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Home My WebLink AboutRes2010-118Sponsored by: Clerk CITY OF SEWARD, ALASKA RESOLUTION 2010-118 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SEWARD, ALASKA, REPEALING RESOLUTION 2007-094 AND ADOPTING A REVISED RECORDS RETENTION SCHEDULE FOR THE CITY OF SEWARD WHEREAS, records and how they are managed is always evolving; and WHEREAS, it is important for government to have a records management system that is legally responsive and meets today's industry standards; and WHEREAS, the City of Seward's records were assessed on March 10, 2010 by Acumen Information Services, Inc., and WHEREAS, Acumen Information Services, Inc. are records managers certified by the Institute of Certified Records Manager's (ICRM); and WHEREAS, the City of Seward contracted with Acumen Information Services, Inc. and a new system of "bucketing" or bundling of records by record series was established; and WHEREAS, this system attaches data owners to the records which will assist with accountability and auditing purposes in the future; and WHEREAS, this schedule now meets today's industry standards, is legally responsive, and meets all requirements set by federal and state law. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SEWARD, ALASKA that: Section 1. Resolution 2007-094, the last update for the records retention, is hereby repealed. Section 2. The records retention schedule for the City of Seward, Alaska, attached and incorporated herein by reference, is adopted. Section 3. This resolution shall take affect immediately upon its adoption. PASSED AND APPROVED by the City Council of the city of Seward, Alaska, this 13`" day of December, 2010. CITY OF SEWARD, ALASKA RESOLUTION 2010-118 THE CITY OF EWARD, ALASKA a Willard E. Dunham, Mayor AYES: Valdatta, Bardarson, Kell, Shafer, Dunham NOES: None ABSENT: Smith, Casagranda ABSTAIN: None ATTEST: Jeof Lewis Cify Clerk t ®°°•°°'"'"•.�� A (City Seal) 4 OF • 0� Council Agenda Statement Meeting Date: December 13, 2010 To: Mayor Dunham, City Coun it From: Jean Lewis, City Clerk �9/ Agenda Item: Approve new Records Retention Schedule BACKGROUND & JUSTIFICATION: There are two phases needed to;complete a new records management system for the City of Seward. Phase I — is to have a new records retention schedule developed based on record series and today's industry standards. Phase II — takes that new schedule and incorporates it within the new software for the ultimate goal to get records flowing again. The City of Seward had a records management assessment done March 10, 2010 by Acumen Informational Services, Inc. Acumen is the only records management company in Alaska that is certified by both the National Archives and Record Administration (NARA) and Association of Records Managers and Administrators (ARMA). Although Seward had good base level components in place, records retention and practices were outdated, and needed to be improved to meet today's industry standards and legal challenges. August of 2010, the City Clerk's Office contracted with Acumen Informational Services, Inc. to draft and develop a new Records Retention Schedule (RRS) based on record series. By using our old record retention schedule as base inventory, they developed this new RRS and performed legal research and assigned legal requirements to each record series. INTENT: For the City of Seward to have a legally responsive records retention schedule that meets industry standards and today's legal challenges. To assist the City to effectively maintain, retain and destroy city records. CONSISTENCY CHECKLIST• Where applicable, this resolution/ordinance is consistent with the Seward City Code, Charter, Comprehensive Plans, Land Use Plans, Strategic Plan and City Council Rules of Procedures. Other: FISCAL NOTE: No fiscal impact at this time. Approved by Finance Department: � ATTORNEY REVIEW: NO (Just briefly went over the LEG section by telephone with the City Attorney on records questions) RECOMMENDATION: Approve Resolution 2010-11,8which adopts this new records retention schedule. and Draft Records Retention Schedule Recommended Record '', Subjects Description Legal Industry Standard Data Owner Retention m m Citations( a Comments/Notes Series Retention - Retention Retention (in years unless Standard otherwise noted) �o ACC1000 Accounting - Accounts Records related to the payment of financial Payable & Accounts obligations and receipt of revenues. Payables Receivable includes check copies, vendor invoices/statements, expense reports. Records also include Affidavits of Publication. Receivables includes income from sales and 5 6 FIN Director 6 8 AAC 85.020 property taxes, utilities, user fees, tariffs and AS 43.20.200 other revenue generating enterprises. See ACC1005 for grants and LEG2000 for government and other contracts. ACC1005 Accounting - Accounts Records include receipts of revenue, vendor Payable & Receivable - payments and other supporting documentation. 45 CFR 74.53 Grants 7 CFR 3019.53 Some grants may require See ACC2000 for capital expenses Active + 3 Active + 6 FIN Director Active + 6 24 CFR 84.85 longer retention, including purchased with grant/government funding 7 AAC 78.250 EPA (Active + 10) and FAA grants. ACC1010 Accounting - Journals & Records used to transfer charges between Ledgers accounts and for summarizing account information. Includes General Ledger and 5 10 FIN Director 10 See ACC1000 and Budget journal entries. ACC1005 Final annual records only. ACC1020 Accounting - Payroll Records related to the payment of salaries and wages, including deductions for benefits, taxes, etc. Includes salary, taxes, adjustments, garnishments, benefits, contributions and other adjustments to payroll checks, W-2, W-4 and 5 6 FIN Director 6 8 AAC 85.020 1099 forms. HR Director 26 CFR 31.6001-1 See HUM1040 for summary benefit/payroll records related to PERS and other retirement ben fi ACC1021 Accounting - Payroll - Records related to reporting of hours worked, 5 6 FIN Director 6 8 AAC 85.020 Timesheets including timesheets. 29 CFR 1627.3 ACC2000 Accounting - Capital Includes purchase and sales of property and Property equipment, depreciation, improvements, etc. Includes financial obligations associated with capital expenditures, purchase of land, Active Active + 6 FIN Director Active + 6 See ACC1005 buildings, equipment, furnishings, motor vehicles and their titles, material transfers, work All vehicle titles are housed orders, additions or improvements to buildings in finance. Active = Life of or fixtures, Asset ACC9900 Accounting - General Reports providing accounting information to management that is not needed for audit purposes. Includes reports not containing the None 3 FIN Director 3 primary record of computer data such as summary data, weekly updates, status reports, etc. Last Updated 1211412010 Page 1 of 12 Cif and Draft Records Retention Schedule Recommended R Record Subjects Description Legal Industry Standard Data Owner Retention y $ Citations/ Comments/Notes Retention Retention Retention (in years unless j Standard otherwisenoted) to ADM1000 Administration - General Records to help accomplish the functions for which a person or department is responsible. Administrative records have value as long as they assist employees in performing either current or future work. The primary Administrative records administrative use of most records is exhausted Until Administrative currently in inactive when the transactions to which they relate have None UANIM All Dept Head Need is Met storage should be been completed. assigned a 1 year retention period. For more detailed information on what is considered an administrative record, contact the City Clerk's Office. ADM1020 Administration - Planning & Records related to future planning and Forecasting forecasting for internal purposes. Includes annual plans, long term strategic plans and operational forecasts, facility requirements, growth forecasts, feasibility studies, marketing plans. Active = Until study/plan is None Active + 1 All Dept Head Active + 1 no longer relevant as See FIN2000 for budgeting and financial determined by Data Owner planning. See ROM1000 for studies and plans pertaining to the city's infrastructure and development. ADM1050 Administration - Requests Includes public records logs and written SOA Local Government for Information requests. 1 2 All Dept Head 2 schedule 1 year NARA - 2 years ADM2000 Administration - Property Records related to the movement or tracking of Museum inventories of Management City property. Includes records related to the artifacts and collections are Inventory movement of vehicles, equipment, tools, None 3 All Dept Head 3 governed under AS 14.57 materials and supplies owned, rented or leased, use logs. ADM3000 Administration - Policies & Records documenting City -approved methods Keep copies of policies and Procedures or processes for performing activities to ensure procedures to demonstrate uniformity and compliance with City and legal City practices m judicial orregulatory requirements. Includes office and job practices, proceedings Organizations may be judged administrative handbooks, procedures manuals, P according to its own written employee manuals/handbooks, policy 45 CFR (1) standards of conduct. statements, directives, disaster recovery plans, None Active + 10 All Dept Head Active + 10 (consideration) (consideration) emergency action plans, vital records programs, records management programs, safety programs, security plans, affirmative action plans, operating rules, and software and equipment manuals. ADM3010 Administration - Policies & Records of internal audits to confirm compliance Procedures - Audits, with internal policies and procedures. Includes Internal internal audit reports, remedial activities, and None Active + 2 All Dept Head Active + 2 work papers. See FIN7010 for external financial audits. Last Updated 1211412010 Page 2 of 12 ,ad Draft Records Retention Schedule Recommended ro Record Subjects Description Legal Industry Standard Data Owner Retention m w Citations/ Comments/Notes riels Retention Retention Retention (in years unless 11 > Standard ,otherwise noted) �o ADM3020 Administration - Policies & Record Transfer Lists & Record Destruction Procedures - Records Authorization forms. Records related to the Indefinite Program Documentation y transfer and destruction of records hardco ( py Permanent City Clerk Permanent and electronic). Also includes Document Re lacement Authorizations. ADM4000 Administration - Security Records related to protecting employees, equipment, buildings and information. Includes security clearances, password lists . None 3 All Dept Head 3 See series PST1000-4000 for records related to Dublic safety and security. ADM4100 Administration - Safety Records related to City safety programs. See HUM4020 for accident and injury reports. None 3 All Dept Head 3 See series PST1000-4000 for records related to public safety and security. ASM1000 Assessment - Valuation Real and business property annual assessment rolls. Includes description, assessed value of property and names and addresses of owners. SOA Local Government Also includes records that are used to certify None Permanent FIN Director Permanent Schedule and document the assessed value of real property. ASM2000 Assessment - Supporting Includes notices, collection files and other Documentation records. None 6 FIN Director 6 SOA Local Government Schedule See LEG4000 for appeals. CEM 0000 Cemetery Records Information regarding ownership and interment. Permanent Permanent City Clerk Permanent Comm. Dev ELC1000 Elections - Permanent Certificates of Election Returns - Regular & Special - History of election records consisting of copies of council certificate of election, election returns, and sample ballots. DOJ (Dept. Permanent Permanent City Clerk Permanent of Justice) Preclearance Records - History of preclearance records relating to request and pre clearance for election. Last Updated 12/14/2010 Page 3 of 12 Cil and Draft Records Retention Schedule Recommended m Record Subjects Description' Legal Industry Standard Data Owner Retention ar, Citations! p Comments/Notes seriesi Retention Retention Retention I(in years unless C �... Standard otherwise noted) V ELC2000 Elections - General Candidates Lists - Records relating to list of candidates. Includes: name and address of candidate, declaration of candidacy, office sought and term of office and ballot layout. Election Officials' Records - Records relating to recruitment materials, interest letters, training notes, acceptance forms, oaths and mileage reimbursement requests and absentee voting officials' documentation. Election Registers & Tally Books - Records relating to the following registers: precinct, final voting, questioned 4 Active +6 City Clerk Active +6 voter, special needs voting and absentee and early voting. Also includes special needs voting applications. Other Election Material - Election results for poll and other manners of voting, certificate and affidavits of posting, Unsuccessful Candidates, Alaska Public Offices Public Disclosure Statements, and any other materials related to the election. AS.15.15.470 ELC3000 Elections - Ballots Official election ballots 30 days 30 days City Clerk 30 days AS.15,15 470 ENV1000 Environment - Testing - Records related to the testing, monitoring and General and Utility analysis of the environment for hazardous substances. Includes records of the City water and sewer utility systems. 40 CFR 63.10 See ENV2000 for testing, monitoring and 10 10 All Dept Head 10 40 CFR 68.200 analysis when hazardous substances are 40 CFR 141.33 detected. See ROM3000 for Landfill Records ENV2000 Environment - Hazardous Records related to the use, manufacture, and Substances testing of hazardous substances. Indefinite Indefinite Indefinite All Dept Head (review every 30 See ENV2010 for transportation of years) hazardous substances. ENV2010 Environment - Hazardous Records related to the transportation of Indefinite Substances - shipping hazardous substances. Includes shi in Indefinite Indefinite All Dept Head p (review every 30 See ENV2000 Transportation manifests for hazardous substances. I years) ENV3000 Environment - Water & Air Records related to discharge of pollution into 12 Pollution water and air. 12 All Dept Head 12 40 CFR 141.91 ENV4000 Environment - Programs Records of City Programs to control, prevent and manage pollution. Indefinite Indefinite Indefinite See REF0000 or ADM3000 for programs All Dept Head (review every 30 See ENV200 developed and owned by the State of Alaska years) or other _qoverning bodies. FIN1000 Finance - Banking Records related to banking activities. Includes deposits, checks, statements, reconciliations, 5 6 FIN Director 6 See ACC1000 check registers, daily cash receipts. Last Updated 12/14/2010 Page 4 of 12 C It a rdx .r , Draft Records Retention Schedule Recommended Record Subjects'", Description Legal Industry Standard Data Owner Retentionm :9 Citations/ Comments/Notes Sevres Retention Retention Retention Retention (in years unless � � Standard otherwise noted) q tJ FIN2000 Finance - Budgets & Records related to internal financial planning Financial Forecasts and financial management. None Active + 1 FIN Director Active + 1 See ACC1000 For approved budget see FIN7000. FIN3000 Finance - Investments Records related to City investments. Active Active + 6 FIN Director Active + 6 See ACC1000 Active = until investment is sold, transferred etc. FIN4000 Finance - Bonds Records related to City issuance of debt papers. Includes bonds and debenture ledgers, certificate transfers, notes, use of bond Active Active + 6 FIN Director Active + 6 See ACC1000 proceeds, construction contracts, material AS 29.47.410 purchases, receivables and other supporting Active = until bond is documents. com2letely paid FIN5000 Finance - Loans/Credits Records related to the applications, issuance, management and administration of loans to the City. Includes correspondence with lenders, reports to lenders, debt information, letters of See ACC1005 credit, loan agreements, loan applications, Active Active + 6 FIN Director Active + 6 AS 47.29.410 and IRS Active = Until loan is paid, mortgage records, credit agency reports, credit states life bond + 6 yrs, refi d etc applications, work papers, write-offs, write downs, losses. FIN6000 Finance - Bad Records related to the monitoring, collecting Debts/Collections and writing off of bad debts. Includes Active Active + 6 FIN Director Active + 6 See ACC1000 authorizations, supporting details of uncollectible accounts. FIN7000 Finance - Financial Financial statements, reports, and background Statements and Approved information submitted to government and Budget regulatory agencies. Permanent Permanent FIN Director Permanent DMC 4.12.010 Includes Comprehensive Annual Financial Report and Final Approved Budget. FIN7010 Finance - Financial Audit work papers submitted by the City related Statements - Audits, to the annual financial audit. AS 29.35.120 External Indefinite 17 CFR 210.2-06 (Industry Standard for 7 7 FIN Director (review every 20 audit records according years) to the Sarbanes-Oxley act of 2002) FIN8000 Finance - Purchasing and Records related to request for bids, bid review, Bids receiving, inspection of merchandise, etc. Includes records related to shipment or receipt of purchases. 3 3 All Dept Head 3 See ACC1005 See ACC1000 for accounting for actual purchases. See LEG2000 for purchasing contracts. FIN8100 Finance - Purchasing - Records related to actual purchases or Purchase Orders commitments to purchase, and authorizations Active + 3 Active + 6 FIN Director Active + 6 See ACC 1005 and for expenses. LEG2000 FIN9900 Finance - General Records related to finance activities not covered None 3 FIN Director 3 previously. Last Updated 12/14/2010 Page 5 of 12 Cil and Draft Recoras mete tion Schedule ed HIS1000 Historical Records determined to possess significant long- term historical value. Indefinite None Indefinite All Dept Head (Review every 50 Includes research, studies and scholarly years) records uni ue to the City. HUM1010 Human Resources - Records related to City sponsored benefit plans. Benefits - Benefit Plans Includes insurance, pension, disability, medical, survivor programs, vesting criteria, leave entitlements, educational assistance, deferred compensation plans, correspondence explaining benefit plans. Active + 6 Active + 6 HR Director Active + 6 29 USC 1027 See LEG5000 for pension plans reports to FIN Director government. See HUM1040 for indefinite summary records related to PERS. HUM1020 Human Resources - Records related to contributions made and Benefits - Contributions & benefits distributed under City sponsored Distributions benefit plans. Includes insurance, pension, disability, deferred comp., etc. Active + 6 Active + 6 HR Director Active + 6 29 USC 1027 FIN Director See HUM1040 for permanent summary records related to PERS. HUM1030 Human Resources - Records of benefit options by employees for Benefits - Options type and amount of participation in the City's Active + 6 Active + 6 HR Director FIN Director Active + 6 29 USC 1027 benefit plans. HUM1040 Human Resources - Records related to cumulative years of service, Benefits - Benefit Summary total pension contributions, accrued benefits, Indefinite Indefinite HR Director 75 29 USC 1059 Information etc. FIN Director HUM2000 Human Resources - Records of general nature related to personnel Employee Selection requests, job postings, job applications, testing, 3 3 HDirector 29 CFR 801. 30 advertising, interviews, etc. FIN Director 3 29 CFR 160R .1 29 CFR 1627.37.3 HUM3000 Human Resources - Records regarding specific employees. Employee Records Including hiring, promotion, performance, HR Director 29 CFR 1627.3 appraisals, transfers, termination, etc. Active + 6 Active + 6 FIN Director Active + 6 29 CFR 516.5 AS 9.10.070 HUM4020 Human Resources - Health Records related to on-the-job accidents & Safety - required by OSHA. Includes injury reports, 29 CFR 1904.33 Accident & Injury Reporting damage reports, and accident logs. 6 6 All Dept Head 6 AS 16.60.030 HUM4021 Human Resources - Health Records related to on-the-job accidents often & Safety - used for workers' compensation claims. Indefinite Workers' Compensation Indefinite Indefinite All Dept Head (review every 30 29 CFR Claims See LEG4000 for litigation involving years) .020 AS 2330,0630.065 workers' compensation. Last Updated 12/1412010 Page 6 of 12 Ci and Draft Records Retention Schedule Recommended i2ecora ' Subjects Description Legal Industry Standard Data Owner Retention. m Citations/ Comments/Notes Retention Retention Retention (in years unless Standard otherwise noted) �o HUM4030 Human Resources - Medical Records related to exposure or Health & Safety possible exposure to hazardous or toxic Hazardous Exposure substances including testing, employee exposure records, employee radiation records, and employee hazard communications records. Indefinite Indefinite Indefinite HR Director (review every 30 29 CFR 1910.1001 years) See ENV2000 for testing for environmental exposure to hazardous substances. HUM4031 Human Resources - Health Material Safety Data Sheets (MSDS) required & Safety by OSHA. Indefinite Indefinite All Dept Head Indefinite (review every 30 29 CFR 1910.1200 Material Safety Data Sheets years) 29 CFR 1910.1020 HUM5000 Human Resources - Records related to the development and Training/Development operation of City -sponsored training programs and seminars. Includes seminars, education assistance, management and supervision Active Active + 6 All Dept Head Active + 6 29 CFR 1910A 56 development, job progression, drug and alcohol 13 AAC 52.030 awareness, course listings, schedules, requests and approvals. Includes Police and Fire training HUM5010 Human Resources - Records related to certification for individuals to 13 AAC 52.030 Training/Development - perform certain tasks. Includes Police, Fire, Active Active + 6 All Dept Head Active + 6 13 AAC 13,87 Certification EMT, etc. HUM6000 Human Resources - Salary Records related to determining and monitoring Administration salary and deduction amounts including timesheets, cost of living records, earnings records, pay scales, and salary surveys. 3 6 FIN Director HR Director 6 29 CFR 516.5 See ACC1020 for accounting records for payroll and deductions. HUM6100 Human Resources - Records related to job descriptions. Salary Administration - Job 2 Active + 10 HR Director Active + 10 29 CFR 1620.32 Descriptions HUM7000 Human Resources - Labor Records related to negotiating, implementing, Relations grievance and other significant matters with labor unions. Includes documentation Indefinite Indefinite associated with filing, investigating and Active + 6 HR Director (review every 20 See LEG2000 resolving non -union grievances and complaints. years) HUM9900 Human Resources - Records related to Human Resources not General covered elsewhere. None 6 HR Director 6 LEG1000 Legal - Organization Records related to the establishment of and rules governing the operation of the city, includes articles/certificates of incorporation, Permanent Permanent City Clerk Permanent seals, etc. Last Updated 12/14/2010 Page 7 of 12 Ci - and r. Draft Recoro .'c tion Schedule W11 LEG1010 Legal - Organization - Records relating to the adoption and Council amendment of all adopted ordinances and resolutions. Records that constitute the official accounts of the proceedings and actions of the Council or workgroup(s) of the Council. Permanent Permanent City Clerk Permanent Records relating to oaths for boards, commission, committees, councils and elected officials. Master list of names, terms and dates of service. Includes code book supplement files. LEG1020 Legal - Organization- Records relating to the official actions of the Council - board or commission. May include, adopted Boards and Committees minutes, agendas, resolutions and any other Permanent Permanent City Clerk Permanent records that constitute the official accounts of the proceedings and actions of the governing LEG1030 Legal -Organization Council Records related to appointments to boards, Boards and Committees - commissions, committees, and special work Appointments groups appointed by the mayor or Council Includes notices of appointments/resignations. Active Varies widely City Clerk Indefinite (review every 20 SOA Local Government years) Schedule Master list of appointments kept permanently, see LEG1000 LEG1040 Legal - Organization Backup information related to meetings of a Council - governmental body, may include meeting Boards and Committees packets, correspondence, reports, transcripts, Supporting Documents PP 9 studies, background papers and recordings. None 6 City Clerk 6 SOA Local Government Also includes records relating to initiatives, Schedule referendum, and recall filed by private citizens or groups requesting governing body action. LEG1050 Legal - Organization Records issued/prepared by mayor or local Retention active during Proclamations/Certificates governing body. mayoral term then retain None Varies widely City Clerk Active + 3 three years Work with the Records Manager to determine possible historical value. Last Updated 12/14/2010 Page 8 of 12 Cite.,., andw., u. ,. Draft Records Retention Schedule Recommended m Record ' Subjects, Description Legal industry Standard > Data Owner Retention m w Citations/ a Comments/Notes Series Retention Retention Retention (in years unless Standard otherwise noted) V LEG2000 Legal - Records related to obligations under contracts, Contracts/Agreements leases, and other agreements between the City and outside parties. Includes contracts for services, purchases and sales, labor relations, transportation, leases, property and construction, exchange of property, etc. Employee contracts, promissory notes, property improvement contracts, mortgages, patents, title documentation, labor contracts, and warranties. Contract documentation, contract AS 09.10.053 negotiations and change orders are included. Active + 3 Active + 6 All Dept Head Active + 6 AS 09.10.050 48 CFR 4.703 Includes agreements/applications for City Services (utility, sewer, etc.) and licenses and permits granted by City Departments. See LEG2015 for legal documents pertaining to land use such as permits and easements. LEG2010 Legal - Records related to compliance or performance Contracts/Agreements - of government and non -government contracts. Contract Performance Includes determination of costs, cost accounting, performance of services, payments, pay administration, procurement, work products delivered, production, etc. Does not include the 6 6 All Dept Head 6 See LEG2000 contract itself. Generally includes "project files" that do not contain engineering or other permanent records. LEG2015 Legal Records relating to grant of easement for legal Contracts/Agreements permission to conduct work on property, Land Use including, but not limited to, laying, constructing, maintaining, operating, repairing and servicing water and sewerage pipes, mains, drains, signs Indefinite and utilities. Also vacations (including section Active Indefinite All Dept Head (Review every30 See LEG2000 line and deeds of vacation), descriptions of years) easement areas, memoranda, correspondence, and property disposition. Also includes records related to the issuance of permits and right of ways to the public. LEG2020 Legal- Records conveying ownership of property Contracts/Agreements - including titles, deeds, real estate records, etc. Active Indefinite All Dept Head Indefinite (Review every 30 See LEG2000 Property Ownership Includes historical property that has been sold. years) Last Updated 12/14/2010 Page 9 of 12 Cit and Draft Recoro, r%eitufftion Schedule LEG3000 Legal - Insurance Records related to coverage affecting City liability. Includes policies, amendments, riders, proof of payment, etc. Active Active + 6 All Dept Head Active + 6 See HUM1010 for employee medical and life insurance. LEG3010 Legal - Insurance - Future Records related to insurance coverage for Liability product liability, exposure to hazardous Indefinite All Dept Indefinite substances, or other problems manifesting 15 Head (review every 20 AS 21.66.170 themselves long after the policy terminates. years) Includes liability policies. LEG4000 Legal - Claims/Litigation Records related to threatened or asserted litigations or government investigation. Includes pleadings, discovery, attorney work -products, City Atty and legal opinions, transcripts, exhibits, final Active Active + 6 All Dept Head Active + 6 Legal counsel firm maintains judgments, etc. their files for 10 years after closure. Do not come back to the city. LEG4005 Legal - Claims/Litigation Records related to complaints, incident and Complaints, Incident accident investigations, enforcement and Accident & Investigations appeals of City regulations and ordinances. Active Active + 6 City Atty and Active + 6 Legal counsel firm maintains All Dept Head their files for 10 years after See PST1000 for case files associated with closure Do not come back criminal activity. to the city LEG4010 Legal - Claims/Litigation - Final judgments, settlements, court orders and Indefinite Legal counsel firm maintains Final other documents specifying final terms. Indefinite Indefinite City Atty and (review every 20 their files for 10 years after Judgments/Settlements conditions, and decision related to claims and All Dept Head years) closure. Do not come back litigation. to the city LEG5000 Legal - Compliance Records related to the preparation of non The five year legal retention financial documents required by law. Includes reflects the longest legal reporting and filings with agencies such as FMLA - 29 CFR 825 500 period for this record series SOA, DOT, OSHA, EPA, DOL. Includes (cites to FLSA There are a variety of laws external audits required b government q Y 9 requirement at 29 CFR that fall under this record series. Specific citations can 5 6 All Dept Head 6 agencies. F OSHA - 299 CFR 1904.4, be provided upon request. 1904.6, 1904 EPA - 40 See ACC1020 for W-2's and 1099's. CFR 141 1.155 e FIN7000 for Financial Audits. LEG5003 Legal - Compliance - 1-9 Form 1-9 and related documentation regarding Documentation alien employees. Active + 3 Active + 3 HR Director Active + 3 8 CFR 274A.2 LEG5011 Legal Compliance - Tax Returns include unemployment tax (FUTA, returns other than income ESC, etc.). 941's and other types of returns. 5 6 HR Director 6 AS 43.20.200 Includes audits, appeals and reports. FIN Director 26 CFR 31.6001-1 LEG5020 Legal - Compliance - Records include licenses or permits issued to License/Permits the City . Active + 3 Active + 3 All Dept Head Active + 3 See LEG2000 See LEG2000 for permits and licenses issued by the City LEG5030 Legal - Compliance - Records related to unique orders issued to the Indefinite Agency/Regulatory Orders City. Indefinite indefinite All Dept Head (review every 20 Unique to each order years) Last updated 12/14/2010 Page 10 of 72 Ci --ard ,.._. Draft Records Retention Schedule Recommended Record Subjects Description Legal industry Standard 'Data Owner Retention m w Citations/ .9 Conanents/Notes Series y Retention Retention Retention (in years unless Standard otherwise noted) �q LEG6000 Legal - Legal Projects Records related to providing determining legal requirements and providing legal advice within None Active + 10 All Dept Head Active + 10 City. LEG6010 Legal - Legal Projects - Records resulting from legal projects which Indefinite Indefinite Legal Opinions document the specific legal advice provided. None All Dept Head (review every 20 years) LEG7000 Legal - Copyright / Records related to preparation, filing, Trademark / Patents maintenance, and rights. Active Active + 6 All Dept Head Active + 6 See LEG4000 LEG9900 Legal - General Records related to legal activities not covered None 3 All Dept Head 3 elsewhere. NON0000 Non -Record Material Material, often filed with record, that are not None Active All Dept Head Active records such as blank forms supplies, etc. PST1000 Public Safety - Logs and Public Safety records and related logs; Resource Management examples include: staffing/daily roster, daily assignment, monthly activity reports, UCR reports, property recovery, radar, animal control Police Chief 18 3282 records, accident and towed vehicle. 5 5 Fire Chief 5 yeaLIS (LA 5 years for non for capdaloffenses) See LEG4005 for records related to accidents and incidents. PST2000 Public Safety - Investigative records pertaining to cases Reports/Case Files handled by the Police, Fire and Corrections AS 12.62.190 departments. Includes evidence such as videos, film, negatives, photographs, etc. that may Note: We were unable to pertain to a case but may not kept in the actual find specific statutes that case file. would provide guidance Indefinite Police Chief Indefinite on juvenile files. SOA Active Fire Chief (review every 20 schedule states files can years) be destroyed 6 years See LEG4005 for records related to non- after juvenile turns 18. criminal accidents and incidents. We would recommend you get an opinion from your legal representative before destroying . PST4000 Public Safety - Statistics Records relating to statistical compilations of Indefinite Police Chief Indefinite activities concerning public safety within the Active Fire Chief (review every 20 AS 12.62.190 local jurisdiction. ears) PUB1000 Public Relations - Publicity Records related to participation or promotion of Employee, Industry and City activities with employees, other Customer Relations government entities, associations and the general public. None 5 All Dept Head P 5 Some records in this series Generally includes Mayor's and City Official's may have historical value. These records may require correspondence that cannot otherwise be re-classification to HIS 100o classified. prior to final disposition REF0000 Reference Records and non -record material maintained for reference purposes only. None UANIM All Dept Head Until Administrative Need is Met REF1000 Reference - Vital Records / Copies of records prepared to provide the City All backups are on hardrive Security Backup information in case of disaster or loss of and are server images information. Includes backups from servers. None Active MIS Active Backups are done and All Dept Head stored offsite daily and stored electronically out of state once a week. Last Updated 12/14/2010 Page 11 of 12 Ci! - -- and Draft Recoras Ketefftion Schedule &7 nded on ROM1000 Resource Operations & Records related to the design, construction, Maintenance - layout, planning and survey of City buildings Engineering and facilities. Records include, plans, drawings, Geotechnical maps, inspection reports, geotechnical data, survey/plat, lot plans, layouts, site selection and studies for proposed facilities, annexation, utility connections, and other supporting documentation. Active Permanent All Dept Head Permanent Also includes permit register, site plans, plot plans, public notices, land files, subdivision files, acknowledgment of conditions and records of surrounding properties. Includes "project files" that contain original construction/engineering/technical documents. ROM2000 Resource Operations & Records documenting the inspection, Maintenance - maintenance and repair of City property, Active + 6 Active + 6 All Dept Head Active + 6 . 33 CFR 150755 Active = As Ion y or gas facility Repair and Maintenance vehicles, equipment, facilities and other (consideration) equipment is owned/leased structures. by the City ROM3000 Resource Operations & Operating records associated with Operating Maintenance - the City Landfill. Permanent Permanent FIN Director Permanent 40 CFR 58.2258.2 . 9 Landfill ROM9900 Resource Operations & Records related to city resources not covered Maintenance - elsewhere. Active + 6 Active + 6 All Dept Head Active + 6 General UNK0000 Unknown Content of records cannot be determined from Unk All Dept Head Unk Contact the Records descri tion. Manager for assistance Last Updated 12114/2010 Page 12 of 12