Metropolitan 26 26 EXECUTIVE MANAGEMENT COMMITTEE July 16, 1998 SUBJECT: REVISED MTA RECORDS RETENTION SCHEDULE Transportation ACTION: APPROVE THE LATEST REVISION OF THE MTA RECORDS RETENTION SCHEDULE Authority One Gateway Plaza Los Angeles, CA 90012-2932 (213) 922-2000 RECOMMENDATION Approval of revisions to the MT A Records Retention Schedule. ISSUE The Public Utilities Code, Section 130051.23, states how the LACMTA must maintain records that are used for operational, financial, and legal reasons. On June 25, 1997, the Board revised the MTA Records Retention Schedule, which it had originally approved on May 24, 1995. This schedule is the instrument for complying with this statute, as well as for satisfYing the MTA's basic records management needs. During the years following its approval, the Retention Schedule has enabled the MT A to avoid the cost of maintaining thousands of records with no further value by disposing of those that are obsolete while moving those that are inactive to less expensive off-site storage. It should be emphasized that no significant MT A records have been destroyed without first being copied to durable and legible media. For this schedule to remain a valid, living document, it must be continually revised to reflect current law and administrative needs. The attached revision has been produced for this purpose. It has been approved by the Executive Officer Finance, General Counsel, and the concerned Department Managers. RATIONALE The revised schedule will benefit the MT A by: • Increasing staff productivity by facilitating the purging of outdated, irrelevant materials: • IdentifYing and safeguarding "vital records" (those required for the resumption and continuation of business in the event of a disaster).
Transcript
Metropolitan
26 26 EXECUTIVE MANAGEMENT COMMITTEE
July 16, 1998
SUBJECT: REVISED MTA RECORDS RETENTION SCHEDULE
Transportation ACTION: APPROVE THE LATEST REVISION OF THE MTA RECORDS RETENTION SCHEDULE Authority
One Gateway Plaza
Los Angeles, CA
90012-2932
(213) 922-2000
RECOMMENDATION
Approval of revisions to the MT A Records Retention Schedule.
ISSUE
The Public Utilities Code, Section 130051.23, states how the LACMTA must maintain records that are used for operational, financial, and legal reasons. On June 25, 1997, the Board revised the MTA Records Retention Schedule, which it had originally approved on May 24, 1995. This schedule is the instrument for complying with this statute, as well as for satisfYing the MTA's basic records management needs. During the years following its approval, the Retention Schedule has enabled the MT A to avoid the cost of maintaining thousands of records with no further value by disposing of those that are obsolete while moving those that are inactive to less expensive off-site storage. It should be emphasized that no significant MT A records have been destroyed without first being copied to durable and legible media.
For this schedule to remain a valid, living document, it must be continually revised to reflect current law and administrative needs. The attached revision has been produced for this purpose. It has been approved by the Executive Officer Finance, General Counsel, and the concerned Department Managers.
RATIONALE
The revised schedule will benefit the MT A by:
• Increasing staff productivity by facilitating the purging of outdated, irrelevant materials:
• IdentifYing and safeguarding "vital records" (those required for the resumption and continuation of business in the event of a disaster).
FINANCIAL IMPACT
Although several of the recommended revisions will lengthen retention periods, the additional storage cost will be nominal.
ALTERNATIVE CONSIDERED
Not to revise the schedule would mean that it would no longer reflect current law and administrative requirements.
ATTACHMENTS
Atta. 1 Revised records retention schedule with changes indicated by shading
Prepared by: Brian Soto, Director of General Service~ ~ . r I APProved:t$.~~ ~ ~mt1P~
Ra A. ge ~ichael O'Connor Deputy Executive Officer ,Executive Officer
Human ~1\ and EEO Procurement
&" ~~1JCBo Sharon L. Landers Office of the Chief Executive Officer
ATTACHMENT
DRAFT LACMTA RECORDS RETENTION SCHEDULE ;B.§M!§!@N.::::~!:::::::::~::::::::::::::::::::::::::~::::::::~::::::::::::::::::::::~:~~:::::::::::::::::~::::::::::::~::::~::::::~~~~:[:::~::::::::~:::::M::::l;::::~:~::i:::::::::::
RETENTION YEARS YEARS WHEN TO OFFICE OF YEARS TO TOTAL RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
ACCOUNTING GEN (CONTROUINPUT DOCS, ETC.) ACC1000 3 NA NA ACCTG NA 3
ACCTS PAYABLE & RECEIV VOUCHERS/INVOICES ACC1001 2 4 NA ACCTG 1 6 V, GR
ACCT JOURNALS/LEDGERS (ON PAPER) ACC1002 2 8 NA ACCTG NA 10
CASH RECEIPT LEDGER ACC1003 2 4 NA ACCTG NA 6
ACCT JOURNALS/LEDGERS (ON MICROFICHE) ACC1004 WU IND WC ACCTG WU IND V
:f.J\§§:::§§g~§R§ ::f{§9flIiR§::·i11::::;:·;":·:::··:·;::::;::::!)::;::~:I:tili~~i~:.:%7;;::;:t; ACC 1005 ::$::~::::::I~:~~:::::::::::::::r::::::::: 2 NA :5§¢ffi::R§Y:::::::::~:: NA :!::i::~:I::::::::::::::::::::::::::I::::::~:::
EQUIPMENT PURCHASE & SALES RECORDS ACC2000 ACT 3 NA ACCTG NA ACT+03 GR
ACCT INFORMATION RPTS (ON PAPER) ACC3000 2 NA NA ACCTG 1 2
ADMIN GENERAL (DEPARTMENT FILES) ADM1000 3 NA NA MULTIPLE NA 3
GENERAL SVCS (MAIUSUPPLIES/GRAPHICS) ADM1001 3 NA NA MULTIPLE 1 3
PLANNING/FORECASTING (5-YR/30-YR, ETC.) ADM1002 ACT+01 IND WC PLNG ACT IND PA
GENERAL CORRESPONDENCE (SIGNIFICANT) ADM1003 2 IND WC MULTIPLE 2 IND
WORKING PAPERS & DRAFTS ADM1004 ACT NA NA MULTIPLE NA ACT
RECORDS RETENTION SCHEDULE ADM1005 ACT IND WC RMC ACT IND
E-MAIL MESSAGES ON INDIVIDUAL COMPUTERS ADM1006 WU NA NA MULTIPLE NA WU **
E-MAIL MESSAGES ON SERVERS ADM1007 01 MO NA NA ITS NA 01 MO .*
E-MAIL SYSTEM BACK-UPS ADM1008 01 MO NA NA ITS NA 01 MO
EQUIPMENT/PROPERTY INVENTORIES/LOGS ADM2000 3 NA NA MULTIPLE NA 3
1 I!
DRAFT LACMTA RECORDS RETENTION SCHEDULE ;RiMt§!gN.m::~;:::~~::::J::'::j:::jjjj::::::'i:::::I:tn;jjjjjj{::::j::M::j@i:Mt.~l:I::::j:::::::::jj:::j::j::::::::::::'::::i:::j
RETENTION YEARS YEARS WHEN TO OFFICE OF YEARS TO TOTAL RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
ADMIN POLICIES/PROCEDURES ADM3000 ACT IND WC ADMIN ACT IND
INTERNAL AUDITS ADM3001 3 IND WC OIA ACT IND
INVESTIGATION FILES (INSPECTOR GENERAL) ADM3002 ACT+02 IND UC OIG NA IND
PROJECT FILES ADM4000 ACT+01 2 NA MULTIPLE NA ACT+03 PA, GR
GRANT RECORDS (GRANT-FUNDED PROJECTS) ADM5000 ACT+01 2 NA MULTIPLE NA ACT+03 GR
GRANT MANAGEMENT FILES ADM5001 ACT+01 2 NA GRANTS NA ACT+03 GR
CONTRACTS/AGREEMENTS (EXECUTED) CON1000 ACT+01 IND WC CONTRACT ACT IND V
CONTRACT DOCUMENTS CON2000 ACT+01 IND NA CONTRACT ACT IND
PROTEST FILE (CONTRACTS) CON3000 ACT+01 2 NA CONTRACT NA ACT+03 GR
CONTRACTOR INFO STATEMENT CON4000 ACT NA NA CONTRACT NA ACT
WORK ORDER FILE (CONSTRUCTION) CON5000 ACT+01 2 NA CONTRACT NA ACT+03 GR
WARRANTIES CON6000 ACT IND WC MULTIPLE ACT IND
CONTRACT COMPLIANCE FILES CON7000 ACT+01 2 NA EO NA ACT+ 03 GR
ENVIRON TESTING/EXPOSURE/MONITORING RPT ENV1000 1 29 WC SFTY NA 30
HAZARDOUS MAT CHEM INV FORMS (HCS-88) ENV2000 ACT IND WC SFTY ACT IND
HAZARDOUS WASTE MANIFEST FORMS ENV3000 3 IND WC MULTIPLE NA IND
UNDERGROUND STORAGE TANK O&M ENV4000 ACT IND WC FACILIT NA IND
2
DRAFT LACMTA RECORDS RETENTION SCHEDULE ::I.;W.§!P:)Nf:ij:i:@:W;::%~:::jl:MI:~::::::::::::;;:::l;:::~;:m:l::i::::[:~:::j:t:::::l:::I:::::::::::::::::ni:::::::;:::::::);:
RETENTION YEARS YEARS WHEN TO OFFICE OF YEARS TO TOTAL RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
FINANCE GENERAL FIN1000 3 NA NA FINANCE NA 3
BANKING (DEPOSITS/CANCELLED CHECKS, ETC.) FIN1001 3 3 NA TREASURY NA 6
BANK STATEMENTS FIN1002 2 4 NA TREASURY NA 6
WIRE TRANSFER BOOKS FIN1003 2 2 NA TREASURY NA 4 V
PENSION FUND INVESTMENT RECORDS FIN2000 ACT+03 IND WC TREASURY NA IND V
BOND/DEBENTUREIINVESTMENT RECORDS FIN3000 ACT+03 IND WC TREASURY NA IND V
LOAN/CREDIT RECORDS FIN4000 ACT+03 IND WC ACCTG NA IND
BAD DEBTSfUNCOLLECTABLE ACCT RECORDS FIN5000 ACT+03 3 NA ACCTG NA ACT+06
FINANCIAL STATEMENTS (ANNUAL) FIN6000 10 IND WC ACCTG NA IND
FINANCIAL AUDITS (EXTERNAL) FIN6001 10 IND WC ACCTG NA IND
PURCHASING (IFB/RFP/ SUCCESS BIDS & PROPS) FIN7000 3 IND NA PROCUREM IND
PURCHASING (UNSUCCESSFUL BIDS & PROPOSA FIN7001 3 NA NA PROCURE NA 3 GR
PURCHASE ORDERS (REGULARIYEARL Y) FIN7002 3 3 NA PROCURE NA 6 GR
BUDGET (ANNUAL) FIN9000 ACT+01 IND WC BUDGET 2 IND PA
BUDGET (ANNUAL) SUPPORT DOCUMENTS FIN9001 ACT+02 NA NA BUDGET 2 ACT+02
HUMAN RESOURCES GENERAL HUM1000 ACT+03 NA NA HR NA ACT+03
BENEFITSIINSURANCE PLANS, CONTRIBUTIONS HUM2000 ACT+03 3 NA HR NA ACT+06 V
::g$.N§lgN::~::Re1.t:(:I.~§:::ttQ!im::R:$QPKtI::::::::::j:::ft::::::::::::::::::im HUM2001 ::"::~:::::::::::::::::::::::::::::::::::::::::::: 3 NA HR NA :j:::§:I::I):::::::::::::I;:IJI::::
PENSION SUMMARY INFORMATION HUM2002 ACT 6 NA HR NA ACT+06
3
DRAFT LACMTA RECORDS RETENTION SCHEDULE :l{;w.§I9.;Nr~:::M~I::::~:l!~:r:ir:::m~::::::j~:j::j:m::~::llm:n::j:H::l::~ttt:l:::::??::::::II?::
RETENTION YEARS YEARS WHEN TO OFFICE OF YEARS TO TOTAL RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
YEARS WHEN TO OFFICE OF YEARS TO TOTAL INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
]~i@::::::':::::i':"::i:':'::::':::::::::::: NA OPS NA i~:::g:::::::i:i::::r:::::::::i:::::::ttI:
::~::1:::::1W:tt::::I:t:::: NA OPS NA :m~:t:::':f:::::t::t'm~~m
IND WC PAYROLL ACT IND
7 NA HR NA 10
IND WC HR NA IND
~ NA HR NA 4
IND WC BDSEC NA IND
IND 06 MO BDSEC IND V,PA
IND WC MULTIPLE 1 INO PA
IND UC BOSEC ACT INO PA
INO WC RE NA IND
INO WC RE NA INO
INO UC RE NA INO
2 NA RE NA ACT+03
INO UC JTOEV NA INO
IND WC RISKMGMT NA INO V
5 NA MULTIPLE NA ACT+06
INO UC MULTIPLE NA INO
8 NA MULTIPLE NA ACT+10
5
DRAFT LACMTA RECORDS RETENTION SCHEDULE j~P@'§~9J~:::::l.l:tti:!!:[!:j::::[~;::{l@::::::::;:r:::::::::::::!:::::::U\1m:!m::\IE!m:~:::::m::i;:ml::tj
RETENTION YEARS YEARS WHEN TO OFFICE OF YEARS TO TOTAL RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
GRIEVANCE/ARBITRATION (LANDMARK CASES) LEG4003 ACT+02 IND UC EMP REL NA IND
EO COMPLAINT FILES LEG4004 ACT+02 3 NA EO NA ACT+05
LEGAL COMPLIANCE DOCS (FTA, EEOC, ETC.) LEG5000 6 IND WC MULTIPLE NA IND
:T.f%lR§[QgW§;::m::::::;:::::::::::::::::II:]::::::::I::::::::::::::t::::;::::Et::::r:::::::::::::r!::::::::::::::::1::;':::::1:::1 LEG5001 :~~lWIIl:::::::::: NA NA ACCTG NA :i9.i:§ri@:::::::::::::::::::::::::::::::::
LICENSES/PERMITS LEG5002 ACT 3 NA MULTIPLE NA ACT+03
COURT ORDER/AGENCY COMPLIANCE DOCUMEN LEG5003 ACT 3 NA MULTIPLE NA ACT+03
LOBBYIST REPORTS (QUARTERLY) LEG5004 2 5 NA BDSEC NA 7
CONFLICT OF INTEREST (BOARD/STAFF) LEG5005 2 5 NA BDSEC NA 7
DBE CERTIFICATION RECORDS - APPROVED LEG5006 ACT+02 NA EO NA ACT+03
DBE CERTIFICATION RECORDS - DENIED LEG5007 2 NA EO NA 3
LEGAL PROJECT FILES LEG6000 ACT+10 NA NA LEGAL NA ACT+10
LEGAL OPINIONS LEG6001 IND IND WC LEGAL NA IND
COPYRIGHTITRADEMARKIPATENT RECORDS LEG7000 ACT+01 IND WC BDSEC NA IND
LABOR RELATIONS NEGOTIATION FILES LEG8000 ACT+03 IND UC LABOR REL NA IND
LEGAL SERVICE COPIES (SUBPOENAS, ETC) LEG9000 1 NA NA BDSEC NA 1 ..
MARKETING ACTIVITY RECORDS MAR1000 3 NA NA MKTG NA 3 GR
OPERATIONS & MAINTENANCE GENERAL OPM1000 2 3 NA OPS NA 5
OPERATIONS SCHEDULING RECORDS OPM2000 2 8 NA SCHED NA 10
OPERATIONS PULLOUT SHEETS OPM2001 01 MO 10 NA OPS NA 10
6
DRAFT LACMTA RECORDS RETENTION SCHEOULE :Jt;0.§jgN:::::~::::::::::!:i]i:::1:1I:::1:i:::i:::i:::1:i{iiit:::::::::::::::::1::::::::::::::::::::::;:::::t!::[t::::::1::::1~:1!:i:ii::1::::::ij::1:1:1:::!i
RETENTION YEARS YEARS WHEN TO OFFICE OF YEARS TO TOTAL RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD KEEP COPIES RETENTION COMMENT
VEHICLE ACCIDENT SUMMARY SHEETS OPM3002 2 1 NA OPS NA 3
OPERATIONS CONTROL CENTER TAPES OPM4000 NA NA OPS NA 1
OPERATIONS CTRL CTR TAPES (MAJOR INCDNT) OPM4001 1 IND NA OPS NA IND
OPERATIONS CTRL CTR DIV TELEPHONE TAPES OPM4002 06 MO NA NA OPS NA 06 MO
OPS CTRL CTR DIV TELEPHONE TAPES (MAJOR) OPM4003 3 IND NA OPS NA INO
VEHICLE MAINTENANCE RECORDS OPM5000 1 LV+02 NA OPS NA LV+03
OPERATIONS EQUIPMENT DAMAGE RPT OPM5001 1 5 NA OPS NA 6
TRANSIT POLICE RECORDS OPM6000 2 4 NA TP NA 6
TRANSIT POLICE DISPATCH TAPES OPM6001 04MO NA NA TP NA 04MO
SAFE/FREEWAY SERVICE PATROL RECORDS OPM7000 2 1 NA SAFE NA 3
MOTORIST ASSIST FORMS - SCANNED OPM7001 06MO 06MO NA SAFE NA 1
SCAG OVERALL WORK PROJECT PPA1000 3 NA NA PP NA 3 PA
PLANNING & ALLOCATION (AREA TEAMS) PPA1001 3 3 NA AREA NA 6 PA,GR
BENEFIT ASSESSMENT ADMIN FILES PPA2000 ACT+01 IND WC BA NA INO
PUBLIC AFFAIRS/COMMUNITY RELATIONS PUB1000 3 IND WC MULTIPLE NA INO PA,GR
PUBLIC MEETING FILES PUB1001 1 IND WC MULTIPLE NA INO PA,GR
7
DRAFT LACMTA RECORDS RETENTION SCHEDULE ~S.eW.§!gNjjl~*1~jjl1~j~ii~~~11~~~~~~trtjjjj~jr~lj~jj~~~~1~~~i~lj~ili~1~~~~~~~~i~[~i~i[1~iljlI~~t~Illjtljjjjj~~illjl1~~11
RETENTION YEARS YEARS WHEN TO OFFICE OF RECORD SERIES tiTLE CATEGORY ACTIVE INACTIVE FILM/SCAN RECORD
PUBLIC COMMENT LETTERS
GOVERNMENT RELATIONS RECORDS
PUBLIC AFFAIRS (PRESS RELEASES, PHOTOS)
EMPLOYEE NEWSLETTERS/ALL STAFF MEMOS
SUBJECT AND REFERENCE MATERIALS
CODES: ACT = WHILE ACTIVE GR = IF GRANT-FUNDED, SEE ADM5000 IND = INDEFINITE LOS = LIFE OF SYSTEM LOV = LIFE OF VEHICLE MO = MONTH PA = POTENTIALLY ARCHIVAL UC = UPON COMPLETION V = VITAL RECORD WC = WHEN CREATED WU = WHILE USEFUL
NOTES:
PUB1002 1 IND WC
PUB2000 5 NA NA
PUB3000 5 IND WC
PUB4000 3 IND WC
REF1000 ACT NA NA
* ORIGINAL TO THIRD PARTY CLAIM ADMINISTRATOR AND/OR LEGAL COUNS PART OF LEG4000 ** IF SIGNIFICANT, COpy TO HARD DRIVE OR DISK AND MAINTAIN AS ADM1003
REV. 1 APPROVED BY THE BOARD OF DIRECTOR 5/22/96 REV. 2 APPROVED BY THE BOARD OF DIRECTOR 6/25/97
ATTACHMENT - B EXPLANA TION OF CHANGES TO RECORDS RETENTION SCHEDULE REVISION 3
RETENTION YEARS YEARS OFFICE OF YEARS TO TOTAL EXPLANATION
RECORD SERIES TITLE CATEGORY ACTIVE INACTIVE RECORD KEEP COPIES RETENTION OF CHANGES
PASS SELLERS RECORDS ACCI005 -1-2 2 ~REV NA ~4 Retention period increased to satisfy department's admin. Requirements I Year Added
PENSION PLAN RPT (IRS FORM 5500) HUM2001 ;2 3 HR NA 45 Retention period decreased per IRS Circular "E", Revised 01/98
EMPLOYEE PERSONNEL FILE (NON-MED) HUM3000 ACT+Ol ~ 9 MULTIPLE NA ACT+oeIO Retention period increased to satisfy department's admin. requirements 4 Years Added
EMPLOYEE MEDICAL RECORDS - GENERAL HUM4000 ACT+Ol ~9 MULTIPLE NA ACT+oe 10 Retention period decreased per IRS Circular "E", Revised 01/98
PAYROLL RECORDS (TIME SHEETS, W-2, W-4) HUM6001 2 43 ACCTIHR e.-5 Retention period decreased per IRS Circular "E", Revised 01/98
OPERATORS DAILY PAY PACKAGE HUM6002 H OPS NA 45 Retention period decreased per IRS Circular "E", Revised 0 1/98
SCHEDULE CHECKERS ASSIGN HUM6003 H OPS NA 6-5 Retention period decreased per IRS CALL-IN SHEETS Circular "E", Revised 0 1/98
OPERATIONS PLANNING LINE FILES OPM2002 ACT IND WC OPSPLNG IND New Series
TAX RETURNS LEG5001 .w-5 NA ACCTG NA -145 Retention period decreased per IRS Circular "E", Revised 01/98
ATTACHMENT 1
RESOLUTION
Resolved that the Board of the Los Angeles County Metropolitan Transportation Authority does hereby authorize the revision of the Los Angeles County Metropolitan Transportation Authority Records Retention Schedule as indicated on the attached schedule.
CERTIFICATION
The undersigned, duly qualified and acting as Board Secretary of the Los Angeles County Metropolitan Transportation Authority, certifies that the attached is a true and correct copy of a Resolution adopted at a legally convened meeting of the Board of Directors ofthe Los Angeles County Metropolitan Transportation Authority held on July 23, 1998.
