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HomeMy WebLinkAboutRESOLUTION NO. 02-08-13-3 RESOLUTION 02-08-13-3 RESOLUTION ADOPTING A CITY RECORDS RETENTION SCHEDULE AND DELEGATING TO PARTICULAR EMPLOYEES THE RESPONSIBILITY FOR IMPLEMENTING THE REQUIREMENTS OF THE IOWA OPEN RECORDS LAW WITH RESPECT TO THE VARIOUS AGENCIES, DEPARTMENTS, DIVISIONS AND ACTIVITIES UNDER THE GOVERNANCE OF THE FAIRFAX CITY COUNCIL WHEREAS, Section 372...13(5) Code of Iowa states certain minimum requirements with respect to the retention of City records and documents; and, WHEREAS, Section 22.1(2) Code of Iowa mandates that"'each government body shall delegate to particular officials or employees of that government body the responsibility for implementing the requirements of this chapter and shall publicly announce the particular officials or employees to whom responsibilities for implementing,this chapter has been delegated." NOW,THEREFORE,BE IT RESOLVED. Section One. The City of Fairfax Records Retention Schedule now on file in the Office of the City Clerk shall be and is hereby adopted. Section Two. Those City employees who are, from time to time, the head of the various City departments, divisions and offices listed in the INDEX to the aforesaid Records Retention Schedule are hereby delegated the responsibility for retention of the records in accordance with that Schedule, and with the responsibility for implementation of Chapter 22, Code of Iowa (Open Records), with respect to the records and documents shown by the said Records Retention Schedule for the City department, division or office that they are the administrative head of Passed this day of ,2002. AYE I e den *om 0. NAY MAL— ABSENT dei Bill Voss,Mayor Attest: i' marOacq, City Clerk CITY CLERK RECORDS (Public Record Lav Implementation Responsibility- City Clerk) A. COUNCIL PROCEEDINGS Record Title Retention Period Reason Meeting file (agenda, Council Permanent Continuing administrative Action Forms, and historical values correspondence distributed, etc.) Minutes (official copy) Permanent Continuing administrative, historical, and legal values Minutes index Permanent Continuing administrative value Audio tapes 5 years Administrative value ends (;ordinances (current code) Permanent Continuing administrative, historical, and legal values Ordinances (superseded code) Permanent Continuing historical and legal values Ordinance index Permanent Continuing administrative value Resolutions Permanent Continuing administrative, hiOn-6c,all. and legal value,,, Resolutions index Permanent Continuing administrative value Affidavits of publication re: Until audited,but Fiscal and legal values end budget not less than 5 years Affidavits of publication re: Permanent Continuing legal value ordinances Affidavits of publication re: Permanent Continuing fiscal and legal bond issues values Other affidavits of 5 years Fiscal and legal values end publication Oaths of office Permanent Continuing historical and legal values Fidelity bonds of city officials 5 years after Legal value ends expiration 1 B. REAL PROPERTY Record Title Retention Period Reason Title documents -deeds Permanent Continuing historical and legal values Title documents -title Permanent Continuing historical and opinions legal values Title documents -abstracts Permanent Continuing historical and. and certificates of title legal values Title documents -title Permanent Continuing historical and insurance legal values Title documents - Permanent Continuing historical and condemnation proceedings legal values Easements and/or right-of- Permanent Continuing historical and way agreements legal values Plats(legal description, Permanent Continuing historical and parcel maps, plat books, legal values both current and outdated) Vacations or alterations of Permanent Continuing historical and Plat legal values C. PERMITS & LICENSES Record Title Retention Period Reason Cigarette 5 years Administrative and legal values end Liquor and beer 5 years Administrative and legal values end Miscellaneous business 5 years Administrative and legal values activity(peddler,tree end trirnmers,house movers, garbage haulers, etc.) Special events (parades, 5 years Administrative and legal values banners,etc.) end Electricians, mechanical, 5 years Administrative and legal values plumbers (includes end applications, notice of approval) 2 D. GENERAL Record Title Retention Period Reason Agreements and Permanent Continuing administrative, miscellaneous contracts historical, and legal values 28E agreements Permanent Continuing administrative, historical, and legal values Bids-accepted Permanent Continuing administrative, historical, and legal values Bids-rejected 5 years Administrative and legal values end Cemetery and burial Permanent Continuing historical value records Contracts or agreements for 5 years after Advice of State Records services,purchase of expiration Management Manual equipment or supplies, concessions Franchises 5 years after Legal value ends expiration Leases Permanent Continuing administrative, legal and historical values Minutes of any board or Permanent Continuing administrative and commission historical values Rosters of previous boards Permanent Continuing historical value and commissions members Petitions from citizens 5 years;appraise Administrative and legal values for possible end; possible historical value permanent retention Election records -precinct Permanent Possible historical value malas,bath current and outdated Election records - City Permanent Continuing historical value elections abstracts 3 & REVENUE Record Title Retention Period Reason Special assessment - 5 years after final payment Fiscal and legal values end certified mail stubs from notice to property owners Special assessment- 5 years after final payment Fiscal and legal values end preliminary and final assessment schedules Special assessment- 5 years after final payment Fiscal and legal values end petition and waiver (agreements to special assessments) Special assessment- 5 years after final payment Fiscal and legal values end assessment plats Special assessment- 5 years after final payment Fiscal and legal values end certificate of levy of final assessment Bond issue proceedings Permanent Continuing administrative, (notice and call of public fiscal,historical, and legal _ meetings,minutes and values certificate of meeting, certificate of referendum, legal opinions) F. GENERAL RECORDS COMMON TO ENGINEERINGIPLANNING DEPARTMENTS Record Title Retention Period Reason Annexation files (petitions, Permanent Continuing administrative and maps,public hearings, historical values elections,proceedings) Plats(subdivision, Permanent Continuing administrative and . annexation, assessors, legal historical values descriptions,plat books) Subdivision files Permanent Continuing administrative and historical values 4 G. ENGINEERING RECORDS Record Title Retention Period Reason Capital improvement 5-year minimum (See Public Works) projects-authorization phase-notice of hearing and letting (instructions to bidders, bid,,tabulation) Capital improvement 5 years Continuing historical and legal projects -authorization values phase (contract, fidelity or,performance bond, certificate of insurance) H. MISCELLANEOUS Record Title Retention Period Reason Fairfax Facts Newsletter Permanent Continuing historical value Newspaper clippings about Permanent Continuing historical value Fairfax Security Light Rental Life of agreement, Administrative Value Agreements But not less than 5 years Iowa One Call locate 7 years Legal value ends Requests Portable fire extinguisher 5 years Administrative and legal values end Inspections EQUIPMENT SERVICES RECORDS (Public Record Law Implementation Responsibility-Maintenance Department) A. EQUIPMENT RECORDS Record Title. Retention Period Reason. Maintenance history Life of equipment, 5- Administrative value ends year minimum 5 FINANCE ACCOUNTING RECORDS (Public Record Law Implementation Responsibility-City Clerk) A. ACCOUNTS PAYABLE Record Title Retention Period Reason Requisitions-paper &computer 5 years Fiscal value ends Purchase orders paper &computer 5 years Fiscal value ends Invoices,statements,bills 5 years Fiscal value ends Claims to Council 5 years Fiscal value ends ChecVwarrant copies or stubs 5 years Fiscal value ends B. ACCOUNTS RECEIVABLE Record Title Retention Period Reason Backup information on charges 5 years Fiscal value ends Memos detailing amounts to bill 5 years Fiscal value ends Invoices,statements,bills - 5 years Fiscal value ends computer records C. BOOKS OF ORIGINAL ENTRY(COMPUTERIZED) Record Title Retention Period Reason Receipt journal -cash.receipts 10 years Fiscal value ends program/accounts receivable program Disbursement journal included 10 years Fiscal value ends with general ledger package General journal included with 10 years Fiscal value ends general ledger package Appropriations journal; 10 years Fiscal value ends encumbrances;budget included with general ledger package General ledger Permanent Continuing fiscal value Purchasing program 10 years Fiscal value ends Payroll program 60 years Long-term fiscal value ends Investment program l0 years Fiscal value ends Fixed asset program Permanent =Continuing fiscal value 6 D. ]BANDING Record Title Retention Period Reason Checking account statements 5 years Fiscal value ends Check/warrant register- 10 years Fiscal value ends computerized Check registers -paper 5 years Fiscal value ends Canceled checks/warrants 5 years Fiscal value.ends Savings account statements 5 years Fiscal value ends Reconciliation worksheets 5 years Fiscal value ends E. FINANCIAL REPORTS Record Title Retention Period Reason Annual Financial Report Permanent Continuing fiscal and (CAFR) historical values City Annual Financial 10 years Fiscal value ends Report Audits (CAFR) Permanent Continuing fiscal and historical values Sales tax and use tax reports 5 years Statute of limitations on audits; State Records Management Manual Grant reports 5 years after audit; 7 Fiscal value ends years if not audited; grant terms if stated therein F.. BUDGET Record Title Retention Period Reason Appropriation requests 5 years Fiscal value ends from departments Budget detail 5 years Fiscal value ends Final budget and 2 copies permanent Continuing historical value certificate summary Amendments 2 copies permanent Continuing historical value 7 G. PAYROLL - GENERAL Record Title Retention Period Reason Payroll journal (shows names, 60 years Fiscal value ends; satisfies SSN earning, deductions,net pay long-term need for future per pay period, and yearly totals) salary and pension inquiries Payroll support documents (time 5 years Fiscal value ends; advice of sheets and reports of sick or State Records Management vacation leave) Manual H. PAYROLL- FEDERAL REPORTING FORMS Record Title Retention Period Reason W-2.,W-3,W-4 5 years Fiscal value ends; advice of Federal Register, Guide to Record Retention Requirements 9141 quarterly report 5 years Fiscal value ends; advice of Federal Register,Guide to Record Retention Requirements 1099, 1 096 5 years Fiscal value ends; advice of Federal Register, Guide to Record Retention Requirements 1, PAYROLL - STATE REPOR.T'ING FORMS Record Title Retention Period Reason Withholding agents 5 years Fiscal value ends; advice of State report Records Management Manual Job Service Report 5 years Fiscal value ends, advice of State Records Management Manual IPERS 5 years Fiscal value ends'.; advice of State Records Management Manual MFPRSI 5 years Fiscal value ends; advice of State Records Management Manual J. PROPERTY TAX Record Title Retention Period Reason Notice of property tax allocation from 5 years Fiscal value ends county 8 FINANCE ADMINISTRATION RECORDS (Public Record Taw Implementation Responsibility-City Clerk) A. LIQUOR/BEER Record Title Retention Period Reason Refund forms, detail information 5 years Fiscal value ends B. INVESTMENTS Record Title Retention Period Reason Investment reports 5 years Fiscal value ends Investment purchases 5 years Fiscal value ends Investment maturities 5 years Fiscal value ends Investment sales 5 years Fiscal value ends C. ROAD USE TAX Record Title Retention Period Reason Annual Street Financial 5 years Fiscal value ends (DOT Records Report Management Manual states DOT will retain 25 years) D. STATE SALES TAX Record Title Retention Period Reason Claims for refunds of state 5 years Fiscal value ends; advice of State sales tax Records Management Manual E. STATE FUEL TAX Record Title Retention Period Reason Claims for refunds of state 5 years Fiscal value ends; advice of State feel tax(IA EFT System) Records Management Manual F. SPECIAL ASSESSMENT Record Title Retention Period Reason Special assessment Permanent Continuing fiscal, administrative, spreadsheets -payment legal, and historical values record 9 G. BOND ISSUES Record Title Retention Period Reason Bond certificates 11 years after bond Fiscal value ends maturity Redeemed coupons 11 years after bond Fiscal value ends maturity Bond register Permanent-maintained Continuing fiscal, administrative, by registered agents; legal, and historical values; Code not in City possession of Iowa, 372.13(5). H. REMITTANCE ADVICE Record Title Retention.Period Reason Remittance advice received 5 years Fiscal value ends with payments FINANCE[CUSTOMER SERVICE'S RECORDS (Public Record Law Implementation Responsibility--City Clerk) B. BILLING AND CUSTOMER{SERVICES RECORDS Record Title Retention Period Reason Applications for hook-up, 5 years Administrative value ends initiation of service Complaints 5 years Administrative value ends Meter readings 5 years Administrative and fiscal values end Customer payment history 5 years; or as may be Fiscal value ends necessary to comply with service rules regarding fast meters Daily receipt tabulations 5 years Fiscal value ends Bad debt write-offs 5 years Fiscal value ends Record of customer deposits 5 years Fiscal value ends and refunds 10 FIRE DEPARTMENT RECORDS (Public Record Law Implementation Responsibility-Fire Chief) A. STATION LOGS Record Title Retention Period Reason Daily station logs Permanent Continuing administrative„ environ- mental, and historical values Incident logs Permanent Continuing administrative,environ- mental, and historical values B. EQUIPMENT (vehicles,hose,portable equipment) Record Title Retention Period Reason Inventories While current, 5-year Administrative value ends minimum Maintenance and Life of equipment, 5- Administrative value ends testing year minimum C. INCIDENT REPORTS AND INVESTIGATION FILES Record Title Retention Period Reason Incident reports Permanent Continuing administrative,environ- mental, and historical values Arson reports Permanent Continuing administrative,environ- mental, and historical values Fire deaths Permanent Continuing administrative, environ- mental, and historical values D. SCRAPBOOKS, PHOTOS Record Title Retention Period Reason. Scrapbooks, Photos Permanent Continuing historical value 11 HUMAN RESOURCES RECORDS (Public Record Law Implementation Responsibility- City Clerk) A. INDIVIDUAL EMPLOYEE FILES Record Title Retention Period Reason Service record Permanent Continuing historical value Application and resume 5 years after termination Administrative value ends Evaluations, etc. 5 years after termination Administrative value ends Enrollment for direct While current, 5-year Administrative value ends deposit,insurance, etc. minimum Continuing education 5 years after termination Administrative value ends Resignations,reasons for Permanent Continuing historical value leaving Unemployment 5 years after filing of Administrative value ends insurance claims claim (separate file) Medical information 5 yearsafter termination Administrative value ends (separate file) D. MISCELLANEOUS Record Title Retention Period Reason Microfilm Job specifications Permanent Continuing historical value NA Personnel policies,pay Permanent Continuing historical value NA plans, etc. Internal 10 years; appraise for Administrative and legal values NA investigations—sexual permanent retention end harassment, etc. 12 INSPECTION DIVISION RECORDS (Public Record Law implementation Responsibility-Building Official) A. PROPERTY SPECIFIC DOCUMENTS Record Title Retention Period Reason. Permits-building, Permanent(except for 5 Continuing administrative and electrical,mechanical, years for water heaters, historical values plumbing and furnaces that have been replaced) Floodplain applications PermanentContinuing administrative value elevation certificate I . PLANS Record Title Retention Period Reason Single family, duplex, 5 years Administrative value ends and multi-family Consnercial 5 years Administrative value ends C. INSPECTIONS Record Title Retention Period Reason. Inspections Permanent Continuing administrative and historical values 13 LEGAL DEPARTMENT RECORDS (Public Record Law Implementation Responsibility City Attorney/City Clerk) A. LEGAL ACTION Record Title Retention Period Reason Civil law suits and 5 years after closure Administrative and legal values administrative law end proceedings Criminal&municipal Permanent Continuing administrative value infraction cases pending list Crinninal&municipal 5 years Administrative value ends infraction cases closed Dist Civil case pending list Permanent Continuing administrative value Civil case closed list 5 years Administrative value ends (including collection) B. LEGAL OPINIONS Record Title Retention Period Reason Legal Opinions Permanent. Continuing legal value 14 PARKS & RECREATION RECORDS (Public Record Law Implementation Responsibility- City Clerk/Maintenance Dep artmel it) A. GENERAL Record Title Retention Period Reason Contracts, agreements 5 years after expiration Legal and administrative values (concessions, service, end purchase of equipment, personnel, use of facilities) Facilities,buildings, 5 years minimum Administrative value ends and other structures Facilities,equipment 5 years minimum Administrative and historical records(inventories values end and maintenance) Facilities,park 5 years minimum Administrative and historical maintenance,pesticide values end applicator licenses Photos,scrapbooks, Permanent. Continuing historical value PP History C. PERSONNEL RECORDS Record Title Retention Period Reason Payroll support 5 years Fiscal value ends documents (time sheets and reports of sick or vacation leave) Application and 5 years Administrative value ends; resumes of seasonal (satisfies long-term need for employees future inquiries) 15 PUBLIC WORKS RECORDS (Public Record Law Implementation Responsibility-Public Works Superintendent) A. ENGINEERING Correspondence with 5-year minimum; appraise Administrative value ends; regulatory agencies for permanent retention possible historical value division re: inspections, certification, correction of violations Master plans (5-to 10- 5-year nninimum; appraise Administrative value ends; year projections) for permanent retention possible historical value WATER & POLLUTION CONTROL RECORDS (Public Record Law Implementation Responsibility-Public Works Superintendent) A. GENERAL Record Title Retention Period Reason Capital Improvement 5 years after completion Administrative value ends Projects (CIP) State and federal funding of planning and/or construction of water and wastewater facilities (correspondence, grant applications, approvals,wage determinations, adjustments) C1P Permanent Continuing administrative Construction of value wastewater or water treatment facilities (applications, permits, amendments,blue- prints, complaints, investigations, reports, Municipal Operation Permits) Operator certification Length of employment Administrative and legal values end Valuations Permanent Continuing administrative, fiscal, and historical values Pate surveys Permanent Continuing historical value 16 B. SYSTEM, PLANT, AND EQUIPMENT Record Title Retention Period Reason Blueprints or plans of Permanent Continuing administrative plant and system and historical values Inventories (elevated While current Administrative value ends water tanks, wells, pumps, engines, tanks, reservoirs, dams,plant equipment,pump stations,etc.) Maintenance history Life of equipment plus Administrative value ends (elevated water tanks, 5 years wells,pumps, engines, tanks,reservoirs, dams, (slant equipment,pump stations,etc.) Depreciation (elevated Life of equipment then Fiscal value ends. waiter tanks,wells, destroy pumps,engines, tanks, reservoirs, dams,plant equipment,pump stations, etc.) Plant valve records Permanent Continuing administrative value Material Safety Data 30 years after last use Administrative value ends Sheets (MSDS) Meetings&attendance 7 years Administrative value ends records: staff, safety, OSHA training, etc. 17 C. OPERATIONS Record Title Retention Period Reason :cogs indicating 6 years Administrative value ends pumpage,hours, gallons,chemicals added, maintenance, testing Recording instrument 5 years Administrative value ends charts Records relating to Permanent Continuing historical and operations,including future projection values correspondence, permits(NPDES, pretreatment, disposal of water &wastewater sludges, water supply), historical consumption, and/or usage records, trouble calls lab records supporting 7 years Administrative value ends lab certification IDNR summary 7 years Administrative value ends bacterial analysis Water supply monthly 7 years Administrative value ends operations report Operations permit Permanent Continuing administrative value 18 D. WATER AND WASTEWATER TREATMENT Record Title Retention Period Reason. Bacteriological analysis 5 years Administrative value ends; Environmental Protection Agency, 40 CFR 141.33 Chemical analysis 10 years Administrative value ends; Environmental Protection Agency,40 CFR. 141.33 Actions taken to correct 5 years Administrative value ends; violation of SDWA or Environmental Protection CWA regulations Agency,40 CFR 141.33 Copies of reports relating 10 years Administrative value ends; to sanitary surveys of Environmental Protection system Agency, 40 CFR 141.33 Records relating to Permanent Administrative value ends; variances or exemptions Environmental Protection Agency,40 CFR, 141.33; value for future requests Record of residuals 5 years Administrative value ends; analysis and disposal Environmental Protection Agency, 40 CFR 1.41.33 Flood prediction and Permanent Continuing historical and monitoring data future projection values Groundwater level Permanent Continuing historical and monitoring data future projection values 19 G. METER RECORDS Record Title Retention Period Reason Meter testing and 5 years after retirement Administrative value ends maintenance records of meter (meter cards) Meter location records Permanent Continuing historical value (address cards) H. CROSS-CONNECTION CONTROL RECORDS Record Title Retention Period Reason Facility/customer records: Permanent Continuing administrative device test and facility and historical values survey forms;notifications for meed for containment, testing,and noncompliance; assembly information and test log 20