Description
The General Services Administration (GSA) is an independent agency of the United States government, established in 1949 to help manage and support the basic functioning of federal agencies.
STATE OF ALASKA
LOCAL GOVERNMENT MODEL GENERAL ADMINISTRATIVE RECORDS RETENTION SCHEDULE
Schedule #300.1
2012
Department of Education & Early Development Division of Libraries, Archives & Museums Alaska State Archives/Records & Information Management Service (ASA/RIMS) 141 Willoughby Avenue Juneau, Alaska 99811-0525 http://archives.alaska.gov/records_management/records_management.html
Local Government Model General Administrative Records Retention Schedule #300.1
CONTENTS
Preface Contact Details Approval Introduction Glossary Guide to Adopting the Model General Schedule 11 11 11 12 14 15
RECORDS SERIES 1. GENERAL ADMINISTRATIVE
Item No. 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 Records Series Title General Correspondence Reading Files Policies & Procedures Reports Administrative Studies/Special Projects Department History Files Equipment Records Property Control Files Automotive Management Injury & Accident Records Transitory & Miscellaneous Administrative Information Drafts & Working Papers Technical Reference Files Public Records Log & Requests for Information Website Content, Management & Operations Records Records & Information Management Files Automatic Data Processing & Electronic Data Processing Media Officials’ Bonds Visitor Logs 16 16 17 17 18 18 18 18 19 19 20 20 20 21 21 21 22 22 22
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Local Government Model General Administrative Records Retention Schedule #300.1
2. CLERK & GOVERNING BODY
Item No. 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 Records Series Title Meeting Files Public Hearing Files Petitions Proclamations Codes, Ordinances & Resolutions Oaths of Office & Appointments Conflict of Interest Statements Incorporation Files Annexation Files Reapportionment & Redistricting Boards Census Records Cemetery Master Files Fixed Asset Inventories 23 23 23 23 24 24 24 24 25 25 25 25 26
3. FINANCE & AUDIT
Item No. 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 Records Series Title General Accounting Records Travel Accounting Department Budget Files Financial & Accounting Reports Ledgers & Journals Vendor Files Banking Records Cancelled Checks & Check Registers Cash Books & Cash Journals Revenue Sharing/Safe Communities Files Bond Records Bond Registers Bills of Sale Foreclosure Files 27 27 27 28 28 28 29 29 29 29 30 30 30 30
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Local Government Model General Administrative Records Retention Schedule #300.1
4. PAYROLL
Item No. 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 4.10 4.11 4.12 4.13 4.14 Records Series Title Payroll Warrant Register Payroll Journal Payroll Case Files Payroll Deduction Authorizations Leave Accounting Employer W-2 Copy Employee Pay Record Cards Employee Withholding Exemptions (W-4) Garnishment & Payroll Deduction Court Orders Notification of Pay Step Increases Payroll Reports Electronic Federal Tax Payment (EFTPS) Documentation Internal Revenue Service Reports & Reconciliations Savings Bond & 401k Accounting Records 31 31 31 31 31 31 31 31 31 31 32 32 32 32
5. PROCUREMENT, CONTRACTS & GRANTS
Item No. 5.1 5.2 5.3 5.4 Records Series Title Procurement Records Contract Administration Grant Administration Files Grant Applications (Not Awarded) 33 33 33 33
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Local Government Model General Administrative Records Retention Schedule #300.1
6. HUMAN RESOURCES ADMINISTRATION
Item No. 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 6.10 6.11 6.12 6.13 6.14 6.15 6.16 6.17 6.18 6.19 6.20 6.21 6.22 Records Series Title Individual Personnel Files Service Record Card/Employment History Recruitment, Selection & Appointment Records Job Applications (Unsolicited) Master Examination Files Organization Charts Salary Schedules Job Descriptions Job Class Specifications Classification/Reclassification Action Case Files Grievance Case Files Collective Bargaining Negotiation Files Contract Interpretation & Arbitration Decisions Unfair Labor Practices Case Files Training Course Files Training Course Development Files EEO Administration Records EEO Complaint Case Files Employee Medical Records Hazard Communication & Material Safety Data Sheets Immigration Reform & Control Act (1986) I-9 Forms Alaska Human Rights Act Records 34 34 34 34 34 34 34 35 35 35 35 35 35 36 36 36 36 37 37 37 37 37
7. RISK MANAGEMENT
Item No. 7.1 7.2 7.3 Records Series Title Insurance Policies & Endorsements Risk Management Claim Files Worker’s Compensation Claims 38 38 38
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Local Government Model General Administrative Records Retention Schedule #300.1
8. ELECTIONS
Item No. 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13 8.14 8.15 Records Series Title Voting Ballots (Completed, Challenged, Rejected, Absentee & Special Needs) Certificates of Election Certificates of Election Returns (Regular & Special) Election Registers & Tally Books Election Contest/Runoff Information DOJ Preclearance Records Declarations of Candidacy Financial Disclosure Statements Affidavits Recount Petitions Candidates Lists Candidate Withdrawals Election Officials’ Records Voting District Descriptions, Maps & Street Books Campaign Disclosure 39 39 39 39 39 39 39 40 40 40 40 40 40 41 41
9. INFORMATION TECHNOLOGY
Item No. 9.1 9.2 Records Series Title Computer System Files IT Service Requests 42 42
10. LEGAL
Item No. 10.1 10.2 10.3 10.4 10.5 10.6 10.7 Records Series Title Municipal Attorney Opinions Regulations Files Litigation Case Files Investigation & Matter Files Franchises Right of Ways & Easement Files Notice to Comply and/or Violation Reports 43 43 43 43 43 44 44
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Local Government Model General Administrative Records Retention Schedule #300.1
11. PUBLIC SAFETY
Item No. 11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8 11.9 11.10 11.11 11.12 11.13 11.14 11.15 11.16 11.17 11.18 11.19 11.20 11.21 11.22 11.23 11.24 11.25 11.26 11.27 11.28 11.29 11.30 11.31 11.32 11.33 11.34 11.35 11.36 11.37 11.38 11.39 11.40 11.41 11.42 11.43 11.44 Records Series Title Complaint Cards Police Reports (Major & Minor) Field Interrogation Cards Investigation Case Files Arrest Records Outstanding Warrants Use of Force Investigations Internal Affairs Investigations Confidential Informant Files Logs/Indices Property Records Stolen Property Lists Criminal Background Checks Sex Offenders Information Juvenile Arrest Files Juvenile Prosecution Case Files Abused/Neglected Child Notification Holding Facility Records Traffic Records Radar Reports Uniform Crime Report (UCR) Crime Statistics Accreditation Files Animal Control Files Fire Investigation Files EMS Incident Reports Fire Inspection/Compliance Files Permits/Licenses Issued Variances Violation/Complaint Files Fire & Rescue Response Dispatch Tapes Fire & Rescue Response Dispatch Cards & Logs Fire & Rescue Alarm Response Tapes Fire & Rescue Alarm Response Cards Fire & EMS Training Files Fire Prevention Education Programs Fire & Rescue Response Circuit/Radio Box Records Equipment Inspection Records Apparatus Accident Files Fire Hydrant Identification Files Oil Spill Preparedness Files Hazardous Materials/Hazardous Substances Right to Know Files Hazardous Materials Incident Files Contingency & Emergency Services Plans 7 45 45 45 45 46 46 46 46 47 47 47 47 48 48 48 48 49 49 49 49 49 49 50 50 50 50 51 51 51 51 52 52 52 52 52 53 53 53 54 54 54 55 55 55
Local Government Model General Administrative Records Retention Schedule #300.1
12. PLANNING, ZONING & COMMUNITY DEVELOPMENT
Item No. 12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8 12.9 12.10 12.11 Records Series Title Planning Commission Files Planning & Zoning Enforcement Case Files Land Classification Case Files Land Management Case Files Conditional & Temporary Use Permits Site Selection Files Coastal Management Programs Files Flood Control Program Files Capital Improvement Request Files Geographic Names Files Road Name Changes 56 56 56 56 57 57 57 57 57 57 58
13. ENGINEERING, BUILDINGS & PUBLIC WORKS
Item No. 13.1 13.2 13.3 13.4 13.5 13.6 13.7 13.8 13.9 13.10 13.11 13.12 13.13 13.14 13.15 13.16 13.17 13.18 13.19 13.20 13.21 13.22 13.23 13.24 13.25 13.26 13.27 Records Series Title Plans, Maps & Drawings Construction Project Files Engineering Field & Bench Mark Books Permit Application Files Inspection Files (Miscellaneous) Permits Register Right of Way & Easement Files (Originals) Subdivisions & Land Development Project Files Regulatory Compliance Files Bridge Files Work/Repair Requests & Complaints Maintenance Work Orders & Logs Facility Maintenance Files Fuel Summaries & Receipts Traffic Light Records Snow Plow Files Tree Files Sanitation Files Landfill Records Underground Storage Tank Records Geologic Data Sewer & Water Assessment Records Sewer Location & Connection Records Water Service & Valve Location Records Water System Monitoring Charts & Logs Water System Repair & Maintenance Records Well Information 8 59 59 59 60 60 60 60 61 61 61 62 62 62 63 63 63 64 64 64 65 65 65 65 66 66 66 66
Local Government Model General Administrative Records Retention Schedule #300.1
13. ENGINEERING, BUILDINGS & PUBLIC WORKS CONT’D
Item No. 13.28 13.29 13.30 13.31 13.32 Records Series Title Water Testing Records Water Management Plans Water Service Applications & Agreements Meter Reading Books & Cards Recycling & Hazardous Waste Records 67 67 67 68 68
14. LICENSES
Item No. 14.1 14.2 14.3 14.4 Records Series Title Business Licenses Licenses & Permits (Non-Business) Permits Register Sales Tax Registrations & Reports 69 69 69 69
15. ASSESSMENTS
Item No. 15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 Records Series Title Annual Tax Assessment Rolls Notices of Assessment Certification Files Tax Appeal Files Real Property Parcel Master File Section Land Files Personal Property Files Reports of Collection Building & Land Inventory Records Market Sales Program Records 70 70 70 70 70 70 71 71 71 71
16. LAND MANAGEMENT
Item No. 16.1 16.2 16.3 16.4 Records Series Title Land Township/Range/Section Files Land Lottery Records Municipal Entitlement Records Property Tax Foreclosure Records 72 72 72 72
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Local Government Model General Administrative Records Retention Schedule #300.1
17. PARKS & RECREATION Item No. 17.1 17.2 17.3 17.4 17.5 17.6 17.7 Records Series Title Recreation Program Records Coach/Instructor/Lifeguard Records Recreation Facility Records Maps, Plans & Drawings Horticulture Project Files Harbor Master Files Cultural Resources Records 73 73 73 74 74 74 74
18. LIBRARIES & MUSEUMS
Item No. 18.1 18.2 18.3 18.4 18.5 18.6 18.7 Records Series Title Accession Records De-Accession Records Circulation Records Shelf Lists, Inventories & Information Systems Accreditation Files Reference Request Files Conservation Reports 75 75 75 75 75 75 76 77
RECORDS SERIES INDEX
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Local Government Model General Administrative Records Retention Schedule #300.1
PREFACE
This updated Local Government Model General Administrative Records Retention Schedule #300.1 (Model General Schedule) supersedes a 2001 schedule produced by this agency. Since this Model General Schedule is only a guide, local governments should consider adapting it to their own requirements. Please refer to the guide on how to adopt this Model General Schedule on p.15.
CONTACT DETAILS
If you have any questions regarding this Model General Schedule, please do not hesitate to contact: Gordon E. Brown State Records Manager Alaska State Archives/Records & Information Management Service (ASA/RIMS) Department of Education & Early Development Division of Libraries, Archives & Museums 141 Willoughby Avenue Juneau, AK 99811-0525 Tel: (907) 465-2275 Fax: (907) 465-2465 [email protected]
APPROVAL
Gordon E. Brown* Gordon E. Brown State Records Manager
* Original signatures are kept on file
Dean Dawson* Dean Dawson State Archivist
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Local Government Model General Administrative Records Retention Schedule #300.1
INTRODUCTION
AS 40.21: Management & Preservation of Public Records AS 40.21 requires the orderly management of current local public records and preservation of noncurrent public records that have permanent historical value. AS 40.21.070 says “the governing body of each political subdivision of the state shall promote the principles of efficient records management for local public records...” Moreover, per AS 29.20.380(4) the municipal clerks shall “manage municipal records and develop retention schedules and procedures for inventory, storage and destruction of records.” The Model General Schedule is a tool municipal clerks and other officials (AS 40.21.080) may utilize to assist in determining how long to retain records created or received in the conduct of their respective responsibilities. Purpose of the Model General Schedule The purpose of this Model General Schedule is to list and describe common records series that Alaskan local governments (including cities/boroughs, villages, districts, authorities, other political subdivisions) administer and to recommend minimum retention periods. The Model General Schedule is meant to be a guide only - each governing body should inventory its records and develop its own fully approved Records & Information Management Service that addresses each locality’s unique requirements. As a result of such a service, unneeded documents may be discarded and less active records may be transferred to cheaper offsite storage, freeing up prime office space. What is the Goal of a Records and Information Management Service? The goal of a Records and Information Management program is to retrieve the right information at the right time. An effective program ensures that local government staff has the recorded information necessary to perform its statutory and regulatory functions, avoid waste and preserve the documentary heritage of the community. What is a Record? A record is any media that captures, preserves or disseminates information; or, documents that are created or received during the course of an organization’s official business and preserved or appropriate for preservation by an agency or a political subdivision as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the state or political subdivision or because of the informational value in them [refer to AS 40.21.150(5 & 6).]
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Local Government Model General Administrative Records Retention Schedule #300.1
What Types of Media Are Included? Records herein referenced may be contained on a variety of media, including, but not limited to: paper, microfilm, analog cassette/video tapes, maps, drawings, photographs, magnetic tapes/disks, digitized video files, and optical disks. Additionally, information sets (e.g. email, datasets, metadata) stored in document management systems may have record status and require retention to meet administrative, legal or financial needs. Regardless of media utilized, the “Official Record Copy” must be maintained by the local governing body long enough to meet these considerations. What Are The Four Values of Records That Impact Retention? Administrative/ Operational: Financial: Legal: Historical: These records are needed for current operations of the agency. Financial records document fiscal transactions needed for tax and audit purposes. Records with legal value document the rights of citizens or employees or pertain to contractual obligations. Records have historical value if they document policies, procedures or historical activities.
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Local Government Model General Administrative Records Retention Schedule #300.1
GLOSSARY
Business Essential Records: Records containing information that is essential to the continuing operation or survival of the department. These records should be managed in a way to ensure their survival in the event of a disaster e.g. a fire or flood. The process where a record is either destroyed or transferred to an archives as prescribed by a records retention schedule. Duplicate records are all other copies of a record not considered to be the Official Record Copy. In essence this means that if your department does not hold the Official Record Copy, you hold a duplicate copy and must retain this duplicate for the prescribed period of time as stated in the records retention schedule. The Official Record Copy refers to the copy of the record that must be retained to fulfill all its legal responsibilities and must be retained for the total retention period stated. A group of alike records filed together by their content e.g. reading files. This refers to the length of time that records need to be kept for.
Disposition:
Duplicates:
Official Record Copy: Records Series: Retention:
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Local Government Model General Administrative Records Retention Schedule #300.1
GUIDE TO ADOPTING THE MODEL GENERAL SCHEDULE
This is intended as a model schedule and contains recommendations for the minimum retention periods. This is a guide as to the issues that you need to consider when adopting this schedule for your own use. 1. Decide whether all the records series listed in the Model General Schedule cover all the records that you hold. If not, then add them and decide how long they are to be kept. Decide whether you are going to accept and use the suggested retention periods. If not, why not? Then decide on a period that is appropriate to you and is justifiable. Identify records that are business essential (see Glossary). Identify whether a department holds an “Official Record Copy” and if so how long “duplicates” need to be kept for. (See Glossary for definitions) Identify a secure location for records that have been identified as having “permanent” historical value.
2.
3. 4. 5.
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
General Correspondence Consists of original incoming and copies of outgoing letters and memoranda related to the general administration and operation of the agency, often arranged topically according to a file classification system. Includes the following types of correspondence: intra/interdepartmental, legislative, professional association, steering committee, and public. Also may consist of conference/training notes, organizational charts, delegations of authority, share campaign, inventories/logs, studies, service pin award data, etc. Reading Files Copies of outgoing letters, memoranda, and messages. Maintained as a discrete records series, these files are used for various administrative purposes.
Retention & Disposition
Remarks
1.1
3 years then destroy*
* = General Correspondence of Mayor, General Manager, Clerk, Department Head, and Boards & Commissions may have archival value and should be retained permanently.
1.2
3 years then destroy*
* = Reading Files of the Mayor, general Manager, Clerk, and Department Heads may have archival value and should be retained permanently.
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
1.3 1.3.1
Records Series Title & Description
Policies & Procedures Major Substantive and binding agency issued policies, procedures, directives, decisions, orders, rules, guidance, agreements, understandings, and manuals that address mission essential functions for which the agency is statutorily responsible. These records document agency functions and have archival research value.
Retention & Disposition
Retain Permanently
Remarks
1.3.2
Routine Routine agency issued policies, procedures, directives, decisions, rules, organizational charts, and manuals that address internal functions and operating procedures. Major & Routine Policies & Procedures (including rules and regulations) consist of the Official Record Copy formalized by any Department. Reports Annual, Audit, Management & Operation All Others “All Others” includes Monthly, Statistical, Performance, Damage & Vandalism, Safety, Monitoring etc.
C+3 years then destroy
C = Until superseded/obsolete.
1.4 1.4.1 1.4.2
Retain Permanently 3 years then destroy
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Administrative Studies/Special Projects
Retention & Disposition
Remarks
1.5
Includes final reports and backup data regarding major administrative studies and special management projects. Department History Files This series documents the functions and activities of the Department. Consists of promotional media including press releases, news clippings, photographs (prints & negatives), videos, audios, cd’s, dvd’s and other electronic, magnetic or micromedia. Also includes information officer project materials, Department head speeches, written histories, monographs, brochures, pamphlets, etc. Equipment Records Delivery Order, Correspondence, Usage Reports, General Maintenance & Inventories Warranty Information, Instruction/Operating Manuals, Repair/Maintenance History, etc. Property Control Files Agency copies of controlled property management reports, property tag register, excess property reports, property transfer documents, and related correspondence.
Retain Permanently
Review backup data for archival value.
1.6
Retain Permanently
1.7 1.7.1
L+4 years then destroy L = Life of equipment. L+4 years then destroy
1.7.2
1.8
5 years then destroy
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
1.9 1.9.1
Records Series Title & Description
Automotive Management Vehicle Records This series documents each vehicle owned and serviced by the local governing body. May include title; registration; work orders; correspondence; damage/accident reports; checklists; photographs; and, inspection, service, maintenance and repair documents.
Retention & Disposition
L+2 years then destroy*
Remarks
L = Until vehicle is disposed. * = If vehicle is involved in fatal accident or litigation, keep file 25 years or until legal counsel recommends disposition.
1.9.2
Claim Files Includes copies of the following: Motor Vehicle Accident Reports, Certification of Insurance, LostStolen-Damaged Property Reviews, inspection reports, maintenance records (parts, service, repair estimates, work orders) Liability Accident Notices, registrations, and titles. Injury & Accident Records
L+3 years then destroy
1.10
Includes incident/accident reports, medical evaluations, public safety officer reports, time loss documentation and other data relating to on the job injuries and accidents.
C+6 years then destroy
C = Resolution of accident.
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Transitory & Miscellaneous Administrative Information Include telephone logs, correspondence tracking logs, file plans, purchasing logs, property inventories, message books, appointment books/calendars, bulletins, mailroom logs/registers (e.g. certified/registered, postage meter) word processing drafts, day sheets, assignments, suspense files, forms files, printing/stock requests, fuel inventory sheets and other indices. Drafts & Working Papers This series contains documents, correspondence, reports, memoranda, and other materials in preliminary or developmental form before their iteration as a final product. Drafts may include copies of materials circulated for review for grammar, spelling and content. Working papers may include notes and miscellaneous documents used in compiling and assembling the final product. Technical Reference Files Technical studies, newsletters and publications used in the administration of agency business.
Retention & Disposition
Remarks
1.11
C then destroy
C = Until administrative need is met.
1.12
C then destroy
C = Until administrative need is met.
1.13
C then destroy
C = Until administrative need is met.
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Public Records Log & Requests for Public Information Includes written request for public records received. Log includes date of request, name of requester and other related information. Technical studies and publications used in the administration of agency business. Website Content, Management & Operations Records
Most local government use web-based technologies to assist in fulfilling their statutory mission. Web site-related records include 1) web content records, which represent information presented on a web site, and 2) web site administrative records, which provide evidence of the management and operations of the website. Records may include: web master policies; procedures; notes; content pages, inclusive of the HTML markup; records generated when a user interacts with a site; lists of URL's referenced in the site's hyperlinks; web site design records; records addressing usage of copyrighted material; software applications used to operate the site; web snapshots; site maps depicting directory structure/hierarchy; server environment configuration specifications; web page metrics/statistics; and, other development materials utilized in the creation and maintenance of department sites.
Retention & Disposition
Remarks
1.14
1 year then destroy
1.15
3 years then destroy*
* = Review for permanent retention. Backup tapes are stored offsite for security. Tapes are rotated according to departmental backup procedures.
1.16
Records & Information Management Files Retain Permanently Retain Permanently Retain Permanently 21
1.16.1 File Plans and Records Retention Schedules 1.16.2 Records Disposition Certificates 1.16.3 Records Transfer Lists (RTL)
Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Automatic Data Processing & Electronic Data Processing Media Office copies of magnetic cards/tapes/diskettes and other media used for communicating with data processing equipment or as preliminary input, temporary storage, output control which serves as an intermediate means for the production of printouts, ComputerOutput Microfiche (COM) or online data. Officials’ Bonds Visitor Logs This records series consists of records documenting employees’ and visitors’ entrance into an agency building during and/or after office hours. Logs may require time, date, signature, reason for visit, and location or person visited.
Retention & Disposition
Remarks
1.17
C then destroy
C = Retain until superseded/obsolete or administrative need is met.
1.18
C+6 years then destroy
1.19
3 years then destroy
C = Expiration of bond provided an audit has been conducted. Civil litigation for personal injuries statute of limitations is 2 years to file a lawsuit. Oftentimes the lawsuit is not served for another 90 days or more after filing. Visitor logs are helpful to establish potential witnesses or to corroborate the presence of witnesses.
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Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.1 2.1.1 2.1.2
Records Series Title & Description
Meeting Files Official Minutes Backups The Official Minutes constitute the official accounts of the proceedings and actions of governing body, boards, commissions, committees, community councils and special work groups. Other backup may include notices of meeting, agendas, packets, meeting dockets, roll call, correspondence, complaints, reports, transcripts, legal opinions, financial studies, declarations, recommendations, amendments to council rules, ordinances and resolutions, background papers and audio/visual products. Public Hearing Files Includes the following documentation related to public hearings: notices of meeting, affidavit of publication, work papers, speaker signup sheets, written testimony, exhibits and audio/visual materials. Petitions For initiatives, referenda and recall filed by private citizens or groups requesting governing body action. Proclamations Issued/prepared by mayor or local governing body.
Retention & Disposition
Retain Permanently C then destroy
Remarks
C = Until minutes have been approved.
2.2
10 years then destroy
2.3
6 years then destroy Retain Permanently
AS 29.26
2.4
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Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.5 2.5.1
Records Series Title & Description
Codes, Ordinances & Resolutions Adopted May include charter, amendments, code supplements, lists of all ordinances/resolutions, ordinance/resolution number and ultimate decision.
Retention & Disposition
Retain Permanently
Remarks
Maintain certified copy of all official ordinances in a separate ordinance file. AS 29.20.380
2.5.2
Not Adopted May include lists of all proposed ordinances/resolutions, the proposer, ordinance number and ultimate decision (e.g. changed, withdrawn, in committee indefinitely). Oaths of Office & Appointments This series may consist of oaths for boards, commissions, committees, councils and elected officials; and, affirmations, acknowledgements, notices of appointments/resignations, lists of members with terms and dates of appointment, and the code or executive order establishing the local government entity. Conflict of Interest Statements Statements for elected/appointed municipal officers and employees. Incorporation Files Documents incorporation records series not found elsewhere on this schedule (petitions, public hearings, etc). May include information related to investigations, decisions, municipal logo and official municipal seal.
10 years then destroy*
* = Files with historical value should be retained permanently.
2.6
Retain Permanently
AS 29.20.600
2.7
6 years then destroy
AS 29.20.010
2.8
Retain Permanently
AS 29.05
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Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.9 2.9.1 2.9.2
Records Series Title & Description
Annexation Files Passed Failed Includes petitions, correspondence, affidavits of publication, copy of ordinance and related public hearing backup records. Reapportionment & Redistricting Records
Retention & Disposition
Retain Permanently 5 years then destroy
Remarks
2.10
May include municipal and school district reapportionment records; precinct boundaries; and, district, municipal and state boundary reapportionment documentation. Census Records This series documents population estimates including resident data (e.g. name, age, gender, marital status, residence address, number of children, annual income, occupation, etc.) Cemetery Master File May include diagrams, maps and indices of burial plots, record of lot sales, cash/deed book, burial permits, register of interments and minutes of cemetery association/board.
C then destroy
C = Until superseded.
C = Until superseded. C then destroy Retain backup data for 10 years. AS 29.60
2.11
2.12
Retain Permanently
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Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.13 2.13.1 Fixed
Records Series Title & Description
Asset Inventories
Retention & Disposition
L then destroy 3 years then destroy
Remarks
2.13.2 Non-Fixed Inventories of owned assets indicating value, location, purchasing information, etc. The Government Accounting Standards Board (GASB) requires municipalities to record infrastructure as part of their fixed assets.
L = Life of asset, or until State authorizes disposal of grant funded assets. Backup records dealing with an asset may be disposed per policy according to type (purchase order, grant, correspondence, etc.)
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Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
Records Series Title & Description
General Accounting Records May include work papers, spreadsheets, summaries, receipts and other data documenting Department accounting practices. Includes financial data regarding accounts payable/receivable, grant/contract administration, assessment of fines, payment of license fees, etc. Travel Accounting This series documents travel advances, per diem and transportation fees for employees on official Department business. Department Budget Files Work papers This series documents development of Department operating and capital budgets prior to presentation to local governing body. Includes budget instructions, submissions, backup documentation, cost allocations, annual estimates of revenue and amendments.
Retention & Disposition
Remarks
3.1
3 years then destroy*
* = Provided an audit or other annual financial statement has been certified.
3.2 3.3 3.3.1
3 years then destroy
3 years then destroy
3.3.2
Final Approved Budget
Retain Permanently
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Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
3.4 3.4.1 3.4.2
Records Series Title & Description
Financial & Accounting Reports Annual Other Includes Annual Report prepared by the Chief Financial Officer summarizing financial condition, activity and balances; and, routine balancing/status reports output on a regular or ad hoc basis documenting agency expenditures and financial activity. Ledgers & Journals General, Revenue & Expenditure Includes books of original entry.
Retention & Disposition
Retain Permanently CFY+3 years then destroy
Remarks
CFY = Current Fiscal Year. See item #1.4.1 for Audit Reports.
3.5 3.5.1
Retain Permanently CFY+3 years then destroy CFY = Current Fiscal Year.
3.5.2
Subsidiary Vendor Files Documentation relating to payment for commodities or services, fines, fees and permits. Consists of financial transaction registers, vouchers, delivery orders, purchase orders, logs, supply requisitions, advertising orders, invoices, postage meter receipts, etc.
3.6
CFY+3 years then destroy
CFY = Current Fiscal Year.
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Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
3.7.1
Records Series Title & Description
Banking Records This series consists of records of bank transactions for revenue and payments including: deposit slips, wire transfers, agent fees, transmittal of receipts, savings account data, debt service payments and collected monies of a Department.
Retention & Disposition
CFY+3 years then destroy*
Remarks
CFY = Current Fiscal Year. * = Provided an audit or other annual financial statement has been certified.
3.7.2
Original Bank Statements Cancelled Checks & Check Registers
CFY+7 years then destroy CFY = Current Fiscal Year. * = Provided an audit or other annual financial statement has been certified. Recommend that cancelled checks be retained with grant files. CFY = Current Fiscal Year. CFY+3 years then destroy* * = Provided an audit or other annual financial statement has been certified.
3.8
CFY+3 years then destroy*
Cash Books & Cash Journals 3.9 Ledger showing details of daily receipts and expenditures, including running balances for each fund. Revenue Sharing/Safe Communities Files Municipalities are allocated money on a formula basis for public/ice roads, hospitals, health clinics, fire departments, etc. May consist of applications, correspondence, year-end audits/budgets.
3.10
3 years then destroy
29
Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
3.11
Records Series Title & Description
Bond Records Includes cancelled/redeemed bonds/coupons documenting proof of issuance and payments to individual bondholders. Bond Registers Includes bond/coupon register (numeric listing of bonds/coupons). Bills of Sale
Retention & Disposition
3 years then destroy*
Remarks
* = Provided an audit or other annual financial statement has been certified. C = Until issue called.
3.12
C+20 years then destroy
3.13
Official documentation of sales transactions between government agency and buyer. Foreclosure Files Documents foreclosures and includes delinquency reports, billings, petition of judgment, certified mailings, final judgments, and certificates of redemption.
7 years then destroy C = Until case is closed. Per AS 09.10.030 there is a 10 year statute of limitations on action to recover real property. Certain files may have archival value.
3.14
C+10 years then destroy
30
Local Government Model General Administrative Records Retention Schedule #300.1 4. Payroll
Item No.
4.1
Records Series Title & Description
Payroll Warrant Register Lists check number, employee name, net amount and financial coding. Payroll Journal
Retention & Disposition
T+10 years then destroy 3 years then destroy*
Remarks
T = Termination of Employee. * = Provided an audit or other annual financial statement has been certified.
4.2
Payroll Case Files 4.3 These case files document employee salary and may include: payroll action forms, PERS/TRS enrollment/change forms and IRS data. Payroll Deduction Authorizations Includes reports and lists. Leave Accounting 4.5 Timesheets—daily, weekly or monthly record of hours worked—and documentation for accrued/used leave. T+10 years then destroy T = Termination of Employee.
4.4
4 years then destroy 3 years or 50 years then destroy* * = Only destroy these after 3 years if you retain the associated data or leave accounting record elsewhere. If you have questions, contact the State of Alaska, Division of Retirement & Benefits for clarification.
4.6
Employer W-2 Copy Federal withholding tax statement. Employee Pay Record Cards
4 years then destroy 50 years then destroy 4 years then destroy 50 years then destroy 50 years then destroy 31
4.7
4.8 4.9 4.10
Documents gross earnings, deductions and net pay for each employee. Employee Withholding Exemptions (W-4) Garnishment & Payroll Deduction Court Orders Notification of Pay Step Increases
Local Government Model General Administrative Records Retention Schedule #300.1 4. Payroll
Item No.
Records Series Title & Description
Payroll Reports May include the following reports: Federal Insurance Contribution Act, unemployment insurance, summary/special detailed queries, stopped/reissued warrants, overtime and retirement. Electronic Federal Tax Payment (EFTPS) Documentation This series documents tax deposits transmitted to the federal government. Includes spreadsheets and other backup. Internal Revenue Service Reports & Reconciliations
Retention & Disposition
Remarks
4.11
4 years then destroy
4.12
4 years then destroy
4.13
4.14
May consist of the following IRS reports: 1099R and related reports, and 945. May include reconciliations (work papers) regarding tax liability for retirees and their beneficiaries. Savings Bond & 401k Accounting Records
C+4 years then destroy
C = Until due date of appropriate tax return period or date tax is paid, whichever is later. 26 CFR 31.6001-1.
50 years then destroy
32
Local Government Model General Administrative Records Retention Schedule #300.1 5. Procurement, Contracts & Grants
Item No.
Records Series Title & Description
Procurement Records This series includes documents related to purchases of goods and services and may include: bid specifications, requests for proposal, vendor solicitations, price quotations, bid abstracts, purchase orders/requisitions, contracts/leases, delivery orders, correspondence and tracking logs. Contract Administration Consists of notification of award, original contract, and amendments or renewals, special conditions, fiscal reports, payment logs, progress reports and correspondence. Includes contracts for leased space, contract insurance and bonds. Grant Administration Files State Federal This series documents receipt of State or federal monies and consists of applications, copy of notification of grant award, agreement, special conditions, fiscal reports, closeout documents, reports (audit, status, progress & compliance) and correspondence. Grant Applications (Not Awarded) Applications that were not approved or funded.
Retention & Disposition
Remarks
CFY = Current Fiscal Year.
5.1
CFY+3 years then destroy.
Refer to item #5.2 if a formal contract is required. Refer also to item #3.6 (Vendor Files). L = Life of Contract. Per AS 09.10.053 Statute of Limitations is 3 years for causes of action which accrued after August 7, 1997. (SLA 1997 Chapter 26, Sections 3 & 4. Silvers v Silvers, 999 P.2d 786, 790 n.4 (Alaska 2000). Per AS 09.10.053, statute of limitation is 3 years. C = Until federal audit is completed or 3 years after grant closeout, whichever is later. Refer to item #3.1 for financial documents relating to grants.
5.2
L+6 years then destroy
5.3 5.3.1 5.3.2
6 years then destroy C then destroy
5.4
1 year then destroy
33
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
Records Series Title & Description
Individual Personnel Files Official employment history including applications; resume; personnel actions regarding hire, termination, and promotion; performance appraisals; results from employment tests; insurance and benefits backup; family and medical leave act documentation; letters of commendation/reprimand; training certificates/history; driving records; drug/alcohol tests. Service Record Card/Employment History Work history synopsis including dates of hire/release, positions held, salary and performance data. Recruitment, Selection & Appointment Records
Retention & Disposition
Remarks
6.1
T+50 years then destroy
T = Termination of employment. Certain information is confidential.
6.2
50 years then destroy
6.3
6.4
Consists of job applications, transcripts, recruitment notices, examinations, test answer sheets, score sheets, results, affidavits of publication and correspondence. Job Applications (Unsolicited) Master Examination Files
C+2 years then destroy
C = Date of Hire. Certain information is confidential. Certain information is confidential. C = Until superseded/obsolete or administrative need is met. C = Until superseded/obsolete or administrative need is met. C = Until superseded/obsolete or administrative need is met.
1 year then destroy C then destroy
6.5
Samples of each test or examination used in the selection and rating process of prospective employees, including answer keys. Organization Charts
6.6 Salary Schedules
C then destroy
6.7
C then destroy
34
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
6.8
Records Series Title & Description
Job Descriptions Description of specific duties for each position. Job Class Specifications Minimum qualifications (knowledge, skills and abilities) required for each job classification or position. May list necessary education/certifications, examples of duties, salary, category of position and distinguishing characteristics. Classification/Reclassification Action Case Files Department action regarding specific positions/classifications. Grievance Case Files Documents grievances filed by employees against Departments. Consists of grievance forms, investigative notes, reports, correspondence and related backup.
Retention & Disposition
C then destroy
Remarks
C = Until superseded/obsolete or administrative need is met.
6.9
C then destroy
C = Until superseded/obsolete or administrative need is met. C = Until superseded/obsolete or administrative need is met. C = Resolution and execution of any stipulations.
6.10
C then destroy
6.11
C+5 years then destroy
Relates to “For Cause” employees rather than “At Will” employees. Certain information is confidential.
Collective Bargaining Negotiation Files 6.12 This records series consists of letters of understanding, tentatively approved articles, proposals and counter proposals. This series provides an historical overview of collective bargaining. Contract Interpretation & Arbitration Decisions Includes exhibits, briefs and arbitrations relating to contract interpretation. C+10 years then destroy
C = Until collective bargaining agreement is approved. Relates to “For Cause” employees rather than “At Will” employees.
6.13
Retain Permanently
Relates to “For Cause” employees rather than “At Will” employees.
35
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
Records Series Title & Description
Unfair Labor Practices Case Files Consists of the complaint, correspondence, notice of hearing, hearing transcripts and exhibits, witness lists, audio and/or video tapes, and a copy of the final decision and order. Also includes cases dismissed, withdrawn or settled. Training Course Files Consists of nominations, schedules with course information, and course evaluations from participants, correspondence and rosters. Training Course Development Files Course materials including audio/visual products, training aides, research materials, correspondence, and other media etc. related to the development and/or presentation of training presentations. EEO Administration Records Includes quarterly utilization, compliance and annual reports; affirmative action plans; complaint case files; Departmental actions, and employment statistics.
Retention & Disposition
Remarks
L = For the life of the bargaining unit contract. L then destroy Review prior to destruction for cases that may have historical significance.
6.14
6.15
3 years then destroy
6.16
C then destroy
C = Until superseded/obsolete or administrative need is met.
6.17
10 years then destroy
Certain information is confidential per AS 18.80.115.
36
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
Records Series Title & Description
EEO Complaint Case Files Consists of records regarding discrimination charges, including documentation of the party making the charge and other employees/applicants in the same or similar positions; and, Departmental actions. Discrimination charges may be on the basis of race, color, religion, national origin, gender, etc. Employee Medical Records Consists of on-the-job accident or illness/medical reports, lost time documentation, records used to monitor exposure, correspondence, etc. Includes employees exposed to blood-borne pathogens, formaldehyde, asbestos, mercury, or other hazardous substances. Hazard Communication & Material Safety Data Sheets Lists of hazardous chemicals present in the workplace and copies of material safety data sheets received with incoming shipments of chemicals and posted in the workplace. Immigration Reform & Control Act (1986) I-9 Forms Employment Eligibility Verification forms retained by the Employer. All employees, citizens and noncitizens hired after November 6, 1986 complete Section 1; Employers complete Section 2. Alaska Human Rights Act Records Records of the age, race, and sex of all applicants for employment and all employees. 37
Retention & Disposition
Remarks
C = Until complaint is resolved.
6.18
C+7 years then destroy
Retention complies with Title VII of the Civil Rights Act of 1964. Certain information is confidential per AS 18.80.115.
Official Record Copy: T+30 years then destroy Duplicates: T+1 year then destroy
T = Termination of employment. Confidential per AS 40.25.120. 29 CFR 1910.1001
6.19
6.20
30 years then destroy
Official Record Copy retained by receiving Department. 20 CFR 1910.1200; 1410.450 C = Date of hire.
6.21
C+3 or T+1 then destroy*
T = Termination of employment. * = Retain records for the longer period.
6.22
2 years then destroy
AS 18.80
Local Government Model General Administrative Records Retention Schedule #300.1 7. Risk Management
Item No.
Records Series Title & Description
Insurance Policies & Endorsements
Retention & Disposition
Remarks
C = Until policy expires. The Legal Department will review all expired policies prior to destruction to determine if additional retention is required due to pending claims or litigation.
7.1
This series includes insurance proposals, policies and endorsements, bonds, riders, correspondence, financial coding vouchers and billing information. Risk Management Claim Files May include correspondence to/from claims adjusters, private attorneys, accident reports (property damage and personal injury) summary reports, payment orders/verification, pleadings/depositions and individual claim records. Workers’ Compensation Claims May include death, permanent total disability, time loss and no time loss cases. Documents include reports of injury/illness, medical reports, correspondence, legal filings, copies of Board decisions/order, compromise and release agreement, vocational rehabilitation reports/decisions, and Second Injury Fund reimbursements.
C+50 years then destroy
7.2
C+7 years then destroy
C = Until claim is settled and all legal aspects are resolved.
7.3
C+40 years then destroy
C = Until case is inactive.
38
Local Government Model General Administrative Records Retention Schedule #300.1 8. Elections
Item No.
8.1
Records Series Title & Description
Voting Ballots (Completed, Challenged, Rejected, Absentee & Special Needs) May include applications. Certificates of Election
Retention & Disposition
C+1 Month then destroy
Remarks
C = Until election is certified. If election is contested, retain longer per AS 15.15.470.
8.2
Copies of election certificates presented to candidates upon verification of election. Certificates of Election Returns (Regular & Special) Consists of individual machine numbers; polling place designation; date of election; total votes registered by machine, candidate or referenda; and, signatures of elections inspectors, judges, administrators, clerks, volunteers. Election Registers & Tally Books Consists of the following registers: precinct, final voting, questioned voter, special needs voting and absentee voter. Also includes special needs voting applications. Election Contest/Runoff Information Contested election and runoff data. DOJ Preclearance Records This series includes request and preclearance for election. Declarations of Candidacy
4 years then destroy
8.3
Retain Permanently
Certain certificates that are duplicated elsewhere or do not have archival value may be disposed after administrative need is met.
8.4
4 years then destroy
Retain longer if election is contested per AS 15.15.470.
8.5
C+1 year then destroy Retain Permanently
C = Until election is certified. DOJ = Department of Justice.
8.6
8.7
Declarations executed under oath including name, mailing address, office declared, residency length, etc.
4 years then destroy
AS 15.25.030
39
Local Government Model General Administrative Records Retention Schedule #300.1 8. Elections
Item No.
8.8
Records Series Title & Description
Financial Disclosure Statements May include APOC financial disclosure report. Affidavits Documents voters requiring or requesting action or special accommodation during an election. Recount Petitions Candidate requests for recount of individual machine or paper ballot tallies. Includes candidates’ reason for request. Candidates Lists Lists of candidates. Data includes: name and address of candidate, order in which they will appear on the ballot, office sought and term of office. Candidate Withdrawals Certificates of withdrawal. Includes candidate statement concerning reason for withdrawal. Election Officials’ Records May consist of recruitment materials, interest letters, training notes, acceptance forms, oaths and mileage reimbursement requests. Includes absentee voting officials’ documentation.
Retention & Disposition
6 years then destroy*
Remarks
* = If subject to the Alaska Public Offices Commission (APOC).
8.9
4 years then destroy
8.10
4 years then destroy
8.11
4 years then destroy
8.12
4 years then destroy
8.13
4 years then destroy
40
Local Government Model General Administrative Records Retention Schedule #300.1 8. Elections
Item No.
Records Series Title & Description
Voting District Descriptions, Maps & Street Books Descriptions of election precinct boundaries and maps indicating current voting district boundaries and numbers. Street books consist of alphabetical lists of streets (and house numbers where street encompasses more than one district) providing senatorial and representative numbers. Campaign Disclosure Municipalities must report to APOC when money is spent on informational campaigns.
Retention & Disposition
Remarks
8.14
Retain Permanently
8.15
6 years then destroy
41
Local Government Model General Administrative Records Retention Schedule #300.1 9. Information Technology
Item No.
9.1 9.1.1 9.1.2
Records Series Title & Description
Computer System Files Backup Tapes Documentation File Documentation file may include: program/system documentation, wiring records (specifications/drawings of building, cables or computer hardware connections) application software licenses/agreements, data systems and file specifications, security information (access requests/authorizations/logs, passwords), disaster recovery procedures, user guides, usage/inventory reports, backup procedures. IT Service Requests
Retention & Disposition
* C then destroy
Remarks
* = Tapes are rotated according to established IT procedures. Backup tapes are stored offsite for security. C = Until superseded/obsolete or administrative need is met. System related data should be retained until the system is superseded/obsolete.
9.2
Requests for service from departments. Documents requestor, type of service requested and IT action.
3 years then destroy
42
Local Government Model General Administrative Records Retention Schedule #300.1 10. Legal
Item No.
Records Series Title & Description
Municipal Attorney Opinions Consists of official and informal positions regarding legal issues affecting Departments or the local governing body. May include information/action memoranda regarding ordinances, resolutions and vetoes. Regulation Files Includes matters relating to local legislation in which the municipality or governing body has an interest or has been involved. Litigation Case Files This series documents local government action in civil and criminal cases. Includes briefs, pleadings, investigative materials, court proceedings, transcripts, correspondence, exhibits, photographs and other media. Investigation & Matters Files This series documents investigations that are not prosecuted. Includes work papers, analyses, evidence, final reports, requests for legal opinions, research notes, correspondence, photographs and other media. Franchises Official authorization granted to a private entity to provide public utilities or services within the jurisdiction of the local government.
Retention & Disposition
Remarks
10.1
Retain Permanently
10.2
10 years then destroy*
* = Review for archival value.
10.3
C+6 years then destroy
C = Until case is closed.
10.4
C+6 years then destroy
C = Until investigation concludes.
10.5
T+6 years then destroy
T = Until franchise is terminated.
43
Local Government Model General Administrative Records Retention Schedule #300.1 10. Legal
Item No.
Records Series Title & Description
Right of Way & Easement Files Grant of easement records for legal permission to conduct work on private property, including, but not limited to, laying, constructing, maintaining, operating, repairing and servicing water and sewerage pipes, mains, drains, signs and utilities. Also vacations, descriptions of easement areas, diagrams, plans, agreement, memoranda, correspondence and property disposition. Notice to Comply and/or Violation Reports
Retention & Disposition
Remarks
10.6
Retain Permanently
Engineering or Parks & Recreation Departments may also administer the Official Record Copy.
10.7
3 years then destroy
44
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Complaint Cards Record of complaints to police/public safety officer. Includes data relating to reporting party, location and nature of incident, time and dispatch information and disposition. Police Reports (Major & Minor) Records complaint, report and followup for the following: felonies (which may include property records; arrest, court, processing, disposition and consent to search documents, witness/Miranda rights statements), motor vehicle accidents with injuries, missing person (unsolved), misdemeanors, abandoned vehicles/structures, breathalyzer use, domestic violence, accidental/unexplained death, escapes. Field Interrogation Cards Name and identifying data regarding persons questioned in the field, location, comments and disposition. May include vehicle, NCIC checks and information used for analytical purposes. Investigation Case Files Detectives’ working papers of cases under investigation. Contains polygraph, surveillance and crime lab reports; latent fingerprints; photographs and other media; and, copies from Police Reports (item #11.2).
Retention & Disposition
Remarks
11.1
2 years then destroy
Official Record Copy may be administered in another records series.
11.2
1 year then destroy
11.3
5 years then destroy
NCIC = National Crime Information Center.
11.4
Retain Permanently
45
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Arrest Records Cumulative information for each adult arrested including booking documentation (name, arrest booking/AST number, address, date of birth, sex, occupation, physical description, offense, complaint report and disposition of case), finger print cards, photographs (mug shots) processing reports, copies from Police Report files, investigation reports, witness statements, signed Miranda rights, evidence examination requests, property record, rap sheets, court, process and disposition documents. Outstanding Warrants Lists of outstanding arrest warrants. May include name, date of birth, address, offense code, case number, warrant date, status, charging section. Use of Force Investigations Investigations on the application of physical or deadly force. May include copies from complaint report file, inquiry and findings. Internal Affairs Investigations Investigations of complaints of alleged officer misconduct. May include reports, correspondence, statements, investigation documentation, findings and disposition.
Retention & Disposition
Remarks
11.5
D or 10 years then destroy*
D = Until person is deceased. * = Retain records for the longer period.
11.6
C then destroy
C = Until superseded/obsolete or administrative need is met. Per AS 09.10.070 a tort or civil rights claim against the State for use of force must be filed within two years. Final report in Human Resources file Per AS 09.10.070 a tort or civil rights claim against the State for use of force must be filed within two years. Final report in Human Resources file.
11.7
7 years then destroy
11.8
7 years then destroy
46
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Confidential Informant Files Information recorded may include number assigned to informant, informant and case officer names, reference to origins of the contact, reports of information supplied by informant, and expenditure/payment records. Logs/Indices
Retention & Disposition
Remarks
11.9
C+7 years then destroy
C = Until informant is no longer active.
11.10
11.10.1 Miscellaneous 11.10.2 Dispatch Audio Tapes May include the following type of logs/indices: radio/dispatch, tape control, patrol, officer/cruiser, detective, arrest booking, mug shot, missing person, Grand Jury, NCIC inquiry, evidence, juvenile arrest, administrative (documenting time in court, educational activities, assisting another officer) overtime, weather, staffing/daily roster, daily assignment, unit, property recovery, radar, weapon, animal report, accident and towed vehicle. Property Records 11.11 Individual record of property/evidence taken into custody. May include date, names, addresses, signatures, description, serial numbers, condition, location/bin, complaint report number, comments and disposition. Stolen Property Lists Received and internally produced lists and printouts of lost, stolen, found, pledged or pawned property.
5 years then destroy 30 days then destroy * * = Reuse after retention period.
C+3 years then destroy
C = Until property disposed of.
11.12
C then destroy
C = Until superseded/obsolete or administrative need is met.
47
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Criminal Background Checks Criminal background checks done as a consequence of requests from employers or local government requirements. May include polygraph tests, FBI checks, interviewer notes, etc. Examples include school, day care or nursing home employees. Sex Offenders Information Data relative to sex offenders that may include name, address, photograph, place of employment, date of birth, crime for which convicted, date of conviction, and court of conviction.
Retention & Disposition
Remarks
11.13
1 year then destroy
C = Until superseded/obsolete or administrative need is met.
11.14
C then destroy
Per AS 18.65.087 the Alaska Department of Public Safety maintains a central registry of sex offenders required to register under AS 12.63.010.
Juvenile Arrest Files Cumulative information file on each juvenile arrested. May include processing report, cover and face sheet, copies from complaint report files, investigation reports, property records, witness statements, signed Miranda rights, Family Court petitions, court process and disposition documents. Juvenile Prosecution Case Files Case files prepared for purposes of prosecution. Includes copies from Arrest files. C = Until child reaches age of majority. C+6 years then destroy Records must be kept separately from adult arrest records.
11.15
11.16
C+6 years then destroy
C = Until child reaches age of majority.
48
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Abused/Neglected Child Notification
Retention & Disposition
Remarks
11.17
11.18
Reports from the DFYS or the ACS of suspected cases of child abuse, endangerment or neglect. May include cover letter, investigative worker’s observations/recommendations, and investigation summary. Holding Facility Records
DFYS = Division of Family & Youth Services. 3 years then destroy ACS = Alaska Court System.
11.18.1 Prisoner’s Personal Property & Inspection Records (relating to inspection of security, health and safety systems such as fire detection/suppression, sanitation, security and first aid.) 11.18.2 Meal Records/Food Receipts & Housekeeping Records. Traffic Records 11.19 Includes summons books (regarding operation, control or maintenance of motor vehicle violations), citations and tickets (also parking), notices for court appearances, etc. Radar Reports May include certification of calibration, routine radar check reports, and certification of accuracy for tuning forks. Uniform Crime Report (UCR) Monthly account of offenses and stolen/recovered property values sent to the Alaska State Troopers. Crime Statistics Statistical compilations of crimes committed within the local jurisdiction. 49
3 years then destroy
A+1 year then destroy
A = Until audit is completed.
1 year then destroy
11.20
C+2 years then destroy
C = Until equipment is disposed.
11.21
5 years then destroy
11.22
Retain Permanently
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Accreditation Files Standards, goals and objectives, status and progress reports, and other documentation relating to accreditation and review for maintaining accreditation. Animal Control Files May consist of the following: licenses, animal complaint notifications/citations, description of animal, notification to owner, certification of ownership, owner claims, release of animal data, dog bite reports and statistical reports. Also spay/neuter, euthanasia, vaccination, patrol, and abuse/cruelty information. Fire Investigation Files Record of fire department investigations of suspicious or incendiary fires. May include reports (fire, rescue, investigators, State Fire Marshal, police, casualty, insurance), video evidence (photographs, video cassettes, cd’s), memoranda, diagrams, or other documentation relating to investigation. EMS Incident Reports Reports of any incident that involved Emergency Medical Services.
Retention & Disposition
Remarks
11.23
C then destroy
C = Until superseded/obsolete or administrative need is met.
11.24
3 years then destroy
11.25
C+30 years then destroy
C = Until investigation is closed.
11.26
10 years then destroy
50
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Fire Inspection/Compliance Files This series documents fire safety inspection before and after building construction is completed. May include building plans used in inspection/approval process detailing fire detection specifications or other Fire Safety Code compliance requirements, certificates of inspection, violation appeals, Department response, surveys and applications for variances. Permits/Licenses Issued Applications and permits issued by local fire authority. May include open burn permits, permits relating to fireworks, storage/handling of flammable liquids or hazardous substances, model rocket engines, or the selling of fire detection equipment. Variances Variances issued by local governing body. Note: Variances may form part of Fire Inspection/Compliance Files (item #11.26) Violation/Complaint Files Record of violations and complaints relating to the Fire Safety Code. May include name, time, address, location of violation/complaint, complaint summaries, investigation reports, disposition and Department follow-ups.
Retention & Disposition
Remarks
C = Until building is no longer in use. C then destroy Retain building plans until Certificate of Occupancy is issued and plans are of no further administrative value.
11.27
11.28
C+3 years then destroy
C = Until permit expires.
11.29
L then destroy
L = For life of the building or until occupancy classification is legally changed.
11.30
C+3 years then destroy
C = Until resolution of complaint.
51
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
11.31
Records Series Title & Description
Fire & Rescue Response Dispatch Tapes Audio tapes of incoming calls and outgoing dispatch instructions. Fire & Rescue Response Dispatch Cards & Logs Record of incoming calls received by the Department. Data may include type of call (phone, radio, in person) complainant name, address/phone number, name of dispatcher, time received/dispatched to scene and recalled, rescue or engine numbers responding. Fire & Rescue Alarm Response Tapes Machine tape recording of alarms received detailing box number, location, date and time alarm received. Fire & Rescue Response Alarm Response Cards Record detailing location and appropriate response for alarms from individual boxes. Information may include location, contact names, number of vehicle(s) to respond and standby vehicles. Fire & EMS Training Files Consists of correspondence, course descriptions, training dates and exam results.
Retention & Disposition
30 days then destroy*
Remarks
* = Then re-use tapes.
11.32
3 years then destroy
11.33
1 year then destroy
11.34
C then destroy
C = Until superseded/obsolete or administrative need is met.
11.35
T+6 years then destroy
T = Until termination of employee or volunteer no longer active.
52
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Fire Prevention Education Programs
Retention & Disposition
Remarks
11.36
11.37
Multimedia materials used in fire prevention education including brochures, films, cd’s, posters, pamphlets and other program resources. Fire & Rescue Response Circuit/Radio Box Records
C then destroy
C = Until superseded/obsolete or administrative need is met.
11.37.1 Test Logs 11.37.2 Alarms Records Record of alarm response tests conducted on all circuit, radio and location alarm boxes to ensure proper alarm signals are being received. May also include maintenance records and inspection/testing records for individual alarm systems including systems testing and certification documentation, inspection records, service contracts and reports, permits, diagrams, site information, emergency contact lists and correspondence. Equipment Inspection Records Records of inspections for vehicles, mechanical systems, hoses, hydrants, ladders (ground and aerial), mask service information (model, serial number, purchase date, type, cubic feet of tank and service record. 11.38.1 Mask Service and ladder information
1 year then destroy L then destroy L = Life of system.
11.38
3 years then destroy
C then destroy
C = Until replaced or no longer in service.
53
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Apparatus Accident Files Department record of accidents involving municipal fire/rescue vehicles. May include police reports, witness statements, memoranda, diagrams, photographs and related documentation. Fire Hydrant Identification Files Record of individual fire hydrants in service. Data may include identifying characteristics of each hydrant including location, date installed, size of lead, make, number of turns to open, size of main. Oil Spill Preparedness Files Includes information related to oil spill drills, incidents and inspections.
Retention & Disposition
Remarks
11.39
3 years then destroy*
* = Retain longer if involved in litigation. Consult with legal counsel prior to disposition.
11.40
C then destroy
C = Until hydrant is no longer in service.
11.41
6 years then destroy
54
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
11.42
Records Series Title & Description
Hazardous Materials/ Hazardous Substances Right To Know Files
Retention & Disposition
Remarks
11.42.1 Annual Updates 11.42.2 All other records Consists of detailed product/chemical identification listings supplied annually by individual employers that hold, use, or sell products considered hazardous by the USDOL, DOSH. This series may include USDOL forms or material safety data sheets, emergency and hazardous chemical inventory forms, company emergency plans, inspection reports, or other mandated documentation relating to hazardous substances. Hazardous Materials Incident Files 11.43 Records of hazardous material incidents. May include hazardous incident reports, copies of fire/rescue reports, narratives, and memoranda. Contingency & Emergency Services Plans
3 years then destroy C+7 years then destroy
C = As long as the employer does business in the municipality. USDOL = United States Department of Labor. DOSH = Department of Occupational Safety & Health.
Retain Permanently
11.44
Retain Permanently
55
Local Government Model General Administrative Records Retention Schedule #300.1 12. Planning, Zoning & Community Development
Item No.
12.1 12.1.1 12.1.2
Records Series Title & Description
Planning Commission Files Approved & Waivered Proposals Denied & Withdrawn Proposals This series documents official actions of the Planning Commission. May include correspondence, master, preliminary, and final plans, amendments, written comments from federal, state, or other municipal agencies, permits and agreements with state and federal reviewing agencies, approved master and preliminary plans, site and impact analyses. Planning & Zoning Enforcement Case Files Documents complaints and action taken regarding the enforcement of planning and zoning regulations. Land Classification Case Files Documents actions to classify lands within the jurisdiction of the local government. May relate to acquisitions, sales, leases, management agreements, letters of entry, timber sales, resource sales, etc. Land Management Case Files Documents management of lands. Files may relate to acquisitions, sales, leases, management agreements, letters of entry, timber/resource sales, etc.
Retention & Disposition
Retain Permanently 3 years then destroy
Remarks
Also may include records of public hearings, final approval drawings, photographs, variances, test results, reports, affidavits and legal opinions, tax certificates, bonds, questionnaires, project descriptions, subcontractor lists, cost estimates and vote totals, legal agreements, pleadings, agendas, minutes and final order.
12.2
C+6 years then destroy
C = Until resolution of the case. C = Until resolution of the case.
12.3
C+10 years then destroy
If case files subject to potential litigation, retain until file no longer has legal value. Some files may have permanent archival value. C = Until case is closed. If case files subject to potential litigation, retain until file no longer has legal value. Some files may have permanent archival value.
12.4
C+10 years then destroy
56
Local Government Model General Administrative Records Retention Schedule #300.1 12. Planning, Zoning & Community Development
Item No.
12.5
Records Series Title & Description
Conditional & Temporary Use Permits
Retention & Disposition
L then destroy
Remarks
L = Life of permit. For business licenses, other licenses and nonbusiness permits refer to section 14.
Site Selection Files 12.6 Documents site selection for proposed facilities including fire service, libraries, parks, police, schools, utilities, water and sewer. Coastal Management Consistency Reviews State, federal and local reviews for conformance with Coastal Management reviews and plans. Flood Control Program Files 12.8 Includes erosion control studies, flood plain data, correspondence, maps and drawings documenting flood/erosion areas and specific problem parcels. Capital Improvement Request Files This series documents capital improvements to public facilities, transportation systems and school districts. A list of projects are nominated and prioritized for funding (i.e., wish list), subject to governing body budget approval. Geographic Names Files Consists of applications and backup data relating to the naming of mountains, lakes, streams and other geographic features. Retain Permanently
12.7
C+6 years then destroy
C = Until review is completed.
C then destroy
C = Until superseded/obsolete or administrative need is met. C = Until project is completed. AS 29.35.100
12.9
C+6 years then destroy
Refer also to item #5.1 (Procurement Records) & item #3.1 (General Accounting Records).
12.10
Retain Permanently
57
Local Government Model General Administrative Records Retention Schedule #300.1 12. Planning, Zoning & Community Development
Item No.
12.11
Records Series Title & Description
Road Name Changes Includes information regarding road name changes and copies of affidavit of publication.
Retention & Disposition
Retain Permanently
Remarks
58
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Plans, Maps & Drawings Plans, drawings, maps and as-builts including, but not limited to, municipal buildings, streets, survey/plat, lot plans, tax assessment, layout/grade, sanitary sewers, zoning, easements, landfills, subdivisions, traffic control, water and fire lanes. Construction Project Files Consists of specifications, contracts, plans, bids, evaluations, performance bonds and correspondence documenting solicitation, selection, award/administration of contracts and professional service agreements. May include field reports, job accounting information, contract modifications, data relative to utilities and project close-out information. Engineering Field & Bench Mark Books Engineering field measurements, sketches, and diagrams including, but not limited to, elevations, distance, bench marks, ridges, easements, drainage, ponding, and core test holes.
Retention & Disposition
Remarks
Logs or registers of plans, maps and drawings should also be retained permanently.
13.1
Retain Permanently
Reference copies may be disposed after all administrative need is met.
C = Until project is completed. C+6 years then destroy Refer also to item #5.1 (Procurement Records) & item #3.1 (General Accounting Records).
13.2
13.3
Retain Permanently
Reference copies may be disposed after all administrative need is met.
59
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Permit Application Files Permits include: Construction, Building, Utility, Drinking Water (facilities), Railroad, Waste Water Disposal. May consist of applications, copy of permit, maps, site plans/plats, specifications, drawings, engineer/architect’s certification, as-builts, inspection reports, accounting data, etc. Inspection Files (Miscellaneous)
Retention & Disposition
Remarks
13.4
C+6 years then destroy
C = Until permit expires.
13.5
Inspection reports including foundation, framing, electrical, plumbing and fire safety. Permits Register List of all permits issued by Engineering, Buildings & Public Works. Right of Way & Easement Files (Originals) Grant of easement records for legal permission to conduct work on private property, including, but not limited to, laying, constructing, maintaining, operating, repairing and servicing water and sewerage pipes, mains, drains, signs and utilities. Also vacations (including section line and deeds of vacation), descriptions of easement areas, diagrams, plans, agreements, memoranda, correspondence and property disposition.
6 years then destroy
13.6
Retain Permanently
Refer to item #14.3 for non-construction permits.
13.7
Retain Permanently
60
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
13.8 13.8.1 13.8.2
Records Series Title & Description
Subdivisions & Land Development Project Files Approved Denied Applications Records documenting property subdivisions. May include applications, site plan review, check lists, inspections, diagrams, plans, plats, drawings, specifications, covenants, subsurface soils investigations, boundary surveys, memoranda and other analyses. Regulatory Compliance Files Records documenting compliance with state/federal requirements such as coastal resources management and freshwater wetlands. May include copies of applications for authorization to perform work, requests for preliminary determinations, wetlands determinations, complaints, notices of violations, plans/maps, notices of public hearings, correspondence and memoranda. Bridge Files Cumulative history file for bridges. May include memoranda, correspondence, newspapers clippings, reports, plans/specifications, materials lists, excavation permits, bridge deficiency /inspection reports and work orders.
Retention & Disposition
Remarks
Retain Permanently C then destroy C = Until administrative need is met.
13.9
C+3 years then destroy
C = Until project is completed.
13.10
C then destroy
C = Until superseded/obsolete or administrative need is met.
61
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Work/Repair Requests & Complaints
Retention & Disposition
Remarks
13.11
Requests for work or repairs initiated by citizen complaint or internally. Data may include name and number of complainant or requestor, location and type of work to be performed, dates and times of receipt/response. Maintenance Work Orders & Logs Record of work performed and completed related to electrical, sewer, gas, street or water systems. Data may include date, time, order number, location, description of work, authorization, names of staff performing work, itemized labor, equipment and material information. Facility Maintenance Files Includes all documents, files and data relating to operation of facility, including permits, utilities correspondence, bids, reports, proposals, accounting, problems and enabling legislation.
3 years then destroy
13.12
3 years then destroy
L = For the life of the facility. L or C then destroy C = Until administrative need is met. Official Record Copies of certain documents may be administered by other departments.
13.13
62
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Fuel Summaries & Receipts Fuel summaries record daily, weekly or monthly fuel dispensed. May include grade of fuel, pump locations, meter/stick readings, gallons delivered and total gallons consumed or oil/antifreeze disbursed. Fuel receipts (slips) record individual fuel intake. Data may include vehicle number/type; driver; meter readings; and, gallons of fuel, oil, or antifreeze received. Traffic Light Records
Retention & Disposition
Remarks
13.14
A+1 year then destroy
A = Until audit is completed.
13.15
13.15.1 Maintenance Records 13.15.2 Reference Materials This series documents maintenance and servicing of traffic lights. May include intersection/signal diagrams, specifications, schematics, work and repair orders. Snow Plow Files 13.16 Records relating to snow plow routes and activity. May include maps, routes, correspondence, logs, crew lists or other documentation relevant to snow removal.
3 years then destroy L then destroy L = For the functional life of the signal.
C then destroy
C = Until superseded/obsolete or administrative need is met.
63
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Tree Files Records relating to tree maintenance, planting and removals. May include correspondence, removal or planting schedules, copies of agreements, reports, proposals, pamphlets, maps, grant data, and records on pesticide use including public hearing notices and copies of applicators’ licenses and certifications. Sanitation Files Records relating to sanitation functions, truck routes and activity. May include vehicle scale/tonnage reports, maps, routes, correspondence, newspaper clippings of public notices, manifests, logs and crew lists. Landfill Records Records relating to municipal landfill operations. May include certificates of insurance; ground water samples/analysis; EPA screening site inspection; preliminary assessments; state field test reports; methane gas analyses/results; engineering, operating, contingency, sedimentation and erosion control plans; hydrogeological reports; monitoring logs; CERCLIS documentation; site access agreements; and, closure/postclosure records.
Retention & Disposition
Remarks
13.17
3 years then destroy
13.18
3 years then destroy *
* = If records may be subject to potential litigation, retain permanently.
13.19
Retain Permanently
CERCLIS = Comprehensive Environmental Response, Compensation & Liability Act EPA = Environmental Protection Agency 23 AAC 60.380 (a) (2)
64
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
13.20
Records Series Title & Description
Underground Storage Tank Records
Retention & Disposition
Remarks
L = Life of the tank.
13.20.1 Registration and Certification 13.20.2 Maintenance and Repair History Documents registration and State certification. Geologic Data 13.21 Documents relating to slides, avalanches, borings/drainage, and other subsurface conditions including piling records. Sewer & Water Assessment Records Records relating to sewer and water connection assessments for tax purposes. May include location diagrams, inspections, measurements, photographs and abatements. Sewer Location & Connection Records Records detailing sewer connections for individual properties and/or municipal sewer system. Includes location, diagram and address. May include system specifications, requests for location of sewer connections, surveys, sketches, inspection and work reports, and dye test requests and reports.
6 years then destroy L+6 years then destroy
If records may be subject to potential litigation, retain permanently. AS 46.03.360-450; 18 AAC 75, 18 AAC 78 & 40 CFR 280.
Retain Permanently
13.22
Retain Permanently*
* = If Assessor administers Official Record Copy, keep 3 years.
13.23
Retain Permanently
65
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Water Service & Valve Location Records Records detailing water service connections for individual properties and/or shared water system. Includes location, diagram, address, type, date connection established, lengths, make, size, curb stop, main or gate valve. Water System Monitoring Charts & Logs Graphs monitoring water distribution system including flow rates, pressure and elevation. Logs document water readings at individual pumping/meter stations including date, time, reading, number of gallons per minute, reader’s name and remarks. Water System Repair & Maintenance Records Record of work performed and completed on individual water meters, connections and mains. May include meter number, manufacturer, readings, job descriptions, name, telephone number, locations, size and service number. Well Information Includes well boring and well logs.
Retention & Disposition
Remarks
13.24
C then destroy
C = Until system is no longer in existence.
13.25
5 years then destroy
13.26
3 years then destroy
13.27
3 years then destroy
66
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
13.28
Records Series Title & Description
Water Testing Records Record of water testing and analysis conducted on water system. Records may include, but are not limited to, laboratory certificates of analysis; microbiological, sample analysis and other result reports; water supply summary sheet; monthly water quality logs; chain of custody forms; and, lead/copper/nitrate results.
Retention & Disposition
Remarks
C = Until last action taken with respect to the applicable violation. 12 years then destroy 10 years then destroy 18 AAC 70
13.28.1 Lead & copper analyses, corrosion control sampling and source water treatment records. 13.28.2 Chemical, organic/inorganic chemical, radiological and turbidity analyses, and sanitary system survey data. 13.28.3 Records of action taken to correct violations of primary drinking water regulations. Water Management Plans 13.29 Plans mandated by Alaska Statute and regulated through the Alaska Administrative Code. Plans include, but are not limited to, Water Supply Management, Water Quality Protection and Wellhead Protection. Water Service Applications & Agreements Applications and agreements for water service and supply. Data may include name, address, plat/lot numbers, district service and meter numbers. Signed agreement of terms and service may constitute contract. 67
18 AAC 72
C+3 years then destroy
18 AAC 80
Retain Permanently
13.30
C then destroy
C = Until superseded/obsolete or administrative need is met.
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Meter Reading Books & Cards Record of water usage for customers. Includes date of reading, reading figures, water consumed, meter number, size, manufacturer, owner, address and service number. Recycling & Hazardous Waste Records Record of materials (metals, oil, antifreeze, brake/power steering fluid, asbestos, paint, Freon, other waste) transported to the municipal recycling center/landfill. Data may include disposal authorizations/certifications, name of resident, address, date, materials delivered and vehicle registration number.
Retention & Disposition
Remarks
13.31
6 years then destroy
13.32
3 years then destroy *
* = If records may be subject to potential litigation, retain permanently.
68
Local Government Model General Administrative Records Retention Schedule #300.1 14. Licenses
Item No.
14.1 14.1.1 14.1.2
Records Series Title & Description
Business Licenses Approved Denied, rejected or withdrawn This series documents licensure and permitting of businesses located within the jurisdiction of the local governing body. May include copies of Alcoholic Beverage Control Board applications. Licenses & Permits (NonBusiness) Approved Denied, rejected or withdrawn Includes public gatherings, animal, bicycle, charity collections or events, public facility use, etc. Permits Register
Retention & Disposition
C+3 years then destroy 1 year then destroy
Remarks
C = Until permit expires.
14.2 14.2.1 14.2.2
C+1 year then destroy 6 months then destroy
C = Until permit expires.
14.3
14.4
List of all non-construction permits issued by Licensing Department. Sales Tax Registrations & Reports
30 years then destroy 3 years then destroy
69
Local Government Model General Administrative Records Retention Schedule #300.1 15. Assessments
Item No.
Records Series Title & Description
Annual Tax Assessment Rolls Real and business property annual assessment rolls. Includes property description, assessed value of property and names/addresses of owners. Notices of Assessment Real and personal property assessment notices, including those undeliverable. Certification Files Consists of annual assessment roll certifications, including oil and gas lease properties, senior citizen, disabled, American veteran, and farm use, etc. Tax Appeal Files Documents adjustment appeals made to the assessment review board. Includes written appeal, audio tapes and board certifications. Real Property Parcel Master File This series used to certify and document the assessed value of real property. Includes following exemptions: senior citizen, disabled American Veteran, Farm Use Deferment, Religious, Charitable, Educational. Section Land Files Includes full legal description and chain of title information for all land parcels in township, section and range. Includes nonconforming (illegal) splits.
Retention & Disposition
Remarks
15.1
Retain Permanent
AS 29.45.160
15.2
6 years then destroy
15.3
6 years then destroy
15.4
6 years then destroy
15.5
Retain Permanent
15.6
C then destroy
C = Until superseded/obsolete or administrative need is met.
70
Local Government Model General Administrative Records Retention Schedule #300.1 15. Assessments
Item No.
Records Series Title & Description
Personal Property Files This series used to certify and document the assessed value of personal property. Includes certifications, declaration forms, and miscellaneous information attached to property assessment. Reports of Collection Building & Land Inventory Records
Retention & Disposition
Remarks
15.7
6 years then destroy
15.8
6 years then destroy
15.9
This series documents new building construction and razing/renovation of older buildings; and, tracks land, subdivision, re-subdivisions, lot line removals, etc. Market Sales Program Records Includes property acquisition questionnaires and market sales program information.
6 years then destroy
15.10
6 years then destroy
71
Local Government Model General Administrative Records Retention Schedule #300.1 16. Land Management
Item No.
Records Series Title & Description
Land Township/Range/Section Files
Retention & Disposition
Remarks
16.1
Includes deeds, easements, cadastral surveys, entitlement documents, assembly actions and other legal documents. Land Lottery Records Consists of financial reports, property pictures and land owner information. Municipal Entitlement Records History of land acquired from the State (selection, patent). Property Tax Foreclosure Records May include parcel inventory files and property acquired through tax foreclosure where repurchase rights have been extinguished.
Retain Permanently
16.2
Retain Permanently Retain Permanently
16.3
16.4
Retain Permanently
72
Local Government Model General Administrative Records Retention Schedule #300.1 17. Parks & Recreation
Item No.
17.1
Records Series Title & Description
Recreation Program Records
Retention & Disposition
3 years then destroy Retain Permanently
Remarks
17.1.1
Program histories and photographs Records relating to programs and activities sponsored or developed by the Parks & Recreation Department. Included are sports programs (soccer, softball, baseball, ice skating, basketball, aerobics, races), arts, charitable events, day camps, luncheons and picnics. Documents may consist of player rosters, sponsor forms, practice notices, schedules, tournament seedings, permission slips, drop out forms, worker lists, brochures, flyers and correspondence. Coach/Instructor/Lifeguard Records Records relating to instructor, lifeguard, or coach certification and training. May include volunteer coach registrations, criminal background checks, reference and training videos, newsletters and other certifications. Recreation Facility Records Records relating to maintenance, compliance and monitoring of municipal facilities including community recreation buildings, pools, ice skating rinks, arenas and athletic fields. This series may consist of inspection certifications, use permits, facility applications and licenses.
17.2
C then destroy
C = Until superseded/obsolete or administrative need is met.
17.3
Retain Permanently
73
Local Government Model General Administrative Records Retention Schedule #300.1 17. Parks & Recreation
Item No.
Records Series Title & Description
Maps, Plans & Drawings This series documents topographic features, drainage, structures, proposed enhancements, etc. for parks. Includes utility maps, easements and as-builts.
Retention & Disposition
Remarks
C = Until superseded/obsolete or administrative need is met.
17.4
C then destroy
Official Record Copy may be administered by Engineering, Buildings & Public Works (item #13.1). C = Until superseded/obsolete or administrative need is met.
Horticulture Project Files 17.5 Consists of records relating to landscaping, tree and flower work, including requests, design plans and work orders. Harbor Master Files Includes documentation relating to harbor master activity: hours worked, number of warnings and citations issued, remarks, and comments. Also consists of mooring permits issued, inspections conducted, USCG certifications and proofs of insurance. Cultural Resources Records Documentation of the functions and activities of the cultural resources officer. Includes case files, final reports, drawings, photographs, videos, plans, maps, etc. C then destroy
17.6
3 years then destroy
17.7
Retain Permanently
74
Local Government Model General Administrative Records Retention Schedule #300.1 18. Libraries & Museums
Item No.
Records Series Title & Description
Accession Records Documenting library/museum accessions and may include date purchased/amount, publisher, classification code, detailed descriptions, artifact care data, etc. De-Accession Records Items transferred, returned to donor, or disposed. Circulation Records May include privileged patron information, circulation cards, overdue notices, etc.
Retention & Disposition
Remarks
18.1
Retain Permanently
18.2
Retain Permanently C = Until superseded/obsolete or administrative need is met. Confidential per AS 09.25.140 (Confidentiality of Library Records). C = Until superseded/obsolete or administrative need is met. C then destroy Backup disaster recovery tapes are stored offsite for security. Tapes are rotated according to established Repository procedures.
18.3
C then destroy
Shelf Lists, Inventories & Information Systems Documenting repository materials. 18.4
Accreditation Files 18.5 Documenting library and museum accreditation. Reference Request Files This records series is used for statistical purposes and documents pertinent researcher data (name, address, research topic and materials requested). Retain Permanently C = Until administrative need is met. C Confidential per AS 40.25.140 (Confidentiality of Library Records).
18.6
75
Local Government Model General Administrative Records Retention Schedule #300.1 18. Libraries & Museums
Item No.
Records Series Title & Description
Conservation Reports Series consists of artifact conservation records. Includes survey reports, treatment reports, treatment request reports, photos, slides and negatives.
Retention & Disposition
Remarks
18.7
Retain Permanently
76
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
RECORDS SERIES INDEX A Item No.
11.17 18.1 11.23 18.5 1.5 8.9 6.22 11.24 2.9 15.1 11.39 11.5 1.17 1.9
Records Series Title
Abused/Neglected Child Notification Accession Records Accreditation Files Accreditation Files Administrative Studies/Special Projects Affidavits Alaska Human Rights Act Records Animal Control Files Annexation Files Annual Tax Assessment Rolls Apparatus Accident Files Arrest Records Automatic Data Processing & Electronic Data Processing Media Automotive Management 49 75 50 75 18 40 37 50 25 70 54 46 22 19
B Item No.
3.7 3.13 3.11 3.12 13.10 15.9 14.1
Records Series Title
Banking Records Bills of Sale Bond Records Bond Registers Bridge Files Building & Land Inventory Records Business Licenses 29 30 30 30 61 71 69
77
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
C Item No.
8.15 3.8 8.12 8.11 12.9 3.9 2.12 2.11 8.2 8.3 15.3 18.3 6.10 17.2 12.7 2.5 6.12 11.1 9.1 12.5 11.9 2.7 18.7 13.2 11.44 5.2 6.13 11.22 11.13 17.7
Records Series Title
Campaign Disclosure Cancelled Checks & Check Registers Candidate Withdrawals Candidates Lists Capital Improvement Request Files Cash Books & Cash Journals Cemetery Master Files Census Records Certificates of Election Certificates of Election Returns (Regular & Special) Certification Files Circulation Records Classification/Reclassification Action Case Files Coach/Instructor/Lifeguard Records Coastal Management Programs Files Codes, Ordinances & Resolutions Collective Bargaining Negotiation Files Complaint Cards Computer System Files Conditional & Temporary Use Files Confidential Informant Files Conflict of Interest Statements Conservation Reports Construction Project Files Contingency & Emergency Services Plans Contract Administration Contract Interpretation & Arbitration Decisions Crime Statistics Criminal Background Checks Cultural Resources Records 41 29 40 40 57 29 25 25 39 39 70 75 35 73 57 24 35 45 42 57 47 24 76 59 55 33 35 49 48 74
78
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
D Item No.
18.2 8.7 3.3 1.6 8.6 1.12
Records Series Title
De-Accession Records Declarations of Candidacy Department Budget Files Department History Files DOJ Preclearance Records Drafts & Working Papers 75 39 27 18 39 20
E Item No.
6.17 6.18 8.5 8.13 8.4 4.12 6.19 4.7 4.8 4.6 11.26 13.3 11.38 1.7
Records Series Title
EEO Administration Records EEO Complaint Case Files Election Contest/Runoff Information Election Officials’ Records Election Registers & Tally Books Electronic Federal Tax Payment (EFTPS) Documentation Employee Medical Records Employee Pay Record Cards Employee Withholding Exemptions (W-4) Employer W-2 Copy EMS Incident Reports Engineering Field & Bench Mark Books Equipment Inspection Records Equipment Records 36 37 39 40 39 32 37 31 31 31 50 59 53 18
79
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
F Item No.
13.13 11.3 3.4 8.8 11.35 11.40 11.27 11.25 11.36 11.34 11.37 11.33 11.32 11.31 2.13 12.8 3.14 10.5 13.14
Records Series Title
Facility Maintenance Files Field Interrogation Cards Financial & Accounting Reports Financial Disclosure Statements Fire & EMS Training Files Fire Hydrant Identification Files Fire Inspection/Compliance Files Fire Investigation Files Fire Prevention Education Programs Fire & Rescue Alarm Response Cards Fire & Rescue Response Circuit/Radio Box Records Fire & Rescue Alarm Response Tapes Fire & Rescue Response Dispatch Cards & Logs Fire & Rescue Response Dispatch Tapes Fixed Asset Inventories Flood Control Program Files Foreclosure Files Franchises Fuel Summaries & Receipts 62 45 28 40 52 54 51 50 53 52 53 52 52 52 26 57 30 43 63
G Item No.
4.9 3.1 1.1 12.10 13.21 5.3 5.4 6.11
Records Series Title
Garnishment & Payroll Deduction Court Orders General Accounting Records General Correspondence Geographic Names Files Geologic Data Grant Administration Files Grant Applications (Not Awarded) Grievance Case Files 31 27 16 57 65 33 33 35
80
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
H Item No.
17.6 6.20 11.42 11.43 11.18 17.5
Records Series Title
Harbor Master Files Hazard Communication & Material Safety Data Sheets Hazardous Materials/Hazardous Substances Right to Know Files Hazardous Materials Incident Files Holding Facility Records Horticulture Project Files 74 37 55 55 49 74
I Item No.
6.21 2.8 6.1 1.10 13.5 7.1 11.8 4.13 11.4 10.4 9.2
Records Series Title
Immigration Reform & Control Act (1986) I-9 Forms Incorporation Files Individual Personnel Files Injury & Accident Records Inspection Files (Miscellaneous) Insurance Policies & Endorsements Internal Affairs Investigations Internal Revenue Service Reports & Reconciliations Investigation Case Files Investigation & Matter Files IT Service Requests 37 24 34 19 60 38 46 32 45 43 42
J Item No.
6.4 6.9 6.8 11.15 11.16
Records Series Title
Job Applications (Unsolicited) Job Class Specifications Job Descriptions Juvenile Arrest Files Juvenile Prosecution Case Files 34 35 35 48 48
81
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
L Item No.
12.3 13.19 16.2 12.4 16.1 4.5 3.5 14.2 10.3 11.10
Records Series Title
Land Classification Case Files Landfill Records Land Lottery Records Land Management Case Files Land Township/Range/Section Files Leave Accounting Ledgers & Journals Licenses & Permits (Non-Business) Litigation Case Files Logs/Indices 56 64 72 56 72 31 28 69 43 47
M Item No.
13.12 17.4 15.10 6.5 2.1 13.31 10.1 16.3
Records Series Title
Maintenance Work Orders & Logs Maps, Plans & Drawings Market Sales Program Records Master Examination Files Meeting Files Meter Reading Books & Cards Municipal Attorney Opinions Municipal Entitlement Records 62 74 71 34 23 68 43 72
N Item No.
10.7 15.2 4.10
Records Series Title
Notice to Comply and/or Violation Reports Notices of Assessment Notification of Pay Step Increases 44 70 31
82
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
O Item No.
2.6 1.18 11.41 6.6 11.6
Records Series Title
Oaths of Office & Appointments Officials’ Bonds Oil Spill Preparedness Files Organization Charts Outstanding Warrants 24 22 54 34 46
P Item No.
4.3 4.4 4.2 4.11 4.1 13.4 11.28 14.3 13.6 15.7 2.3 12.1 12.2 13.1 11.2 1.3 2.4 5.1 1.8 11.11 16.4 2.2 1.14
Records Series Title
Payroll Case Files Payroll Deduction Authorizations Payroll Journal Payroll Reports Payroll Warrant Register Permit Application Files Permits/Licenses Issued Permits Register Permits Register Personal Property Files Petitions Planning Commission Files Planning & Zoning Enforcement Case Files Plans, Maps & Drawings Police Reports (Major & Minor) Policies & Procedures Proclamations Procurement Records Property Control Files Property Records Property Tax Foreclosure Records Public Hearing Files Public Records Log & Requests for Information 31 31 31 32 31 60 51 69 60 71 23 56 56 59 45 17 23 33 18 47 72 23 21
83
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
R Item No.
11.20 1.2 15.5 2.10 1.16 8.10 17.3 17.1 6.3 13.32 18.6 10.2 13.9 1.4 15.8 3.10 13.7 10.6 7.2 12.11
Records Series Title
Radar Reports Reading Files Real Property Parcel Master File Reapportionment & Redistricting Boards Records & Information Management Files Recount Petitions Recreation Facility Records Recreation Program Records Recruitment, Selection & Appointment Records Recycling & Hazardous Waste Records Reference Request Files Regulation Files Regulatory Compliance Files Reports Reports of Collection Revenue Sharing/Safe Communities Files Right of Way & Easement Files (Originals) Right of Ways & Easement Files Risk Management Claim Files Road Name Changes 49 16 70 25 21 40 73 73 34 68 75 43 61 17 71 29 60 44 38 58
S Item No.
6.7 14.4 13.18 4.14 15.6 6.2 13.23 13.22 11.14 18.4 12.6 13.16 11.12 13.8
Records Series Title
Salary Schedules Sales Tax Registrations & Reports Sanitation Files Savings Bond & 401k Accounting Records Section Land Files Service Record Card/Employment History Sewer Location & Connection Records Sewer & Water Assessment Records Sex Offenders Information Shelf Lists, Inventories & Information Systems Site Selection Files Snow Plow Files Stolen Property Lists Subdivisions & Land Development Project Files 34 69 64 32 70 34 65 65 48 75 57 63 47 61
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Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
T Item No.
15.4 1.13 4.5 13.15 11.19 6.16 6.15 1.11 3.2 13.17
Records Series Title
Tax Appeal Files Technical Reference Files Timesheets Traffic Light Records Traffic Records Training Course Development Files Training Course Files Transitory & Miscellaneous Administrative Information Travel Accounting Tree Files 70 20 32 63 49 36 36 20 27 64
U Item No.
13.20 6.14 11.21 11.7
Records Series Title
Underground Storage Tank Records Unfair Labor Practices Case Files Uniform Crime Report (UCR) Use of Force Investigations 65 36 49 46
V Item No.
11.29 3.6 11.30 1.19 8.1 8.14
Records Series Title
Variances Vendor Files Violation/Complaint Files Visitor Logs Voting Ballots (Completed, Challenged, Rejected, Absentee & Special Needs) Voting District Descriptions, Maps & Street Books 51 28 51 22 39 41
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Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
W Item No.
13.29 13.30 13.24 13.25 13.26 13.28 1.15 13.27 13.11 7.3 Water Management Plans Water Service Applications & Agreements Water Service & Valve Location Records Water System Monitoring Charts & logs Water System Repair & Maintenance Records Water Testing Records Website Content, Management & Operations Records Well Information Work/Repair Requests & Complaints Worker’s Compensation Claims 67 67 66 66 66 67 21 66 62 38
86
doc_251258740.pdf
The General Services Administration (GSA) is an independent agency of the United States government, established in 1949 to help manage and support the basic functioning of federal agencies.
STATE OF ALASKA
LOCAL GOVERNMENT MODEL GENERAL ADMINISTRATIVE RECORDS RETENTION SCHEDULE
Schedule #300.1
2012
Department of Education & Early Development Division of Libraries, Archives & Museums Alaska State Archives/Records & Information Management Service (ASA/RIMS) 141 Willoughby Avenue Juneau, Alaska 99811-0525 http://archives.alaska.gov/records_management/records_management.html
Local Government Model General Administrative Records Retention Schedule #300.1
CONTENTS
Preface Contact Details Approval Introduction Glossary Guide to Adopting the Model General Schedule 11 11 11 12 14 15
RECORDS SERIES 1. GENERAL ADMINISTRATIVE
Item No. 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 Records Series Title General Correspondence Reading Files Policies & Procedures Reports Administrative Studies/Special Projects Department History Files Equipment Records Property Control Files Automotive Management Injury & Accident Records Transitory & Miscellaneous Administrative Information Drafts & Working Papers Technical Reference Files Public Records Log & Requests for Information Website Content, Management & Operations Records Records & Information Management Files Automatic Data Processing & Electronic Data Processing Media Officials’ Bonds Visitor Logs 16 16 17 17 18 18 18 18 19 19 20 20 20 21 21 21 22 22 22
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Local Government Model General Administrative Records Retention Schedule #300.1
2. CLERK & GOVERNING BODY
Item No. 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 Records Series Title Meeting Files Public Hearing Files Petitions Proclamations Codes, Ordinances & Resolutions Oaths of Office & Appointments Conflict of Interest Statements Incorporation Files Annexation Files Reapportionment & Redistricting Boards Census Records Cemetery Master Files Fixed Asset Inventories 23 23 23 23 24 24 24 24 25 25 25 25 26
3. FINANCE & AUDIT
Item No. 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 Records Series Title General Accounting Records Travel Accounting Department Budget Files Financial & Accounting Reports Ledgers & Journals Vendor Files Banking Records Cancelled Checks & Check Registers Cash Books & Cash Journals Revenue Sharing/Safe Communities Files Bond Records Bond Registers Bills of Sale Foreclosure Files 27 27 27 28 28 28 29 29 29 29 30 30 30 30
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Local Government Model General Administrative Records Retention Schedule #300.1
4. PAYROLL
Item No. 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 4.10 4.11 4.12 4.13 4.14 Records Series Title Payroll Warrant Register Payroll Journal Payroll Case Files Payroll Deduction Authorizations Leave Accounting Employer W-2 Copy Employee Pay Record Cards Employee Withholding Exemptions (W-4) Garnishment & Payroll Deduction Court Orders Notification of Pay Step Increases Payroll Reports Electronic Federal Tax Payment (EFTPS) Documentation Internal Revenue Service Reports & Reconciliations Savings Bond & 401k Accounting Records 31 31 31 31 31 31 31 31 31 31 32 32 32 32
5. PROCUREMENT, CONTRACTS & GRANTS
Item No. 5.1 5.2 5.3 5.4 Records Series Title Procurement Records Contract Administration Grant Administration Files Grant Applications (Not Awarded) 33 33 33 33
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Local Government Model General Administrative Records Retention Schedule #300.1
6. HUMAN RESOURCES ADMINISTRATION
Item No. 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 6.10 6.11 6.12 6.13 6.14 6.15 6.16 6.17 6.18 6.19 6.20 6.21 6.22 Records Series Title Individual Personnel Files Service Record Card/Employment History Recruitment, Selection & Appointment Records Job Applications (Unsolicited) Master Examination Files Organization Charts Salary Schedules Job Descriptions Job Class Specifications Classification/Reclassification Action Case Files Grievance Case Files Collective Bargaining Negotiation Files Contract Interpretation & Arbitration Decisions Unfair Labor Practices Case Files Training Course Files Training Course Development Files EEO Administration Records EEO Complaint Case Files Employee Medical Records Hazard Communication & Material Safety Data Sheets Immigration Reform & Control Act (1986) I-9 Forms Alaska Human Rights Act Records 34 34 34 34 34 34 34 35 35 35 35 35 35 36 36 36 36 37 37 37 37 37
7. RISK MANAGEMENT
Item No. 7.1 7.2 7.3 Records Series Title Insurance Policies & Endorsements Risk Management Claim Files Worker’s Compensation Claims 38 38 38
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Local Government Model General Administrative Records Retention Schedule #300.1
8. ELECTIONS
Item No. 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13 8.14 8.15 Records Series Title Voting Ballots (Completed, Challenged, Rejected, Absentee & Special Needs) Certificates of Election Certificates of Election Returns (Regular & Special) Election Registers & Tally Books Election Contest/Runoff Information DOJ Preclearance Records Declarations of Candidacy Financial Disclosure Statements Affidavits Recount Petitions Candidates Lists Candidate Withdrawals Election Officials’ Records Voting District Descriptions, Maps & Street Books Campaign Disclosure 39 39 39 39 39 39 39 40 40 40 40 40 40 41 41
9. INFORMATION TECHNOLOGY
Item No. 9.1 9.2 Records Series Title Computer System Files IT Service Requests 42 42
10. LEGAL
Item No. 10.1 10.2 10.3 10.4 10.5 10.6 10.7 Records Series Title Municipal Attorney Opinions Regulations Files Litigation Case Files Investigation & Matter Files Franchises Right of Ways & Easement Files Notice to Comply and/or Violation Reports 43 43 43 43 43 44 44
6
Local Government Model General Administrative Records Retention Schedule #300.1
11. PUBLIC SAFETY
Item No. 11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8 11.9 11.10 11.11 11.12 11.13 11.14 11.15 11.16 11.17 11.18 11.19 11.20 11.21 11.22 11.23 11.24 11.25 11.26 11.27 11.28 11.29 11.30 11.31 11.32 11.33 11.34 11.35 11.36 11.37 11.38 11.39 11.40 11.41 11.42 11.43 11.44 Records Series Title Complaint Cards Police Reports (Major & Minor) Field Interrogation Cards Investigation Case Files Arrest Records Outstanding Warrants Use of Force Investigations Internal Affairs Investigations Confidential Informant Files Logs/Indices Property Records Stolen Property Lists Criminal Background Checks Sex Offenders Information Juvenile Arrest Files Juvenile Prosecution Case Files Abused/Neglected Child Notification Holding Facility Records Traffic Records Radar Reports Uniform Crime Report (UCR) Crime Statistics Accreditation Files Animal Control Files Fire Investigation Files EMS Incident Reports Fire Inspection/Compliance Files Permits/Licenses Issued Variances Violation/Complaint Files Fire & Rescue Response Dispatch Tapes Fire & Rescue Response Dispatch Cards & Logs Fire & Rescue Alarm Response Tapes Fire & Rescue Alarm Response Cards Fire & EMS Training Files Fire Prevention Education Programs Fire & Rescue Response Circuit/Radio Box Records Equipment Inspection Records Apparatus Accident Files Fire Hydrant Identification Files Oil Spill Preparedness Files Hazardous Materials/Hazardous Substances Right to Know Files Hazardous Materials Incident Files Contingency & Emergency Services Plans 7 45 45 45 45 46 46 46 46 47 47 47 47 48 48 48 48 49 49 49 49 49 49 50 50 50 50 51 51 51 51 52 52 52 52 52 53 53 53 54 54 54 55 55 55
Local Government Model General Administrative Records Retention Schedule #300.1
12. PLANNING, ZONING & COMMUNITY DEVELOPMENT
Item No. 12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8 12.9 12.10 12.11 Records Series Title Planning Commission Files Planning & Zoning Enforcement Case Files Land Classification Case Files Land Management Case Files Conditional & Temporary Use Permits Site Selection Files Coastal Management Programs Files Flood Control Program Files Capital Improvement Request Files Geographic Names Files Road Name Changes 56 56 56 56 57 57 57 57 57 57 58
13. ENGINEERING, BUILDINGS & PUBLIC WORKS
Item No. 13.1 13.2 13.3 13.4 13.5 13.6 13.7 13.8 13.9 13.10 13.11 13.12 13.13 13.14 13.15 13.16 13.17 13.18 13.19 13.20 13.21 13.22 13.23 13.24 13.25 13.26 13.27 Records Series Title Plans, Maps & Drawings Construction Project Files Engineering Field & Bench Mark Books Permit Application Files Inspection Files (Miscellaneous) Permits Register Right of Way & Easement Files (Originals) Subdivisions & Land Development Project Files Regulatory Compliance Files Bridge Files Work/Repair Requests & Complaints Maintenance Work Orders & Logs Facility Maintenance Files Fuel Summaries & Receipts Traffic Light Records Snow Plow Files Tree Files Sanitation Files Landfill Records Underground Storage Tank Records Geologic Data Sewer & Water Assessment Records Sewer Location & Connection Records Water Service & Valve Location Records Water System Monitoring Charts & Logs Water System Repair & Maintenance Records Well Information 8 59 59 59 60 60 60 60 61 61 61 62 62 62 63 63 63 64 64 64 65 65 65 65 66 66 66 66
Local Government Model General Administrative Records Retention Schedule #300.1
13. ENGINEERING, BUILDINGS & PUBLIC WORKS CONT’D
Item No. 13.28 13.29 13.30 13.31 13.32 Records Series Title Water Testing Records Water Management Plans Water Service Applications & Agreements Meter Reading Books & Cards Recycling & Hazardous Waste Records 67 67 67 68 68
14. LICENSES
Item No. 14.1 14.2 14.3 14.4 Records Series Title Business Licenses Licenses & Permits (Non-Business) Permits Register Sales Tax Registrations & Reports 69 69 69 69
15. ASSESSMENTS
Item No. 15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 Records Series Title Annual Tax Assessment Rolls Notices of Assessment Certification Files Tax Appeal Files Real Property Parcel Master File Section Land Files Personal Property Files Reports of Collection Building & Land Inventory Records Market Sales Program Records 70 70 70 70 70 70 71 71 71 71
16. LAND MANAGEMENT
Item No. 16.1 16.2 16.3 16.4 Records Series Title Land Township/Range/Section Files Land Lottery Records Municipal Entitlement Records Property Tax Foreclosure Records 72 72 72 72
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Local Government Model General Administrative Records Retention Schedule #300.1
17. PARKS & RECREATION Item No. 17.1 17.2 17.3 17.4 17.5 17.6 17.7 Records Series Title Recreation Program Records Coach/Instructor/Lifeguard Records Recreation Facility Records Maps, Plans & Drawings Horticulture Project Files Harbor Master Files Cultural Resources Records 73 73 73 74 74 74 74
18. LIBRARIES & MUSEUMS
Item No. 18.1 18.2 18.3 18.4 18.5 18.6 18.7 Records Series Title Accession Records De-Accession Records Circulation Records Shelf Lists, Inventories & Information Systems Accreditation Files Reference Request Files Conservation Reports 75 75 75 75 75 75 76 77
RECORDS SERIES INDEX
10
Local Government Model General Administrative Records Retention Schedule #300.1
PREFACE
This updated Local Government Model General Administrative Records Retention Schedule #300.1 (Model General Schedule) supersedes a 2001 schedule produced by this agency. Since this Model General Schedule is only a guide, local governments should consider adapting it to their own requirements. Please refer to the guide on how to adopt this Model General Schedule on p.15.
CONTACT DETAILS
If you have any questions regarding this Model General Schedule, please do not hesitate to contact: Gordon E. Brown State Records Manager Alaska State Archives/Records & Information Management Service (ASA/RIMS) Department of Education & Early Development Division of Libraries, Archives & Museums 141 Willoughby Avenue Juneau, AK 99811-0525 Tel: (907) 465-2275 Fax: (907) 465-2465 [email protected]
APPROVAL
Gordon E. Brown* Gordon E. Brown State Records Manager
* Original signatures are kept on file
Dean Dawson* Dean Dawson State Archivist
11
Local Government Model General Administrative Records Retention Schedule #300.1
INTRODUCTION
AS 40.21: Management & Preservation of Public Records AS 40.21 requires the orderly management of current local public records and preservation of noncurrent public records that have permanent historical value. AS 40.21.070 says “the governing body of each political subdivision of the state shall promote the principles of efficient records management for local public records...” Moreover, per AS 29.20.380(4) the municipal clerks shall “manage municipal records and develop retention schedules and procedures for inventory, storage and destruction of records.” The Model General Schedule is a tool municipal clerks and other officials (AS 40.21.080) may utilize to assist in determining how long to retain records created or received in the conduct of their respective responsibilities. Purpose of the Model General Schedule The purpose of this Model General Schedule is to list and describe common records series that Alaskan local governments (including cities/boroughs, villages, districts, authorities, other political subdivisions) administer and to recommend minimum retention periods. The Model General Schedule is meant to be a guide only - each governing body should inventory its records and develop its own fully approved Records & Information Management Service that addresses each locality’s unique requirements. As a result of such a service, unneeded documents may be discarded and less active records may be transferred to cheaper offsite storage, freeing up prime office space. What is the Goal of a Records and Information Management Service? The goal of a Records and Information Management program is to retrieve the right information at the right time. An effective program ensures that local government staff has the recorded information necessary to perform its statutory and regulatory functions, avoid waste and preserve the documentary heritage of the community. What is a Record? A record is any media that captures, preserves or disseminates information; or, documents that are created or received during the course of an organization’s official business and preserved or appropriate for preservation by an agency or a political subdivision as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the state or political subdivision or because of the informational value in them [refer to AS 40.21.150(5 & 6).]
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Local Government Model General Administrative Records Retention Schedule #300.1
What Types of Media Are Included? Records herein referenced may be contained on a variety of media, including, but not limited to: paper, microfilm, analog cassette/video tapes, maps, drawings, photographs, magnetic tapes/disks, digitized video files, and optical disks. Additionally, information sets (e.g. email, datasets, metadata) stored in document management systems may have record status and require retention to meet administrative, legal or financial needs. Regardless of media utilized, the “Official Record Copy” must be maintained by the local governing body long enough to meet these considerations. What Are The Four Values of Records That Impact Retention? Administrative/ Operational: Financial: Legal: Historical: These records are needed for current operations of the agency. Financial records document fiscal transactions needed for tax and audit purposes. Records with legal value document the rights of citizens or employees or pertain to contractual obligations. Records have historical value if they document policies, procedures or historical activities.
13
Local Government Model General Administrative Records Retention Schedule #300.1
GLOSSARY
Business Essential Records: Records containing information that is essential to the continuing operation or survival of the department. These records should be managed in a way to ensure their survival in the event of a disaster e.g. a fire or flood. The process where a record is either destroyed or transferred to an archives as prescribed by a records retention schedule. Duplicate records are all other copies of a record not considered to be the Official Record Copy. In essence this means that if your department does not hold the Official Record Copy, you hold a duplicate copy and must retain this duplicate for the prescribed period of time as stated in the records retention schedule. The Official Record Copy refers to the copy of the record that must be retained to fulfill all its legal responsibilities and must be retained for the total retention period stated. A group of alike records filed together by their content e.g. reading files. This refers to the length of time that records need to be kept for.
Disposition:
Duplicates:
Official Record Copy: Records Series: Retention:
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Local Government Model General Administrative Records Retention Schedule #300.1
GUIDE TO ADOPTING THE MODEL GENERAL SCHEDULE
This is intended as a model schedule and contains recommendations for the minimum retention periods. This is a guide as to the issues that you need to consider when adopting this schedule for your own use. 1. Decide whether all the records series listed in the Model General Schedule cover all the records that you hold. If not, then add them and decide how long they are to be kept. Decide whether you are going to accept and use the suggested retention periods. If not, why not? Then decide on a period that is appropriate to you and is justifiable. Identify records that are business essential (see Glossary). Identify whether a department holds an “Official Record Copy” and if so how long “duplicates” need to be kept for. (See Glossary for definitions) Identify a secure location for records that have been identified as having “permanent” historical value.
2.
3. 4. 5.
15
Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
General Correspondence Consists of original incoming and copies of outgoing letters and memoranda related to the general administration and operation of the agency, often arranged topically according to a file classification system. Includes the following types of correspondence: intra/interdepartmental, legislative, professional association, steering committee, and public. Also may consist of conference/training notes, organizational charts, delegations of authority, share campaign, inventories/logs, studies, service pin award data, etc. Reading Files Copies of outgoing letters, memoranda, and messages. Maintained as a discrete records series, these files are used for various administrative purposes.
Retention & Disposition
Remarks
1.1
3 years then destroy*
* = General Correspondence of Mayor, General Manager, Clerk, Department Head, and Boards & Commissions may have archival value and should be retained permanently.
1.2
3 years then destroy*
* = Reading Files of the Mayor, general Manager, Clerk, and Department Heads may have archival value and should be retained permanently.
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
1.3 1.3.1
Records Series Title & Description
Policies & Procedures Major Substantive and binding agency issued policies, procedures, directives, decisions, orders, rules, guidance, agreements, understandings, and manuals that address mission essential functions for which the agency is statutorily responsible. These records document agency functions and have archival research value.
Retention & Disposition
Retain Permanently
Remarks
1.3.2
Routine Routine agency issued policies, procedures, directives, decisions, rules, organizational charts, and manuals that address internal functions and operating procedures. Major & Routine Policies & Procedures (including rules and regulations) consist of the Official Record Copy formalized by any Department. Reports Annual, Audit, Management & Operation All Others “All Others” includes Monthly, Statistical, Performance, Damage & Vandalism, Safety, Monitoring etc.
C+3 years then destroy
C = Until superseded/obsolete.
1.4 1.4.1 1.4.2
Retain Permanently 3 years then destroy
17
Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Administrative Studies/Special Projects
Retention & Disposition
Remarks
1.5
Includes final reports and backup data regarding major administrative studies and special management projects. Department History Files This series documents the functions and activities of the Department. Consists of promotional media including press releases, news clippings, photographs (prints & negatives), videos, audios, cd’s, dvd’s and other electronic, magnetic or micromedia. Also includes information officer project materials, Department head speeches, written histories, monographs, brochures, pamphlets, etc. Equipment Records Delivery Order, Correspondence, Usage Reports, General Maintenance & Inventories Warranty Information, Instruction/Operating Manuals, Repair/Maintenance History, etc. Property Control Files Agency copies of controlled property management reports, property tag register, excess property reports, property transfer documents, and related correspondence.
Retain Permanently
Review backup data for archival value.
1.6
Retain Permanently
1.7 1.7.1
L+4 years then destroy L = Life of equipment. L+4 years then destroy
1.7.2
1.8
5 years then destroy
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Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
1.9 1.9.1
Records Series Title & Description
Automotive Management Vehicle Records This series documents each vehicle owned and serviced by the local governing body. May include title; registration; work orders; correspondence; damage/accident reports; checklists; photographs; and, inspection, service, maintenance and repair documents.
Retention & Disposition
L+2 years then destroy*
Remarks
L = Until vehicle is disposed. * = If vehicle is involved in fatal accident or litigation, keep file 25 years or until legal counsel recommends disposition.
1.9.2
Claim Files Includes copies of the following: Motor Vehicle Accident Reports, Certification of Insurance, LostStolen-Damaged Property Reviews, inspection reports, maintenance records (parts, service, repair estimates, work orders) Liability Accident Notices, registrations, and titles. Injury & Accident Records
L+3 years then destroy
1.10
Includes incident/accident reports, medical evaluations, public safety officer reports, time loss documentation and other data relating to on the job injuries and accidents.
C+6 years then destroy
C = Resolution of accident.
19
Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Transitory & Miscellaneous Administrative Information Include telephone logs, correspondence tracking logs, file plans, purchasing logs, property inventories, message books, appointment books/calendars, bulletins, mailroom logs/registers (e.g. certified/registered, postage meter) word processing drafts, day sheets, assignments, suspense files, forms files, printing/stock requests, fuel inventory sheets and other indices. Drafts & Working Papers This series contains documents, correspondence, reports, memoranda, and other materials in preliminary or developmental form before their iteration as a final product. Drafts may include copies of materials circulated for review for grammar, spelling and content. Working papers may include notes and miscellaneous documents used in compiling and assembling the final product. Technical Reference Files Technical studies, newsletters and publications used in the administration of agency business.
Retention & Disposition
Remarks
1.11
C then destroy
C = Until administrative need is met.
1.12
C then destroy
C = Until administrative need is met.
1.13
C then destroy
C = Until administrative need is met.
20
Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Public Records Log & Requests for Public Information Includes written request for public records received. Log includes date of request, name of requester and other related information. Technical studies and publications used in the administration of agency business. Website Content, Management & Operations Records
Most local government use web-based technologies to assist in fulfilling their statutory mission. Web site-related records include 1) web content records, which represent information presented on a web site, and 2) web site administrative records, which provide evidence of the management and operations of the website. Records may include: web master policies; procedures; notes; content pages, inclusive of the HTML markup; records generated when a user interacts with a site; lists of URL's referenced in the site's hyperlinks; web site design records; records addressing usage of copyrighted material; software applications used to operate the site; web snapshots; site maps depicting directory structure/hierarchy; server environment configuration specifications; web page metrics/statistics; and, other development materials utilized in the creation and maintenance of department sites.
Retention & Disposition
Remarks
1.14
1 year then destroy
1.15
3 years then destroy*
* = Review for permanent retention. Backup tapes are stored offsite for security. Tapes are rotated according to departmental backup procedures.
1.16
Records & Information Management Files Retain Permanently Retain Permanently Retain Permanently 21
1.16.1 File Plans and Records Retention Schedules 1.16.2 Records Disposition Certificates 1.16.3 Records Transfer Lists (RTL)
Local Government Model General Administrative Records Retention Schedule #300.1 1. General Administrative
Item No.
Records Series Title & Description
Automatic Data Processing & Electronic Data Processing Media Office copies of magnetic cards/tapes/diskettes and other media used for communicating with data processing equipment or as preliminary input, temporary storage, output control which serves as an intermediate means for the production of printouts, ComputerOutput Microfiche (COM) or online data. Officials’ Bonds Visitor Logs This records series consists of records documenting employees’ and visitors’ entrance into an agency building during and/or after office hours. Logs may require time, date, signature, reason for visit, and location or person visited.
Retention & Disposition
Remarks
1.17
C then destroy
C = Retain until superseded/obsolete or administrative need is met.
1.18
C+6 years then destroy
1.19
3 years then destroy
C = Expiration of bond provided an audit has been conducted. Civil litigation for personal injuries statute of limitations is 2 years to file a lawsuit. Oftentimes the lawsuit is not served for another 90 days or more after filing. Visitor logs are helpful to establish potential witnesses or to corroborate the presence of witnesses.
22
Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.1 2.1.1 2.1.2
Records Series Title & Description
Meeting Files Official Minutes Backups The Official Minutes constitute the official accounts of the proceedings and actions of governing body, boards, commissions, committees, community councils and special work groups. Other backup may include notices of meeting, agendas, packets, meeting dockets, roll call, correspondence, complaints, reports, transcripts, legal opinions, financial studies, declarations, recommendations, amendments to council rules, ordinances and resolutions, background papers and audio/visual products. Public Hearing Files Includes the following documentation related to public hearings: notices of meeting, affidavit of publication, work papers, speaker signup sheets, written testimony, exhibits and audio/visual materials. Petitions For initiatives, referenda and recall filed by private citizens or groups requesting governing body action. Proclamations Issued/prepared by mayor or local governing body.
Retention & Disposition
Retain Permanently C then destroy
Remarks
C = Until minutes have been approved.
2.2
10 years then destroy
2.3
6 years then destroy Retain Permanently
AS 29.26
2.4
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Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.5 2.5.1
Records Series Title & Description
Codes, Ordinances & Resolutions Adopted May include charter, amendments, code supplements, lists of all ordinances/resolutions, ordinance/resolution number and ultimate decision.
Retention & Disposition
Retain Permanently
Remarks
Maintain certified copy of all official ordinances in a separate ordinance file. AS 29.20.380
2.5.2
Not Adopted May include lists of all proposed ordinances/resolutions, the proposer, ordinance number and ultimate decision (e.g. changed, withdrawn, in committee indefinitely). Oaths of Office & Appointments This series may consist of oaths for boards, commissions, committees, councils and elected officials; and, affirmations, acknowledgements, notices of appointments/resignations, lists of members with terms and dates of appointment, and the code or executive order establishing the local government entity. Conflict of Interest Statements Statements for elected/appointed municipal officers and employees. Incorporation Files Documents incorporation records series not found elsewhere on this schedule (petitions, public hearings, etc). May include information related to investigations, decisions, municipal logo and official municipal seal.
10 years then destroy*
* = Files with historical value should be retained permanently.
2.6
Retain Permanently
AS 29.20.600
2.7
6 years then destroy
AS 29.20.010
2.8
Retain Permanently
AS 29.05
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Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.9 2.9.1 2.9.2
Records Series Title & Description
Annexation Files Passed Failed Includes petitions, correspondence, affidavits of publication, copy of ordinance and related public hearing backup records. Reapportionment & Redistricting Records
Retention & Disposition
Retain Permanently 5 years then destroy
Remarks
2.10
May include municipal and school district reapportionment records; precinct boundaries; and, district, municipal and state boundary reapportionment documentation. Census Records This series documents population estimates including resident data (e.g. name, age, gender, marital status, residence address, number of children, annual income, occupation, etc.) Cemetery Master File May include diagrams, maps and indices of burial plots, record of lot sales, cash/deed book, burial permits, register of interments and minutes of cemetery association/board.
C then destroy
C = Until superseded.
C = Until superseded. C then destroy Retain backup data for 10 years. AS 29.60
2.11
2.12
Retain Permanently
25
Local Government Model General Administrative Records Retention Schedule #300.1 2. Clerk & Governing Body
Item No.
2.13 2.13.1 Fixed
Records Series Title & Description
Asset Inventories
Retention & Disposition
L then destroy 3 years then destroy
Remarks
2.13.2 Non-Fixed Inventories of owned assets indicating value, location, purchasing information, etc. The Government Accounting Standards Board (GASB) requires municipalities to record infrastructure as part of their fixed assets.
L = Life of asset, or until State authorizes disposal of grant funded assets. Backup records dealing with an asset may be disposed per policy according to type (purchase order, grant, correspondence, etc.)
26
Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
Records Series Title & Description
General Accounting Records May include work papers, spreadsheets, summaries, receipts and other data documenting Department accounting practices. Includes financial data regarding accounts payable/receivable, grant/contract administration, assessment of fines, payment of license fees, etc. Travel Accounting This series documents travel advances, per diem and transportation fees for employees on official Department business. Department Budget Files Work papers This series documents development of Department operating and capital budgets prior to presentation to local governing body. Includes budget instructions, submissions, backup documentation, cost allocations, annual estimates of revenue and amendments.
Retention & Disposition
Remarks
3.1
3 years then destroy*
* = Provided an audit or other annual financial statement has been certified.
3.2 3.3 3.3.1
3 years then destroy
3 years then destroy
3.3.2
Final Approved Budget
Retain Permanently
27
Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
3.4 3.4.1 3.4.2
Records Series Title & Description
Financial & Accounting Reports Annual Other Includes Annual Report prepared by the Chief Financial Officer summarizing financial condition, activity and balances; and, routine balancing/status reports output on a regular or ad hoc basis documenting agency expenditures and financial activity. Ledgers & Journals General, Revenue & Expenditure Includes books of original entry.
Retention & Disposition
Retain Permanently CFY+3 years then destroy
Remarks
CFY = Current Fiscal Year. See item #1.4.1 for Audit Reports.
3.5 3.5.1
Retain Permanently CFY+3 years then destroy CFY = Current Fiscal Year.
3.5.2
Subsidiary Vendor Files Documentation relating to payment for commodities or services, fines, fees and permits. Consists of financial transaction registers, vouchers, delivery orders, purchase orders, logs, supply requisitions, advertising orders, invoices, postage meter receipts, etc.
3.6
CFY+3 years then destroy
CFY = Current Fiscal Year.
28
Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
3.7.1
Records Series Title & Description
Banking Records This series consists of records of bank transactions for revenue and payments including: deposit slips, wire transfers, agent fees, transmittal of receipts, savings account data, debt service payments and collected monies of a Department.
Retention & Disposition
CFY+3 years then destroy*
Remarks
CFY = Current Fiscal Year. * = Provided an audit or other annual financial statement has been certified.
3.7.2
Original Bank Statements Cancelled Checks & Check Registers
CFY+7 years then destroy CFY = Current Fiscal Year. * = Provided an audit or other annual financial statement has been certified. Recommend that cancelled checks be retained with grant files. CFY = Current Fiscal Year. CFY+3 years then destroy* * = Provided an audit or other annual financial statement has been certified.
3.8
CFY+3 years then destroy*
Cash Books & Cash Journals 3.9 Ledger showing details of daily receipts and expenditures, including running balances for each fund. Revenue Sharing/Safe Communities Files Municipalities are allocated money on a formula basis for public/ice roads, hospitals, health clinics, fire departments, etc. May consist of applications, correspondence, year-end audits/budgets.
3.10
3 years then destroy
29
Local Government Model General Administrative Records Retention Schedule #300.1 3. Finance & Audit
Item No.
3.11
Records Series Title & Description
Bond Records Includes cancelled/redeemed bonds/coupons documenting proof of issuance and payments to individual bondholders. Bond Registers Includes bond/coupon register (numeric listing of bonds/coupons). Bills of Sale
Retention & Disposition
3 years then destroy*
Remarks
* = Provided an audit or other annual financial statement has been certified. C = Until issue called.
3.12
C+20 years then destroy
3.13
Official documentation of sales transactions between government agency and buyer. Foreclosure Files Documents foreclosures and includes delinquency reports, billings, petition of judgment, certified mailings, final judgments, and certificates of redemption.
7 years then destroy C = Until case is closed. Per AS 09.10.030 there is a 10 year statute of limitations on action to recover real property. Certain files may have archival value.
3.14
C+10 years then destroy
30
Local Government Model General Administrative Records Retention Schedule #300.1 4. Payroll
Item No.
4.1
Records Series Title & Description
Payroll Warrant Register Lists check number, employee name, net amount and financial coding. Payroll Journal
Retention & Disposition
T+10 years then destroy 3 years then destroy*
Remarks
T = Termination of Employee. * = Provided an audit or other annual financial statement has been certified.
4.2
Payroll Case Files 4.3 These case files document employee salary and may include: payroll action forms, PERS/TRS enrollment/change forms and IRS data. Payroll Deduction Authorizations Includes reports and lists. Leave Accounting 4.5 Timesheets—daily, weekly or monthly record of hours worked—and documentation for accrued/used leave. T+10 years then destroy T = Termination of Employee.
4.4
4 years then destroy 3 years or 50 years then destroy* * = Only destroy these after 3 years if you retain the associated data or leave accounting record elsewhere. If you have questions, contact the State of Alaska, Division of Retirement & Benefits for clarification.
4.6
Employer W-2 Copy Federal withholding tax statement. Employee Pay Record Cards
4 years then destroy 50 years then destroy 4 years then destroy 50 years then destroy 50 years then destroy 31
4.7
4.8 4.9 4.10
Documents gross earnings, deductions and net pay for each employee. Employee Withholding Exemptions (W-4) Garnishment & Payroll Deduction Court Orders Notification of Pay Step Increases
Local Government Model General Administrative Records Retention Schedule #300.1 4. Payroll
Item No.
Records Series Title & Description
Payroll Reports May include the following reports: Federal Insurance Contribution Act, unemployment insurance, summary/special detailed queries, stopped/reissued warrants, overtime and retirement. Electronic Federal Tax Payment (EFTPS) Documentation This series documents tax deposits transmitted to the federal government. Includes spreadsheets and other backup. Internal Revenue Service Reports & Reconciliations
Retention & Disposition
Remarks
4.11
4 years then destroy
4.12
4 years then destroy
4.13
4.14
May consist of the following IRS reports: 1099R and related reports, and 945. May include reconciliations (work papers) regarding tax liability for retirees and their beneficiaries. Savings Bond & 401k Accounting Records
C+4 years then destroy
C = Until due date of appropriate tax return period or date tax is paid, whichever is later. 26 CFR 31.6001-1.
50 years then destroy
32
Local Government Model General Administrative Records Retention Schedule #300.1 5. Procurement, Contracts & Grants
Item No.
Records Series Title & Description
Procurement Records This series includes documents related to purchases of goods and services and may include: bid specifications, requests for proposal, vendor solicitations, price quotations, bid abstracts, purchase orders/requisitions, contracts/leases, delivery orders, correspondence and tracking logs. Contract Administration Consists of notification of award, original contract, and amendments or renewals, special conditions, fiscal reports, payment logs, progress reports and correspondence. Includes contracts for leased space, contract insurance and bonds. Grant Administration Files State Federal This series documents receipt of State or federal monies and consists of applications, copy of notification of grant award, agreement, special conditions, fiscal reports, closeout documents, reports (audit, status, progress & compliance) and correspondence. Grant Applications (Not Awarded) Applications that were not approved or funded.
Retention & Disposition
Remarks
CFY = Current Fiscal Year.
5.1
CFY+3 years then destroy.
Refer to item #5.2 if a formal contract is required. Refer also to item #3.6 (Vendor Files). L = Life of Contract. Per AS 09.10.053 Statute of Limitations is 3 years for causes of action which accrued after August 7, 1997. (SLA 1997 Chapter 26, Sections 3 & 4. Silvers v Silvers, 999 P.2d 786, 790 n.4 (Alaska 2000). Per AS 09.10.053, statute of limitation is 3 years. C = Until federal audit is completed or 3 years after grant closeout, whichever is later. Refer to item #3.1 for financial documents relating to grants.
5.2
L+6 years then destroy
5.3 5.3.1 5.3.2
6 years then destroy C then destroy
5.4
1 year then destroy
33
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
Records Series Title & Description
Individual Personnel Files Official employment history including applications; resume; personnel actions regarding hire, termination, and promotion; performance appraisals; results from employment tests; insurance and benefits backup; family and medical leave act documentation; letters of commendation/reprimand; training certificates/history; driving records; drug/alcohol tests. Service Record Card/Employment History Work history synopsis including dates of hire/release, positions held, salary and performance data. Recruitment, Selection & Appointment Records
Retention & Disposition
Remarks
6.1
T+50 years then destroy
T = Termination of employment. Certain information is confidential.
6.2
50 years then destroy
6.3
6.4
Consists of job applications, transcripts, recruitment notices, examinations, test answer sheets, score sheets, results, affidavits of publication and correspondence. Job Applications (Unsolicited) Master Examination Files
C+2 years then destroy
C = Date of Hire. Certain information is confidential. Certain information is confidential. C = Until superseded/obsolete or administrative need is met. C = Until superseded/obsolete or administrative need is met. C = Until superseded/obsolete or administrative need is met.
1 year then destroy C then destroy
6.5
Samples of each test or examination used in the selection and rating process of prospective employees, including answer keys. Organization Charts
6.6 Salary Schedules
C then destroy
6.7
C then destroy
34
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
6.8
Records Series Title & Description
Job Descriptions Description of specific duties for each position. Job Class Specifications Minimum qualifications (knowledge, skills and abilities) required for each job classification or position. May list necessary education/certifications, examples of duties, salary, category of position and distinguishing characteristics. Classification/Reclassification Action Case Files Department action regarding specific positions/classifications. Grievance Case Files Documents grievances filed by employees against Departments. Consists of grievance forms, investigative notes, reports, correspondence and related backup.
Retention & Disposition
C then destroy
Remarks
C = Until superseded/obsolete or administrative need is met.
6.9
C then destroy
C = Until superseded/obsolete or administrative need is met. C = Until superseded/obsolete or administrative need is met. C = Resolution and execution of any stipulations.
6.10
C then destroy
6.11
C+5 years then destroy
Relates to “For Cause” employees rather than “At Will” employees. Certain information is confidential.
Collective Bargaining Negotiation Files 6.12 This records series consists of letters of understanding, tentatively approved articles, proposals and counter proposals. This series provides an historical overview of collective bargaining. Contract Interpretation & Arbitration Decisions Includes exhibits, briefs and arbitrations relating to contract interpretation. C+10 years then destroy
C = Until collective bargaining agreement is approved. Relates to “For Cause” employees rather than “At Will” employees.
6.13
Retain Permanently
Relates to “For Cause” employees rather than “At Will” employees.
35
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
Records Series Title & Description
Unfair Labor Practices Case Files Consists of the complaint, correspondence, notice of hearing, hearing transcripts and exhibits, witness lists, audio and/or video tapes, and a copy of the final decision and order. Also includes cases dismissed, withdrawn or settled. Training Course Files Consists of nominations, schedules with course information, and course evaluations from participants, correspondence and rosters. Training Course Development Files Course materials including audio/visual products, training aides, research materials, correspondence, and other media etc. related to the development and/or presentation of training presentations. EEO Administration Records Includes quarterly utilization, compliance and annual reports; affirmative action plans; complaint case files; Departmental actions, and employment statistics.
Retention & Disposition
Remarks
L = For the life of the bargaining unit contract. L then destroy Review prior to destruction for cases that may have historical significance.
6.14
6.15
3 years then destroy
6.16
C then destroy
C = Until superseded/obsolete or administrative need is met.
6.17
10 years then destroy
Certain information is confidential per AS 18.80.115.
36
Local Government Model General Administrative Records Retention Schedule #300.1 6. Human Resources Administration
Item No.
Records Series Title & Description
EEO Complaint Case Files Consists of records regarding discrimination charges, including documentation of the party making the charge and other employees/applicants in the same or similar positions; and, Departmental actions. Discrimination charges may be on the basis of race, color, religion, national origin, gender, etc. Employee Medical Records Consists of on-the-job accident or illness/medical reports, lost time documentation, records used to monitor exposure, correspondence, etc. Includes employees exposed to blood-borne pathogens, formaldehyde, asbestos, mercury, or other hazardous substances. Hazard Communication & Material Safety Data Sheets Lists of hazardous chemicals present in the workplace and copies of material safety data sheets received with incoming shipments of chemicals and posted in the workplace. Immigration Reform & Control Act (1986) I-9 Forms Employment Eligibility Verification forms retained by the Employer. All employees, citizens and noncitizens hired after November 6, 1986 complete Section 1; Employers complete Section 2. Alaska Human Rights Act Records Records of the age, race, and sex of all applicants for employment and all employees. 37
Retention & Disposition
Remarks
C = Until complaint is resolved.
6.18
C+7 years then destroy
Retention complies with Title VII of the Civil Rights Act of 1964. Certain information is confidential per AS 18.80.115.
Official Record Copy: T+30 years then destroy Duplicates: T+1 year then destroy
T = Termination of employment. Confidential per AS 40.25.120. 29 CFR 1910.1001
6.19
6.20
30 years then destroy
Official Record Copy retained by receiving Department. 20 CFR 1910.1200; 1410.450 C = Date of hire.
6.21
C+3 or T+1 then destroy*
T = Termination of employment. * = Retain records for the longer period.
6.22
2 years then destroy
AS 18.80
Local Government Model General Administrative Records Retention Schedule #300.1 7. Risk Management
Item No.
Records Series Title & Description
Insurance Policies & Endorsements
Retention & Disposition
Remarks
C = Until policy expires. The Legal Department will review all expired policies prior to destruction to determine if additional retention is required due to pending claims or litigation.
7.1
This series includes insurance proposals, policies and endorsements, bonds, riders, correspondence, financial coding vouchers and billing information. Risk Management Claim Files May include correspondence to/from claims adjusters, private attorneys, accident reports (property damage and personal injury) summary reports, payment orders/verification, pleadings/depositions and individual claim records. Workers’ Compensation Claims May include death, permanent total disability, time loss and no time loss cases. Documents include reports of injury/illness, medical reports, correspondence, legal filings, copies of Board decisions/order, compromise and release agreement, vocational rehabilitation reports/decisions, and Second Injury Fund reimbursements.
C+50 years then destroy
7.2
C+7 years then destroy
C = Until claim is settled and all legal aspects are resolved.
7.3
C+40 years then destroy
C = Until case is inactive.
38
Local Government Model General Administrative Records Retention Schedule #300.1 8. Elections
Item No.
8.1
Records Series Title & Description
Voting Ballots (Completed, Challenged, Rejected, Absentee & Special Needs) May include applications. Certificates of Election
Retention & Disposition
C+1 Month then destroy
Remarks
C = Until election is certified. If election is contested, retain longer per AS 15.15.470.
8.2
Copies of election certificates presented to candidates upon verification of election. Certificates of Election Returns (Regular & Special) Consists of individual machine numbers; polling place designation; date of election; total votes registered by machine, candidate or referenda; and, signatures of elections inspectors, judges, administrators, clerks, volunteers. Election Registers & Tally Books Consists of the following registers: precinct, final voting, questioned voter, special needs voting and absentee voter. Also includes special needs voting applications. Election Contest/Runoff Information Contested election and runoff data. DOJ Preclearance Records This series includes request and preclearance for election. Declarations of Candidacy
4 years then destroy
8.3
Retain Permanently
Certain certificates that are duplicated elsewhere or do not have archival value may be disposed after administrative need is met.
8.4
4 years then destroy
Retain longer if election is contested per AS 15.15.470.
8.5
C+1 year then destroy Retain Permanently
C = Until election is certified. DOJ = Department of Justice.
8.6
8.7
Declarations executed under oath including name, mailing address, office declared, residency length, etc.
4 years then destroy
AS 15.25.030
39
Local Government Model General Administrative Records Retention Schedule #300.1 8. Elections
Item No.
8.8
Records Series Title & Description
Financial Disclosure Statements May include APOC financial disclosure report. Affidavits Documents voters requiring or requesting action or special accommodation during an election. Recount Petitions Candidate requests for recount of individual machine or paper ballot tallies. Includes candidates’ reason for request. Candidates Lists Lists of candidates. Data includes: name and address of candidate, order in which they will appear on the ballot, office sought and term of office. Candidate Withdrawals Certificates of withdrawal. Includes candidate statement concerning reason for withdrawal. Election Officials’ Records May consist of recruitment materials, interest letters, training notes, acceptance forms, oaths and mileage reimbursement requests. Includes absentee voting officials’ documentation.
Retention & Disposition
6 years then destroy*
Remarks
* = If subject to the Alaska Public Offices Commission (APOC).
8.9
4 years then destroy
8.10
4 years then destroy
8.11
4 years then destroy
8.12
4 years then destroy
8.13
4 years then destroy
40
Local Government Model General Administrative Records Retention Schedule #300.1 8. Elections
Item No.
Records Series Title & Description
Voting District Descriptions, Maps & Street Books Descriptions of election precinct boundaries and maps indicating current voting district boundaries and numbers. Street books consist of alphabetical lists of streets (and house numbers where street encompasses more than one district) providing senatorial and representative numbers. Campaign Disclosure Municipalities must report to APOC when money is spent on informational campaigns.
Retention & Disposition
Remarks
8.14
Retain Permanently
8.15
6 years then destroy
41
Local Government Model General Administrative Records Retention Schedule #300.1 9. Information Technology
Item No.
9.1 9.1.1 9.1.2
Records Series Title & Description
Computer System Files Backup Tapes Documentation File Documentation file may include: program/system documentation, wiring records (specifications/drawings of building, cables or computer hardware connections) application software licenses/agreements, data systems and file specifications, security information (access requests/authorizations/logs, passwords), disaster recovery procedures, user guides, usage/inventory reports, backup procedures. IT Service Requests
Retention & Disposition
* C then destroy
Remarks
* = Tapes are rotated according to established IT procedures. Backup tapes are stored offsite for security. C = Until superseded/obsolete or administrative need is met. System related data should be retained until the system is superseded/obsolete.
9.2
Requests for service from departments. Documents requestor, type of service requested and IT action.
3 years then destroy
42
Local Government Model General Administrative Records Retention Schedule #300.1 10. Legal
Item No.
Records Series Title & Description
Municipal Attorney Opinions Consists of official and informal positions regarding legal issues affecting Departments or the local governing body. May include information/action memoranda regarding ordinances, resolutions and vetoes. Regulation Files Includes matters relating to local legislation in which the municipality or governing body has an interest or has been involved. Litigation Case Files This series documents local government action in civil and criminal cases. Includes briefs, pleadings, investigative materials, court proceedings, transcripts, correspondence, exhibits, photographs and other media. Investigation & Matters Files This series documents investigations that are not prosecuted. Includes work papers, analyses, evidence, final reports, requests for legal opinions, research notes, correspondence, photographs and other media. Franchises Official authorization granted to a private entity to provide public utilities or services within the jurisdiction of the local government.
Retention & Disposition
Remarks
10.1
Retain Permanently
10.2
10 years then destroy*
* = Review for archival value.
10.3
C+6 years then destroy
C = Until case is closed.
10.4
C+6 years then destroy
C = Until investigation concludes.
10.5
T+6 years then destroy
T = Until franchise is terminated.
43
Local Government Model General Administrative Records Retention Schedule #300.1 10. Legal
Item No.
Records Series Title & Description
Right of Way & Easement Files Grant of easement records for legal permission to conduct work on private property, including, but not limited to, laying, constructing, maintaining, operating, repairing and servicing water and sewerage pipes, mains, drains, signs and utilities. Also vacations, descriptions of easement areas, diagrams, plans, agreement, memoranda, correspondence and property disposition. Notice to Comply and/or Violation Reports
Retention & Disposition
Remarks
10.6
Retain Permanently
Engineering or Parks & Recreation Departments may also administer the Official Record Copy.
10.7
3 years then destroy
44
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Complaint Cards Record of complaints to police/public safety officer. Includes data relating to reporting party, location and nature of incident, time and dispatch information and disposition. Police Reports (Major & Minor) Records complaint, report and followup for the following: felonies (which may include property records; arrest, court, processing, disposition and consent to search documents, witness/Miranda rights statements), motor vehicle accidents with injuries, missing person (unsolved), misdemeanors, abandoned vehicles/structures, breathalyzer use, domestic violence, accidental/unexplained death, escapes. Field Interrogation Cards Name and identifying data regarding persons questioned in the field, location, comments and disposition. May include vehicle, NCIC checks and information used for analytical purposes. Investigation Case Files Detectives’ working papers of cases under investigation. Contains polygraph, surveillance and crime lab reports; latent fingerprints; photographs and other media; and, copies from Police Reports (item #11.2).
Retention & Disposition
Remarks
11.1
2 years then destroy
Official Record Copy may be administered in another records series.
11.2
1 year then destroy
11.3
5 years then destroy
NCIC = National Crime Information Center.
11.4
Retain Permanently
45
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Arrest Records Cumulative information for each adult arrested including booking documentation (name, arrest booking/AST number, address, date of birth, sex, occupation, physical description, offense, complaint report and disposition of case), finger print cards, photographs (mug shots) processing reports, copies from Police Report files, investigation reports, witness statements, signed Miranda rights, evidence examination requests, property record, rap sheets, court, process and disposition documents. Outstanding Warrants Lists of outstanding arrest warrants. May include name, date of birth, address, offense code, case number, warrant date, status, charging section. Use of Force Investigations Investigations on the application of physical or deadly force. May include copies from complaint report file, inquiry and findings. Internal Affairs Investigations Investigations of complaints of alleged officer misconduct. May include reports, correspondence, statements, investigation documentation, findings and disposition.
Retention & Disposition
Remarks
11.5
D or 10 years then destroy*
D = Until person is deceased. * = Retain records for the longer period.
11.6
C then destroy
C = Until superseded/obsolete or administrative need is met. Per AS 09.10.070 a tort or civil rights claim against the State for use of force must be filed within two years. Final report in Human Resources file Per AS 09.10.070 a tort or civil rights claim against the State for use of force must be filed within two years. Final report in Human Resources file.
11.7
7 years then destroy
11.8
7 years then destroy
46
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Confidential Informant Files Information recorded may include number assigned to informant, informant and case officer names, reference to origins of the contact, reports of information supplied by informant, and expenditure/payment records. Logs/Indices
Retention & Disposition
Remarks
11.9
C+7 years then destroy
C = Until informant is no longer active.
11.10
11.10.1 Miscellaneous 11.10.2 Dispatch Audio Tapes May include the following type of logs/indices: radio/dispatch, tape control, patrol, officer/cruiser, detective, arrest booking, mug shot, missing person, Grand Jury, NCIC inquiry, evidence, juvenile arrest, administrative (documenting time in court, educational activities, assisting another officer) overtime, weather, staffing/daily roster, daily assignment, unit, property recovery, radar, weapon, animal report, accident and towed vehicle. Property Records 11.11 Individual record of property/evidence taken into custody. May include date, names, addresses, signatures, description, serial numbers, condition, location/bin, complaint report number, comments and disposition. Stolen Property Lists Received and internally produced lists and printouts of lost, stolen, found, pledged or pawned property.
5 years then destroy 30 days then destroy * * = Reuse after retention period.
C+3 years then destroy
C = Until property disposed of.
11.12
C then destroy
C = Until superseded/obsolete or administrative need is met.
47
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Criminal Background Checks Criminal background checks done as a consequence of requests from employers or local government requirements. May include polygraph tests, FBI checks, interviewer notes, etc. Examples include school, day care or nursing home employees. Sex Offenders Information Data relative to sex offenders that may include name, address, photograph, place of employment, date of birth, crime for which convicted, date of conviction, and court of conviction.
Retention & Disposition
Remarks
11.13
1 year then destroy
C = Until superseded/obsolete or administrative need is met.
11.14
C then destroy
Per AS 18.65.087 the Alaska Department of Public Safety maintains a central registry of sex offenders required to register under AS 12.63.010.
Juvenile Arrest Files Cumulative information file on each juvenile arrested. May include processing report, cover and face sheet, copies from complaint report files, investigation reports, property records, witness statements, signed Miranda rights, Family Court petitions, court process and disposition documents. Juvenile Prosecution Case Files Case files prepared for purposes of prosecution. Includes copies from Arrest files. C = Until child reaches age of majority. C+6 years then destroy Records must be kept separately from adult arrest records.
11.15
11.16
C+6 years then destroy
C = Until child reaches age of majority.
48
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Abused/Neglected Child Notification
Retention & Disposition
Remarks
11.17
11.18
Reports from the DFYS or the ACS of suspected cases of child abuse, endangerment or neglect. May include cover letter, investigative worker’s observations/recommendations, and investigation summary. Holding Facility Records
DFYS = Division of Family & Youth Services. 3 years then destroy ACS = Alaska Court System.
11.18.1 Prisoner’s Personal Property & Inspection Records (relating to inspection of security, health and safety systems such as fire detection/suppression, sanitation, security and first aid.) 11.18.2 Meal Records/Food Receipts & Housekeeping Records. Traffic Records 11.19 Includes summons books (regarding operation, control or maintenance of motor vehicle violations), citations and tickets (also parking), notices for court appearances, etc. Radar Reports May include certification of calibration, routine radar check reports, and certification of accuracy for tuning forks. Uniform Crime Report (UCR) Monthly account of offenses and stolen/recovered property values sent to the Alaska State Troopers. Crime Statistics Statistical compilations of crimes committed within the local jurisdiction. 49
3 years then destroy
A+1 year then destroy
A = Until audit is completed.
1 year then destroy
11.20
C+2 years then destroy
C = Until equipment is disposed.
11.21
5 years then destroy
11.22
Retain Permanently
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Accreditation Files Standards, goals and objectives, status and progress reports, and other documentation relating to accreditation and review for maintaining accreditation. Animal Control Files May consist of the following: licenses, animal complaint notifications/citations, description of animal, notification to owner, certification of ownership, owner claims, release of animal data, dog bite reports and statistical reports. Also spay/neuter, euthanasia, vaccination, patrol, and abuse/cruelty information. Fire Investigation Files Record of fire department investigations of suspicious or incendiary fires. May include reports (fire, rescue, investigators, State Fire Marshal, police, casualty, insurance), video evidence (photographs, video cassettes, cd’s), memoranda, diagrams, or other documentation relating to investigation. EMS Incident Reports Reports of any incident that involved Emergency Medical Services.
Retention & Disposition
Remarks
11.23
C then destroy
C = Until superseded/obsolete or administrative need is met.
11.24
3 years then destroy
11.25
C+30 years then destroy
C = Until investigation is closed.
11.26
10 years then destroy
50
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Fire Inspection/Compliance Files This series documents fire safety inspection before and after building construction is completed. May include building plans used in inspection/approval process detailing fire detection specifications or other Fire Safety Code compliance requirements, certificates of inspection, violation appeals, Department response, surveys and applications for variances. Permits/Licenses Issued Applications and permits issued by local fire authority. May include open burn permits, permits relating to fireworks, storage/handling of flammable liquids or hazardous substances, model rocket engines, or the selling of fire detection equipment. Variances Variances issued by local governing body. Note: Variances may form part of Fire Inspection/Compliance Files (item #11.26) Violation/Complaint Files Record of violations and complaints relating to the Fire Safety Code. May include name, time, address, location of violation/complaint, complaint summaries, investigation reports, disposition and Department follow-ups.
Retention & Disposition
Remarks
C = Until building is no longer in use. C then destroy Retain building plans until Certificate of Occupancy is issued and plans are of no further administrative value.
11.27
11.28
C+3 years then destroy
C = Until permit expires.
11.29
L then destroy
L = For life of the building or until occupancy classification is legally changed.
11.30
C+3 years then destroy
C = Until resolution of complaint.
51
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
11.31
Records Series Title & Description
Fire & Rescue Response Dispatch Tapes Audio tapes of incoming calls and outgoing dispatch instructions. Fire & Rescue Response Dispatch Cards & Logs Record of incoming calls received by the Department. Data may include type of call (phone, radio, in person) complainant name, address/phone number, name of dispatcher, time received/dispatched to scene and recalled, rescue or engine numbers responding. Fire & Rescue Alarm Response Tapes Machine tape recording of alarms received detailing box number, location, date and time alarm received. Fire & Rescue Response Alarm Response Cards Record detailing location and appropriate response for alarms from individual boxes. Information may include location, contact names, number of vehicle(s) to respond and standby vehicles. Fire & EMS Training Files Consists of correspondence, course descriptions, training dates and exam results.
Retention & Disposition
30 days then destroy*
Remarks
* = Then re-use tapes.
11.32
3 years then destroy
11.33
1 year then destroy
11.34
C then destroy
C = Until superseded/obsolete or administrative need is met.
11.35
T+6 years then destroy
T = Until termination of employee or volunteer no longer active.
52
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Fire Prevention Education Programs
Retention & Disposition
Remarks
11.36
11.37
Multimedia materials used in fire prevention education including brochures, films, cd’s, posters, pamphlets and other program resources. Fire & Rescue Response Circuit/Radio Box Records
C then destroy
C = Until superseded/obsolete or administrative need is met.
11.37.1 Test Logs 11.37.2 Alarms Records Record of alarm response tests conducted on all circuit, radio and location alarm boxes to ensure proper alarm signals are being received. May also include maintenance records and inspection/testing records for individual alarm systems including systems testing and certification documentation, inspection records, service contracts and reports, permits, diagrams, site information, emergency contact lists and correspondence. Equipment Inspection Records Records of inspections for vehicles, mechanical systems, hoses, hydrants, ladders (ground and aerial), mask service information (model, serial number, purchase date, type, cubic feet of tank and service record. 11.38.1 Mask Service and ladder information
1 year then destroy L then destroy L = Life of system.
11.38
3 years then destroy
C then destroy
C = Until replaced or no longer in service.
53
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
Records Series Title & Description
Apparatus Accident Files Department record of accidents involving municipal fire/rescue vehicles. May include police reports, witness statements, memoranda, diagrams, photographs and related documentation. Fire Hydrant Identification Files Record of individual fire hydrants in service. Data may include identifying characteristics of each hydrant including location, date installed, size of lead, make, number of turns to open, size of main. Oil Spill Preparedness Files Includes information related to oil spill drills, incidents and inspections.
Retention & Disposition
Remarks
11.39
3 years then destroy*
* = Retain longer if involved in litigation. Consult with legal counsel prior to disposition.
11.40
C then destroy
C = Until hydrant is no longer in service.
11.41
6 years then destroy
54
Local Government Model General Administrative Records Retention Schedule #300.1 11. Public Safety
Item No.
11.42
Records Series Title & Description
Hazardous Materials/ Hazardous Substances Right To Know Files
Retention & Disposition
Remarks
11.42.1 Annual Updates 11.42.2 All other records Consists of detailed product/chemical identification listings supplied annually by individual employers that hold, use, or sell products considered hazardous by the USDOL, DOSH. This series may include USDOL forms or material safety data sheets, emergency and hazardous chemical inventory forms, company emergency plans, inspection reports, or other mandated documentation relating to hazardous substances. Hazardous Materials Incident Files 11.43 Records of hazardous material incidents. May include hazardous incident reports, copies of fire/rescue reports, narratives, and memoranda. Contingency & Emergency Services Plans
3 years then destroy C+7 years then destroy
C = As long as the employer does business in the municipality. USDOL = United States Department of Labor. DOSH = Department of Occupational Safety & Health.
Retain Permanently
11.44
Retain Permanently
55
Local Government Model General Administrative Records Retention Schedule #300.1 12. Planning, Zoning & Community Development
Item No.
12.1 12.1.1 12.1.2
Records Series Title & Description
Planning Commission Files Approved & Waivered Proposals Denied & Withdrawn Proposals This series documents official actions of the Planning Commission. May include correspondence, master, preliminary, and final plans, amendments, written comments from federal, state, or other municipal agencies, permits and agreements with state and federal reviewing agencies, approved master and preliminary plans, site and impact analyses. Planning & Zoning Enforcement Case Files Documents complaints and action taken regarding the enforcement of planning and zoning regulations. Land Classification Case Files Documents actions to classify lands within the jurisdiction of the local government. May relate to acquisitions, sales, leases, management agreements, letters of entry, timber sales, resource sales, etc. Land Management Case Files Documents management of lands. Files may relate to acquisitions, sales, leases, management agreements, letters of entry, timber/resource sales, etc.
Retention & Disposition
Retain Permanently 3 years then destroy
Remarks
Also may include records of public hearings, final approval drawings, photographs, variances, test results, reports, affidavits and legal opinions, tax certificates, bonds, questionnaires, project descriptions, subcontractor lists, cost estimates and vote totals, legal agreements, pleadings, agendas, minutes and final order.
12.2
C+6 years then destroy
C = Until resolution of the case. C = Until resolution of the case.
12.3
C+10 years then destroy
If case files subject to potential litigation, retain until file no longer has legal value. Some files may have permanent archival value. C = Until case is closed. If case files subject to potential litigation, retain until file no longer has legal value. Some files may have permanent archival value.
12.4
C+10 years then destroy
56
Local Government Model General Administrative Records Retention Schedule #300.1 12. Planning, Zoning & Community Development
Item No.
12.5
Records Series Title & Description
Conditional & Temporary Use Permits
Retention & Disposition
L then destroy
Remarks
L = Life of permit. For business licenses, other licenses and nonbusiness permits refer to section 14.
Site Selection Files 12.6 Documents site selection for proposed facilities including fire service, libraries, parks, police, schools, utilities, water and sewer. Coastal Management Consistency Reviews State, federal and local reviews for conformance with Coastal Management reviews and plans. Flood Control Program Files 12.8 Includes erosion control studies, flood plain data, correspondence, maps and drawings documenting flood/erosion areas and specific problem parcels. Capital Improvement Request Files This series documents capital improvements to public facilities, transportation systems and school districts. A list of projects are nominated and prioritized for funding (i.e., wish list), subject to governing body budget approval. Geographic Names Files Consists of applications and backup data relating to the naming of mountains, lakes, streams and other geographic features. Retain Permanently
12.7
C+6 years then destroy
C = Until review is completed.
C then destroy
C = Until superseded/obsolete or administrative need is met. C = Until project is completed. AS 29.35.100
12.9
C+6 years then destroy
Refer also to item #5.1 (Procurement Records) & item #3.1 (General Accounting Records).
12.10
Retain Permanently
57
Local Government Model General Administrative Records Retention Schedule #300.1 12. Planning, Zoning & Community Development
Item No.
12.11
Records Series Title & Description
Road Name Changes Includes information regarding road name changes and copies of affidavit of publication.
Retention & Disposition
Retain Permanently
Remarks
58
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Plans, Maps & Drawings Plans, drawings, maps and as-builts including, but not limited to, municipal buildings, streets, survey/plat, lot plans, tax assessment, layout/grade, sanitary sewers, zoning, easements, landfills, subdivisions, traffic control, water and fire lanes. Construction Project Files Consists of specifications, contracts, plans, bids, evaluations, performance bonds and correspondence documenting solicitation, selection, award/administration of contracts and professional service agreements. May include field reports, job accounting information, contract modifications, data relative to utilities and project close-out information. Engineering Field & Bench Mark Books Engineering field measurements, sketches, and diagrams including, but not limited to, elevations, distance, bench marks, ridges, easements, drainage, ponding, and core test holes.
Retention & Disposition
Remarks
Logs or registers of plans, maps and drawings should also be retained permanently.
13.1
Retain Permanently
Reference copies may be disposed after all administrative need is met.
C = Until project is completed. C+6 years then destroy Refer also to item #5.1 (Procurement Records) & item #3.1 (General Accounting Records).
13.2
13.3
Retain Permanently
Reference copies may be disposed after all administrative need is met.
59
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Permit Application Files Permits include: Construction, Building, Utility, Drinking Water (facilities), Railroad, Waste Water Disposal. May consist of applications, copy of permit, maps, site plans/plats, specifications, drawings, engineer/architect’s certification, as-builts, inspection reports, accounting data, etc. Inspection Files (Miscellaneous)
Retention & Disposition
Remarks
13.4
C+6 years then destroy
C = Until permit expires.
13.5
Inspection reports including foundation, framing, electrical, plumbing and fire safety. Permits Register List of all permits issued by Engineering, Buildings & Public Works. Right of Way & Easement Files (Originals) Grant of easement records for legal permission to conduct work on private property, including, but not limited to, laying, constructing, maintaining, operating, repairing and servicing water and sewerage pipes, mains, drains, signs and utilities. Also vacations (including section line and deeds of vacation), descriptions of easement areas, diagrams, plans, agreements, memoranda, correspondence and property disposition.
6 years then destroy
13.6
Retain Permanently
Refer to item #14.3 for non-construction permits.
13.7
Retain Permanently
60
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
13.8 13.8.1 13.8.2
Records Series Title & Description
Subdivisions & Land Development Project Files Approved Denied Applications Records documenting property subdivisions. May include applications, site plan review, check lists, inspections, diagrams, plans, plats, drawings, specifications, covenants, subsurface soils investigations, boundary surveys, memoranda and other analyses. Regulatory Compliance Files Records documenting compliance with state/federal requirements such as coastal resources management and freshwater wetlands. May include copies of applications for authorization to perform work, requests for preliminary determinations, wetlands determinations, complaints, notices of violations, plans/maps, notices of public hearings, correspondence and memoranda. Bridge Files Cumulative history file for bridges. May include memoranda, correspondence, newspapers clippings, reports, plans/specifications, materials lists, excavation permits, bridge deficiency /inspection reports and work orders.
Retention & Disposition
Remarks
Retain Permanently C then destroy C = Until administrative need is met.
13.9
C+3 years then destroy
C = Until project is completed.
13.10
C then destroy
C = Until superseded/obsolete or administrative need is met.
61
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Work/Repair Requests & Complaints
Retention & Disposition
Remarks
13.11
Requests for work or repairs initiated by citizen complaint or internally. Data may include name and number of complainant or requestor, location and type of work to be performed, dates and times of receipt/response. Maintenance Work Orders & Logs Record of work performed and completed related to electrical, sewer, gas, street or water systems. Data may include date, time, order number, location, description of work, authorization, names of staff performing work, itemized labor, equipment and material information. Facility Maintenance Files Includes all documents, files and data relating to operation of facility, including permits, utilities correspondence, bids, reports, proposals, accounting, problems and enabling legislation.
3 years then destroy
13.12
3 years then destroy
L = For the life of the facility. L or C then destroy C = Until administrative need is met. Official Record Copies of certain documents may be administered by other departments.
13.13
62
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Fuel Summaries & Receipts Fuel summaries record daily, weekly or monthly fuel dispensed. May include grade of fuel, pump locations, meter/stick readings, gallons delivered and total gallons consumed or oil/antifreeze disbursed. Fuel receipts (slips) record individual fuel intake. Data may include vehicle number/type; driver; meter readings; and, gallons of fuel, oil, or antifreeze received. Traffic Light Records
Retention & Disposition
Remarks
13.14
A+1 year then destroy
A = Until audit is completed.
13.15
13.15.1 Maintenance Records 13.15.2 Reference Materials This series documents maintenance and servicing of traffic lights. May include intersection/signal diagrams, specifications, schematics, work and repair orders. Snow Plow Files 13.16 Records relating to snow plow routes and activity. May include maps, routes, correspondence, logs, crew lists or other documentation relevant to snow removal.
3 years then destroy L then destroy L = For the functional life of the signal.
C then destroy
C = Until superseded/obsolete or administrative need is met.
63
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Tree Files Records relating to tree maintenance, planting and removals. May include correspondence, removal or planting schedules, copies of agreements, reports, proposals, pamphlets, maps, grant data, and records on pesticide use including public hearing notices and copies of applicators’ licenses and certifications. Sanitation Files Records relating to sanitation functions, truck routes and activity. May include vehicle scale/tonnage reports, maps, routes, correspondence, newspaper clippings of public notices, manifests, logs and crew lists. Landfill Records Records relating to municipal landfill operations. May include certificates of insurance; ground water samples/analysis; EPA screening site inspection; preliminary assessments; state field test reports; methane gas analyses/results; engineering, operating, contingency, sedimentation and erosion control plans; hydrogeological reports; monitoring logs; CERCLIS documentation; site access agreements; and, closure/postclosure records.
Retention & Disposition
Remarks
13.17
3 years then destroy
13.18
3 years then destroy *
* = If records may be subject to potential litigation, retain permanently.
13.19
Retain Permanently
CERCLIS = Comprehensive Environmental Response, Compensation & Liability Act EPA = Environmental Protection Agency 23 AAC 60.380 (a) (2)
64
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
13.20
Records Series Title & Description
Underground Storage Tank Records
Retention & Disposition
Remarks
L = Life of the tank.
13.20.1 Registration and Certification 13.20.2 Maintenance and Repair History Documents registration and State certification. Geologic Data 13.21 Documents relating to slides, avalanches, borings/drainage, and other subsurface conditions including piling records. Sewer & Water Assessment Records Records relating to sewer and water connection assessments for tax purposes. May include location diagrams, inspections, measurements, photographs and abatements. Sewer Location & Connection Records Records detailing sewer connections for individual properties and/or municipal sewer system. Includes location, diagram and address. May include system specifications, requests for location of sewer connections, surveys, sketches, inspection and work reports, and dye test requests and reports.
6 years then destroy L+6 years then destroy
If records may be subject to potential litigation, retain permanently. AS 46.03.360-450; 18 AAC 75, 18 AAC 78 & 40 CFR 280.
Retain Permanently
13.22
Retain Permanently*
* = If Assessor administers Official Record Copy, keep 3 years.
13.23
Retain Permanently
65
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Water Service & Valve Location Records Records detailing water service connections for individual properties and/or shared water system. Includes location, diagram, address, type, date connection established, lengths, make, size, curb stop, main or gate valve. Water System Monitoring Charts & Logs Graphs monitoring water distribution system including flow rates, pressure and elevation. Logs document water readings at individual pumping/meter stations including date, time, reading, number of gallons per minute, reader’s name and remarks. Water System Repair & Maintenance Records Record of work performed and completed on individual water meters, connections and mains. May include meter number, manufacturer, readings, job descriptions, name, telephone number, locations, size and service number. Well Information Includes well boring and well logs.
Retention & Disposition
Remarks
13.24
C then destroy
C = Until system is no longer in existence.
13.25
5 years then destroy
13.26
3 years then destroy
13.27
3 years then destroy
66
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
13.28
Records Series Title & Description
Water Testing Records Record of water testing and analysis conducted on water system. Records may include, but are not limited to, laboratory certificates of analysis; microbiological, sample analysis and other result reports; water supply summary sheet; monthly water quality logs; chain of custody forms; and, lead/copper/nitrate results.
Retention & Disposition
Remarks
C = Until last action taken with respect to the applicable violation. 12 years then destroy 10 years then destroy 18 AAC 70
13.28.1 Lead & copper analyses, corrosion control sampling and source water treatment records. 13.28.2 Chemical, organic/inorganic chemical, radiological and turbidity analyses, and sanitary system survey data. 13.28.3 Records of action taken to correct violations of primary drinking water regulations. Water Management Plans 13.29 Plans mandated by Alaska Statute and regulated through the Alaska Administrative Code. Plans include, but are not limited to, Water Supply Management, Water Quality Protection and Wellhead Protection. Water Service Applications & Agreements Applications and agreements for water service and supply. Data may include name, address, plat/lot numbers, district service and meter numbers. Signed agreement of terms and service may constitute contract. 67
18 AAC 72
C+3 years then destroy
18 AAC 80
Retain Permanently
13.30
C then destroy
C = Until superseded/obsolete or administrative need is met.
Local Government Model General Administrative Records Retention Schedule #300.1 13. Engineering, Buildings & Public Works
Item No.
Records Series Title & Description
Meter Reading Books & Cards Record of water usage for customers. Includes date of reading, reading figures, water consumed, meter number, size, manufacturer, owner, address and service number. Recycling & Hazardous Waste Records Record of materials (metals, oil, antifreeze, brake/power steering fluid, asbestos, paint, Freon, other waste) transported to the municipal recycling center/landfill. Data may include disposal authorizations/certifications, name of resident, address, date, materials delivered and vehicle registration number.
Retention & Disposition
Remarks
13.31
6 years then destroy
13.32
3 years then destroy *
* = If records may be subject to potential litigation, retain permanently.
68
Local Government Model General Administrative Records Retention Schedule #300.1 14. Licenses
Item No.
14.1 14.1.1 14.1.2
Records Series Title & Description
Business Licenses Approved Denied, rejected or withdrawn This series documents licensure and permitting of businesses located within the jurisdiction of the local governing body. May include copies of Alcoholic Beverage Control Board applications. Licenses & Permits (NonBusiness) Approved Denied, rejected or withdrawn Includes public gatherings, animal, bicycle, charity collections or events, public facility use, etc. Permits Register
Retention & Disposition
C+3 years then destroy 1 year then destroy
Remarks
C = Until permit expires.
14.2 14.2.1 14.2.2
C+1 year then destroy 6 months then destroy
C = Until permit expires.
14.3
14.4
List of all non-construction permits issued by Licensing Department. Sales Tax Registrations & Reports
30 years then destroy 3 years then destroy
69
Local Government Model General Administrative Records Retention Schedule #300.1 15. Assessments
Item No.
Records Series Title & Description
Annual Tax Assessment Rolls Real and business property annual assessment rolls. Includes property description, assessed value of property and names/addresses of owners. Notices of Assessment Real and personal property assessment notices, including those undeliverable. Certification Files Consists of annual assessment roll certifications, including oil and gas lease properties, senior citizen, disabled, American veteran, and farm use, etc. Tax Appeal Files Documents adjustment appeals made to the assessment review board. Includes written appeal, audio tapes and board certifications. Real Property Parcel Master File This series used to certify and document the assessed value of real property. Includes following exemptions: senior citizen, disabled American Veteran, Farm Use Deferment, Religious, Charitable, Educational. Section Land Files Includes full legal description and chain of title information for all land parcels in township, section and range. Includes nonconforming (illegal) splits.
Retention & Disposition
Remarks
15.1
Retain Permanent
AS 29.45.160
15.2
6 years then destroy
15.3
6 years then destroy
15.4
6 years then destroy
15.5
Retain Permanent
15.6
C then destroy
C = Until superseded/obsolete or administrative need is met.
70
Local Government Model General Administrative Records Retention Schedule #300.1 15. Assessments
Item No.
Records Series Title & Description
Personal Property Files This series used to certify and document the assessed value of personal property. Includes certifications, declaration forms, and miscellaneous information attached to property assessment. Reports of Collection Building & Land Inventory Records
Retention & Disposition
Remarks
15.7
6 years then destroy
15.8
6 years then destroy
15.9
This series documents new building construction and razing/renovation of older buildings; and, tracks land, subdivision, re-subdivisions, lot line removals, etc. Market Sales Program Records Includes property acquisition questionnaires and market sales program information.
6 years then destroy
15.10
6 years then destroy
71
Local Government Model General Administrative Records Retention Schedule #300.1 16. Land Management
Item No.
Records Series Title & Description
Land Township/Range/Section Files
Retention & Disposition
Remarks
16.1
Includes deeds, easements, cadastral surveys, entitlement documents, assembly actions and other legal documents. Land Lottery Records Consists of financial reports, property pictures and land owner information. Municipal Entitlement Records History of land acquired from the State (selection, patent). Property Tax Foreclosure Records May include parcel inventory files and property acquired through tax foreclosure where repurchase rights have been extinguished.
Retain Permanently
16.2
Retain Permanently Retain Permanently
16.3
16.4
Retain Permanently
72
Local Government Model General Administrative Records Retention Schedule #300.1 17. Parks & Recreation
Item No.
17.1
Records Series Title & Description
Recreation Program Records
Retention & Disposition
3 years then destroy Retain Permanently
Remarks
17.1.1
Program histories and photographs Records relating to programs and activities sponsored or developed by the Parks & Recreation Department. Included are sports programs (soccer, softball, baseball, ice skating, basketball, aerobics, races), arts, charitable events, day camps, luncheons and picnics. Documents may consist of player rosters, sponsor forms, practice notices, schedules, tournament seedings, permission slips, drop out forms, worker lists, brochures, flyers and correspondence. Coach/Instructor/Lifeguard Records Records relating to instructor, lifeguard, or coach certification and training. May include volunteer coach registrations, criminal background checks, reference and training videos, newsletters and other certifications. Recreation Facility Records Records relating to maintenance, compliance and monitoring of municipal facilities including community recreation buildings, pools, ice skating rinks, arenas and athletic fields. This series may consist of inspection certifications, use permits, facility applications and licenses.
17.2
C then destroy
C = Until superseded/obsolete or administrative need is met.
17.3
Retain Permanently
73
Local Government Model General Administrative Records Retention Schedule #300.1 17. Parks & Recreation
Item No.
Records Series Title & Description
Maps, Plans & Drawings This series documents topographic features, drainage, structures, proposed enhancements, etc. for parks. Includes utility maps, easements and as-builts.
Retention & Disposition
Remarks
C = Until superseded/obsolete or administrative need is met.
17.4
C then destroy
Official Record Copy may be administered by Engineering, Buildings & Public Works (item #13.1). C = Until superseded/obsolete or administrative need is met.
Horticulture Project Files 17.5 Consists of records relating to landscaping, tree and flower work, including requests, design plans and work orders. Harbor Master Files Includes documentation relating to harbor master activity: hours worked, number of warnings and citations issued, remarks, and comments. Also consists of mooring permits issued, inspections conducted, USCG certifications and proofs of insurance. Cultural Resources Records Documentation of the functions and activities of the cultural resources officer. Includes case files, final reports, drawings, photographs, videos, plans, maps, etc. C then destroy
17.6
3 years then destroy
17.7
Retain Permanently
74
Local Government Model General Administrative Records Retention Schedule #300.1 18. Libraries & Museums
Item No.
Records Series Title & Description
Accession Records Documenting library/museum accessions and may include date purchased/amount, publisher, classification code, detailed descriptions, artifact care data, etc. De-Accession Records Items transferred, returned to donor, or disposed. Circulation Records May include privileged patron information, circulation cards, overdue notices, etc.
Retention & Disposition
Remarks
18.1
Retain Permanently
18.2
Retain Permanently C = Until superseded/obsolete or administrative need is met. Confidential per AS 09.25.140 (Confidentiality of Library Records). C = Until superseded/obsolete or administrative need is met. C then destroy Backup disaster recovery tapes are stored offsite for security. Tapes are rotated according to established Repository procedures.
18.3
C then destroy
Shelf Lists, Inventories & Information Systems Documenting repository materials. 18.4
Accreditation Files 18.5 Documenting library and museum accreditation. Reference Request Files This records series is used for statistical purposes and documents pertinent researcher data (name, address, research topic and materials requested). Retain Permanently C = Until administrative need is met. C Confidential per AS 40.25.140 (Confidentiality of Library Records).
18.6
75
Local Government Model General Administrative Records Retention Schedule #300.1 18. Libraries & Museums
Item No.
Records Series Title & Description
Conservation Reports Series consists of artifact conservation records. Includes survey reports, treatment reports, treatment request reports, photos, slides and negatives.
Retention & Disposition
Remarks
18.7
Retain Permanently
76
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
RECORDS SERIES INDEX A Item No.
11.17 18.1 11.23 18.5 1.5 8.9 6.22 11.24 2.9 15.1 11.39 11.5 1.17 1.9
Records Series Title
Abused/Neglected Child Notification Accession Records Accreditation Files Accreditation Files Administrative Studies/Special Projects Affidavits Alaska Human Rights Act Records Animal Control Files Annexation Files Annual Tax Assessment Rolls Apparatus Accident Files Arrest Records Automatic Data Processing & Electronic Data Processing Media Automotive Management 49 75 50 75 18 40 37 50 25 70 54 46 22 19
B Item No.
3.7 3.13 3.11 3.12 13.10 15.9 14.1
Records Series Title
Banking Records Bills of Sale Bond Records Bond Registers Bridge Files Building & Land Inventory Records Business Licenses 29 30 30 30 61 71 69
77
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
C Item No.
8.15 3.8 8.12 8.11 12.9 3.9 2.12 2.11 8.2 8.3 15.3 18.3 6.10 17.2 12.7 2.5 6.12 11.1 9.1 12.5 11.9 2.7 18.7 13.2 11.44 5.2 6.13 11.22 11.13 17.7
Records Series Title
Campaign Disclosure Cancelled Checks & Check Registers Candidate Withdrawals Candidates Lists Capital Improvement Request Files Cash Books & Cash Journals Cemetery Master Files Census Records Certificates of Election Certificates of Election Returns (Regular & Special) Certification Files Circulation Records Classification/Reclassification Action Case Files Coach/Instructor/Lifeguard Records Coastal Management Programs Files Codes, Ordinances & Resolutions Collective Bargaining Negotiation Files Complaint Cards Computer System Files Conditional & Temporary Use Files Confidential Informant Files Conflict of Interest Statements Conservation Reports Construction Project Files Contingency & Emergency Services Plans Contract Administration Contract Interpretation & Arbitration Decisions Crime Statistics Criminal Background Checks Cultural Resources Records 41 29 40 40 57 29 25 25 39 39 70 75 35 73 57 24 35 45 42 57 47 24 76 59 55 33 35 49 48 74
78
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
D Item No.
18.2 8.7 3.3 1.6 8.6 1.12
Records Series Title
De-Accession Records Declarations of Candidacy Department Budget Files Department History Files DOJ Preclearance Records Drafts & Working Papers 75 39 27 18 39 20
E Item No.
6.17 6.18 8.5 8.13 8.4 4.12 6.19 4.7 4.8 4.6 11.26 13.3 11.38 1.7
Records Series Title
EEO Administration Records EEO Complaint Case Files Election Contest/Runoff Information Election Officials’ Records Election Registers & Tally Books Electronic Federal Tax Payment (EFTPS) Documentation Employee Medical Records Employee Pay Record Cards Employee Withholding Exemptions (W-4) Employer W-2 Copy EMS Incident Reports Engineering Field & Bench Mark Books Equipment Inspection Records Equipment Records 36 37 39 40 39 32 37 31 31 31 50 59 53 18
79
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
F Item No.
13.13 11.3 3.4 8.8 11.35 11.40 11.27 11.25 11.36 11.34 11.37 11.33 11.32 11.31 2.13 12.8 3.14 10.5 13.14
Records Series Title
Facility Maintenance Files Field Interrogation Cards Financial & Accounting Reports Financial Disclosure Statements Fire & EMS Training Files Fire Hydrant Identification Files Fire Inspection/Compliance Files Fire Investigation Files Fire Prevention Education Programs Fire & Rescue Alarm Response Cards Fire & Rescue Response Circuit/Radio Box Records Fire & Rescue Alarm Response Tapes Fire & Rescue Response Dispatch Cards & Logs Fire & Rescue Response Dispatch Tapes Fixed Asset Inventories Flood Control Program Files Foreclosure Files Franchises Fuel Summaries & Receipts 62 45 28 40 52 54 51 50 53 52 53 52 52 52 26 57 30 43 63
G Item No.
4.9 3.1 1.1 12.10 13.21 5.3 5.4 6.11
Records Series Title
Garnishment & Payroll Deduction Court Orders General Accounting Records General Correspondence Geographic Names Files Geologic Data Grant Administration Files Grant Applications (Not Awarded) Grievance Case Files 31 27 16 57 65 33 33 35
80
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
H Item No.
17.6 6.20 11.42 11.43 11.18 17.5
Records Series Title
Harbor Master Files Hazard Communication & Material Safety Data Sheets Hazardous Materials/Hazardous Substances Right to Know Files Hazardous Materials Incident Files Holding Facility Records Horticulture Project Files 74 37 55 55 49 74
I Item No.
6.21 2.8 6.1 1.10 13.5 7.1 11.8 4.13 11.4 10.4 9.2
Records Series Title
Immigration Reform & Control Act (1986) I-9 Forms Incorporation Files Individual Personnel Files Injury & Accident Records Inspection Files (Miscellaneous) Insurance Policies & Endorsements Internal Affairs Investigations Internal Revenue Service Reports & Reconciliations Investigation Case Files Investigation & Matter Files IT Service Requests 37 24 34 19 60 38 46 32 45 43 42
J Item No.
6.4 6.9 6.8 11.15 11.16
Records Series Title
Job Applications (Unsolicited) Job Class Specifications Job Descriptions Juvenile Arrest Files Juvenile Prosecution Case Files 34 35 35 48 48
81
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
L Item No.
12.3 13.19 16.2 12.4 16.1 4.5 3.5 14.2 10.3 11.10
Records Series Title
Land Classification Case Files Landfill Records Land Lottery Records Land Management Case Files Land Township/Range/Section Files Leave Accounting Ledgers & Journals Licenses & Permits (Non-Business) Litigation Case Files Logs/Indices 56 64 72 56 72 31 28 69 43 47
M Item No.
13.12 17.4 15.10 6.5 2.1 13.31 10.1 16.3
Records Series Title
Maintenance Work Orders & Logs Maps, Plans & Drawings Market Sales Program Records Master Examination Files Meeting Files Meter Reading Books & Cards Municipal Attorney Opinions Municipal Entitlement Records 62 74 71 34 23 68 43 72
N Item No.
10.7 15.2 4.10
Records Series Title
Notice to Comply and/or Violation Reports Notices of Assessment Notification of Pay Step Increases 44 70 31
82
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
O Item No.
2.6 1.18 11.41 6.6 11.6
Records Series Title
Oaths of Office & Appointments Officials’ Bonds Oil Spill Preparedness Files Organization Charts Outstanding Warrants 24 22 54 34 46
P Item No.
4.3 4.4 4.2 4.11 4.1 13.4 11.28 14.3 13.6 15.7 2.3 12.1 12.2 13.1 11.2 1.3 2.4 5.1 1.8 11.11 16.4 2.2 1.14
Records Series Title
Payroll Case Files Payroll Deduction Authorizations Payroll Journal Payroll Reports Payroll Warrant Register Permit Application Files Permits/Licenses Issued Permits Register Permits Register Personal Property Files Petitions Planning Commission Files Planning & Zoning Enforcement Case Files Plans, Maps & Drawings Police Reports (Major & Minor) Policies & Procedures Proclamations Procurement Records Property Control Files Property Records Property Tax Foreclosure Records Public Hearing Files Public Records Log & Requests for Information 31 31 31 32 31 60 51 69 60 71 23 56 56 59 45 17 23 33 18 47 72 23 21
83
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
R Item No.
11.20 1.2 15.5 2.10 1.16 8.10 17.3 17.1 6.3 13.32 18.6 10.2 13.9 1.4 15.8 3.10 13.7 10.6 7.2 12.11
Records Series Title
Radar Reports Reading Files Real Property Parcel Master File Reapportionment & Redistricting Boards Records & Information Management Files Recount Petitions Recreation Facility Records Recreation Program Records Recruitment, Selection & Appointment Records Recycling & Hazardous Waste Records Reference Request Files Regulation Files Regulatory Compliance Files Reports Reports of Collection Revenue Sharing/Safe Communities Files Right of Way & Easement Files (Originals) Right of Ways & Easement Files Risk Management Claim Files Road Name Changes 49 16 70 25 21 40 73 73 34 68 75 43 61 17 71 29 60 44 38 58
S Item No.
6.7 14.4 13.18 4.14 15.6 6.2 13.23 13.22 11.14 18.4 12.6 13.16 11.12 13.8
Records Series Title
Salary Schedules Sales Tax Registrations & Reports Sanitation Files Savings Bond & 401k Accounting Records Section Land Files Service Record Card/Employment History Sewer Location & Connection Records Sewer & Water Assessment Records Sex Offenders Information Shelf Lists, Inventories & Information Systems Site Selection Files Snow Plow Files Stolen Property Lists Subdivisions & Land Development Project Files 34 69 64 32 70 34 65 65 48 75 57 63 47 61
84
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
T Item No.
15.4 1.13 4.5 13.15 11.19 6.16 6.15 1.11 3.2 13.17
Records Series Title
Tax Appeal Files Technical Reference Files Timesheets Traffic Light Records Traffic Records Training Course Development Files Training Course Files Transitory & Miscellaneous Administrative Information Travel Accounting Tree Files 70 20 32 63 49 36 36 20 27 64
U Item No.
13.20 6.14 11.21 11.7
Records Series Title
Underground Storage Tank Records Unfair Labor Practices Case Files Uniform Crime Report (UCR) Use of Force Investigations 65 36 49 46
V Item No.
11.29 3.6 11.30 1.19 8.1 8.14
Records Series Title
Variances Vendor Files Violation/Complaint Files Visitor Logs Voting Ballots (Completed, Challenged, Rejected, Absentee & Special Needs) Voting District Descriptions, Maps & Street Books 51 28 51 22 39 41
85
Local Government Model General Administrative Records Retention Schedule #300.1 Records Series Index
W Item No.
13.29 13.30 13.24 13.25 13.26 13.28 1.15 13.27 13.11 7.3 Water Management Plans Water Service Applications & Agreements Water Service & Valve Location Records Water System Monitoring Charts & logs Water System Repair & Maintenance Records Water Testing Records Website Content, Management & Operations Records Well Information Work/Repair Requests & Complaints Worker’s Compensation Claims 67 67 66 66 66 67 21 66 62 38
86
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