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HomeMy WebLinkAboutRES NO 051-16RESOLUTION NO. 051- 16 ICJ A RESOLUTION APPROVING A RECORDS RETENTION SCHEDULE FOR ALL DEPARMENTS OF THE CITY OF BAKERSFIELD WHEREAS, Section 34090 of the California Government Code authorizes the destruction of City records with approval of a legislative body and written consent of the City Attorney; and WHEREAS, many departments and divisions of the City of Bakersfield maintain Council approved retention schedules which give them authority to destroy records; and WHEREAS, the purpose of this resolution is to include each department's retention schedule in one resolution so that it is easy to find and navigate, and WHEREAS, City Council has enacted resolutions in the past which give authority to each department within the City to destroy records, including but not limited to Resolution Nos. 172- 95(2), 170. 94(3), 143-00, 078 -09, 94 -90, 154 -98, 105-01(l), 078 -14, 063 -13, 40-99(l), 115 -00, and 031 -02 for the following departments, respectively: City Attorney, City Clerk, Community Development Department, Finance, Fire, Human Resources, Bakersfield Police Department, Public Works, Recreation and Parks, Division of Risk Management, and Wafer Resources Department; and WHEREAS, the City and all of its departments hereby request that City Council repeal the previously approved resolutions mentioned above and replace them with the attached Exhibits "A -K" and authorize the destruction of records after the specified periods identified in Exhibits "A -K "; and WHEREAS, the records maintained by each department in the City of Bakersfield, unless otherwise specified in the attached retention schedules, may be destroyed two years after their creation with the approval of the City Council and written consent of the City Attorney; and WHEREAS, the City Attorney has reviewed all Exhibits and determined that the retention periods listed are in compliance with state law and City policy. NOW, THEREFORE, BE IT RESOLVED by the Council of the City of Bakersfield as follows: 40AK�c'9 - Page 1 of 3 Pages - o � m Q ❑AIQINAI. 4 1. The above recitals are true and correct and are incorporated herein by reference. 2. All previous retention schedules for departments and divisions of the City of Bakersfield, regardless if approved by City Council, are hereby repealed in their entirety. 3. The record retention schedules of departments and divisions for the City of Bakersfield, attached hereto as Exhibits "A -K" and incorporated herein by reference, are hereby approved. 4. Each department or division may destroy items listed throughout Exhibits "A -K" upon written approval of the Department /Division Head, the City Attorney, and in accordance with the provisions of Section 34090 of the California Government Code: A. City Attorney B. City Clerk C. Community Development Department D. Finance E. Fire F. Human Resources G. Bakersfield Police Department H. Public Works I. Recreation and Parks J. Risk Management K. Water Resources Department • el o4�AxF�P s - Page 2 of 3 Pages - m c7 O ORIGINAL. Q HEREBY CERTIFY that the foregoing Resolution was passed and adopted by the Council of the City of Bakersfield at a regular meeting thereof held on APR 2 0 2016 , by the following vote: COUNCIL MEMBER RIVERA, MAXWELL, WEIR, SMITH. HANSON. PAR IL ER NOES: COUNCIL MEMBER "Pr-a_ COUNCIL MEMBER ABSENT• COUNCIL MEMBER ROBERTA GAFFORD, C CITY CLERK and Ex Officio Clerk of the Council of the City of Bakersfield APPROVED APR 202016 By--+i Harold Hons6n Vice -Mayor APPROVED AS TO FORM: VIRGINIA GENNARO City Attor y By . VIRIDIANA ALLARDG -KING Associate City Attorney VGK:isc 5' \COl1NCIL \Resos\ 15- 16 \RecordsRefent5ched.AI Depls.docx - Page 3 of 3 Pages - o``gAkF�� _� m U ~ ORIQIN4 RECORDS RETENTION SCHEDULE CITY ATTORNEY'S OFFICE • City Attorney Departmental Employee Files • City Departmental and Municipal Files (Correspondence, notes; reports, miscellaneous) Five Yeats: • Code Enforcement Files — statutory requirement • Pfthm Motions — statutory requirement • Litigafion .Files, except water litigation matters • Investigation Files relating to litigation matters • Original signed time cards for payroll • Budgetary files t EXHIBIT u A " 0 .2 0 U C 0 0 E D u 0 M 0 _V EXHIBIT "_ B__' C 0 b CL x > > (D AD Q) > -E 7E W v C t2 b c > (D �2 0 0 0 O 0 E D 0 (D 0 >- �) >- o 6 >- (D E �? E o D_ U) - CL C-4 'n N Lo C111 IL IL Q) CL D U Q) 10- 1 < Co QmUO LJ QmuCi j L,: 0 .0 O -0 0 > Q) Q_ 0 0 0. D a '0 a Q_ C: 0 0 Z4 0 C Q) c i�2 0 Z! '= 6 E 0 0 E 0 0 '0 O. 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LL a_ u < < < < <1 (a U y ¢ < 0 w M 04 04 N V IW 04 04 C14 It (D + }+ + +0 + + + + + + + :mD � D -j 10- -0 D D Z) n D Z) Z) u u 0 0-10+ ¢Q< < < < < C: 7) -0 cn 0 (D W X cn (n ✓ (a 0 C. CL w 0 .2 E N CL - (n C: CO 0 Z E oi m cn 0 LL a) 0 w m _0 tu > cm C/) 0 w C CL U) m E :3 0 CO U) (D U) 'n -A? LL a cz v (D E U) 9 E2 a) 0 4) E c C: 2 w 0 CL lu 0 a- w E c .2 .2 a. 06 �5 L' 0 (a U) n CL C: (D 6 C4 (D tn W o "0 T MX 1 Lo -a m a -0 a) (D Q) (D 0 E! V C-1 6 cx gL o C CD 2 -0 U� 0 0 0 :3 0 0 cpl m 0 t7l -0 cr, CL >- :3 0 - CL C: a Q) CD 0 Q > 0 U u 0 < <0 ¢q < < m m m < < Zo 1-1- H 1-1,- 1- FINANCE RECORD RETENTION SCHEDULE ACCOUNTING AND BUDGET CONTROL DIVISION (Updated July 2, 2015) ACCOUNTS PAYABLE RETENTION Permanent Accounts Payable Voucher Register Permanent Accounts Payable Check Register 5 years Accounts Payable Claim Vouchers PAYROLL DOCUMENTS Permanent Electronic Payroll Register (5 years paper) Permanent Electronic Expenditure Distribution (Include w/check register) Permanent Electronic P.E.R.S Report 10 years Hours Proof /Time cards/Daily Roster 5 years Electronic Registers (excluding Payroll) I year Paper registers (excluding Payroll) 5 years W-2's & W-2P's and 1099's RECEIVABLES 5 years Broadview, Suburban, Special Services & Other Accounts Receivable Registers REPORTS Permanent Expenditure & Revenue Ledger Permanent Project Report and Annual Summary Reports 5 years Labor and Overhead 28-day Summary 5 years Fuel Usage 28-day Summary FINANCIAL DOCUMENTS RETENTION Permanent Annual Financial Statements Permanent Annual Budget EXHIBIT 2 years Preliminary Budget Permanent State Controllers Reports Term of Bond +3 yrs Bond Issue Official Statement Permanent Accounting Groups 5 years -past Federal and State Grants and Entitlements completion PURCHASING DIVISION 5 years Report of Monies Collected Permanent Annual and Departmental Audit Reports (CAFR) 5 years Cash Receipt Books 3 years Bank Reconciliations & Statements PROPERTY MANAGEMENT 5 years Real Property Appraisal 5 years Escrow Files S: W ccountingWminl Records DestructionV?ECORD RETENTION SCHED ULE.doc TREASURER DIVISION 5 years Daily Treasurer's Report 5 years Monthly Investment Report 5 years Business Licenses 10 years TOT Records PURCHASING DIVISION 5 years Electronic Purchase Orders 7 years Formal Bids 2 years Annual Contracts 2 years Requisitions PROPERTY MANAGEMENT 5 years Real Property Appraisal 5 years Escrow Files S: W ccountingWminl Records DestructionV?ECORD RETENTION SCHED ULE.doc RECORDS RETENTION SCHEDULE - .. FIRE DEPARTMENT L Retsin.two yemw claim 1. waudlers 2. Purchase s 3. 11�iemaeJ'ccxmespoxndence 4. Payroll bouts proof S. Receipt books b. False, aheemq CiWans 7. Rye Soar time tilt' B. Budget wocdcpspers IL Retain fmc ymm 1. Fee caloxdMiva worksheets 2 Ad Hoc Cammittjee nrinuca 3. Arm ads 4. Inepection records S. Tiailft nP, r, 6. RethWorpostempkiyee So HL Retwo ties years: T. A6onothly consolidated reports 2: Daily 3. Emploryee lime sheets 4. Fine Repamrts 5: Abaide nt reports (non- workers comp) N. Retain i ndeffi ely: 1. Arson case files 7- Gwent emplayee files 3. Certified Unified Program Agency files All records, doemne nts, instruments, books and papers not mentioned in Sections I through IV sball be retained' a minimum of two years. Duplicates of M reports may be destroyed at any time when the duplicates are no bonger needed. Any of the above may be retained for a lonW period if Ca Kim so Warrant. EXHIBIT" t - " HUMAN RESOURCES DIVISION RECORDS RETENTION SCHEDULE LEGEND CL = Closed/Completion CU = Current Year D = Deceased FD = Filing Date T = Termination TITLE GENERAL DESCRIPTION RETENTION Active Retiree Insurance File May include retiree insurance forms, PERS enrollment forms, D + 5 YRS benefit enrollment forms, Life insurance forms, LTD, etc. Files may include: Arbitration, grievances, union requests, Administrative Files sexual harassment and Civil Rights, complaints, disciplinary T + 5 YRS actions, DFEH/EEOC claims, etc. Benefit Plan Information Insurance plans and documents CL + 3 YRS Benefit Runs/Invoices Payroll runs/invoices for health benefits CL + 2 YRS Civil Service Board Misc. Civil Service meetings and hearing information CU + 7 YRS (minutes, decisions, etc.) Motor vehicle pull notices, DMV letters, medical examiner DOT File certificates, DMV medical report receipt, CVO status report, T + 5 YRS etc. Employee Benefits File May include PERS enrollment forms, benefit enrollment T + 5 YRS forms, Life insurance forms, LTD, etc. Files may include: Release authorizations, certifications, reassignments, outside employment, commendations, Employee Personnel Files disciplinary actions, terminations, Oaths of Office, T + 5 YRS performance evaluations, employee medical files, identification cards. Form 1-9 Employment Eligibility Verification T + 3 YRS Negotiation Minutes, correspondence, copies of contracts and CL + 5 YRS Memorandums of Agreements Applications (not hired), resumes, alternate lists/logs, indices, Recruitment ethnicity disclosures, examination materials, examination CL + 3 YRS answer sheets, job bulletins, eligibility, electronic database, correspondence RFP's/Contracts/Agreements Healthcare consultants, temporary agencies, medical firms, CL + 5 YRS vendors, etc. State New Hire Reports Payroll generated reports for State of California data FD + 2 YR Temporary Employee Files Applications, resumes, work permits and notices, etc. T + 3 YRS Temporary Recruitment Applications, resumes, work permits, etc. for applicants not CL + 2 YRS Applications (Inactive) hired Unemployment Claims EDD claims, reports, Ul notices, etc. FD + 3 YRS NOTE: If the City is involved in an employment-related dispute with a terminated employee that has not yet been reconciled. Documents must be retained relating to the employee until reconciliation or a retention period has expired, whichever is later. EXHIBIT ;;__ Ez 9 Bakersfield P(}|'Ce Department Records Retention Schedule 0 This document serves asa guide illustrating the time period documents must be retained before they can be destroyed. All original records may be destroyed two years after their creation with the approval of the city council and written consent of the city attorney. Although not specifically mentioned inthe retention schedule, drafts and copies can be destroyed at any time without approval. DEFINITIONS Record: any information kept, held, filed, produced by, with the City of Bakersfield or Bakersfield Police Deportment, hnany physical form whatsoever including, but not limited to, reports, statements, examinations, memoranda, opinions, folders, files, books, manuals, pamphlets, forms, papers, designs, drawings, mops, photos, letters, microfilms, computer tapes or discs, rules, regulations orcodes. Cloaedoninvestigotion that is closed pending further leads. The records are categorized in the following table are kept by the Bakersfield Police Department. If the record does not fit within the specified topics, please contact the police records manager or city attorney for guidance. Record Series Description Retention A[[OUNTNG/F|NANCE Purchase authorization Creation +2 Activity reports by division, Council referrals, ADW1|NREPORTS/REQUESTS Citizens requests for patrol presence, Creation +2 Research project files INTERNAL AFFAIRS Complaint files 5 Grievance files Oosed+J MANUALS General orders, Policies, Procedures Permanent PERSONNEL Department roster, Schedules, Timekeeping Supeoeded+2 Personnel files (sworn) Permanent Peoonne|0es(civiUan) Termination of employment +7 Background (non-hired) Closed +2 Termination of Volunteers employment +2 PRESS RELEASES Creation +2 PROGRAK4��EVENTS Crime Prevention, Speaker Event ' ' Creation +2 files, Brochures TRAINING Bulletins Permanent Lesson plans Closed +15 Officer training record Termination of emp|nyment+7 � E���� U K��� " � " ALARM RECORDS Creation+2 CHEMICAL EMISSIONS Creation +2 EQUIPMENT RECORDS Inventory, Equipment list with assignment, Range inventory records, Vehicle Superseded +2 Radar calibration Life of radar +2 Weapons database Permanent LOGS Arrest resume Creation+2 Juvenile detention processing per CYA/CD[R Creation+2 Property Room Creation +2 PAWN RECORDS (S|ips) Creatiun+3 PERK4|T5&L([EN5ES Concealed weapon, Bicycle, Bingo, Massage, Cabaret, Special event, Pawnbroker, Alcohol P[N Creation+2 PROPERTY DESTRUCTION Guns, Narcotics Permanent RECORDINGS Telephone and radio communications [reation+180 Days REGISTRANT FILES Court ordered sex,arson,drug,gang offender records Life ofregistrant RESTRAINING ORDERS Active STATISTICAL REPORTS Creation+2 SUBPOENA FILES Creation+2 SURVEYS Responses,Correspondence vvithother agencies Creation+2 CHECKPOINT Investigations ASSET FORFEITURE Documentation from checkpoints Investigation case file, Notifications Creation +4 C|osed+2 EVIDENCE Included but not limited to: Photos, Audio/Video recordings Same retention as associated report INVESTIGATOR'S FILE Detective case books Same retention es associated re rt FINGERPRINTS Persons suspected ofa crime, taken for comparison no arrest Same retention as associated re rt Latent prints Same retention ms associatedneoort 9 Bakersfield Police Department Records Retention Schedule CRIME Felony -General Closed +6 Felony ' Child abuse (unyubstartiaLed) Closed +10 Felony -Homicide, Assault on peace officer, Child Abuse Permanent Misdemeanor/infraction Closed +2 OFFICER INVOLVED SHOOTING Fatal Permanent Non-fatal Closed +25 INCIDENTS Until cleared, recovered, or closed +2 TRAFFIC Injury accidents Oosed+lO Fatal accidents Permanent Arrest/Citation Records Field Arrest Data Sheets Noninjuryaccidents Oosed+2 2 Citations — Misdemeanor 2 [itations — |nkactions 90 days Sealed Arrests 3 Page 3 February 16, 2016 G Drive:Records Supervisor Public Woft .Wrtment Retenflon Schedule Updated August 2015 Y, EXHIBIT " I �' Public Works Department Relentton Schedule TABLE Of CONTENTS Purposeof Document ........................................ N ................. N..................................................... Retention Schedules: Depart.. fen I'T7ide ....N...... N ................................ w.............. N. N.............. N. r. ...............N............... 2-4 Constructsm / Surveying ............................................:............... N................ ............................... 5 Designengineering / TRIP ................. N....... N.................. i.........:................................................... 6 Equipment...................................................................... N.......... N.................. ............................... 7 General Services .......... : 8' M... N.N..N.N..N. N....NN.NNN.NNNi. • INN... NNN...• NN... N.. ..NN.N.....�Y....N......•r.N... SolidWaste . N.. NN. N. N. N.. NN. N......NN ......................................................... NNN..NN........NN............ 9 Streets................................ N..N.NN.NN..N.. NN. N....N. NN. N... N......... N.....N NN.......................f............ 10 SubdNislons.............................. ......................:............. N.................................. .............................11 Traffic.................. .. .... ................................................. N ...................... . .......................... N.............. 12 Wastewater................ . ................................................ .. ....................... .. ................................. 13 - 14 Other: Authorization to Destroy Obsolete Records ............................................ ............................... 15 Purpose of Document This document provides direction to Pubic Works staff regarding record retention pok les for the department Resokrtion No. 031-02 provides clirecfion to staff on. the City =wide Pokcy on Document Imaging Retention. 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M � R 0t-5 # < R im c 0 So if) �p ri off. a a� " 'liu at 14 A - on to Destroy Obsolete Public Works Records Fonn In accordance with Resolution # . and upon consent of the Public Works Director and City Attomey, the records listed below will be properly destroyed: Attach additional pages if necessary. -711 6-L7-.07077,61 1 4 - - r 70 1 F 0 =. 17 0 City Attorney.' Date: Destruction completed by. Signature: Date: t 4.4 L 15 RECREATION AND PARKS DEPARTMENT RETENTION SCHEDULE I. RETAIN TWO (2) YEARS 1 Accident Reports (property, equipment damage, industrial, first aid, and stolen property) 2. Accounts Payable vouchers, worksheets, and corresponding reports (i.e., utility and water bills) 3. Accrual Reports 4. Budget Worksheets 5. CIP Monthly Tracking Schedules 6. Clock and Time Cards; Staff Sign-in Sheets 7. Correspondence (memos/letters) (incoming and outgoing) 8. Donation Requests and Correspondence 9. Facility Reservations and Supporting Documents 10. Former Employee Files 11. Pool Closures 12. Receipt Books 13. Report of Monies Collected 14. Revenue analysis 15. Signature Sheets for Paycheck Pickup 16. Temporary Employee Files 17. Reconciliation Statements 18. After School Program Registration Packets 19. Day Camp Registration Packets 20. Medical Forms signed by Doctor for Participants in After School or Day Camp Programs 21. Class Registrations and Waivers, and Rental Receipts 22. AED Monthly Inspection Log 23. DOJ Livescan Results Ill. RETAIN FIVE (5) YEARS 1. Chemical Usage, Location Reports; Chlorine and Oxygen Logs 2. Monthly Pesticide Use Report (for Kern County Agricultural Commission) 3. State and Federal Grants, Bonds, and Agreements 4. Safety Training Files (sign-in sheets) 5. Slide Inspections/Staff Inspection Forms (Parks) 6. Participants - Incidents and Accident Reports/ Aquatic and Water Rescue Reports 7. AED Daily Checklist 8. Safety Training Files (sign-in sheets, in-service agendas) 9. Slide inspection (Aquatics) 10. Daily Slide inspection (Aquatics) EXHIBIT " / " IV. RETAIN INDEFINITELY 1. Safety Data Sheets All records, documents, instruments, books and papers not mentioned in Sections 11 through IV shall be retained a minimum of two (2) years. Duplicates of all reports may be destroyed at any time when the duplicates are no longer needed. Any of the above may be retained for a longer period if circumstances so-warrant. RISK MANAGEMENT RETENTION SCHEDULE I. RETAIN T_ W-0 (2)YEARS: 1. General Correspondence (includes inter-departmental. memorandums) 2. Accounting/Budget Worksheets and Corresponding Reports 3. Account Payable Vouchers 4. Time Cards II. RETAIN FIVE (5) YEARS: 1 Safety Commiff6e Items, including the following: a. Agendas b. Minutes C. CPR/First Aid Training/Sign in Sheets 111111. RETAIN UNTIL CASE IS CLOSED PLUS FIVE (5) YEARS: 1. Liability Claims (Paid and Denied) 2. Risk Management Reports (includes Federal OSHA forms, Loss-Run Analysis and Actuarial Studies) IV. RETAIN UNTIL CASE IS CLOSED PLUS SEVEN (7) YEARS: 1 Supervisor Accident Investigation Reports Incident Reports (includes FirstAid reports) 2. Property Damage Claims V. RETAIN UNTIL TERMINATION OF EMPLOYEE STATUS PLUS SEVEN (7) YEARS: in Employee Information: 1. Hearing Exams EXHIBIT " J '" LTA 0:ff-1 I'MUL I 11-AilU N 1=1 1. Insurance 2. ACCEL Joint Powers Agreements 3. Insurance Certificates (Liability/Property/Worker's Compensation) 4. Workers Compensation—Claim Files, including medical only, indemnity and denied claims 5. Disability Retirement Files • All records, documents, instruments, books and papers not mentioned in Sections I through V shall be retained a minimum of two (2) years. • Duplicates may be destroyed at any time. • Any of the above may be retained for a longer period if circumstances so warrant. WATER RESOURCES DEPARTMENT RETENTION SCHEDULE This document serves as a guide illustrating the time period documents must be retained before they can be destroyed. All original records may be destroyed two years after their creation with the approval of the City Council and written consent of the City Attorney. Although not specifically mentioned in the retention schedule, drafts and copies can be destroyed at any time without approval, and any document may be retained for a longer period if circumstances so warrant. 1. RETAIN TWO (21 YEARS: 1. General Correspondence (includes inter - departmental memorandums) 2. Accounting /Budget Worksheets and Corresponding Reports and memos 3. Accounts Payable Vouchers 4. Council Referrals 5. Grant Applications 6. Time Cards 7. Work Orders 8. Kern River Operations Daily Flow Sheets 9. Irrigation Delivery Cards II. RETAIN FIVE (5) YEARS: 1. Reports of Monies Collected 2. Escrow Files 3. Water Rates and Fees 4. Monthly, Quarterly and Other Billings 5. Vesting Tentative Tract Maps 6. Vesting Parcel Tract Maps 111. RETAIN UNTIL COMPLETION PLUS FIVE (5) YEARS: 1. Grant Project Administration Records (unless grant requires longer) IV. RETAIN UNTIL COMPLETION PLUS TEN (101 YEARS: 1. Construction Files V. RETAIN INDEFINITELY: 1. Capital Improvement Project Files 2. All Water Plans 3. Water Studies 4. Water Main Documents 5. Kern River Dispatcher's Records EXHIBIT" K Authorization to Destroy Obsolete Water Resources Records Form In accordance with Resolution #___,, and upon consent of the Water Resources Manager and City Attorney, the records listed below will be properly destroyed. Attach additional pages if necessary. Document ID # Description of Document I Date of Records From [ Date of Records To Division: Prepared by: Approval to destroy above - listed records: Department Head: City Attorney: Destruction completed by: Signature: Instructions: Send copy to Water Resources Secretary Date: Date: Date: Date: 5: \FORMS\Authorization to Destroy Obsolete Water Resources Records Forrn.dm