interim City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the Interim City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the Interim City Clerk's, or Deputy City Clerk's, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 17t° day of September, 2013. Name: W. Michael McCormick Title: Mayor / na Reed Interim City Clerk / Deputy City Clerk APPROVED AS TO FORM: ScotE E. Porter, Deputy City Attorney - 3 - 090513800 STATE OF CALIFORNIA ) ) ss COUNTY OF LOS ANGELES ) Dana Reed I, , Interim City Clerk /, n-ptzy�itv%C-Ii! ".of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. 2013-77, was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, September 17, 2013, and thereafter was duly signed by the ay r or Mayor Pro-Tem of the City of Vernon. Executed this day of September, 2013, at Vernon, California. �1 (SEAL) �ana Reed Inter City Clerk / - 4 - 090513800 EXHIBIT A M r� Records Retention Schedule 2013 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 2013 TABLE OF CONTENTS Page Legend.......................................................................................................................... i CityAdministrator......................................................................................................... 1 CityClerk...................................................................................................................... 3 Community Services & Water Department................................................................... 8 Finance....................................................................................................................... 12 (General).......................................................................................................... 12 (Payroll)........................................................................................................... 17 (Purchasing).................................................................................................... 19 (Treasurer).......................................................................................... 6............ 20 FireDepartment........................................................................... .............................. 21 HealthDepartment..............................................................................................:...... 23 Information Technology.............................................................................................. 25 Light& Power............................................................................................................. 28 (Customer Services)........................................................................................ 28 (Dispatcher/System Operations)...................................................................... 30 (Engineering)................................................................................................... 32 (Power Plant Operations)................................................................................. 34 (Resource Planning)........................................................................................ 36 Personnel................................................................................................................... 39 RiskManagement....................................................................................................... 42 GLOSSARY................................................................................................................ 44 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 V/H/C V - VITAL H - HISTORICAL C - CONFIDENTIAL i e��6v�-ems Record Series Title office Storage Totes ww ` c Office of Record — Notes/Remarks 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 1 Record Series Title orr�a Storaga FTota1TVC/H/F0ffice of Record — Notes/Remarks CityAdministrator — Pa e 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 - 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 �,qy- 4y - Ruatda Ra""N S Record Series Title office Storage ITotal V/ / C Office of Record - Notes/Remarks 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. v - RON4 Rama" Sa4o" Record Series Title office Storage Total Viw c' Office of Record — Notes/Remarks 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. e[fy edY/emas — ,�eea�ds �de�Ales Sew Record Series Title Office Storage Total Viw c Office of Record — Notes/Remarks 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 5 L� "6Yr�w,e — �aweda ,�e�ruea Sek�i Record Series Title orroe Storage Total vMi c Office of Record — Notes/Remarks 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 0 Record Series Title office Storage Total ww c Office of Record - Notes/Remarks 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) C�i^6v-ems Record Series Title office Storage rota) viH/ c Office of Record — Notes/Remarks Community Services & Water Department Pa e1of4 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+l 5 E+6 - Note: Originalencroachment a) Applications agreements are in Finance b) Billings Department c) Correspondence 10. File Permits Files E+l 9 E+5 - a) File permits b) Descriptions of _ operations c) Applications d) Correspondence & backup data Lun 4,?/ov� - Rw"4 RaON o sda4le Record Series Title office Storage Total v;w c Office of Record - Notes/Remarks CommunityServices & 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 P - P - G�ui "6?�e:rrere — r�aau[e R SuFedAda Record Series Title office Storage Total viw c Office of Record — Notes/Remarks CommunityServices & Water De artment — 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 e °dTom" - Rumrda Raw"* sdrddo Record Series Title Office Storage Tows WH/ c Office of Record — Notes/Remarks 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. 11 411 — Rao%, a ,Retea&,m Se Record Series Title office . storage Total viw c Office of Record — Notes/Remarks 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. B. 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 o69/auw — ,�aou(a ;2d�koia Sr/radade Record Series Title once Storage rota) mw c Office of Record — Notes/Remarks Finance General — Page 2 of 3 12. Ground Leases E+1 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. Swaps executed prior to July E+5 - E+5 C • Confirm with City Attorney 21, 2010 that expired before whether documents must be April 25, 2011. retained under CFTC Final Rule: a) Documents which relate Swap Data Recordkeeping and to the terms of a Reporting Requirements: Pre - transaction that were Enactment and Transition Swaps possessed on or after (Part 46). See Commodity October 14, 2010. Futures Trading. Commission 13 eiYyr a6veruo,r - wards �dextlur s Record Series Title office Storage Total V/H/ c Office of Record — Notes/Remarks (CFTC) Regulation 46.2, part of Dodd -Frank. • Form: documents are to be retained in the format in which they existed on or after October 14, 2010 or any other chosen format. • Retrievable: Documents are to be retrieved within 5 business days of CFTC request. 22. Swaps executed on or after E+5 - E+5 C • Confirm with City Attorney July 21, 2010 that expired whether documents must be before April 25, 2011. retained under CFTC Final Rule: a) Documents which relate - Swap Data Recordkeeping and to the terms of a transaction Reporting Requirements: Pre - that were possessed on or after Enactment and Transition Swaps December 17, 2010. (Part 46). See Commodity Futures Trading Commission - (CFTC) Regulation 46.2, part of - Dodd -Frank.. • Form: documents are to be retained in the format in which they existed on or after December 17, 2010 or any other chosen format. • Retrievable: Documents are to be retrieved within 5 business days of CFTC request.. 23. Swaps executed prior to, E+5 - E+5 C . Confirm with City Attorney on, or after July 21, 2010 and whether documents must be in existence on or after April retained under CFTC Final Rule: 25, 2011: Swap Data Recordkeeping and a) Records of all minimum Reporting Requirements: Pre- primary economic terms Enactment and Transition Swaps data (Part 46). See Commodity b) Confirmations,.Master Futures Trading Commission Agreements, Credit (CFTC) Regulation 46.2, part of Support Agreements, if Dodd -Frank. in possession on or • Form: documents are to be after April 25, 2011. retained in electronic or paper c) To the extent the swap form, as long as they are is still in existence on retrievable and information in April 10, 2013 and the them is reportable following records are created or become • Retrievable: Documents are to available on or after be retrieved within 5 business April 10, 2013: Full, days of CFTC request complete, and systematic records, together with all pertinent data and memoranda, with respect to each swap ("Part 45.2 Records"), including: 14 Gov �6v - Rude; SeAr. e Record Series Title office Storage Total ww c Office of Record — Notes/Remarks • Minimum Primary Economic Terms • Executed swap confirmations • Master swap agreements • Amendments to master swap agreements • Credit support agreements or similar agreements • Amendments to credit support agreements • Records demonstrating entitlement to elect the End User Exception to Clearing. 24. Swaps entered into on or E+5 - E+5 C • Confirm with City Attorney after April 10, 2013. whether documents must be a) Full, complete, and retained under CFTC Final Rule: systematic records, Swap Date Recordkeeping and together with all Reporting Requirements (Part pertinent data and 45). See Commodity Futures memoranda, with respect Trading Commission (CFTC) to each swap, including: Regulation 45.2, part of Dodd- • Minimum Primary Frank. Economic Terms • Form: documents are to be • Executed swap retained in electronic or paper confirmations form, as long as they are • Master swap agreements retrievable and information in • Amendments to master them is reportable swap agreements • Retrievable: Documents are to • Credit support be retrieved within 5 business agreements or similar .days of CFTC request agreements _ • Amendments to credit support agreements • Records demonstrating entitlement to elect the End User Exception to Clearing 25. Travel & Expense Vouchers CY 2 3 - 26. Trial Balance Reports 3 5 8 - 27. Utilities - Cash Receipts 3 - 3 - 15 4VON" -Rwtdd Rds Record Series Title Office Storage rotas V/H/ c_ Office of Record — Notes/Remarks Finance General — Page 3 of 3 28. Utilities - Customer - T T - Note: for this record series, Certificates of Deposit T(Termination) represents the return of the original certificate of deposit to the customer. 29. Utilities - Annual Reports 7 - 7 - to Federal Energy Regula- tory Commission (FERC) 30. Utilities - Transmission C+2 - C+2 - Note: For this record series, Invoices C(Closed/Completed) represents full payment of invoice 31. Warrant Register - Original AU+2 - AU+2 - (Includes back-up files and Payroll Warrant Register) 32. Water Work Orders / Billing Construction Jobs - 2 - 2 - 33. Workers Compensation & 2 P P - Liability a) Backup files b) Canceled checks BEA Record Series Title = office I Storage Totai v/wc I 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 G - 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 - 17 Record Series Title - office storage Total viwc Office of Record — Notes/Remarks Finance (Payroll)— Page 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 (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 (PEAS) 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+l - M e4y ea f/em" — ,Records a*,&" Sekadar[e Record Series Title office Storage Total vo-uc Office of Record — Notes/Remarks 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 19 'A, 4Tovroo — Reeosda RQmMw Se4e" Record Series Title office Storage Total wwc Office of Record — Notes/Remarks Finance (Treasurer) Page 1 of I 1. Annual Reports of Financial P - P - Transactions to State - Controller 2. Breach of Employment C+1 - 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 - 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 B. Treasurer's Book P - P - 91 Lev 4vewm — Raw"a R~4w s Record Series Title office storage Total WH/C Office of Record — Notes/Remarks 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. B. 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 21 Record Series Title Office Storage Total Viwc 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 - 22 em-, 4f/enrw — ,Recasda Rdarllae Sekalwo Record Series Title office I Storage I Total I v;H/c ( Office of Record - Notes/Remarks HEALTH DEPARTMENT Pa e 1 of 2 1. Address Files C+l 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 - 6. 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 23 � �?/ovrew — �eeor.[e � Selridale Record Series Title office Storage Total wl /C Office of Record — Notes/Remarks Health Depart ent — 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 24 �/;&- e6fve - Records Retemtlan sdeda& Record Series Title Office Storage Total V/H/C Office of Record — Notes/Remarks 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+l - 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 25 �/ °6 v�ON — �uau(a �edurt6eK Se(edxCc Record Series Title I office storage I Total viwc Office of Record — Notes/Remarks 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 26 �Eyr a6?/euroa — Retards i�deirtlarz Se�4ed�li Record Series Title Office Storage Total V/ /C Office of Record — Notes/Remarks 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 27 G'rui�yv�,—s Record Series Title - office storage Total V/H/C Office of Record - Notes/Remarks LIGHT & POWER (Customer Services) Pa e 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+1 - 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 O.S. Department 2 - 2 - of Energy a) Monthly b) Quarterly c) Annual M v - em s Record Series Title Office Storage Total vn-uc Office of Record — Notes/Remarks Light & Power Customer Services — Page 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 29 @ay, 4fx- Rem Retmam seGo" Record Series Title office Storage Total V/HIC Office of Record — Notes/Remarks 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 30 ear, 4's - RW0Tdj R~AW s Record Series Title office Storage Total wwc Office of Record - Notes/Remarks Light & Power (Dispatcher/SystemOperations) - 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) Interrupt'ion 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 31 �r�v-ems Record Series Title office Storage Total WH(c Office of Record — Notes/Remarks Light & Power (Engineering) Pa e 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 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) 32 eay o69/ew" - Ruda Rc&� s Record Series Title I Office Storage Total I Viwc Office of Record - Notes/Remarks Light & 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 1 - 1 - 33 Gaye o6 P/er�n - �uarde �etenues Seladwle Record Series Title orrc storage Total Viwc 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 S. 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. 34 Gar ^6vam. - Rararde Retketlar Sao Record Series Title office Storage Total wwc Office of Record — Notes/Remarks Light & Power Power Plant O erations — 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 - I 35 eeo 4ilewow —Retards Raarrlaw Seiedade Record Series Title Office Storage Total wwc Office of Record — Notes/Remarks Light & Power (Resource 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 6. Correspondence Chronological 2 - 2 - Files 9. Environmental Consultant 1 - 1 - Files a) Monthly reports b) Correspondence IN 4'�4v-RRs Record Series Title office I Storage I Total I wwc Office of Record — Notes/Remarks Light & Power Resource Plannin — age 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(Ciosed/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. 37 —Amp 4v—RS Record Series Title office Storage Total wHic Office of Record — Notes/Remarks Light & Power Resource Plan nin ) — 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 RE �i 41/et a - Reeaada Rerwt Sekedade Record Series Title office Storage Total mwc Office of Record — Notes/Remarks 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 39 Off- 4 flew" — Ra"da R Seke(rle Record Series Title office I Storage i Total viwc I Office of Record — Notes/Remarks 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 (1-9) 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 411uxaw — ,Recoade Aetartlaa IRecord Series Title I Office I Storage I Total wwc 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 be transferred to the c) Resumes & correspondence Personnel File for that d) Eligibility lists individual. 41 Cmi4flew" -RMTdd Rs Record Series Title :70fficeTStorage Taal viwc Office of Record — Notes/Remarks 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. 42 �f 4110% a, - ,Retards ,Ra&Wles Sdre" Record Series Title I office storage I Total V/H/c I Office of Record — Notes/Remarks Risk Mana ement — Pacie 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, ante 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). 43 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. CITY CLERK'S OFFICE INTEROFFICE MEMORANDUM DATE: September 24, 2013 TO: Daniel Calleros, Police Chief Kristen Enomoto, Assistant to the City Administrator Carlos Fandino, Director of Light & Power William Fox, Finance Director Leonard Grossberg, Director of Health & Environmental Control Masami Higa, Assistant Finance Director Alex Kung, Assistant to the City Administrator Joaquin Leon, Deputy City Treasurer Teresa McAllister, Director of Human Resources Zaynah Moussa, Deputy City Attorney Scott Porter, Deputy City Attorney Dana Reed, Interim City Clerk Nicholas Rodriguez, City Attorney Mark Whitworth, City Administrator Michael Wilson, Fire Chief S. Kevin Wilson, Director of Community Services & Water FROM: Deborah Juarez, Records Management Assistant P� RE: Resolution No. 2013-77 — 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 Transmitted herewith is a copy of Resolution No. 2013-77 referenced above, which was approved by City Council on September 17, 2013. Thank you. Attachment c: Resolution No. 2013-77 STAFF REPORT RECEIVED "EP 10 2013 RECEIVED CITY ADMINISTRATION SEP 11 2013 STAFF REPORT CITY CLERWS OFFICbEPARTM ENT OF LIGHT & POWER DATE: September 3, 2013 TO: Honorable Mayor and City Council FROM: Dana Reed, City Clerk RE: Revision to the City's Document Retention Schedule to Comply With the Federal Dodd -Frank Wall Street Reform and Consumer Protection Act and Related Regulations. Recommendation It is recommended that the City Council: Find that revising the city's document retention schedule is exempt under the California Environmental Quality Act (CEQA) in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment because the proposal will merely change how the city retains and destroys certain city documents; and 2. Approve a resolution to update the city's records retention schedule by adding four new sections to the Finance Department's schedule to be numbered 21, 22, 23, and 24, renumbering the remaining sections, and updating the cover page and table of contents accordingly. The proposed revisions are made solely to comply with federal law, as amended by the Dodd —Frank Wall Street Reform and Consumer Protection Act and related regulations. Backaround On July 21, 2010, President Barack Obama signed The Dodd —Frank Wall Street Reform and Consumer Protection Act ("Dodd -Frank") into law to decrease the likelihood of a future large scale financial collapse. Among other things, Dodd -Frank requires entities that hold financial instruments known as "swaps", to maintain the related records for various periods of time. The City of Vernon, like many other cities with electric utilities, holds some swaps. As such, it is required to maintain and not destroy certain documents for specified periods of time. California Government Code § 34090 authorizes cities to adopt schedules stating when certain documents must be retained, and when they may be destroyed. Consistent with that authority, Vernon has long had a document retention schedule. The schedule was last updated in 2003. Staff recommends that the document retention schedule be revised as proposed, as doing so would prohibit destruction of documents in violation Dodd -Frank. Staff expects that in the foreseeable future, staff will propose revisions to the document retention schedule beyond those included here, as these revisions are being recommended solely to comply with Dodd -Frank. Fiscal Impact There are no expected fiscal effects of approving the staff recommendation. Attachments Mr Records Retention Schedule 2013 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 ��.vow". m,�~"^.°~°.° RECORDs RETENTIONSCHEDULE E 2013 TABLE OF CONTENTS Legend........................... ........................................... ............................... .................. i CityAdministrator .............................. ............................................................. ........... 1 CityClerk ,~,,~_,,^,~,,^..^~`.,—.^^...~...^—^......^..^....'^^,,,3 R ��o[D0DUMdv��SRices/�\y�ate[��epa�nleDt......"^...........~.~'.^.^^..^ Finance....................................................................................................................... 12 (GeOe[@l) ................ ......................................................................................... 12 (Pay[o0................................................................ .......................................... 17 /[zVPch8G^Dg\... ~.............................................................. .................... ......... 19 (Treasurer)20 ..—...........—.^........^.^...^^^^^^~~^^~—^^^~ FireDepartment .......................................................... .......................... .................... 21 Health Department .................. .^..^...^..^^^^^^'^^^^~^~°~^^^^^^^^^^^^^23 Information Technology ...... .~—^,.^..^~..~^................................ ..................... 25 Light& Power ................................................................................................ ,,,^,'28 (Customer Services) ~~,^,^,,',,_,,,..^~~.—~.^^~^^^^—..°^.^... 28 (Dispatcher/System Operations) ...................................................................... 30 /EDgineeriOr6,,^~°,,,,,,,~,^_~,.............. ..................................... 32 (Power Plant Operations) ............................................................ ....... ............ 34 (Resource Planning) .......................................................... ............................. 36 Personnel ..~.",,....~.~..~^~^.^^^~^'"^^~^^`^^^~^~~^^^~^~~^^^3g RiskManagement ......................... .°....................................................................... "42 44 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 W H/C V - VITAL H - HISTORICAL C - CONFIDENTIAL i Record Series Title Office Storage Total WH/ . c Office of Record — Notes/Remarks 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 9. City History Files AR P P H a) News clippings b) Photographs c) Proclamations 5. Labor Contract Negotiations. E+2 - E-F2 - 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 - TA C Heads 11. Police Department - Duty 1 - I - Rosters �'q "d'//ouron - ,�ua�da �dtdlan Sekedwle Record Series Title office Storage Total V/H/ c Office of Record — Notes/Remarks 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 i o6few" — RmPVda Rea d SuFa" Record Series Title office Storage Total Viw c Office of Record — Notes/Remarks City Clerk Page I 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. e��v-ems Record Series Title Office Storage Taal viH/ c Office of Record — Notes/Remarks 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. of - Ruda Ram&" s Record Series Title office Storage Total Viw c Office of Record — Notes/Remarks 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 - PPPC Candidate Statements of Elected Officials - 19. Encroachment License E - E - Agreements ' qv — Rw"d4 Rer" ae se'& «le Record Series Title office Storage Total V/H/ c Office of Record — Notes/Remarks 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 411- R R s Record Series Title office Storage Total ww c Office of Record — Notes/Remarks Cin' CLERK — Page 5 of 5 31. Records Management Documents S+2 - 8+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 8+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+l, 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) 4mow" - R Ram s Record Series Title Office Storage Total vrw c Office of Record — Notes/Remarks Community Services & Water Department Pa e 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+l 5. E+6 - Note: Original encroachment a) Applications agreements are in Finance b) Billings Department c) Correspondence 10. File Permits Files E+l 4 E+5 - a) File permits b) Descriptions of operations c) Applications d) Correspondence & backup data 13 ,11MI. 4v — Rwu& Rd*Wm Se Record Series Title office storage Tote) viw c Office of Record — Notes/Remarks Community Services & Water De artment — Pa e 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 - W et. 41/0z wr — RMO & RerurtCon saft r'le Record Series Title Office Storage Total viw c Office of Record — Notes/Remarks Community Services & Water De artment — 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 L 4vv� - R s Record Series Title office Storage Total ww c Office of Record — Notes/Remarks CommunityServices & Water De artment — 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 - Sacterial 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 � �v� —Rode RdiKtla� Sebululi Record Series Title OfficeStorage Total ww c Office of Record — Notes/Remarks 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+9 - 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 � �v - ,�unde ,�iG.rtlae Sufedufe Record Series Title Office Storage Total ww c Office of Record — Notes/Remarks Finance (General)— Page 2 of 3 12, Ground Leases E+1 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. Swaps executed prior to July E+5 - E+5 C . Confirm with City Attorney 21, 203.0 that expired before whether documents must be April 25, 2011. retained under CFTC Final Rule: a) Documents which relate Swap Data Recordkeeping and to the terms of a Reporting Requirements: Pre - transaction that were Enactment and Transition Swaps possessed on or after (Part 46). See Commodity October 14, 2010. Futures Trading Commission 13 —Am. Record Series Title office storage Total v)ru Office of Record — Notes/Remarks c (CFTC) Regulation 46.2, part of Dodd -Frank. • Form: documents are to be retained in the format in which they existed on or after October 14, 2010 or any other chosen format. • Retrievable: Documents are to be retrieved within 5 business days of CFTC request. 22. Swaps executed on or after E+5 - E+5 C • Confirm with City Attorney July 21, 2010 that expired whether documents must be before April 25, 2011. retained under CFTC Final Rule: a) Documents which relate Swap Data Recordkeeping and to the terms of a transaction Reporting Requirements: Pre - that were possessed on or after Enactment and Transition Swaps December 17, 2010. (Part 46). See Commodity Futures Trading Commission (CFTC) Regulation 46.2, part of Dodd -Frank. • Form: documents are to be retained in the format in which they existed on or after December 17, 2010 or any other chosen format. • Retrievable: Documents are to be retrieved within 5 business days of CFTC request. 23. Swaps executed prior to, E+5 - E+5 C . Confirm with City Attorney on, or after July 21, 2010 and whether documents must be in existence on or after April retained under CFTC Final Rule: 25, 2011: Swap Data Recordkeeping and a) Records of all minimum Reporting Requirements: Pre- primary economic terms Enactment and Transition Swaps data (Part 46), See Commodity b) Confirmations, Master - Futures Trading Commission Agreements, Credit (CFTC) Regulation 46.2, part of Support Agreements, if Dodd -Frank. in possession on or . Form: documents are to be after April 25, 2011. retained in electronic or paper c) To the extent the swap form, as long as they are is still in existence on retrievable and information in April 10, 2013 and the them is reportable following records are . Retrievable: Documents are to created or become be retrieved within 5 business available on or after days of CFTC request April 10, 2013: Full, complete, and systematic records, together with all pertinent data and memoranda, with respect to each swap ("Part 45.2 Records"), including: 14 Record Series Title office Storage Total WHI c Office of Record — Notes/Remarks • Minimum Primary Economic Terms • Executed swap confirmations • Master swap agreements • Amendments to master swap agreements • Credit support agreements or similar agreements • Amendments to credit support agreements • Records demonstrating entitlement to elect the End User Exception to Clearing. 24. Swaps entered into on or E+5 - E+5 C • Confirm with City Attorney after April 10, 2013. whether documents must be a) Full, complete, and retained under CFTC Final Rule: systematic records, Swap Date Recordkeeping and together with all Reporting Requirements (Part pertinent data and 45). See Commodity Futures memoranda, with respect Trading Commission (CFTC) to each swap, including: Regulation 4�.2, part of Dodd- • Minimum Primary Frank. Economic Terms • Form: documents are to be • Executed swap retained in electronic or paper confirmations form, as long as they are • Master swap agreements retrievable and information in • Amendments to master them is reportable swap agreements • Retrievable: Documents are to • Credit support be retrieved within 5 business agreements or similar days of CFTC request agreements • Amendments to credit support agreements • Records demonstrating entitlement to elect the End User Exception to Clearing 25. Travel & Expense Vouchers CY 2 3 - 26. Trial Balance Reports 3 5 8 - 27. Utilities - Cash Receipts 3 - 3 - 15 Reftam Record Series Title once Storage . Total vitu c Office of Record — Notes/Remarks Finance General — Page 3 of 3 28. Utilities - Customer - T T - Note: for this record series, Certificates of Deposit T(Termination) represents the return of the original certificate of deposit to the customer. 29. Utilities - Annual Reports 7 - 7 to Federal Energy Regula- tory Commission (FERC) 30. Utilities - Transmission C+2 - C+2 - Note: For this record series, Invoices C(Closed/Completed) represents full payment of invoice 31. Warrant Register - Original AU+2 - AU+2 - (Includes back-up files and Payroll Warrant Register) 32. Water Work Orders / Billing Construction Jobs 2 - 2 - 33. Workers Compensation & 2 P P - Liability a) Backup files b) Canceled checks 16 4v-Rrs Record Series Title Office Storage Total v/H/c 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) Personnels Action Forms (copies) 2. Deduction Authorizations C - C - Note; For this record series, Files C(Closed/Completed) represents a) W-9's 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 - 17 Record Series Title offloe Storage Total viwc Office of Record — Notes/Remarks Finance (Payroll)— Page 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 (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+1 - C+1 - M �+y 41/0a — ,Reeasda Raft .0N se, &" Record Series Title office Storage Total viwc Office of Record — Notes/Remarks 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+A - Files a) Purchase orders - yellow copies 8. Surplus Materials/Equipment AU+9 - AU+4 - riles 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 19 e![q o67/omorz — ,Rum+de IRQlAYl06 Seke" Record Series Title orage Total V/H/c Office of Record — Notes/Remarks Finance (Treasurer) Page 1of1 1. Annual Reports of Financial P - P - Transactions to State Controller 2. Breach of Employment C+1 - 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 - 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 - 20 Record Series Title once Storage Total WHic Office of Record — Notes/Remarks 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. 6. 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+l - 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 21 G 4fl - R Ramffm S Record Series Title Office Storage Total wyic Office of Record — Notes/Remarks Fire Department — 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 - 22 r 41/exseu. — Rand# Rdem os .Suf4" Record Series Title office Storage Total WHic Office of Record - Notes/Remarks HEALTH DEPARTMENT Page 1 of 2 1. Address Files C+l 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) A0+2 - AU+2 - 9. Catering Trucks Files 2 - 2 - a) Inspections b) Permits c) Renewals 5. Citations Files 1 9 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 23 Record Series Title office storage Total viwc Office of Record — Notes/Remarks Health Depart ent — 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 15. 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 24 ear 4%v - ,Rmow?A ,Rdarleoa seta Record Series Title Office Storage Total wtvc Office of Record — Notes/Remarks 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 25 RaadyoN Record Series Title Office Storage Total viwc Office of Record — Notes/Remarks 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) T.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 - 9 (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 26 (lfy oa f/ow" — 2xoad4 Retww Seko" Record Series Title Office Storage Total V/Hic Office of Record — Notes/Remarks 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+l - 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 27 4I/ - ROM4 Ra s Record Series Title Office storage Total wl IC Office of Record - Notes/Remarks 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+1 - 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 m ea# v —R R s Record Series Title Office Storage Total viwc Office of Record — Notes/Remarks Light & Power Customer Services — Page 2 of 2 14. Service Address Files C 2 CA-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 29 o64/a� - �eearda �deniitort Su4rde(e Record Series Title 1. Bulk Power Log Sheets 2. Communications/Correspon- dence Chronological Files 3. Dispatch Orders 4. Division Administration 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- cedures, & Bulletins a) General operations b) Electrical system c) Water system d) Work practices 6. Monthly Activities Reports 7, Safety Meetings Reports 8. Switching Programs 9. System Administration Files 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- up - Floppy disks Office I Storage I Total I WHIC Office of Record — Notes/Remarks Light & Power (Dispatcher/System Operations) Page 1 of 2 10 - 10 - 2 - 2 - 10 - 10 - 2 - 2 - S - S - 1 - 1 3 - 3 - 5 - 5 - 2 - 2 - 30 eo'- q'i/emmr — Ron,* Reavam sd&lwe Record Series Title otfioe Storage Total V/H/C Office of Record — Notes/Remarks Light & Power (Dispatcher/System O erations) — Pa e 2 of 2 11. System Logs 10 - 10 - Note: If either system is shut a) Electrical system events downfor 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 31 -A My4v -R" wd4R s Record Series Title Office Storage Total V/H/c Office of Record - Notes/Remarks Light & Power (Engineering) Page 1 of 2 1. Budget Files - 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) 32 eiY9r odY/ovow — �aarefa �etutlare Sekedrdi Record Series Title Office Storage Total wwc Office of Record — Notes/Remarks Light & 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 1 - 1 - 33 elty. "d' l mm — Rands Raz rK SeAe," Record Series Title I orrice I storage I Total I vir+rc I 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 9. 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. 34 4 vo� - R" Umea Ram&" sc&" Record Series Title Office Storage Total V/H/C Office of Record — Notes/Remarks Light & Power (Po er 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 - 35 Record Series Title office storage Total wwc Office of Record — Notes/Remarks Light & Power (Resource Planning) Page 1of3 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 cj Backup data 8. Correspondence Chronological 2 - 2 - Files 9. Environmental Consultant 1 - 1 - Files a) Monthly reports b) Correspondence 36 �/Yij oa?/ourw — �uarde �a(e1rAtar Sefe�le Record Series Title Office Storage Total viHrc Office of Record — Notes/Remarks Light & Power Resource Plannin — Page 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 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. 37 eay �d v — � Ra�r� Sek�di Record Series Title Office Storage Total wtuc Office of Record — Notes/Remarks Light & Power Resource Plan nin — Page 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 m tatty od?/omac — ,�aaeda �dullaR SuLedulc Record Series Title office Storage Total wwc Office of Record — Notes/Remarks 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 (PER$) 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 (1-9) 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 WE &�,4few" -R Ra""s Record Series Title office Storage Total wHro Office of Record — Notes/Remarks 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 M Ieffi'- 41/0u — ,Rxaula ,Rrtm&" Seku" Record Series Title Office Storage -rotas viwc 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 - C4-3 - 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. 41 G'av 411 - Ranch Ram s Record Series Title office storage Total wwc Office of Record — Notes/Remarks RISK MANAGEMENT Pa e1of2 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 - I 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. 42 GI4v0�- Rdmaw s Record Series Title once storage Total Vfwc Office of Record — Notes/Remarks 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) 43 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. 44