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RESOLUTION N0.2006 -14
A RESOLUTION OF THE MAYOR AND COUNCIL OF THE CITY OF REXBURG,
IDAHO, ADOPTING A RECORD RETENTION SCHEDULE.
WHEREAS, a record retention schedule establishes minimum retention periods for the various
types of city records; and,
WHERAS, Idaho Code 50-907 requires the City Council to adopt by resolution a record retention
schedule, listing the various types of city records with the applicable retention periods; and,
WHEREAS, adoption of a record retention schedule assists in efficient and effective records
management by identifying records that have exceeded their minimum retention that may be
destroyed following approval by the City Attorney and, as required for semi-permanent records,
approval by the Idaho State Historical Society and upon resolution of the City Council in
accordance with the provisions of Idaho Code 50-907; and,
WHEREAS, a record retention schedule also enhances protection of historic records by
identifying records of enduring value as permanent records that are retained by the city in
perpetuity or transferred to the Idaho State Historical Society's Permanent Records Repository
for permanent retention upon resolution of the City Council.
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Council of the City of Rexburg, Idaho
that the city hereby adopts the record retention schedule attached as Exhibit "A."
Records identified as permanent shall not be destroyed, but shall be retained by the city in
perpetuity or transferred to the Idaho State Historical Society's Permanent Records Repository for
permanent retention upon resolution of the City Council.
Records that are not considered permanent shall be retained for the period specified in the retention
schedule and until destruction is approved by resolution of the City Council pursuant to the
provisions of Idaho Code 50-907.
Prior to disposal of short term (transitory) records consult with the City Attorney for the retention
period.
The administrative staff of the City is authorized to take all necessary steps to carry out the
authorization provided by this Resolution.
PASSED BY THE CITY COUNCIL (Date) and SIGNED BY THE MAYOR (Date)
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BLAIR D. KAY, CITY CLERK
Records Management Manual
September 2006
2
Preface
Management of public records is a vital function of every city, and understanding the
basic principles of records management is essential for every city official. While Idaho
law provides that any “writing” prepared or used in the conduct of public business
qualifies as a public record, it also recognizes that records vary tremendously in their
utility and significance. For instance, ordinances, resolutions and minutes are important
for the day-to-day operation of city government and also are historically significant, and
Idaho law provides that these records are not to be destroyed. On the other hand, many
types of public records should be kept for the applicable retention period and destroyed
once their utility is exhausted.
ICCTFOARecords Management Manual
The is a comprehensive resource manual
intended to assist city officials in management, retention and disposition of city records in
accordance with Idaho law. The manual includes the Model Record Retention Schedule,
which serves as a starting point for cities establishing their own retention schedule. For
technical assistance on any issues relating to public records, please contact the
Association of Idaho Cities at (800) 344-8594 or (208) 344-8594.
3
Table of Contents
What Constitutes a Public Record? ............................................................................................. 5
Classification and Retention of City Records .............................................................................. 5
The Role of Municipal Records Management Officers ............................................................... 8
The Value of Records Management ............................................................................................ 9
Inventory and Appraisal of Records ...........................................................................................10
Preparation of a Record Retention Schedule ..............................................................................14
Management and Control of Active, Semi-Active and Inactive Records ....................................17
Final Disposition .......................................................................................................................17
Disaster Preparedness ................................................................................................................21
Use of Micrographics and Electronic Document Imaging ..........................................................29
Glossary of Records Management Terms ..................................................................................33
Appendix A: Model Resolution for Adoption of Records Retention Schedule .........................51
Appendix B: Model Resolution Authorizing Destruction of Records .......................................52
Appendix C: Model Resolution Transferring Permanent Records to State Archives ................53
Appendix D: Model Record Retention Schedule......................................................................54
4
What Constitutes a Public Record?
The definition of “public record” is found in the Idaho Public Records Law in Idaho
Code 9-337:
“Public record” includes, but is not limited to, any writing containing
information relating to the conduct or administration of the public’s
business prepared, owned, used or retained by any state agency,
independent public body corporate and politic or local agency regardless
of physical form or characteristics.
Idaho Code 9-337 also defines “writing”:
“Writing” includes, but is not limited to, handwriting, typewriting,
printing, photostating, photographing and every means of recording,
including letters, words, pictures, sounds or symbols or combination
thereof, and all papers, maps, magnetic or paper tapes, photographic films
and prints, magnetic or punched cards, discs, drums or other documents.
any
In basic terms, the definition of public record established by Idaho law includes
recorded information, regardless of medium, that relates to the business of city
government
. Public records can be paper documents, books, maps, pictures, audio/visual
recordings, microfilm or microfiche, as well as electronic documents (including computer
files and email).
Classification and Retention of City Records
State laws governing retention of city records were substantially updated and revised by
the passage of House Bill 48 by the 2005 Idaho Legislature. House Bill 48 was
sponsored by the Idaho City Clerks, Treasurers and Finance Officers Association
(ICCTFOA). The legislation preserved the “permanent,” “semipermanent” and
“temporary” categories of city records found in Idaho Code 50-907. One important
change made by the legislation is that records classified as “permanent” by state law or a
city’s retention schedule must be kept permanently or be transferred to the State Archives
upon resolution of the City Council. The legislation also provided that each city must
adopt, by resolution, a record retention schedule by January 1, 2007 listing each type of
city record with the applicable retention period.
Idaho Code 50-907 is provided in its entirety below.
5
50-907. CLASSIFICATION AND RETENTION OF MUNICIPAL
RECORDS.
(1) “Permanent records” shall consist of:
(a) Adopted meeting minutes of the city council and city
boards and commissions;
(b) Ordinances and resolutions;
(c) Building plans and specifications for commercial
projects and government buildings;
(d) Fiscal year-end financial reports;
(e) Records affecting the title to real property or liens
thereon;
(f) Cemetery records of lot ownership, headstone
inscriptions, interment, exhumation and removal records,
and cemetery maps, plot plans and surveys;
(g) Poll books, excluding optional duplicate poll books
used to record that the elector has voted, tally books,
sample ballots, campaign finance reports, declarations of
candidacy, declarations of intent, and notices of election;
and
(h) Other documents or records as may be deemed of
permanent nature by the city council.
Permanent records shall be retained by the city in perpetuity, or may be
transferred to the Idaho state historical society’s permanent records
repository upon resolution of the city council.
(2) “Semipermanent records” shall consist of:
(a) Claims, canceled checks, warrants, duplicate warrants,
purchase orders, vouchers, duplicate receipts, utility and
other financial records;
(b) Contracts;
(c) Building applications for commercial projects and
government buildings;
(d) License applications;
(e) Departmental reports;
(f) Bonds and coupons; and
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(g) Other documents or records as may be deemed of
semipermanent nature by the city council.
Semipermanent records shall be kept for not less than five (5) years after
the date of issuance or completion of the matter contained within the
record.
(3) “Temporary records” shall consist of:
(a) Building applications, plans, and specifications for
noncommercial and nongovernment projects after the
structure or project receives final inspection and approval;
(b) Cash receipts subject to audit;
(c) Election ballots and duplicate poll books; and
(d) Other documents or records as may be deemed of
temporary nature by the city council.
Temporary records shall be retained for not less than two (2) years, but in no
event shall financial records be destroyed until completion of the city’s financial
audit as provided in section 67-450B, Idaho Code.
(4) Semipermanent and temporary records may only be destroyed by resolution
of the city council, and upon the advice of the city attorney. Such disposition shall
be under the direction and supervision of the city clerk. The resolution ordering
destruction shall list in detail records to be destroyed. Prior to destruction of
semipermanent records, the city clerk shall provide written notice, including a
detailed list of the semipermanent records proposed for destruction, to the Idaho
state historical society thirty (30) days prior to the destruction of any records.
(5) Prior to January 1, 2007, each city council shall adopt by resolution a records
retention schedule, listing the various types of city records and the retention
period for each type of record.
7
The Role of Municipal Records Management Officers
One of the more important elements of House Bill 48 was the addition of a section
outlining the role and responsibilities of the city clerk as municipal records manager and
establishing the duties of city officials with regard to records. Idaho Code 50-908 is
provided in its entirety below:
50-908. DESIGNATION, POWERS AND RESPONSIBILITIES OF
MUNICIPAL RECORDS MANAGEMENT OFFICERS -- DUTIES
OF CITY OFFICIALS CONCERNING RECORDS.
(1) The city clerk
shall serve as the municipal records manager in each city, and each
department may designate a department records manager who reports to
the city clerk. The municipal records manager shall supervise the
administration of city records, including:
(a) Ensuring the orderly and efficient management of
municipal records in compliance with state and federal
statutes and regulations and city ordinances, resolutions and
policies;
(b) Identification and appropriate administration of records
of enduring value for historical or other research;
(c) Overseeing retention and destruction of municipal
records as directed by state and federal statutes and
regulations and city ordinances, resolutions and policies;
and
(d) Coordinating transfer of permanent records to the
Idaho state historical society's permanent records
repository, with the assistance of the state archivist.
(2) All city officials, elected, appointed and staff, shall:
(a) Protect the records in their custody;
(b) Cooperate with the municipal records manager on the
orderly and efficient management of records including
identification and management of inactive records and
identification and preservation of records of enduring
value; and
(c) Pass on to their successor records necessary for the
continuing conduct of city business.
All city records are property of the city, and no city official, elected,
appointed or staff, shall have any personal or property right to such
records even though he or she may have developed or compiled them. The
unauthorized destruction or removal of city records is prohibited.
The Value of Records Management
8
The need to improve records management is a common theme heard from city clerks and
other officials from around the state. Some city clerks find their city hall and offices
buried in tons of records that may be decades old because their predecessors refused to
destroy anything. Other city clerks discover that key records are missing, perhaps falling
victim to theft, fire, or other calamities.
An effective records management program seeks to accomplish the following:
Saves valuable office space and money by systematically removing semi-
active records from office files to low-cost storage.
Identifies and protects vital records, those necessary to continue or
reestablish a city’s operations after a disaster.
Identifies and protects historical/archival records and ensures they are
stored in an appropriate manner.
Saves time and money by developing an orderly system for maintaining,
retrieving, storing and disposing of records.
The elements of a comprehensive records management program include:
Inventory and appraisal of records;
Preparation of a record retention schedule;
Management and control of active, semi-active and inactive records;
Final disposition through destruction or permanent retention;
Disaster preparedness; and
Use of micrographics and electronic document imaging.
9
Inventory and Appraisal of Records
The first step in a records management program is to undertake an inventory that
identifies, counts and measures all records created and maintained by the city. The
inventory encompasses all media types, including paper records, computer disks,
electronic files, CDs and DVDs, microfilm or microfiche, maps, drawings and pictures.
The inventory serves as the foundation for a records management program, and can assist
in the following areas:
Inactive Records:
Most offices retain more records than necessary and
records are retained much longer than needed, meaning valuable office
space is typically occupied by duplicate records or original records that
have exceeded their specified retention period and should be destroyed.
The primary benefit of a records inventory is reclaiming wasted space and
putting it to more effective use.
Microfilm or Digital Imaging:
An inventory will provide an indication of
records that are good candidates for microfilming or digital imaging.
Archival Materials:
An inventory will identify records of archival value,
their location and condition.
File Management:
Knowing the volume and retrieval rate of records will
help determine future filing equipment needs and the best system of filing
records.
The basic information gathered in a records inventory includes:
The types of records (specifying format) that are presently filed;
The present location of all records;
The present condition of all records;
Equipment currently used or available for storing records (i.e. number of
file drawers and filing inches); and
An estimate of the total cubic feet of records stored, as well as the number
of microfilm containers, boxes of computer disks, etc.
The inventory should also analyze the adequacy of current records storage, including:
How are the records used, and how does their use impact storage, format,
etc.?
Are records being stored in the most efficient manner?
Is the proper equipment/space/personnel available for storing records?
Are any records duplicates or originals that have exceeded their retention
period and should be destroyed?
There are five elements of the records inventory process, including:
Planning:
Preparing for the inventory involves:
Securing managerial support,
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Communicating overall records inventory objectives and
procedures,
Assigning and training inventory teams, and
Scheduling areas or offices to be inventoried.
Supplies:
Typically are inexpensive and should include:
Tape measures/rulers,
Pencils/pens/paper tablets,
Records inventory forms (see example form below), and
Removable adhesive labels.
Plan of Attack:
The inventory should proceed one office at a time, unless
offices are doing their own inventories. The person(s) conducting the
inventory should begin by visiting with the supervisor and explaining the
process. Three points should be made clear in this discussion:
The person(s) conducting the inventory need access to the records.
The person(s) conducting the inventory may need to ask questions
of staff.
The purpose of the inventory is to identify records of the office,
not to criticize the way the files are kept.
The next step is to ask for the location of all records. The inventory
should start in the active office area before moving to storage areas.
Records in the office are generally better organized and office staff are on
hand to answer any questions or provide assistance.
A thorough, systematic inventory decreases the chances of overlooking
records. Before beginning the inventory, make pencil sketches of the
office floor plan that include cabinets, desks, tables, or boxes used to store
records. Record a number on the map for each identified object and attach
a removable adhesive label to the filing equipment. Finish one filing
cabinet before heading on to the next. Every file cabinet and box should
be opened—don’t assume that labels are accurate.
Inventory Worksheets:
An inventory worksheet should be completed for
each record series (see example worksheet below). A record series is a
group of identical or related records that are normally filed and used
together and can be evaluated as a unit. When filling in the worksheet,
staff need not attempt to name every single record, but should give the
name of the record series (e.g. Annexation Case Files), the applicable date
range (2000-2002), type of storage, location, volume, etc.
Measurement:
When measuring records, use the total volume of the
storage unit (drawer, shelf, etc.). Estimate the volume to the nearest cubic
or linear foot. These measurements help to plan record storage needs. The
table below will help make the process easier.
Table of Cubic-Foot Equivalents
11
File Folder Drawers Cubic Feet
Letter 1.5
Letter Lateral 2
Legal 2
Legal Lateral 2.5
Shelf Units
Letter, 36” long 2.4
Legal, 36” long 3
Record Storage Containers
Standard (10” x 12” x 15”) 1
Tab (.5” x 8” x 14”) 0.03
Check (3.5” x 8” x 24”) 0.4
Map (6” x 6” x 36”) 0.75
Map (6” x 6” x 48”) 1
Map (4” x 4” x 48”) 0.44
Map or Plan Drawers
2” x 26” x 38” 1.14
2” x 38” x 50” 2.2
4” x 26” x 38” 2.3
4” x 38” x 50” 4.4
Map or Plan Tube
2” x 2” x 38” 0.09
2” x 2” x 50” 0.12
4” x 4” x 38” 0.35
4” x 4” x 50” 0.46
Other Situations
Step 1: Multiply length x width x height (all in inches)
Step 2: Divide by 1,728 = Cubic Feet
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Records Inventory Worksheet
1. Division Name: Department Name: Section:
2. Contact Person: Email: Phone:
3. Records Series Title: 4. Alt. Records Series Title:
5. Location: Bldg: Floor # Rm # Cabinet or Shelf Drawer or Box
6. Date Span: 8. Format: 9. Other Format? 12. Records Being
□ Bound Volume
Yes □ No □ Created?
□ Folders or Loose Paper
From: Yes □ No □
□ Card File, Microform
What Format?
13. Annual
□ Microfilm
To:
Accumulation:
□ Plans/Drawings/CAD Output
(tally of old, estimate of
□ Maps
10. Other Copies? new)
7.Arrangement:
□ Computerized Records
Yes □ No□
Specify:
________ cubic feet
□ Alphabetical
Held By:
14. Reference
□ Computer Output
□ Numerical
Specify:
Frequency:
□ Chronological
ex: annually, twice a
□ Optical Disk/Tape Backup
□ Alphanumeric
month, etc.
Specify:
□ Other
(specify):
□ Zip Disk
Specify:
□ Other Storage Format
11. Total Quantity of Vital or Essential?
15.
Specify:
Material: Yes □ No□
________ cubic If Yes, is the material
feet segregated from other
records and stored in a
Is it housed in cubic secure environment?
foot records storage Yes □ No □
boxes?
Yes □ No □
Archival? Poor Condition? 18. Restricted or Confidential? Yes □ No □
16.17.
Yes □ No□ Yes □ No□ Source or Regulation:
19. Description of Record Series:
20. Purpose of Record:
21. Appraisal or Other Recommendations:
22: Schedule Item Number or Description:
23. Record Retention Period: 24. Official Copy? 26. Name of Person Performing Inventory:
Yes □ No □
Total Retention:
25. Sample Copy of Record 27. Dates of Inventory:
In Office:
Attached?
In Storage:
Yes □ No □ Start: End:
28. Database Processes: 29. Data Entry By:
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Preparation of a Record Retention Schedule
A record retention schedule establishes the minimum retention period and final
disposition (either by destruction or permanent retention) for the various types of city
records. State and federal law and regulations provide specific retention periods for
many, but not all, city records. The intent of the Idaho municipal record retention law is
that each city incorporates these requirements into a retention schedule that covers all city
records.
The process of developing a record retention schedule has been greatly simplified by the
development of a model schedule that is included as Appendix D of this manual. The
model schedule was developed with input from a broad array of city officials, and
provides a starting point for each city in developing their own record retention schedule.
Because Idaho cities are extraordinarily diverse, it was impossible to develop a model
schedule that will fit every city perfectly. The model schedule includes the following
sections:
Administrative;
Accounting, Budget, Finance & Payroll;
Airport;
Building, Planning & Zoning;
Cemetery;
Elections;
Emergency Communications;
Fire & Emergency Medical Services;
Information Systems;
Insurance, Risk Management & Safety;
Legal;
Library;
Parks & Recreation;
Personnel;
Police & Law Enforcement; and
Public Works & Engineering.
There are several important considerations to keep in mind regarding record retention
schedules:
minimum amount of time that a
First, the retention schedule provides the
record must be keptit does not require a city to destroy records that
—
have exceeded their minimum retention nor does it authorize city
officials to begin destroying records (these are explained in more detail
below).
does require the city to keep the record for
Second, the retention schedule
the applicable period, during which the record may be inspected and
copied as a public record unless specifically exempt from disclosure as
provided by Idaho law
.
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Third, the model retention schedule included in this manual is a model that
attempts to broadly fit most cities in the state. Because the services and
programs offered by each city are different, some types of records will
The model
likely need to be added to or deleted from the schedule.
schedule does not impose any requirements that your city create new
types of records.
Fourth, the retention period only applies to the official copy of a record.
Duplicate copies may be disposed of at any time.
It is important to
designate the official copy so it is easily identifiable for retention
purposes.
Finally, regarding classification of records, this manual addresses phone
messages, appointment books, calendars and other records with very
short-lived utility as “transitory records” which may be destroyed when no
Consult your city attorney
longer needed for the conduct of city business.
and make sure your city’s policy on transitory records is clearly outlined
in your adopted retention schedule and approved by your city attorney.
Records that are candidates for transitory status are listed as such in the
model retention schedule.
The model record retention schedule should be reviewed by the city clerk and department
heads, and any necessary additions or deletions made so the schedule fits the particular
city. In determining appropriate periods of retention, city officials should consider the
administrative, policy, fiscal, legal and historical value of the various types of records.
Administrative Value:
This is the length of time a city needs to retain a
record to meet its own business needs. Records with administrative value
are typically operational records documenting the implementation of city
or state policies. For instance, a public records request form is an
operational record, because it implements the state Public Records Act and
a city’s policy to have public records requests made in writing. In most
cases, the administrative value of records is exhausted when the applicable
transaction is completed.
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Policy Value:
Records with policy value document the establishment and
interpretation of city laws and policies. Most of these records have long-
term or permanent retention, because they deal with issues of lasting
importance. Records with significant policy value include: ordinances and
resolutions, legal opinions, policy-related correspondence, personnel and
other city policies, etc.
Fiscal Value:
Records with fiscal value document the city’s financial
transactions and include ledgers, payroll, vouchers, receipts, etc.
Retention periods for these records are often relatively short, because their
value is largely exhausted after completion of the city’s audit. However,
there are other records (primary copies of the city budget, audit and year-
end financial reports, for instance) that merit permanent retention.
Legal Value:
Records with legal value provide documentation of the
city’s rights and obligations. These records include: contracts and
agreements, titles, leases, claims, etc. Some records have permanent legal
value (titles to real property, for instance). Contracts and agreements
typically have legal value until expiration of the applicable statute of
limitations for legal action to enforce the contract/agreement. It is
important to understand the applicable state and federal laws when
establishing retention periods for these records.
Historical Value:
Certain records have long term historical value because
they provide authentic evidence of a city’s incorporation, policies,
programs, governing officials, local historical information, etc. Even
though these records may have exhausted their administrative, policy,
fiscal, and legal value, they should be identified as permanent records.
Once a draft schedule has been developed, it should be reviewed by the city
attorney. Any changes suggested by the city attorney need to be incorporated into
the final draft. At this point, the schedule may be adopted by council resolution
(a model resolution is provided in Appendix A). It is important that the schedule
be updated periodically to reflect new types of records that accompany new
services or responsibilities. These changes need to be reviewed by the city
attorney and adopted by council resolution.
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Management and Control of Active, Semi-Active and Inactive Records
The fundamental principle of effective records management is that the various stages of
the records “life-cycle” have important implications for how records are managed.
Active Records:
Records typically less than two years old, which are
actively used and stored in the most easily accessible areas.
Semi-Active Records:
Records generally at least two years old, which are
needed occasionally and should be stored in low cost facilities that meet
appropriate requirements for records storage.
Inactive Records:
Records that are seldom, if ever, needed and are
retained until the end of their retention period (unless a permanent record).
Final Disposition:
Permanent records must be retained by the city in
perpetuity or transferred to the State Archives. Nonpermanent records
reaching the end of the required retention period may be destroyed
pursuant to the requirements of Idaho law and local policies.
Final Disposition
Final disposition of records happens in one of two ways.
Destruction of nonpermanent records.
Permanent records are retained in perpetuity by the city or transferred to the State
Archives.
—DISCLAIMER—
APPROVED RECORD RETENTION SCHEDULES DO NOT TAKE
THE PLACE OF GOOD JUDGMENT. IF RECORDS ARE NEEDED
BECAUSE OF A LAWSUIT, FOR AUDIT PURPOSES, OR IF A
PUBLIC RECORDS REQUEST HAS BEEN FILED, DON’T DESTROY
THEM UNTIL THE MATTER IS COMPLETED AND YOU HAVE
RECEIVED APPROVAL FROM YOUR CITY ATTORNEY.
17
The process for destruction of nonpermanent records typically begins once the
records have reached their minimum retention period, but there are some
important exceptions that dictate records must be kept longer.
18
Legal Actions:
Records needed for pending criminal or civil cases must
not be destroyed. Consult your attorney to determine when the record
should be destroyed, after the case has reached its final disposition and
appeals periods have ended.
Public Records Requests:
Records that are the subject of a pending
public records request must not be destroyed until the request is granted or
the period for appealing the city’s denial of the request has ended. Again,
consult your attorney.
Audit or Investigations:
Records needed for any pending audit or
investigation must not be destroyed. Again, consult your attorney.
Records with Unique Historical Value:
Certain “nonpermanent” records
may have considerable historical value that justifies permanent retention.
For more information on the potential historical value of a specific record,
contact the State Archivist at the Idaho State Historical Society.
The first step in the destruction process is obtaining approval from the Idaho State
Historical Society—Idaho Code 50-907 provides that notice must be given to the
Historical Society prior to the destruction of any semi-permanent records. The request
for destruction must be made at least 30 days prior to destruction of any semi-permanent
records. Requests should be mailed to the State Archivist at the Idaho Public Archives &
Research Library, 2205 E. Old Penitentiary Rd., Boise, ID 83712-8250. Generally,
requests are reviewed and approved within a few days.
The next step is to send a list of all records proposed for destruction to the city attorney.
When the city attorney has reviewed and approved the list (in writing to the city clerk),
the destruction resolution may go before the city council. An example resolution is
provided in Appendix B.
In selecting a method for destroying records, the following issues should be considered:
Are the records confidential?
What quantity of records will be destroyed?
How often will records be destroyed?
What different types of media—e.g. paper, audio/videotapes, disks, etc.—
must be destroyed?
Do the records contain numerous fasteners, such as staples or paper clips?
Are there restrictions on incineration or disposal in the local landfill?
Is the city able to contract with a vendor that provides bonded recycling?
Does the city have the resources to purchase and operate equipment for
on-site destruction?
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Can the city’s shredder handle the volume of documents to be destroyed?
Can the city’s shredder handle non-paper records such as microfilm?
Is it more efficient and economical to use an outside vendor or facility?
The following are the most common methods of destroying records:
Landfill:
Disposal in the local landfill is an option. It is important to
shred any confidential records prior to disposal, because this alternative
does not guarantee the privacy of confidential records.
Incineration:
Burning of records used to be a popular method of
destruction, but environmental regulations may limit its use.
Shredding:
Shredding destroys records and ensures confidentiality in a
single step. The disadvantage is that shredding is time-consuming,
particularly if a small shredder is used and there is a large volume of
records to destroy. Shredders can also produce large amounts of dust, and
workers shredding documents should wear a mask to filter out dust
particles.
Recycling:
This is a popular option—however, recycling can allow
confidentiality of records to be compromised. Bonded recyclers will
guarantee that the confidentiality of records will be protected until their
destruction. If you have a large volume of records, the vendor may
provide pickup service.
Destroying Microfilm:
Some large, sophisticated shredders can shred
microfilm as well as paper. Another alternative is pulverization, which
transforms the microfilm and its reels into a cotton-like substance.
Contact your microfilm vendor to discuss options for recycling and
destruction.
Destroying Records on Magnetic & Electronic Media:
Magnetic media
(including audio and videotapes, disks, etc.) can be erased and reused,
incinerated or shredded. Destruction of electronic files can be difficult,
because copies of a single file may reside in numerous locations and
require considerable effort to find and delete.
20
For permanent records, cities have the option of keeping the records permanently or
transferring the records to the State Archives upon resolution of the city council (see
model resolution in Appendix C). Transferring records to the State Archives has
numerous benefits, including:
Cities can forward any public records requests to the archives staff, who
will handle the request.
Archives staff regularly travel around the state to pick up records, so there
are no shipping costs.
The archives are specially designed for records storage, so cities can be
confident that valuable records will be adequately protected for future
generations.
It is important to understand that unauthorized destruction of records is a serious crime:
Idaho Code 18-3201 provides that a public officer found guilty of willfully
destroying, altering, falsifying or theft of city records is guilty of a felony
punishable by up to 14 years in prison.
Idaho Code 18-3202 provides that any individual (excluding public officers)
found guilty of willfully destroying, altering, falsifying or theft of city records
may be punished by up to 5 years in prison or 1 year in the county jail, and a fine
of up to $1000.
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Disaster Preparedness
A records disaster is a sudden, unexpected event that significantly damages or destroys
records or prevents access to the information they contain. Examples of common records
disasters include: floods, fires, earthquakes, leaking pipes, theft, vandalism, hard drive
crashes and computer hackers. A records disaster can deprive a city of important records:
Documenting the city’s legal rights, interests and financial status,
Documenting the rights and obligations of citizens and businesses,
Necessary for conducting emergency operations during a disaster, and
Needed for resuming city operations after a disaster.
Disaster management encompasses three primary activities:
Mitigation:
The process of anticipating potential disasters by putting
preventative measures into place.
Remediation:
Efforts to lessen the impact of a disaster that has already
occurred.
Business Continuity:
Measures that ensure the city’s operations can
resume quickly and efficiently after a disaster.
To prepare for a records disaster, cities should develop a written plan that specifically
addresses the most likely events that could damage or destroy records, including
strategies for:
Preventing potential disasters by identifying and reducing risks,
The appropriate response for specific types of disasters that are most likely
to occur,
The facilities, equipment, records and other resources necessary to
continue essential city services in the wake of a disaster, and
Periodically reviewing and adapting the plan to reflect current conditions.
A disaster management plan allows your city to:
Establish a secure environment for records storage and maintenance,
Identify and protect vital records,
Provide a framework for responding safely and efficiently to disasters that
occur, and
Allow the city to resume work as soon as possible following a disaster.
The steps in developing a disaster management plan are outlined below.
Secure Managerial Support and Cooperation:
A disaster management
plan is a significant undertaking, and it is important to have support from
management. In discussing the importance of a plan, the city clerk may
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point out potential risks to city records as well as the potential
consequences if records were unavailable during or following a disaster.
Form a Planning Team:
The plan has a greater likelihood of success if
developed as a cooperative effort led by a planning team including
representatives from various city departments. These individuals can
provide important background information on the records created by their
department, their job functions and work environment. The planning team
is responsible for gathering information, inspecting facilities and
conditions, and preparing and reviewing drafts of the plan.
Identifying and Protecting Vital Records:
Vital records are the
irreplaceable records that are essential for the continued operation or
survival of city government in the wake of a disaster. Vital records
document the legal and fiscal status of the city, property ownership,
money owed to and by the city, contracts, payroll records and other
records without which the city cannot function. In deciding which records
should be classified as vital records, city officials should consider the
following:
What are the consequences if the record was destroyed?
Could essential city services carry on without the record?
What loss or inconvenience would the public suffer if the record was
destroyed?
What is the cost of replacing or reconstructing the record?
Is the document itself essential, or only the information it contains?
The three most common methods of protecting vital records are:
Duplication & Dispersal:
Duplication may be done by
photocopying, microimaging and magnetic tape or disk storage,
either by preparing duplicates when the record is created or
reproducing existing records for protection. Dispersal involves
sending the duplicate copies to off-site locations. It is important to
consider what equipment will be required to access and reproduce
the documents stored off-site, such as computers or microfilm
readers/printers.
On-Site Secure Storage:
Often, city hall is the only public
building in the area with the necessary facilities and equipment to
store records. A variety of factors should be considered when
examining the adequacy of facilities for record storage, including:
floor load, lighting and ventilation, fire ratings of walls and doors,
smoke and fire alarms, sprinklers or fire suppression systems and
potential for leaks, fire, insects, vermin and other hazards. There
are a number of alternatives for on-site secure records storage,
including vaults, safes, file rooms and fire-resistant cabinets and
containers, with the more effective alternatives generally the most
expensive. Before purchasing such equipment, consideration
should be given to how it will stand up to temperature and
humidity. Paper begins to deteriorate at 350 degrees Fahrenheit
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with humidity above 65 percent. Magnetic tape, microfilm and
photographs cannot withstand temperatures over 150 degrees
Fahrenheit with humidity above 85 percent.
Off-Site Secure Storage:
Ideally, off-site storage facilities should
offer security from the same disaster that could destroy or damage
the city’s primary building. The facility should also be isolated
from obvious risks, and must also be accessible during normal
working and emergency conditions. Unlike dispersal techniques
that distribute duplicates of vital records to a number of off-site
locations, a central off-site storage facility simplifies access.
Alternatives for off-site secure storage include: city-owned storage,
regional or cooperative records centers, and commercial storage
facilities.
Identifying Risks:
Once a city’s vital records have been identified and
protected, the next step is to systematically identify, analyze and prioritize
potential risks to city records. Certainly, city staff will likely have
knowledge of past disasters and responses. Other resources for
information on past disasters and responses include minutes, capital
project files, newspapers, etc. Potential risks can be categorized as
follows:
Natural Environment:
Consider the geography, climate, weather
and natural disasters that commonly occur in your area, such as
wildfires, blizzards, ice storms, electrical storms, floods,
landslides, earthquakes, etc., and likely damage to records that
could occur as a result (e.g., water damage, fire, power surges,
electrical disruptions, etc.).
Built Environment:
Consider threats posed by your building’s
proximity to potential problems, such as other buildings, railroad
tracks, highways, large trees, telephone poles, etc.
Building Structure:
Evaluate the roof, walls, windows,
foundation, and other structural elements of your building and
determine if any are weak or prone to leakage. Inside, check
electrical wiring, sewer lines, and water and steam pipes for
necessary repairs or upgrades. If records are stored in the
basement, determine the likelihood of flooding. If records are
stored on an upper floor, determine whether the floor can support
the 300 pounds per square foot recommended weight-bearing
capacity for records storage. Also examine whether the building
has adequate fireproofing and a fire suppression system, but be
aware that the same sprinkler systems and fire extinguishers that
can save your records from complete destruction can also cause
serious damage to records.
Storage Conditions:
Serious problems can occur in the very
places where records are stored. Facilities used for records storage
should be clean, well lit, dry, and free of mold. Records should be
stored in sturdy, standard cubic foot boxes on steel shelving of
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appropriate strength. The bottom shelf should be four to six inches
from the floor so that records stay dry during minor flooding. If
records are stored in a basement, vital records should be on an
upper shelf, but not under pipes of any kind.
Human Threats:
Humans are the most common cause of disasters
affecting records, therefore it is important to consider the effects of
citizens and staff when identifying and discussing risks. Certainly,
theft, vandalism, arson, sabotage, computer hacking and terrorism
are the most visible threats, but more commonly staff accidentally
delete files, fail to create appropriate backups of their work,
accidentally write over important files when installing software,
cause accidents during construction projects and generally
mishandle or lose important records.
Threats to Electronic Records:
Several factors make electronic
records vulnerable in unique ways. First, the optical and magnetic
media used to store electronic records (such as CDs, DVDs,
detachable hard drives, etc.) are relatively small and easy to carry
and conceal, so they are more likely to be misplaced or stolen.
Because electronic media are capable of holding tremendous
amounts of information in a very small physical space, cities can
suffer a crippling loss of information, particularly if there are no
secure backups. Electronic media are easy to erase, either
accidentally or intentionally. Electronic records are also
susceptible to unauthorized access, because many city employees
work on shared drives of a local area network. There is also the
danger of Internet hackers and computer viruses.
Preventative and Protective Measures:
After information on potential
risks has been gathered, the next step is to develop strategies to prevent
disasters from occurring and minimizing the effects of a disaster. The
most important step toward protecting records is understanding the extent
of a city’s records and establishing firm control over them. This involves
completing a records inventory and adopting a record retention schedule to
help in systematically disposing of obsolete records. Some examples of
preventative and protective measures are listed below.
Store records in metal filing cabinets or on metal shelving. Avoid
wood cabinets and shelving.
Keep records protected from exposure to sunlight, strong indirect
natural light and strong artificial light, particularly fluorescent
light.
Maintain a relatively constant temperature between 60 and 70
degrees Fahrenheit.
Maintain a constant relative humidity between 45 and 55 percent.
Control dust and chemical vapors.
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Avoid storing records in basements, under water pipes, or directly
on the floor.
Store records on cabinets/shelves raised four to six inches above
floor level (this is shown to be effective against potential water
damage from fire fighting efforts and minor floods).
Maintain a fire-suppression system (water sprinkler), and/or a fire
detection and alarm system.
Place chemical fire extinguishers (preferable to sprinkler systems
due to possible water damage) conspicuously in file storage areas.
Maintain an intrusion alarm system to protect against theft and
vandalism, and keep exterior of buildings well-lit at night.
Have drains in records storage rooms, and inspect drains, plumbing
and water pipes regularly.
Regularly check building for leaks and other problems.
Do not install carpet in records storage areas because carpet retains
water and prevents drainage, as well as creating a problem in
stabilizing temperature and relative humidity in the affected area.
Limit staff members’ access to records storage areas to those
regularly needing access.
Terminated employees can pose security risks, so they should turn
in all relevant identification and keys before leaving.
For electronic records, make sure computer equipment has power-
surge protection and consider installing an emergency generator to
keep necessary electrical systems operating at a minimal level
during power outages.
Require staff to use passwords and change them frequently.
Use firewalls and anti-virus software to protect your network and
regularly install updates.
Regularly backup electronic records and store backups in a
protective vault or off-site facility.
Disaster Response Plan:
When a disaster does strike, it is critical that
there is a plan in place for contacting and directing the activities of a
disaster response team. The elements of a disaster response plan include:
Members of Disaster Response Team:
The team should include
key staff from various city departments, generally including the
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city clerk, department heads and building custodian. There should
be a designated team leader and alternate in case the leader cannot
be reached quickly in an emergency. Each team member should
have a copy of the disaster management plan at home.
Phone Tree and Emergency Contact Numbers:
A phone tree is
a way to ensure that all team members are notified of a disaster.
The first person to discover the disaster calls the team leader, who
calls two or three team members, who in turn each contact
members further down the phone tree, until the entire team is
contacted. The plan should include emergency contact information
for the response team, local law enforcement and fire agencies,
utility companies, and the Federal Emergency Management
Administration (FEMA).
Salvage Priorities:
Many plans include a short records inventory
with the name, volume and location of a city’s vital records.
Disaster Response Supplies and Equipment:
A few general-
purpose supplies should be on hand at all times, including extra
records storage boxes, industrial fans, rubber gloves, plastic
sheeting and a portable sump pump. The plan should also include
the location of fire extinguishers and hoses, turn-off valves for gas
and water, and electrical system and alarm shut-off switches.
Floor Plans and Area Maps:
Floor plans should indicate salvage
priorities, important supplies, and internal controls for information,
electrical and plumbing systems. Other useful information for
maps includes the locations of water mains, emergency routes, and
hydrant and equipment locations.
Backup Facilities:
Continuity of essential city operations requires
getting up and operating as soon as possible after a disaster. The
disaster response plan needs to specify how operations will
resume: where temporary offices will be located (if necessary),
what office equipment will be available to use and what records
will be available.
The plan is a living document that should be periodically reviewed,
evaluated and adjusted as needed. The review may be regularly scheduled
or occur in response to changes in city services, facilities, equipment or
staffing. It is particularly important to regularly update emergency contact
information for the disaster response team.
Steps in Effective Disaster Response:
Assess the Situation:
Estimate the amount of time that has elapsed
since the disaster occurred, the level of damage and remaining
potential threats. Many disasters trigger a secondary threat, so
check for leaks of any kind, particularly natural gas, steam, sewage
and water. Try to determine whether the potential exists for
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contamination from chemicals, asbestos or mold. Assess the
building’s exterior, foundations, support beams, and supporting
walls for structural damage.
Identify the Appropriate Response:
The team must work
together to identify an appropriate response, ideally following the
response outlined for such a disaster in the city’s disaster response
plan.
Stabilize the Environment:
Do not enter the facility until it is safe
to do so. In many cases, you will have to rely on others to stabilize
the situation first, especially in cases of fire, severe floods, downed
trees or power lines, or damaged roofs or exterior walls. If there is
standing water in any location, be sure to turn off all electric power
before entering the area. Once it is safe to enter, try to stabilize the
temperature at about 65 degrees and the humidity between 45 and
55 percent. If an area is flooded or has high levels of humidity,
reduce the temperature further to delay the onset of mold
infestation (mold can grow within 48 hours). Remove standing
water as soon as possible.
Take Photographs:
Photographs are useful for documenting and
measuring damage and formulating response and recovery
activities.
Assess Damage:
Assess the severity of damage, estimate the total
quantity of records affected and identify the name and format of
each records series involved.
Implement Salvage Strategy:
Start moving records from the
affected area to temporary storage. Be sure to consider the health
and safety of staff involved in salvage efforts. For example, if
records are wet or fire-damaged, provide staff with rubber gloves
and face masks.
Begin Remediation and Recovery:
The process of remediation
and recovery depends largely on the number, type and media of
records damaged or destroyed. First, cull out any records that have
exceeded their retention period so they can be destroyed after
receiving the necessary approval from the Historical Society and
city attorney and upon resolution of the city council. Any
permanent or vital records are candidates for professional
restoration. Remaining records must be examined to determine if
restoration or preservation through microfilming or imaging is
appropriate. If the value of the records does not merit the cost of
professional restoration, then they should be stored in an isolated
area until their retention period is completed and they can be
destroyed.
Wet records are of critical concern because they can begin to grow
mold within 48 hours. First, move the records to a safe, dry and
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environmentally stable area. Immediately reduce temperature and
humidity levels in wet or humid storage areas, and set up fans, air
conditioners, and dehumidifiers to help dry out these areas. If boxes
are falling apart, temporarily store the contents in plastic crates to keep
them neat and under control. Do not leave wet records to dry on their
own, and do not leave them in an area with standing water, high
humidity or mold growth.
To remedy damage to the records, move them to a cold, dry
environment. If a large quantity of records is involved, check with
local school districts, supermarkets or businesses to see if industrial-
size freezer space is available for temporary storage until the records
are sent to a vendor that offers freeze-drying services. For a small
volume of damaged records, sort them according to type of material
and dry them using the appropriate method listed below.
Damp, Coated or Uncoated Paper:
Fan pages open, insert
blotter paper, and position them under a fan so air
circulates between the leaves.
Wet, Uncoated Paper:
Interleave pages with a paper towel
or blank newsprint until damp, them remove the
interleaving and proceed as above.
Wet, Coated Paper:
Interleave pages with waxed paper,
then fan open, and proceed as for wet uncoated paper.
Photographs:
Rinse in clear, cold water, and dry face up
on a blotter or hang securely from a laundry line.
Once the records are dry, place them in new boxes and label the
boxes with the records series title, dates and retention periods.
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Use of Micrographics and Electronic Document Imaging
Cities dealing with a large volume of records may wish to consider use of micrographics
or digital imaging systems for storage and management of records.
Micrographics Systems:
This term refers to microfilm or microfiche
systems that utilize miniaturized images that are preserved on film.
Digital Imaging Systems:
These systems scan images of paper
documents and store them in digital format (computer readable) on optical
or magnetic media (such as CDs, hard drives, or computer disks).
At the outset, it is important to understand that these systems are costly and on their own
will do nothing to improve an inadequate or nonexistent records management system.
Poor filing, inadequate indexing, redundant copies, poor information flow or failure to
dispose of obsolete materials will not disappear with the use of micrographics or digital
imaging—rather, the city will spend a large amount of money to create a photographic or
digital version of poorly filed, redundant, inadequately indexed, and largely obsolete
records.
Cities that are overwhelmed by the cost and space demands of records need to first go
through the process of inventorying records, developing a retention schedule and
destroying nonpermanent records that have exceeded their required retention periods.
For cities that have a functioning records management program, these systems offer
tremendous space savings, efficient use and management of records and other benefits.
Idaho Code 50-909 sets forth the basic requirements for use of photographic and
digital media for records retention:
The medium must accurately reproduce the record in paper form
throughout its applicable retention period.
The medium must preclude unauthorized alteration of the record.
Film used for micrographic systems must meet the quality standards of the
American National Standards Institute (ANSI).
Digital media must provide for reproduction on paper at a resolution of at
least 200 dots per inch.
A record preserved on photographic or digital media in compliance with
the preceding requirements is “deemed an original public record for all
purposes. A reproduction or copy of such a document, certified by the
city clerk, shall be deemed to be a transcript or certified copy of the
original and shall be admissible before any court or administrative
hearing.”
When nonpermanent records are preserved on photographic or digital
media, the original paper record may be destroyed. Paper originals of
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permanent records must be kept by the city in perpetuity or may be
transferred to the State Archives upon resolution of the city council.
Records preserved on photographic or digital media must be made in
duplicate, and the custodian must put one copy in a fire-resistant vault, or
off-site storage facility, and the other copy is kept in the office with
suitable equipment for displaying the record at not less than original size
and making copies of the record.
Cities considering micrographics or digital imaging systems need to understand the
respective advantages and disadvantages of each system. Before the advent of digital
imaging, micrographics systems were used to manage active records as well as preserve
long-term records. Now, digital imaging systems have a sizable advantage in
management of active records because of rapid retrieval, tremendous storage capacity,
ability to allow access to multiple users and ease of use. However, the CDs and other
media used to store digital images only last 50 to 100 years, and the supporting
technology needs to be updated every few years, requiring a migration strategy to deal
with evolving technology. Thus, digital imaging systems have the edge for management
of active records, but are too dependent on short-lived computer technology for
preservation of long-term records. Micrographics systems have long been the choice for
preserving long-term records, as the life expectancy of microfilm can be up to 500 years
if processed and stored correctly. Not only is microfilm a stable and proven medium, it is
eye-readable—it does not rely on computer technology, but only requires a light source
and lens to read.
Advantages of Micrographics Systems
Space Savings:
The most visible advantage of microfilming is space
savings, as microfilmed records can require as little as two percent of the
space required for the same records on paper. This figure ignores the fact
that many records (including all records classified under state law or local
retention schedules as permanent) must be retained in hard copy after they
have been microfilmed. Also, cabinets are required for storage of
microfilm and the reader-printers take up additional space. Nonetheless,
the space reduction afforded by microfilm can be substantial, particularly
if the records being filmed are bulky and not subject to frequent retrieval.
Low-Cost Duplication & Distribution:
Film duplicates are inexpensive
to produce and can be mailed at lower cost than the same volume of
records on paper.
Information Retrieval:
Access and retrieval can be improved due to the
concentration and ease of manipulation of microfilmed records.
File Integrity:
Once records are microfilmed, their order cannot be
changed and the chance of losing or misfiling individual documents is
eliminated.
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Security:
The original microfilm is kept in a vault or off-site to protect
against loss, and working copies of the microfilm are made from the
protected master copy.
Archival Preservation:
Microfilm copies of fragile historical records can
be used for reference instead of the original document, and deteriorating
records can be permanently preserved through microfilming.
Ability to Make Paper Copies:
Micrographics systems can produce
paper copies of records.
Cost Savings:
While micrographics systems are expensive, their use does
result in cost savings through reductions in storage space and increased
efficiency in retrieval.
Limitations of Micrographics Systems
Lack of Acceptance:
Despite the fact that microfilm is a legally accepted
medium, some people are hesitant to accept filmed records in lieu of
paper.
Quality Control:
Preparation and filming must be closely monitored so
that documents are not filmed out of order or in any other violation of file
integrity. Film processing must also be closely monitored as it is a
complex chemical process that requires specialized equipment, trained
staff and process controls.
Training:
Personnel must be properly trained to detect errors in filming
and levels of film quality.
Specialized Equipment:
Since microfilmed records cannot be read with
the unaided eye, microfilm readers and reader-printers are needed to view
the images and make paper copies of them. This equipment can be
expensive to purchase and maintain.
Cost:
The process of microfilming—including document preparation,
filming, processing, testing, duplicating and indexing—is expensive.
Storage Maintenance:
Microfilm requires a more carefully monitored
storage environment than does paper, and is more sensitive to variations in
temperature and humidity.
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Advantages of Digital Imaging Systems
Space Savings:
Records stored on optical disks and magnetic media offer
tremendous space savings over paper documents.
Rapid Retrieval:
Faster access to records means lower labor costs and
enhanced customer service.
Concurrent Access:
Two or more users can access data at the same time.
Image Enhancement:
Poor quality originals can be enhanced by software
designed to remove noise and increase brightness and edge sharpness.
Optical Character Recognition (OCR):
Scanned documents can be
converted to computer readable text by the use of optical character
recognition software, thus eliminating the need to index the documents in
some cases.
Workflow:
A workflow system can automate and control certain business
processes. The system can schedule processing, route documents
automatically among departments and track each transaction’s status.
Limitations of Digital Imaging Systems
Cost:
Consideration must be given to the cost of hardware, software,
system maintenance and administration and conversion costs (such as
document preparation, indexing and quality control).
Complexity:
While computer systems are becoming more “user friendly,”
a certain amount of technical skill and experience are still needed to
adequately operate and maintain an imaging system.
Lack of Standards:
Successful retrieval of images depends on the
availability of appropriate retrieval hardware and software. Images
recorded on one vendor’s system may not be accessible on another
vendor’s system due to lack of standardization of media, hardware, image
compression, image format and retrieval software. National and
international standards associations are currently addressing these issues.
Risk of Obsolescence:
Images recorded using current technology may not
be accessible years from now if the system is not maintained properly.
Proper management of optical and magnetic media, computer operating
systems, software applications and hardware is essential to preventing
inaccessibility due to technological obsolescence.
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Glossary of Records Management Terms
Access:
Permission and opportunity to use a record.
Accession:
The act and process of transferring records into the physical custody of an
archive or records center.
Active Record:
A record used frequently—for paper records, at least once per month;
these records are kept in the “active office” and are usually less than two years old.
Administrative Value:
The usefulness of a record to an organization in the conduct of its
daily business.
Aging Blemishes:
In microform records, very small spots forming on silver gelatin film
as a result of air pollution, improper packaging, or inadequate storage conditions; also
referred to as “Measles,” “Microspots,” “Red Spots” or “Redox Blemishes.”
Alphabetic Arrangement:
The ordering of a records series by the letters in titles of the
files within the series, such as name or subject.
Alphanumeric Arrangement:
The ordering of a records series by means of a
classification system that uses filing codes consisting of combinations of letters and
numbers.
Alternate Site:
A location, other than the normal facility, used to conduct critical
business functions in the event of a disaster.
American National Standards Institute (ANSI):
A U.S. standards organization
composed of representatives from industry, technical societies, consumer organizations,
and government agencies.
Annotation:
A note added or attached to an original record.
Annual Accumulation:
The volume of records created, received and retained in the
course of a year.
Aperture Card:
An 80-column tabulating sized card with a hole, or aperture, containing
usually one frame of 35-mm microfilm; generally used for engineering drawings, maps
and charts.
Archival Microfilm:
A photographic film that meets the standards for archival film and
that is suitable for the preservation of permanent records when stored in accordance with
those regulations.
Archival Quality:
The ability of a recording medium to permanently retain its original
characteristics; also the ability of a medium to resist deterioration for a lengthy, specified
time; and the extent to which something will or will not last for an extended period of
time.
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Archival Record:
A record that is kept permanently because of its continuing and
enduring value as a historic document; also referred to as a “Historical Record.”
Archives:
A facility that preserves records with historical value, such as the State
Archives operated by the Idaho State Historical Society in Boise.
Arrangement:
The act or result of placing records in a particular order or sequence.
Association for Information and Image Management (AIIM):
A trade and
professional organization concentrating on applications of micrographic, optical, and
computer technology and systems; formerly the National Micrographics Association.
Audio/Visual Records:
Records in pictorial or aural form, including still and motion
pictures, graphic materials (posters and art), audio/video recordings, and combinations of
such media.
Automated Access:
Access provided to records through electronic databases or other
electronic means.
Background Density:
The opacity of the noninformation area of a microfilm.
Backup:
The act or result of copying an electronic record to ensure its information will
not be lost.
Backward Compatible:
The ability of software or hardware to read files in previous
versions of the software/hardware.
Base:
In microform records, a transparent plastic material, such as cellulose triacetate or
polyester, on which a photographic emulsion or other material may be placed.
Bitmap (BMP) Files:
A relatively low quality digital image file format, used most often
in word processing applications, BMP format creates a lossless compression; files end
with a .bmp extension.
Bit:
The smallest discrete units of digital data, short for binary digit (either 0 or 1); eight
consecutive bits typically represent a character, or byte.
Blips:
Opaque marks placed on microfilm by the camera to mark each exposure.
Business Continuity:
The resumption and maintenance of regular business activities
after a disaster.
Byte:
The number of bits representing a character (such as A, 1 or $) to a computer,
normally 8 bits.
Camera Negative:
Microfilm used in a camera to produce an original roll of microfilm;
for permanent records, the camera negative must have a silver gelatin emulsion to ensure
longevity of the film; to minimize damage to the microfilm, the camera negative is only
used to produce distribution copies of the microfilm.
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Cartridge:
A roll of microfilm placed in a special plastic case; this form requires special
retrieval equipment but does protect the microfilm from dust and fingerprints; microfilm
used in Computer-Assisted Retrieval systems is housed in cartridges.
Case File:
A file containing standardized contents related to a specific action, event,
person, place, project or subject; also referred to as a “Project File.”
Certified Copy:
A copy of a document signed and certified as a true copy by the official
custodian of the record.
Chronological Arrangement:
Records filed in date sequence in reverse (latest date on
top) or forward (earliest date on top) chronologic order.
Closed File:
A file into which no more documents may be added.
Cold Site:
An alternate site that has no equipment or resources except for basic climate
control and adequate space.
Compact Disk (CD):
A type of optical disk storage media on which text, data, sounds,
visual images, etc. can be recorded digitally; compact disks come in a variety of formats:
CD-ROMs that are read-only, CD-Rs that can be written once and then are read-only, and
CD-RWs that can be written on multiple occasions.
Compound Document:
A document with multiple elements, including text, images,
animation, hypertext, etc.
Compression:
A process using special software that reduces the size of an electronic file.
Computer-Aided Drafting & Design (CAD or CADD):
Any system for computer-
aided rather than manual drafting and design that displays data spatially on a predefined
coordinate grid system, allowing data from different sources to be connected and
referenced by location.
Computer-Assisted Retrieval (CAR) System:
A records storage and retrieval system,
normally microfilm-based, that uses a computer for indexing, automatic markings such as
blips or bar codes for identification, and automatic devices for reading those markings
and, in some applications, for transporting the film for viewing.
Computer Output Microfilm (COM):
Microfilm containing data converted and
recorded directly from a computer, generally used instead of hard copy printouts.
Confidential Record:
A record that is not open to the public, usually to protect the
privacy rights of individuals.
Conservation:
The repair and stabilization of damaged documents.
Conversion:
Changing file formats, often to make a record software-independent and in
a standard or open format.
Cost-Benefit Analysis:
Any method of examining the cost advantages that can be
realized by modifying the way records are managed.
36
Crisis:
A serious event that, if not addressed appropriately, would likely reduce a city’s
ability to operate.
Cubic Foot:
A standard measurement for the volume of records, equaling 1,728 cubic
inches; to determine the number of cubic feet of a given set of records, multiply the
length of the records by the width and height (all in inches) and then divide by 1,728.
Custody:
Guardianship, or control, of records including both physical possession and
legal responsibility.
Damage Assessment:
The process of determining the extent of destruction following a
disaster and of planning upcoming steps.
Data:
Symbols or representations of facts or ideas that can be communicated, interpreted,
or processed by manual or automatic means; often associated with electronic data,
statistics or measurements.
Data Dictionary:
A formal description of the information contained in a database
(including format, definition, structure and usage).
Database:
A computer file that stores data structured in a way that allows for easy and
specific access to information it contains.
Date Span:
The period of time covered by a certain set of records.
Density:
The light-absorbing or light-reflecting quality of microimages.
Destruction:
The act of disposing of nonpermanent records by shredding, incineration,
recycling, etc.
Diazo Film:
In microfilm records, film containing images produced by exposing an
emulsion of diazonium salts to ultraviolet light and then ammonia fumes; this film is
ideal for copying a master microfilm for everyday use because of its strength and high
quality image, and has an average life expectancy of 50 years.
Digital:
Representing data as discrete variables in the form of numerical characters.
Digital Data:
Data that consists, at its most basic level, of just 0s and 1s.
Digital Versatile Disk (DVD):
An optical disk with more storage capacity than CDs,
these disks include: DVD-ROM (read-only), DVD-RAM (rewritable), DVD+RW
(competitor to DVD-RAM with similar functionality and slightly greater storage
capacity).
Disaster:
A serious event requiring an immediate response to prevent a lapse of essential
city functions.
Disaster Management:
A system of measures used to prevent, detect, contain, respond
to, and recover from events that threaten the ability of an organization to function.
37
Disaster Prevention:
A predetermined system of measures used to avert, detect, or
contain events that threaten the ability of an organization to function.
Disaster Recovery:
A predetermined system of measures used to restore an
organization’s critical business functions, including the usability of its records.
Disaster Recovery Plan:
A written, approved course of action used when disaster strikes
to restore critical municipal functions and records.
Disaster Recovery Team:
A team of individuals trained and prepared to take control of
response and recovery in the event of a disaster.
Disaster Response:
A predetermined system of measures used to react to events that
threaten the ability of an organization to function and that includes preliminary
assessment of the situation and the development of a plan of action to recover records and
restore business functions.
Dispersal:
Transfer of duplicate copies of vital records to locations other than those
where the originals are housed.
Disposition:
The final stage in the life-cycle of a record: nonpermanent records are
typically destroyed, and permanent records are kept by the city in perpetuity or
transferred to the State Archives.
Document:
A single record item, containing information in any medium, generated in the
normal course of business that facilitates the management of that information (such as a
letter, an email, or a completed form).
Dry Silver Film:
In microform records, a nongelatin silver film developed by applying
heat rather than a liquid; also called dry-process silver film, in contrast to silver gelatin
film, it is of nonarchival quality.
Duplicate:
An extra copy of a record; duplicates may be destroyed at any time as long as
an original designated as the “record copy” is retained for the applicable retention period.
Electronic Document Imaging:
The production of digital images of documents, usually
in order to improve access to the records.
Electronic Document Management System (EDMS):
A software program and
supporting hardware that automate and integrate the records management process.
Electronic Mail (Email):
Electronic correspondence sent from one user to one or more
recipients.
Electronic Record:
Information evidencing any action, transaction, occurrence, event or
other activity produced by or stored in an information technology system and capable of
being accurately produced in tangible form.
Electronic Records Management:
The process of applying records management
principles to electronic records.
38
Emulsion:
A suspension of light-sensitive chemicals in a viscous medium to form a
coating on photographic film or plates.
Encyclopedic Arrangement:
An arrangement of filing in which records are filed under
broad, major headings and then under the specific subheading to which they relate, and
headings and subheadings are arranged alphabetically.
Environmental Control:
The maintenance of a storage environment for long-term
storage of records that includes monitoring the temperature, humidity, light and
impurities in the air.
Erasable Optical (EO) Disk:
These disks can be written to, read and erased as often as
magnetic disks, but require special software.
Essential Services:
Functions and services that an organization must maintain before,
during and after a disaster.
Exposure:
The act, process or result of allowing light to reach photosensitive material.
Extranet:
A type of Internet site to which organizations allow only selected external
access.
Facility:
A permanent location containing the equipment, supplies, and
telecommunication lines used by an organization to conduct its business.
Federal Emergency Management Administration (FEMA):
The federal agency
responsible for directing response and recovery in the face of catastrophic disasters of
national significance.
Field:
A location in a database that stores a particular type of data (such as an address
field, city field, state field, etc.).
File:
(1) A collection of related records that are treated as a unit, sometimes used
synonymously with “records series” and sometimes referring to the contents of one case
or file folder. (2) To arrange documents into a logical sequence.
File Transfer Protocol (FTP):
A type of URL that is commonly used to store and
exchange large files.
Files Management:
The process of designing and managing an efficient organization for
active office records so they are easy to find, arrange and use.
Filing System:
A pre-defined plan using numbers, letters, or keywords to identify and
organize records in a systematic scheme.
Finding Aid:
A tool (such as a series description, catalog, or index) that is designed to
help users find information within archival records.
Firewall:
A security system that uses hardware and/or software mechanisms to prevent
unauthorized users from accessing an organization’s internal computer network.
39
Fiscal Value:
The usefulness of a record in documenting monetary decisions and
activities.
Flat Microform:
Microform consisting of microfiche, microfilm jackets, aperture cards,
or microcards (micro-opaques).
Forms Management:
A system that establishes standards and procedures for the
creation, design, and revision of all forms within an organization.
Forward Compatible:
The ability of a software program to create files that can be read
by more advanced versions of the software.
Freeze-Drying:
A process that stabilizes water-soaked documents by freezing to prevent
further damage from water in its liquid state, and subsequent drying under high vacuum
with the controlled application of heat, usually from heating coils installed in special
shelving; the water, in the form of ice, sublimates directly from a solid to a gaseous state.
Fumigation:
The process of exposing records, usually in a vacuum or other airtight
chamber, to poisonous gas or vapor to destroy insects or mildew.
Geographic Information System (GIS):
A computerized database system used to
gather, manipulate, display and analyze spatial data (including maps, three-dimensional
models, and tables).
Gigabyte:
1,024 megabytes of digital data.
Graphics Interchange Format (GIF):
A digital image file format, GIF supports color
and grayscale; limited to 256 colors, GIFs are more effective for images such as black
and white documents, logos, graphics and thumbnail images rather than color photos or
art; a lossless format, files in GIF format end with a .gif extension.
Hardware:
A computer system’s physical equipment, including the central processing
unit (CPU), control unit, memory, input/output devices, and storage devices.
Historical Record:
See “Archival Record.”
Historical Value:
The value of a record in documenting important information about a
city and its usefulness for historical research.
Hot Site:
An alternate site that includes all the equipment, data and resources necessary
to resume business functions affected by a disaster.
Human Threat:
Any risk of disaster that can be caused by the actions of people,
including computer hacking, vandalism and terrorism.
Hypertext:
A computer-based text retrieval system that enables a user to access
particular locations in webpages or other electronic documents by clicking on links
within specific webpages or documents.
Imaging:
The process of electronically capturing the visual appearance of a paper
document; informally called “Scanning.”
40
Inactive Record:
A record that does not have to be readily available, but which must be
kept for administrative, policy, legal, fiscal, or historical purposes.
Index:
An information guide that identifies the location of specific pieces of information
within a document or a set of documents (for example, an index to a set of minutes could
list topics and when they were discussed or an index to personnel files could list the
names of people included).
Indexing:
The process of designing a guide to identify and locate specific pieces of
information within the records of an organization.
Information Security:
The protection of information against unauthorized disclosure,
transfer, modification, or destruction, whether accidental or intentional.
Information Technology (IT):
The system for managing the entire range of computing,
telecommunications, and information services; sometimes called “Information Services”
(IS) or “Management Information Services” (MIS).
Internet:
The master network of interconnected computers that allows the rapid transfer
of information in electronic form.
Intranet:
An internal Internet site that cannot be accessed by anyone outside the
organization.
Jacketed Microfiche:
Film strips that are sleeved in polyester jackets containing three to
eight sleeves.
Joint Photographic Experts Group (JPEG):
A digital image file format, JPEG is a
lossy compression technique for color and grayscale images; depending on the degree of
compression, the loss of detail may be visible to the human eye.
Jukebox:
An automated optical disk system storing disks, using robotics for retrieval,
and having one or more computer drives.
Kilobyte:
1,024 bytes of digital data.
Leader:
Clear film 24 to 36 inches on the front and back of the roll of microfilm to
protect the images on the film.
Legal Value:
The usefulness of a record in documenting legally enforceable rights or
obligations of the city, citizens, businesses, etc.
Life Cycle of a Record:
The concept that the value and appropriate management of a
record changes from its creation through its active and inactive stages to its final
disposition.
Local Area Network (LAN):
A system for linking together computers, terminals,
printers and other equipment, usually within the same office or building, allowing direct
communication and sharing of data.
41
Locator System:
An access guide for finding inactive records (examples include
databases, shelf addresses, box numbers, and card files).
Loss:
The resources destroyed or damaged as a result of a disaster, including records,
facilities, operational capability, human life, and public image.
Lossiness:
The degree to which data is lost during file compression.
Lossless Compression:
Reduction in file size without loss of information, achieved by
storing data more efficiently; a bitmapped image that has undergone lossless compression
will be identical to the original uncompressed image when decompressed; the GIF, TIFF,
PNG, and JPEG2000 image formats allow lossless compression, which cannot shrink file
size to the extent possible with lossy compression.
Lossy Compression:
Reduction in file size that involves permanent loss of information;
algorithms selectively discard data in order to attain a greater size diminishment than is
possible with lossless compression; entails a decrease in quality, but this is often
imperceptible (or nearly so) with image files, depending on the level and type of
compression employed; the JPEG and JPEG2000 formats allow lossy compression.
Magnetic Disk:
A type of digital storage media, magnetic disks include hard disks found
in computers, floppy disks, zip disks and removable cartridges.
Magnetic Tape:
A type of digital storage media, magnetic tapes come in reel-to-reel as
well as cartridge format (encased in a housing for ease of use); the primary advantages of
magnetic tapes are their relatively low cost and large storage capacities (up to several
gigabytes); magnetic tapes are a common choice for long-term storage or the transport of
large volumes of information.
Magnification Ratio:
In microform records, the expression of how much an optical
device enlarges an object, usually stated as 16x, 24x, etc., or as 16:1, 24:1, etc.; see also
“Reduction Ratio.”
Malicious Code:
Any software that is intentionally introduced into a system with an
unauthorized purpose.
Master Microform:
A microform, usually first-generation or camera film, used to
produce duplicates or intermediates.
Medium:
The physical form of recorded information, including paper, microfilm,
audio/visual tapes, CDs and DVDs, computer disks, etc.
Megabyte:
1,024 kilobytes of digital data.
Metadata:
Commonly defined as “structured data about data,” or data captured in
specific categories or elements; metadata can include data associated with either an
information system or a data object or set of objects for purposes of description,
administration, preservation, the documentation of legal requirements, technical
functionality, use and usage, and so forth.
42
Methylene Blue:
A chemical dye formed during the testing of archival (permanent)
quality of processed microimages.
Microcard:
An opaque card containing miniaturized pages photographically reproduced
in a grid pattern by rows, like the numbers on a calendar.
Microcopy:
A photographic reproduction so small that a magnifying device is needed to
read or view the image; also called a “Microphotograph.”
Microfiche:
A card-sized transparent sheet of film with miniaturized images
(microimages) arranged in a grid pattern; usually contains a title readable without a
magnifying device.
Microfilm:
(1) Raw (unexposed and unprocessed) fine-grain, high-resolution film
suitable for use in micrographics; (2) Fine-grain, high-resolution film containing
microimages.
Microfilm Reader:
A device that enlarges microimages for viewing, usually consisting
of a light source, illuminating optics, microfilm holder, lens and a screen; readers may
also have the capability of producing paper copies of the enlarged image.
Microform:
Any form containing greatly reduced images, or microimages, usually on
microfilm; roll, or generally serialized, microforms include microfilm on reels, cartridges,
and cassettes; flat, or generally unitized, microforms include microfiche, microfilm
jackets, aperture cards, and microcards or micro-opaques.
Micrographic Record:
A document stored as a miniature image on microfilm or
microfiche.
Micrographics:
The technology by which information can be quickly reduced to a
microform, stored conveniently and then easily retrieved for reference and use.
Micro-Opaque:
A sheet of translucent paper stock with multiple microimages in a grid
pattern.
Migration:
The periodic transfer of data from one electronic system to another to retain
the integrity of the data and allow users to continue to use the data in the face of changing
technology; sometimes called “Data Migration.”
Mitigation:
The reduction of the chances that a disaster will occur, and the reduction of
its negative effects if one does occur.
Municipal Records Management Officer:
The city clerk’s role in overseeing
management of city records, identifying records of enduring value for historical purposes,
overseeing retention and destruction of records and coordinating transfer of permanent
records to the State Archives.
Natural Threat:
An event in nature that can cause serious disruption to a city’s essential
functions and services.
43
Needs Assessment:
A report that systematically examines a records management
problem, evaluates solutions, and recommends a solution.
Negative Film:
Film in which the dark portions of the original image appear light and the
light portions dark; used as the master copy from which positive copies can be made.
Nitrate Film:
Transparent plastic no longer produced as a film base because it is very
flammable; also called cellulose nitrate or nitrocellulose film.
Numerical Arrangement:
The ordering of a records series by file number.
Obsolete Record:
A record that has met its retention period, is no longer useful to the
organization, and may be destroyed.
Office of Record:
The office or department within a city designated to maintain the
official copy of a particular record.
Official Copy:
A record, in its final version, used to meet the minimum retention period
for that record; also referred to as the “Record Copy.”
Offline Storage:
Storage and retrieval system where assets are not immediately available
for use, or not accessible through a network or computer, but stored on some independent
media, such as a CD-ROM.
Online Storage:
Storage and retrieval system where assets are immediately available for
use or directly connected to a network or computer through fixed disk storage.
Offsite Storage:
A secure location, remote from the work location, where inactive, vital
or archival records are stored.
Onsite Storage:
Storage for inactive or vital records on the premises of the organization.
Operating System:
In electronic records, software directing a computer’s operation.
Optical Character Recognition (OCR):
A method of entering data into a computer by
using an optical scanning device to read the contents of documents; OCR can be used to
create text-searchable files for digital collections; see also “Scanning.”
Optical Disk:
A non-contact, random-access disk typically tracked by optical laser
beams and used for mass storage and retrieval of generally digitized text and graphics;
sometimes called an optical digital disk or optical digital data disk; types include WORM
(write once read many), CD-ROM (compact disk-read only memory), CD-I (compact
disk-interactive), and erasable optical disks.
Password:
A character string usually selected by a user, known to the computer system,
and used in conjunction with an associated username to identify the user and allow access
to the system.
Periodic Transfer:
The removal of records from current files to semiactive or inactive
storage on a scheduled basis.
44
Permanent Record:
A record that must be kept permanently by the city or be transferred
for permanent storage at the State Archives, because of the document’s value for
reference or historical significance; also referred to as an “Archival Record” or
“Historical Record.”
Photograph:
An image recorded on light-sensitive material.
Pixel:
From “picture element,” the smallest dot, or image element, that can be processed
individually for display on a screen; pixel size, frequency, and color determine the
accuracy with which photographic images can be represented; the greater a pixel’s bit
depth, the greater the number of different shades or colors it can represent; the larger or
fewer the pixels within an image, the more likely “pixilation”—where individual pixels
become apparent and break the illusion of continuous tone—is to occur. See also
“Resolution.”
Planetary Camera:
A type of microfilm camera in which the document being
photographed is on a flat surface and both the document and the film remain stationary
during exposure; also called a flatbed camera.
Polarity:
Microfilm has either a negative polarity (white lettering on a dark background)
or a positive polarity (black lettering on a light background); original camera film
normally has a negative polarity.
Policy:
A broad document that specifies a general rule for records and information
management in an organization.
Policy Value:
The value of a record in documenting the establishment and
interpretation of city laws and policies (such as ordinances and resolutions, legal
opinions, city policies, etc.); most records with significant policy value have long-
term or permanent retention because they deal with issues of lasting importance.
Polyester Film:
A film base of transparent plastic that keeps its original size and shape,
resists tearing, and is strong and relatively nonflammable; sometimes called polyethylene
terephthalate film.
Portable Document Format (PDF):
PDFs are commonly used to capture, distribute,
view, store and print electronic documents; PDF preserves the fonts, images, graphics
and overall “look” of the original digital files; the PDF format is proprietary, but widely
used; files end with a .pdf extension.
Portable Network Graphics (PNG) File:
A patent-free file format for lossless
compression of images that provides some additional features that improve the ability to
control image appearance over the GIF format.
Positive Film:
Film in which the dark portions of the original image appear dark and the
light portions light.
Preservation:
The combination of procedures and environmental standards designed to
maintain records in a useable form.
45
Privacy:
The expectation that personal information will be protected from unauthorized
disclosure.
Procedure:
A detailed document that specifies step-by-step rules for records and
information management in an organization.
Proprietary:
A technology or product that is owned exclusively by a single commercial
entity that keeps knowledge of its inner workings secret; some proprietary products can
only function when used with other products of the same ownership; the limitations of
proprietary technology are fueling moves toward open standards.
Purge:
To remove documents from a file that have exceeded their retention periods and
are of no further value.
Random Access Memory (RAM):
Computer memory used to process and store data
that can be accessed directly rather than sequentially.
Read Only Memory (ROM):
Memory whose contents cannot be changed by the user.
Reader:
A device that enlarges microimages for viewing.
Reader-Printer:
A device used to enlarge microimages for viewing and produce paper
copies of the enlarged image.
Reciprocal Agreement:
A contract between two entities that permits either one to use
the other’s facilities or resources in the event of a disaster.
Record:
The definition of record established by Idaho law includes any recorded
information, regardless of medium, that relates to the business of city government.
Record Copy:
A record in its final version, kept for the minimum retention period
required for the record.
Recorded Information:
Information placed on a medium, such as paper, computer disk,
or microform, to be available for later retrieval and use.
Recording Density:
In electronic records, the number of bits in a single linear track per
unit of length of a recording medium (e.g., 6250 bits per inch (bpi)).
Records Center:
A centralized area for housing and servicing inactive records whose
reference rate does not warrant their retention in prime office space.
Records Disaster:
A serious event requiring an immediate response to prevent the
irretrievable loss of vital or archival records.
Records Inventory:
A process to locate, identify and describe the records maintained by
an organization; the inventory identifies records that could be moved to inactive storage
or destroyed, seeks to improve efficiency of records management, and plan for future
space and equipment needed for records storage.
46
Records Management:
The systematic control of all records in an organization
throughout their life cycle.
Record Retention Schedule:
A comprehensive listing of the various types of city
records with the length of time that each group or “series” of related records must be kept
and its final disposition, whether permanent retention or destruction.
Record Series:
Consists of records accumulated over a period of time and arranged in an
organized file or set of files which can be described and handled as a unit.
Reduction Ratio:
In microform records, the relationship between the size of a document
and the size of a microimage; usually expressed as 16x, 24x, etc. or as 16:1, 24:1, etc.;
varies from low (below 15x), medium (15x through 30x), high (30x through 60x), very
high (60x through 90x), and ultra high (above 90x); see also “Magnification Ratio.”
Reference Frequency:
The rate at which people use a set of records.
Remediation:
Actions taken to improve the conditions of facilities and records after a
disaster has occurred.
Resolution:
A relative, rather than an absolute, value usually expressed as the density of
elements, such as pixels, within a specific distance, most commonly an inch.
Resolution Target:
A chart containing a number of increasingly smaller resolution test
patterns consisting of sets of horizontal and vertical lines of specific size and spacing;
also called “Resolution Test Chart” or “Microcopy Resolution Test Chart.”
Retention:
The process of keeping records for the period designated in the city’s record
retention schedule.
Retention Period:
The amount of time a record must be kept as determined by its
administrative, fiscal, legal, policy or historical value; the retention period is defined by
the city’s records retention schedule (some retention periods are set by state or federal
law or regulations).
Retrieval:
The process of locating a record and taking it to the place where it will be
used.
Risk:
A potential source of danger that could expose an organization to a lapse in
essential functions or to the loss of vital or archival records; also called a “Threat” or
“Hazard.”
Risk Assessment:
An evaluation of the probability of an adverse event occurring, and an
estimation of the possible extent of the damage, in order to help minimize the
organization’s exposure.
Risk Identification Checklist:
A questionnaire used to assess possible threats to records,
security, information systems, or personnel of the city.
Risk Management:
The discipline that includes disaster management and ensures that an
organization reduces its level of risk to a reasonable level.
47
Roll Microform:
Microform consisting of microfilm on reels, cartridges or cassettes.
Rotary Camera:
A microfilm camera that photographs documents while they are being
moved by one device in connection with another device that moves the film at the same
relative rate.
Safety Film:
A relatively nonflammable film base that meets ANSI criteria for safety
photographic film.
Salvage Procedure:
An action taken to recover any records or equipment that may have
been damaged during a disaster.
Scanning:
In electronic records, the process of converting alphanumeric or graphic
information on paper or microforms to picture elements, or bit-mapped representation;
also referred to as “Image Scanning”; see also “Optical Character Recognition (OCR).”
Security:
Protecting records by controlling user access to documents for specific
purposes.
Series:
See “Record Series.”
Shredder:
A machine used for destruction of records by cutting into fine shreds.
Silver Gelatin Film:
In microform records, archival-quality film containing images
produced by using light-sensitive silver halide crystals suspended in a gelatin emulsion;
silver gelatin film should be distinguished from dry silver film, which is of nonarchival
quality; see also “Archival Microfilm,” “Dry Silver Film,” and “Microfilm.”
Simulation Test:
A method of analyzing a disaster recovery plan by approximating a
specific disaster scenario and running through a drill of the plan.
Software:
The programs, procedures, and rules used to operate a computer; see also
“Hardware.”
Source Document Microfilming:
Converting documents, usually paper-based, to
microimages.
Specific Authorization:
The legal authority, exercised by resolution of the city council,
authorizing the city clerk to destroy records that are no longer needed by the city.
Splice:
A joint made by welding two pieces of film together so they will function as a
single piece when passing through a microfilm reader; splicing is used to correct errors
and should only be done in the clear leader at the beginning of the roll of film.
State Archives:
Operated by the Idaho State Historical Society, the State Archives in
Boise accepts and houses permanent records from the state and local governments.
Step-and-Repeat Camera:
A microfilm camera that exposes a series of separate images
on an area of film according to a set format, usually in orderly rows and columns, such as
in a microfiche.
48
Tabletop Test:
A method of analyzing a disaster recovery plan by having a disaster
recovery team discuss and evaluate the actions they would take in the event of a specified
disaster.
Tagged Image File Format (TIFF):
A digital image format, TIFF supports black and
white, gray-scaled, and color; TIFF is a nonproprietary format offering the option of
lossless compression; files indicated with .tif extension.
Terabyte:
1,024 gigabytes of digital data.
Tickler File:
A collection of pending items arranged by the date of action and kept to
remind someone to resolve the issues on time.
Transitory Records:
Records of short-lived utility, involving routine activities (such as
phone messages and routine correspondence) with no substantive information.
Turnkey System:
In electronic records, a computer system that is ready to run, typically
with all necessary software already installed.
Ultrafiche:
Microfiche with images reduced more than 90 times the original.
Updatable Microform:
A microform to which more images can be added at any time.
Version Control:
A method for monitoring changes to a document; systematic
management of different drafts or revisions of a document to ensure that the record copy
of a document can always be distinguished from an earlier draft.
Vesicular Film:
In microform records, film containing images produced by exposure to
ultraviolet light and then heat for the purpose of copying the microform master; this film
is sometimes preferred because the duplication process does not require chemicals.
Virus:
A piece of computer code that, once loaded onto a computer, carries out mischief
or destruction against a computer system.
Vital Record:
A record without which a city could not carry out its powers and
responsibilities.
Warm Site:
An alternate site that is only partially equipped; see also “Hot Site.”
Washing:
A film-processing step that uses water to remove unwanted soluble chemicals
from photographic material.
Workflow:
The path that a record takes and the processes that occur as a record travels
through an organization.
Working Copy:
A preliminary version of a document, not the final record or master
copy.
49
Write Once Read Many (WORM):
Of or relating to a type of optical disk on which
information can be recorded only once but from which it can be retrieved and read many
times.
50
Appendix A
Model Resolution for Adoption of Records Retention Schedule
RESOLUTION NO. ____
A RESOLUTION OF THE MAYOR AND COUNCIL OF THE CITY OF __________,
IDAHO, ADOPTING A RECORD RETENTION SCHEDULE.
WHEREAS, a record retention schedule establishes minimum retention periods for the
various types of city records; and,
WHERAS, Idaho Code 50-907 requires the City Council to adopt by resolution a record retention
schedule, listing the various types of city records with the applicable retention periods; and,
WHEREAS, adoption of a record retention schedule assists in efficient and effective records
management by identifying records that have exceeded their minimum retention that may be
destroyed following approval by the City Attorney and, as required for semi-permanent
records, approval by the Idaho State Historical Society and upon resolution of the City
Council in accordance with the provisions of Idaho Code 50-907; and,
WHEREAS, a record retention schedule also enhances protection of historic records by
identifying records of enduring value as permanent records that are retained by the city in
perpetuity or transferred to the Idaho State Historical Society’s Permanent Records
Repository for permanent retention upon resolution of the City Council.
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Council of the City of __________,
Idaho that the city hereby adopts the record retention schedule attached as Exhibit “A.”
Records identified as permanent shall not be destroyed, but shall be retained by the city in
perpetuity or transferred to the Idaho State Historical Society’s Permanent Records Repository for
permanent retention upon resolution of the City Council.
Records that are not considered permanent shall be retained for the period specified in the
retention schedule and until destruction is approved by resolution of the City Council pursuant to
the provisions of Idaho Code 50-907.
\[CONSULT YOUR CITY ATTORNEY REGARDING YOUR CITY’S POLICY ON
RETENTION AND DISPOSITION OF TRANSITORY RECORDS.\]
The administrative staff of the City is authorized to take all necessary steps to carry out the
authorization provided by this Resolution.
PASSED BY THE CITY COUNCIL
(Date).
SIGNED BY THE MAYOR
(Date).
___________________________________
MAYOR
ATTEST:
___________________________________
CITY CLERK
51
Appendix B
Model Resolution Authorizing Destruction of Records
RESOLUTION NO. ____
A RESOLUTION OF THE MAYOR AND COUNCIL OF THE CITY OF
__________, IDAHO, AUTHORIZING DESTRUCTION OF RECORDS.
WHERAS, Idaho Code 50-907 requires the City Council to authorize destruction of
records that are not required to be retained as permanent records and that have met the
minimum retention period provided by the city’s record retention schedule and are no
longer required by law or for city business; and,
WHEREAS, the City Clerk has proposed for destruction certain records that have
exceeded their minimum retention; and,
WHEREAS, approval for the destruction of the belowlisted records has been obtained
from the Idaho State Historical Society, when required, and the City Attorney, as
provided by Idaho Code 50-907.
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Council of the City of
__________, Idaho that the belowlisted records shall be destroyed under the direction and
supervision of the City Clerk.
\[List of Records to be Destroyed with Date Ranges\]
The administrative staff of the City is authorized to take all necessary steps to carry out
the authorization provided by this Resolution.
PASSED BY THE CITY COUNCIL
(Date).
SIGNED BY THE MAYOR
(Date).
___________________________________
MAYOR
ATTEST:
___________________________________
CITY CLERK
52
Appendix C
Model Resolution Transferring Permanent Records to State
Archives
RESOLUTION NO. ____
A RESOLUTION OF THE MAYOR AND COUNCIL OF THE CITY OF
__________, IDAHO, TRANSFERRING PERMANENT RECORDS TO THE
PERMANENT RECORDS REPOSITORY OF THE IDAHO STATE
HISTORICAL SOCIETY.
WHEREAS, Idaho Code 67-4126 provides that the Idaho State Historical Society Board of
Trustees has authority to accept city records not in current use; and,
WHEREAS, Idaho Code 50-907 provides that records designated by the City Council or
state law as “permanent” may be transferred to the Idaho State Historical Society’s
Permanent Records Repository upon resolution of the City Council; and,
WHEREAS, the Idaho State Historical Society’s Permanent Records Repository is a facility
specifically constructed with records storage in mind, ensuring that records of enduring
value will be available for succeeding generations.
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Council of the City of
__________, Idaho that the city hereby transfers the belowlisted records to the Permanent
Records Repository of the Idaho State Historical Society under the direction and
supervision of the City Clerk.
\[List of Records to be Transferred with Date Ranges\]
The administrative staff of the City is authorized to take all necessary steps to carry out
the authorization provided by this Resolution.
PASSED BY THE CITY COUNCIL
(Date).
SIGNED BY THE MAYOR
(Date).
___________________________________
MAYOR
ATTEST:
_______________________________
CITY CLERK
53
Appendix D
Record Retention Schedule
Administrative Records
........................................................................................................ 54
Accounting, Budget, Finance & Payroll Records
................................................................. 62
Airport Records
..................................................................................................................... 72
Building, Planning & Zoning Records
.................................................................................. 77
Election Records
.................................................................................................................... 84
Emergency Communications Records
.................................................................................. 86
Fire & Emergency Medical Services Records
...................................................................... 88
Information Systems Records
............................................................................................... 91
Insurance, Risk Management & Safety Records
................................................................. 93
Legal Records
........................................................................................................................ 96
Parks & Recreation Records
................................................................................................. 97
Personnel Records
................................................................................................................. 99
Police & Law Enforcement Records
..................................................................................... 105
Public Works & Engineering Records
.................................................................................. 115
54
Administrative Records
Activity & Room Scheduling & Reservation Records:
Records documenting
scheduling and reservations related to public participation in and use of various city
activities, events, classes and meeting rooms. Includes schedules, logs, lists, requests,
etc. (SEE ALSO Recreation Program Files and Park & Facility Use Permits in the
Parks & Recreation section.)
Transitory:
Keep one year.
Activity Reports, General:
Daily, weekly, monthly, or annual reports
documenting the activities of city employees. Useful for compiling annual reports,
planning and budgeting, monitoring work progress, etc. Usually tracks type of
activity, employees and/or volunteers involved, time spent on activity, work
completed, and related information in narrative or statistical form. (SEE ALSO Grant
Records in the Accounting, Budget, Finance & Payroll section.)
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Appointment Files:
These files document appointments to fill vacancies in the
offices of mayor and councilmember, and also appointments to city boards,
commissions and committees. Documents may include: letters of recommendation,
letters of appointment, resumes, and related correspondence.
Permanent:
Keep records relating to mayoral and council appointments
permanently.
Semipermanent:
Keep all other records five years after service with city ends.
Calendars, Appointment Books & Scheduling Records:
Records including
calendars, appointment books, schedules, logs, diaries, and other records
documenting meetings, appointments, and other activities of city officials.
Transitory:
Keep one year.
Capital Asset Records:
Records documenting purchase,
maintenance, inventory, depreciation and disposition of capital assets, such as
buildings, real estate, infrastructure, vehicles, equipment, and other assets with a
useful life generally more than five years. (SEE ALSO Technical Manuals,
Specifications & Warranties and Vehicle Maintenance & Repair Records in this
section and the Public Works & Engineering section for a variety of records relating
to capital assets.)
55
Semipermanent:
Keep records (except inventories) five years or three years after
disposal or replacement of capital asset (whichever is longer).
Transitory:
Keep inventories until superseded.
Citizen Awards:
Awards presented to honor citizens for
civic contributions. Records may include award nominations, certificates, ceremony
records, photographs, lists of recipients, etc. Some records may have historic value.
Permanent:
Keep lists of recipients permanently.
Semipermanent:
Keep other records five years.
City Boards, Commissions & Committees:
Bylaws, meeting minutes and
agendas of city boards, commissions and committees.
Permanent:
Bylaws, adopted meeting minutes and agendas of city boards,
commissions and committees are permanent.
Transitory:
Keep notes for meeting minutes until minutes officially approved.
Note:
Idaho Code 50-907(1)(a) provides that adopted meeting minutes of
city boards and commissions are permanent.
City Council Meeting Agenda, Minutes & Recordings:
Records documenting
meetings of the city council and motions, resolutions, ordinances and other actions
taken at council meetings. (SEE ALSO Land Use Hearing Recordings & Exhibits in
the Building, Planning & Zoning section.)
Permanent:
Adopted council meeting minutes and council meeting agendas (if
not included in the minutes) are permanent.
Transitory:
Keep audio/visual recordings of non-land use issues until
superseded, obsolete, or administrative needs end. Keep notes for
meeting minutes until minutes officially approved.
Note:
Idaho Code 50-907(1)(a) provides that adopted meeting minutes of
the city council are permanent.
Conferences, Seminars & Workshops:
Records documenting attendance and
presentations by city employees at conventions, conferences, seminars, workshops,
and similar events, including staff reports, instructional materials, related
correspondence, etc. (SEE ALSO Employee Travel Records in the Accounting,
Budget, Finance & Payroll section.)
Semipermanent:
Keep presentations by city employees five years.
Temporary:
Keep all other records two years.
56
Contracts & Agreements:
Agreements with vendors and
other parties for the acquisition, lease, lease-purchase or sale of equipment, supplies,
services or property.
Semipermanent:
Keep five years after contract term expires.
Note:
Idaho Code 50-907(2)(b) provides that contracts must be kept at
least five years.
Correspondence:
Correspondence is divided into three
Transitory Correspondence
types. covers day-to-day office and housekeeping
correspondence and does not contain unique information about city functions or
General Administrative Correspondence
programs. includes records created or
received in the course of administering city policies/programs, but these records do
not provide insight into significant policy/program discussions or decisions.
Policy/Program Correspondence
documents the formulation, adoption, and
implementation of significant policy/program decisions. All three classifications of
correspondence include records on various types of media, including paper, email,
and other media.
Permanent:
Policy/program correspondence is permanent.
Semipermanent:
Keep general administrative correspondence for five years.
Transitory:
Keep transitory correspondence until administrative needs end.
Deeds & Real Property Records:
Records relating to
ownership of real property, including deeds, title opinions, abstracts and certificates
of title, title insurance, documentation concerning alteration or transfer of title, and
records relating to acquisition and disposal of real property such asoffer letters,
options, agreements of short duration, staff reports, appraisal and inspection reports,
letters of transmittal, and related records.
Permanent.
Note:
Idaho Code 50-907(1)(e) provides that records affecting the title to
real property or liens thereon are permanent.
Disaster Preparedness & Response Records:
Records
documenting planning for, impact of, and actions taken by the city in response to
disasters, emergencies, and civil disorder, including: earthquakes, wildfires, severe
storms, floods, drought, utility failures, hazardous materials incidents, riots, etc.
Records may include: plans and studies, logs, diaries, damage assessment reports,
response reports, situation and resource status reports, resource ordering and tracking
records, financial documentation, messages, photographs, etc.
Permanent.
Easement Records:
Records relating to acquisition of city-
owned easements and rights-of-way for public works or other local government
57
purposes, including deeds, correspondence and legal documentation. (SEE ALSO
Vacation Records in this section and Temporary Access/Construction Easement
Records and Right-of-Way Permit Records in the Public Works & Engineering
section.)
Permanent.
Franchise Records:
Records relating to franchises for
electricity and natural gas distribution, cable television and garbage collection,
including: contracts, franchise fee information, election information, audits and other
verification of revenue from franchisee, published franchise ordinance, and other
records.
Semipermanent:
Keep six years after expiration of franchise agreement.
Historical File:
Includes historical information about the
city. May include maps, newspaper clippings, scrapbooks, photographs, compiled
histories of the city, information on historic homes and properties, special events &
celebrations, etc.
Permanent.
Key & Keycard Records:
Document the issuance of
keys/keycards to city staff for entrance to city buildings.
Transitory:
Keep until superseded.
Legislative Issues:
Bulletins, publications, bills, and other
information about state/federal legislation affecting the city.
Transitory:
Keep until administrative needs end.
News Releases:
Prepared statements, announcements, and
news conference transcripts issued to the news media by the city.
Permanent.
Notary Bond Records:
Bond posted by notaries
conditioned on the faithful performance of their duties. Note—other notary records,
including application, appointment, journal and other records are the property of the
notary.
Semipermanent:
Keep six years after expiration.
Oaths of Office:
Signed oaths of elected officials swearing
to uphold the federal and state constitutions and laws of the city.
Permanent.
Ordinances & Resolutions:
Ordinances and resolutions
passed or considered by the city council.
58
Permanent:
Adopted ordinances and resolutions are permanent.
Transitory:
Keep proposed ordinances and resolutions that are not adopted
until administrative needs end.
Note:
Idaho Code 50-907(1)(b) provides that ordinances and resolutions
are permanent.
Permits & Licenses:
Includes records relating to city
permits and licenses, including: beer, wine and liquor by the drink, animal licenses,
business licenses, daycare licenses, pawn shop licenses, taxicab licenses, etc.
Semipermanent:
Keep five years after expiration, revocation or denial.
Note:
Idaho Code 50-907(2)(d) provides that license applications must be
kept for at least five years.
Postage Records:
Document transactions with the U.S.
Postal Service and private carriers, including: postage meter records, receipts for
registered and certified mail, insured mail, special delivery receipt and forms, loss
reports, etc.
Temporary:
Keep three years.
Proclamations:
Ceremonial or celebratory statements
issued by the mayor.
Permanent:
Proclamations are permanent, with the exception of those
requested by outside groups or organizations (see below).
Transitory:
Keep proclamations requested by outside groups/organizations one
year.
Professional Membership Records:
Records documenting
city-paid individual memberships and activities in professional organizations (i.e.
Idaho City Clerks, Treasurers & Finance Officers Association, Association of Public
Treasurers, etc.).
Semipermanent:
Keep five years.
Public Addresses:
Includes speeches (State of the City),
addresses and other comments or remarks made at formal ceremonies by elected
officials. Format may be paper, audio or videotape, etc.
Permanent.
Public Records Requests:
Includes written public records
requests, city denials of public records requests, appeals information, etc.
59
Temporary:
Keep two years after last action or final disposition of appeal
(whichever is longer).
Publications:
Includes newsletters, annual reports, policies
(e.g. personnel, internet use, drug testing, etc.), manuals, pamphlets, brochures,
leaflets, reports, plans, feasibility studies, proposals, etc. published by the city or at
the city’s request.
Permanent:
Keep one copy of newsletters, annual reports, policies and
procedures manuals, plans, feasibility studies and other
publications with lasting significance permanently.
Semipermanent:
Keep other publications five years.
Purchasing & Quality-Based Selection Records:
Records
documenting competitive bidding and purchase of goods, services, and public works
construction, and procurement of design professionals. Records include: published
notices and solicitations, specifications, bids, requests for qualifications, statements of
qualifications, etc.
Semipermanent:
Keep five years.
Note:
Idaho Code 67-2805(2)(3) and 67-2806(1)(3) require that if a city
finds it impracticable or impossible to obtain three bids for
personal property or from licensed public works contractors for
public works projects, documentation of the efforts undertaken to
procure three bids must be kept at least six months after the
procurement decision is made.
Purchase Orders & Requisitions:
Requests and purchase
orders for goods or services purchased by the city. Information includes: department,
delivery location, date, quantity, description, unit and total price, and authorizing
signatures.
Semipermanent:
Keep five years.
Note:
Idaho Code 50-907(2)(a) provides that purchase orders must be
kept at least five years.
Records Management Records:
Records documenting the
inventory, retention, management and disposition of city records, including: records
retention schedules, inventory worksheets, correspondence, etc. (SEE ALSO Public
Records Requests in this section).
Permanent:
Keep record retention schedules and amendments, and destruction
records including destruction resolution and authorization from
Idaho State Historical Society and legal counsel, permanently.
Semipermanent:
All other records relating to records management keep five years.
60
Sister City Records:
Records of sister city relationships
with cities in other countries, including correspondence, ceremonial agreements,
proclamations, exchange visit records, photographs and related documents.
Permanent:
Keep ceremonial agreements and proclamations permanently.
Semipermanent:
Keep other records five years.
Surveys, Polls & Questionnaires:
Records documenting measurement of public
opinion, including surveys, polls, questionnaires, studies, etc.
Permanent:
Keep summaries permanently.
Transitory:
Keep survey forms and other records one year.
Technical Manuals, Specifications & Warranties:
Owners manuals and warranties for city-owned vehicles and equipment. Includes
specifications, operating instructions, safety information, and terms for coverage of
repair or replacement of equipment. (SEE ALSO Vehicle Maintenance & Repair
Records and Capital Asset Records in this section).
Semipermanent:
Keep until vehicle/equipment is removed from service.
Telephone Messages:
Includes actual telephone messages
and telephone message registers.
Transitory:
Keep for one week or until administrative needs end.
Urban Renewal Records:
Includes urban renewal plans,
annual financial reports, audit reports, budgets, project records, tax-increment
financing information and related documents.
Permanent:
Keep urban renewal plans, annual financial reports, audit reports,
feasibility studies, financial impact analyses, and other written
studies or reports permanently.
Semipermanent:
Keep urban renewal project records ten years after closeout of the
urban renewal agency.
Vacation Records:
Recorded property vacations by the
city, including streets, alleys, easements, public utilities, subdivisions, and rights-of-
way. Records may include: petitions to vacate, maps, descriptions of property, staff
reports, and related correspondence.
Permanent.
Vehicle Maintenance & Repair Records:
Document the
maintenance and repair history of city-owned vehicles. Records typically include:
description of work completed, parts and supplies used, date of service, date
purchased, price, vehicle identification number, make and model, registration, etc.
61
(SEE ALSO Technical Manuals, Specifications & Warranties and Capital Asset
Records in this section)
Semipermanent:
Keep until vehicle is removed from service.
Visitor Logs:
Records documenting visitors to city
buildings, and typically include: visitor’s name, visitor badge issued, and entrance
and exit times.
Transitory:
Keep one year.
62
Accounting, Budget, Finance & Payroll Records
Accounts Payable:
Records documenting payment of city
bills, including reports, invoices, statements, vouchers, purchase orders, payment
authorizations, receipt records, canceled checks or warrants, etc. (SEE ALSO Grant
Records in this section for records documenting expenditure of grant funds.)
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Accounts Receivable:
Records documenting billing and
collection of monies owed to the city by vendors, citizens, organizations,
governments, etc. Records include: reports, receipts, invoices, awards, logs, lists,
summaries, statements, etc. Information typically includes: receipt amount, date,
invoice number, name, account number, account balance, adjustments, etc. (SEE
ALSO Grant Records in this section for records documenting receipt of grant funds.)
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Audit Report:
Documents the city’s annual audit,
examining compliance with generally accepted accounting principles and methods,
the accuracy and legality of transactions and accounts, and compliance with
requirements, orders, and regulations pertaining to the financial condition and
operation of the city. Information includes: auditor’s report and recommendations,
single audit information concerning federal grants, and other information.
Permanent.
Bank Transaction Records:
Records documenting the
status and transaction activity of city bank accounts, including account statements,
deposit and withdrawal slips, checks, checkbook stubs and check registers, etc. (SEE
ALSO Grant Files in this section for records documenting grant transactions.)
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Bankruptcy Notices:
Records documenting notification to
the city that certain individuals have filed for bankruptcy, and used to determine if the
individual owes money to the city and to file notice or claim with the court.
Information may include: debtor’s name, accounts information, prepared repayment
plan and related documentation.
63
Temporary:
Keep three years after discharge of debt or last action (whichever is
shorter).
Bond Records:
Records documenting financing of city
improvements through bonded indebtedness. Records include: bond rating
information, bond and election ordinances, legal notices announcing bond election,
bond counsel information and opinions, covenants, paid bonds and coupons, bond
registers, State Treasurer public bond issue reports (IDAPA 54.01.01), etc.
Permanent:
Bond and election ordinances are permanent.
Semipermanent:
Keep all other records five years after the bonds are paid off.
Note:
Idaho Code 50-907(2)(f) provides that these records must be kept
at least five years.
Budget Records:
Records used in preparing and adopting
the city budget, including revenue projections, instructions, department requests,
worksheets, council-approved tentative budget and notice of budget hearing, adopted
appropriations ordinance and amendments, and other information.
Permanent:
Keep notice of budget hearing (with tentative budget) and
appropriations ordinance and amendments permanently.
Temporary:
Keep all other records three years after fiscal year end.
Deduction Authorization Records:
Records documenting
employee application and authorization for voluntary payroll deductions, direct bank
deposits, and related actions. Payroll deductions are directly deposited or remitted to
the authorized financial institution, insurance company, or other agency or vendor.
Records may include: insurance applications, enrollment cards, deduction
authorizations, approval notices, deduction terminations, and related records.
Semipermanent:
Keep five years after superseded, terminated, or employee
separation.
Note:
Federal regulations (29 CFR 516.5; and 29 CFR 516.6) require
retention of these records for at least four years.
Deduction Registers:
Registers or records documenting
voluntary and/or required deductions from the gross pay of city employees. Types of
deductions include: federal income and social security taxes, state income tax,
workers’ compensation, union dues, insurance, deferred compensation, credit union,
parking permit, garnishments, levies, charitable contributions, and others.
Information may include: employee name and social security number, pay period,
total deductions, net pay, check number, and related data.
Semipermanent:
Keep five years after fiscal year end.
64
Note:
Federal regulations (26 CFR 31.6001-1; 29 CFR 516.5; and 29
CFR 516.6) require retention of these records for at least four
years.
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Employee Bond Records:
Records documenting the
posting of fidelity, performance or position bonds to guarantee the honest and faithful
performance of elected officials, individual employees or groups of employees.
Information typically includes: name and position(s) of the individual or group,
amount of coverage, effective and expiration dates, and related information.
Semipermanent:
Keep six years after expiration.
Employee Time Records:
Records documenting hours
worked, leave hours accrued, and leave hours taken by city employees. Information
usually includes: employee name and social security number, hours worked, type and
number of leave hours taken, total hours, dates and related data. (SEE ALSO Leave
Applications in this section.)
Semipermanent:
For records documenting expenditure of grant funds, see Grant
Records in this section. Keep all other records five years after
fiscal year end.
Note:
Federal regulations (29 CFR 516.5; and 29 CFR 516.6) require
retention of these records for at least four years.
Idaho Code 45-610 provides that employment records must be
maintained for at least three years after the employee’s last date of
service.
Employee Travel Records:
Records documenting
requests, authorizations, reimbursements, and other actions related to employee
travel, including expense reports and receipts, vouchers and related documents.
Information typically includes: estimated and final cost, destination, method of
transportation, travel dates, approval signatures, etc.
Temporary:
Keep five years after fiscal year end.
Note:
Federal regulations (29 CFR 516.5; and 29 CFR 516.6) require
retention of these records for at least four years.
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
IDAPA 09.01.35.081 provides that payroll, personnel, benefits,
and employee travel reimbursement records must be kept for at
least 3 years after the calendar year in which remuneration was
due.
65
Federal & State Tax Records:
Records, in addition to
those itemized in this section, used to report the collection, distribution, deposit, and
transmittal of federal and state income taxes as well as social security tax. Examples
include: the federal miscellaneous income statement (1099), request for taxpayer
identification number and certificate (W-9), employers’ quarterly federal tax return
(941, 941E), tax deposit coupon (8109), and similar federal and state completed
forms. (SEE ALSO Wage & Tax Statements and Withholding Allowance
Certificates in this section for related records.)
Semipermanent:
Keep five years after fiscal year end.
Note:
Federal regulations (26 CFR 31.6001-1; 29 CFR 516.5; and 29
CFR 516.6) require retention of these records for at least four
years.
Financial Reports:
Reports documenting the financial
condition and operation of the city, issued on a monthly, quarterly, annual or other
basis, including quarterly published treasurer’s report and year-end financial reports.
Reports include information on revenues and expenditures in relation to the final
budget.
Permanent:
Keep fiscal year-end financial reports and quarterly published
treasurer’s reports permanently.
Semipermanent:
Keep all other reports five years after fiscal year end.
Note:
Idaho Code 50-907(1)(d) requires fiscal year-end financial reports
to be kept permanently.
Idaho Code 50-907(2)(a) provides that other financial reports must
be kept at least five years.
Garnishment Records:
Records documenting requests and
court orders to withhold wages from employee earnings for garnishments, tax levies,
support payments, and other reasons. Usually includes original writs of garnishment,
orders to withhold, federal or state tax levies, recapitulations of amounts withheld,
and related records. Information usually includes: employee name and social security
number, name of agency ordering garnishment, amount, name of party to whom
payment is submitted, dates, and related data.
Semipermanent:
Keep five years after resolution.
Note:
Federal regulations (29 CFR 516.5; and 29 CFR 516.6) require
retention of these records for at least four years.
General Ledgers:
Records documenting the summary of
accounts reflecting the financial position of the city, showing debit, credit and balance
amounts per account, budget, fund and department, and totals for notes receivable,
interest income, amounts due from other funds, federal grants received, bank loans
66
received, cash in escrow, deferred loans received, cash, encumbrances, revenue,
accounts receivable, accounts payable, etc.
Semipermanent:
Keep year-end ledgers 10 years after fiscal year end. Keep all
other general ledgers five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Gift & Contribution Records:
Records documenting gifts
and contributions to the city, including donor and acknowledgment letters, acquisition
lists itemizing purchases made with contributed money, checks, receipts and related
records.
Temporary:
Keep three years after completion of the terms of the
gift/contribution, unless otherwise specifically provided.
Grant Records:
Records documenting the application,
evaluation, awarding, administration, reporting and status of grants applied for,
received, awarded or administered by the city. Records include: applications and
proposals, summaries, objectives, activities, budgets, exhibits, award notices,
progress reports, contracts, financial reports, and related correspondence and
documentation.
Permanent:
Keep final reports from significant grants permanently.
Semipermanent:
Keep records documenting the purchase and/or disposal of real
property 10 years after substantial completion or as specified in the
agreement, whichever is longer. Keep other grant records five
years or as specified in the agreement, whichever is longer.
Temporary:
Keep unsuccessful grant applications three years.
Interdepartmental Billings:
These are accounting
documents that request the transfer of funds between departments for services
rendered or materials purchased.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Investment Records:
Reports, statements, summaries,
correspondence and other records documenting and tracking investments made by the
city, including the Local Government Investment Pool.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
67
Leave Applications:
Applications or requests submitted by
city employees for sick, vacation, compensatory, personal business, family and
medical leave, long term leave, and other leave time. Information usually includes:
employee name, department, date, leave dates requested, type of leave requested, and
related data. (SEE ALSO Employee Time Records in this section.)
Temporary:
Keep three years.
Leave Balance Reports:
Reports documenting individual
city employee accrual and use of sick, vacation, compensatory, personal business,
family and medical leave, and other leave time. Information usually includes:
employee name and social security number, leave beginning balance, leave time
accrued, leave time used, ending balance, and related data. (SEE ALSO Employee
Benefits Records in the Personnel section.)
Semipermanent:
Keep year-end leave balance reports 10 years after employee
separation. Keep all other records five years after fiscal year end.
Note:
Federal regulations (29 CFR 516.5; and 29 CFR 516.6) require
retention of these records for at least four years.
Local Improvement Districts:
Records documenting the
formation of a local improvement district and levying of special assessments,
including: ordinance, published notices, assessment roll, appeals, affidavits, bonds
and coupons, delinquencies, and related correspondence and documents.
Permanent:
Ordinances, assessment rolls and payment records (if kept
separately from the roll itself) are permanent.
Semipermanent:
Keep other records five years after the local improvement district is
closed and all bonds are paid off.
Payroll Administrative Reports:
Reports, statistical
studies, and other records designed and used for budget preparation, projections,
workload and personnel management, and research and general reference. Often
consists of recapitulation reports organizing wages, deductions, and other data into
categories such as quarter-to-date, year-to-date, fiscal year-to-date, department,
division, section, employee/employer contributions, and others.
Temporary:
Keep three years after fiscal year end.
Payroll Registers:
Registers or records serving the same
function of documenting the earnings, voluntary and required deductions, and
withholdings of city employees. Information usually includes employee name and
social security number, hours worked, rate, overtime, vacation value, various
allowance, gross pay, federal and state withholding, voluntary deductions, net pay,
and related data.
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Semipermanent:
Keep year-end (or month-end, if year-end registers not used) 75
years after fiscal year end. Keep all other payroll registers five
years after fiscal year end.
Note:
Federal regulations (26 CFR 31.6001-1; 29 CFR 516.5; and 29
CFR 516.6) require retention of these records for at least four
years.
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Idaho Code 45-610 provides that employment records must be
maintained for at least three years after the employee’s last date of
service.
IDAPA 09.01.35.081 provides that payroll, personnel, benefits,
and employee travel reimbursement records must be kept for at
least 3 years after the calendar year in which remuneration was
due.
PERSI Records:
Records relating to PERSI, including
Employer Remittance Forms, invoices, correspondence, financial adjustments, etc.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Receipts:
Copies of receipts, showing the date, from whom
received, amount, purpose, etc.
Semipermanent:
Keep five years after fiscal year end.
Note:
IRS regulations (29 CFR 516.5; and 29 CFR 516.6) require
retention of these records for at least four years.
Note:
Idaho Code 50-907(2)(a) provides that cash receipts subject to
audit must be kept at least two years.
Sales & Use Tax Forms:
Used to report and remit sales
tax collected and due to the state.
Semipermanent:
Keep five years after fiscal year end.
Signature Authorization Records:
Records documenting
authorization of designated employees to sign fiscal and contractual documents.
Semipermanent:
Keep six years after authorization superseded or expired.
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Subsidiary Ledgers, Journals & Registers:
Records
documenting details of transactions such as those related to receipts and expenditures
on a daily, monthly, quarterly or similar basis. Includes journals, ledgers, registers,
daybooks and other account books that provide backup documentation for the general
ledger.
Semipermanent:
Keep year-end payroll register 75 years after fiscal year end. Keep
all other records five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Unemployment Compensation Claim Records:
Records
documenting claims submitted by former city employees for unemployment
compensation. Usually includes: claims, notices, reports, and related records. May
also include records generated by the appeal of claim determinations.
Temporary:
Keep three years.
Unemployment Reports:
Records documenting employee
earnings on a quarterly basis. Used to document costs and charges in the event of an
unemployment compensation claim. Information includes: employee name and social
security number, quarterly earnings, days worked, totals, and other data.
Temporary:
Keep three years.
Utility Account Change Records:
Records documenting
routine information changes to customer accounts, including name and address.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Utility Application/Disconnect Records:
Applications
completed by customers requesting or disconnecting water, sewer, power, garbage or
other city-provided services. Information typically includes: customer’s name,
address, phone number, meter information, date and approval signatures.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Utility Bill Remittance Stubs:
Bill stubs received with
payments for water, sewer, power, garbage and other city-provided services that
document receipt and posting of customer payments. Information typically includes:
account number, name, service address, payment received, and receipt date and
number.
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Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Utility Billing Adjustment Records:
Records
documenting adjustments to customer water, sewer, power, garbage or other city-
provided service billings for debits, credits, refunds, returned checks, and related
reasons. Information usually includes: customer’s name and address, type of
adjustment, justification, amount changed, authorizing signatures and other
information.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Utility Billing Register:
Records documenting transactions
on the water, sewer, power, garbage or other city-provided service account of each
customer. Useful for reference to assure accurate customer billings. Information
often includes: customer’s name, service address, meter reading, water or power
usage, utility charges, payments, adjustments, prior balance due, current balance due
and related data.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Utility Customer Security Deposit Records:
Records
documenting customer payment of a security deposit to receive water, sewer, power,
garbage or other services. Information usually includes date, amount of deposit,
customer’s name, address, and account number, date account closed, refund date,
amount of deposit confiscated, reason for confiscation, and related information.
Semipermanent:
Keep five years after refund or last action.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
Utility Meter Books:
Document the readings of customer
water/power meters by city employees for billing purposes. Information typically
includes: name of meter reader, meter reading, date read, account number, billing
code, final reading, reason for turnoff, meter changes, and related data.
Semipermanent:
Keep five years after fiscal year end.
Note:
Idaho Code 50-907(2)(a) provides that these records must be kept
at least five years.
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Vendor Lists:
Lists of vendors providing goods and
services to the city.
Transitory:
Keep until superseded or obsolete.
Wage & Tax Statements:
Annual statements documenting
individual employee earnings and withholdings for state and federal income taxes and
social security tax, also known as federal tax form W-2. Information includes: city
name and tax identification number, employee name and social security number,
wages paid, amounts withheld, and related data. (SEE ALSO Federal & State Tax
Records in this section.)
Semipermanent:
Keep five years.
Note:
Federal regulations (26 CFR 31.6001-1; 29 CFR 516.5; and 29
CFR 516.6) require retention of these records for at least four
years.
Withholding Allowance Certificates:
Certificates
documenting the exemption status of individual city employees, also known as W-4
forms. Information includes: employee name and address, social security number,
designation of exemption status, and signature. (SEE ALSO Federal & State Tax
Records in this section.)
Semipermanent:
Keep five years after employee separation.
Note:
Federal regulations (26 CFR 31.6001-1; 29 CFR 516.5; and 29
CFR 516.6) require retention of these records for at least four
years.
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Airport Records
Activity Reports:
Records documenting various indicators
of activity associated with city airports, including: arrivals and departures, type of
aircraft served, number of passengers, amount of cargo, amount of fuel used, and
activities of related operations such as restaurants, gift shops, and car rental outlets.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Air Traffic Record:
Submitted by the Air Traffic Control
Tower, and includes an airport operations count for civil, military, itinerant, and local
aircraft landings.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep other reports five years.
Airport Certification Records:
Documents on
certification, licenses, or permits from the Federal Aviation Administration (FAA) or
other federal or state agencies. Includes any documentation bearing directly on the
application for issuance or renewal. FAA-related records include city-prepared
airport certification manuals and airport certification specifications for “limited”
airports. Manuals include procedures for: maintenance of paved and unpaved areas,
lighting systems, traffic and wind direction indicators, self-inspection, rescue and fire
fighting, control of hazardous substances, ground vehicles, plans for snow and ice
control, emergencies, wildlife hazard management, etc.
Permanent:
Keep certification manuals & specifications permanently.
Temporary:
Keep other records two years after expiration.
Airport Condition Records:
Required by FAA regulations
(14 CFR 139.339), these records document collection and dissemination of airport
condition information that could affect safe operations of air carriers, including:
construction or maintenance activity; surface irregularities; snow, ice, slush or water;
objects in movement and safety areas; lighting system or sign malfunctions;
unresolved wildlife hazards; nonavailability of rescue and firefighting capability; and
any other condition specified in the Airport Certification Manual or that may
otherwise adversely affect the safe operations of air carriers.
Semipermanent:
Keep five years.
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Note:
FAA regulations require airport condition records to be kept at
least 12 consecutive calendar months.
Airport Construction Project Files:
Includes plans, bids,
specifications, project diaries, correspondence, and agreements relating to airport
construction projects.
Permanent.
Airport Master Record:
Forms created by the FAA to
document basic information about airports, including: owner and manager contact
information, facilities, service, runway data, lighting and approach aids, obstruction
data and other information.
Permanent.
Airport Revenue Statements:
Monthly
invoices/statements sent to air carriers, concession operators and lessees of airport
land, buildings or terminal space.
Semipermanent:
Keep five years.
Airport Security Program Records:
Document the city
airport’s objectives, methods, and procedures designed to prevent or reduce illegal
activities or interference with civil aviation. Includes: a description of the airport,
security procedures, incident management, law enforcement support, contingency
plan, etc. Also includes criminal history records checks and training and information
for individuals with unescorted access authority.
Permanent:
Keep security program outlined in 49 CFR 1542.103 permanently.
Temporary:
Criminal history records checks as provided by 49 CFR 1542.209
must be kept 180 days after termination of the individual’s
unescorted access authority, at which point they must be destroyed
by the airport operator.
Training and information provided by 49 CFR 1542.213 must be
kept for 180 days after termination of the individual’s unescorted
access authority.
Keep other records for two years after superseded.
Airspace Construction Records:
These records contain
applications (FAA Form 7460) required by the FAA for construction or alteration of
facilities which may obstruct air space affecting flights at the airport. The
information on the structure is placed on aeronautical charts.
Semipermanent:
Keep five years.
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Complaint Records:
Records documenting complaints or
requests related to noise or other aspects of airport operations, and typically include
the name, phone number and address of the person making the complaint, the name of
the person receiving and/or responding to the complaint, a description of the
complaint, resolution, etc.
Temporary:
Keep two years after resolution of complaint or final action.
Emergency Personnel Training Records:
Required by
FAA regulations (14 CFR 139.319), these records document training of rescue and
firefighting personnel which must be received prior to initial performance of duties
and at least annually. Training areas include: airport and aircraft familiarization;
rescue and firefighting safety; emergency communications systems; use of
equipment; application of extinguishing agents; emergency aircraft evacuation
assistance; firefighting operations; adapting and using structural rescue and
firefighting equipment for aircraft rescue and firefighting; aircraft cargo hazards;
firefighters’ duties under the airport emergency plan; emergency medical services and
live-fire drills. Information includes a description and date of training received.
Semipermanent:
Keep five years.
Note:
FAA regulations require these records be kept at least 24
consecutive calendar months after completion of training.
Fuel & De-Icer Consumption Records:
Consumption and
dispensing records for fuel, oil, or similar products used by service vehicles,
equipment or airplanes.
Semipermanent:
Keep five years.
Fueling Agent Inspection & Fueling Personnel Training
Records:
Required by FAA regulations (14 CFR 139.321), these records document
inspections of the physical facilities of each airport tenant fueling agent at least once
every three consecutive months for compliance with federal regulations requiring
bonding; public protection; controlled access to storage areas; fire safety in fuel farm
and storage areas; fire safety in mobile fuelers, fueling pits and cabinets; training of
fueling personnel in fire safety and compliance with fire code. Also includes annual
written confirmation from airport tenant fueling agents that their personnel have
completed required fire safety training.
Semipermanent:
Keep five years.
Note:
FAA regulations require these records be kept at least 12
consecutive calendar months.
Law Enforcement Action Records:
Document various
types of law enforcement actions taken at the airport, as provided by 49 CFR
1542.221, including: the number and type of weapons, explosives or incendiaries
discovered during any passenger screening process, and the method of detection of
each; the number of acts and attempted acts of aircraft piracy; the number of bomb
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threats received, real and simulated bombs found, and actual bombings; and the
number of arrests with the name and address of individual and immediate disposition
of each.
Temporary:
Keep two years.
Note:
FAA regulations require these records be kept at least 180 days.
Movement & Safety Area Training & Accident
Records:
Required by FAA regulations (14 CFR 139.329), these records document
training of employees, tenants and contractors on procedures for safe and orderly
access to, and operation in, movement and safety areas. Also includes records
relating to accidents or incidents in movement and safety areas involving air carrier
aircraft, ground vehicles or pedestrians.
Semipermanent:
Keep five years.
Note:
FAA regulations require movement and safety areas training
records to be kept for 24 consecutive months after the termination
of an individual’s access to these areas, and accident/incident
records must be kept at least 12 consecutive calendar months from
the date of the accident/incident.
Noise Compatibility Records:
Includes records relating to
noise compatibility programs voluntarily submitted by city airports in accordance
with 14 CFR 150.21 and 150.23. Records include: noise exposure map and
supporting documentation, description and analysis of alternatives for noise
reduction, measures proposed for noise reduction, public participation and
consultation with federal, state and local entities, anticipated effects of the program,
how future actions may impact program, summary of hearing comments and written
testimony with airport operator’s response and disposition of comments, the period
covered by the program, implementation and funding.
Permanent:
Keep program records described in 14 CFR 150.21 and 150.23
permanently.
Semipermanent:
Keep other records five years after program approved.
Non-Federal Navigation Facility Reports:
Record of
meter readings and adjustments, facility maintenance log, radio equipment operation
record, ground check error data, facility equipment performance and adjustment data,
technical performance report, and similar documentation relating to local
government-owned and operated navigational facilities such as VHF Omnidirectional
Range (VOR) facilities, nondirectional radio beacons, instrument landing systems,
simplified directional facilities, distance measuring equipment, VHF marker beacons,
interim standard microwave landing systems and microwave landing systems.
Permanent.
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Note:
Retention periods are established by FAA regulations (14 CFR
171.13, 171.33, 171.53, 171.117, 171.163, 171.213, 171.275, and
171.327).
Notice to Airmen Records:
Reports documenting the
notification of air carriers as to changes in airport conditions, including construction,
maintenance, surface irregularities, snow, ice, water, light malfunctions, unresolved
wildlife hazards, etc. Includes Notice to Airmen (NOTAM) forms. Information
includes date and time of issue, message from airport manager, and distribution data.
Temporary:
Keep two years.
Passenger Facility Charges Report:
Used to document
fees charged to air passengers by the city used for FAA-approved airport-
improvement projects (see 14 CFR 158.63 and 158.65).
Permanent.
Personnel Training Records:
Required by FAA
regulations (14 CFR 139.303), these records document training of personnel
accessing movement and safety areas and performing duties in compliance with the
requirements of the Airport Certification manual and federal regulations. The
training covers the following areas: airport familiarization; movement and safety
areas; airport communications; and duties required under the Airport Certification
Manual and federal regulations. The training must be received prior to initial
performance of duties and on an annual basis. Information includes a description and
date of training received.
Semipermanent:
Keep five years.
Note:
FAA regulations require these records be kept at least 24
consecutive calendar months after completion of training.
Runway Inspection Reports:
Notices of closure of
runways for maintenance, repair or weather, log shows effective date and time with
estimate of duration of closure and condition.
Semipermanent:
Keep five years.
Self-Inspection Records:
Required by FAA regulations
(14 CFR 139.327), these records document self-inspections conducted on a daily
basis, when required by unusual conditions (such as construction or weather), and
immediately after an accident or incident. Also includes records documenting
training of personnel performing inspections, required prior to initial performance of
duties and at least annually on the following areas: airport familiarization, airport
emergency plan, Notice to Airmen (NOTAM) notification procedures, procedures for
pedestrians and ground vehicles in movement and safety areas and discrepancy
reporting procedures.
Semipermanent:
Keep five years.
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Note:
FAA regulations require self-inspection records to be kept at least
12 consecutive calendar months, and inspection personnel training
records to be kept at least 24 consecutive calendar months.
78
Building, Planning & Zoning Records
Annexation Records:
Document the annexation of new
land into the city. Records may include: application, annexation agreement, notices
of hearing, staff report, recommendations of the planning and zoning commission,
maps, etc.
Permanent.
Area of Impact Records:
Document the negotiation and
adoption of area of impact agreements and ordinances with the county, including:
public notices, correspondence, notices of hearing, recommendations from the
planning and zoning commission, maps, “committee of nine” proceedings, etc.
Permanent.
Building Activity Records:
Reports or statistical
compilations tracking building activity on a monthly or annual basis, used to plan
budgets and staffing and monitor growth and building trends. Typically tracks
number of permits issued, type of activity, value of projects, fees collected, etc.
Permanent:
Keep reports summarizing activity on an annual basis permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Building Codes:
Codes that may be adopted by local
ordinance, including: the International Building Code, International Residential Code,
International Energy Conservation Code, International Mechanical Code,
International Fuel Gas Code, Uniform Plumbing Code, National Electrical Code,
International Fire Code, etc.
Permanent.
Building Inspection Reports & Working Papers:
Records documenting inspections to ensure compliance with the city’s adopted codes,
including inspection reports, logs, requests for inspections, correspondence, etc.
Semipermanent:
Keep for the life of the structure.
Building Permit Applications & Review:
Applications
for construction, structural modifications, installation of plumbing, electrical or
mechanical equipment, etc.
Permanent.
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Building Permits:
Permits granted to property owners for
construction, structural modifications, installation of plumbing, electrical or
mechanical equipment, etc.
Permanent:
Keep building permits for completed structures permanently.
Semipermanent:
Keep revoked or expired building permits two years after
revocation/expiration.
Building Plans & Specifications:
Blueprints and other
graphic illustrations of designs submitted by contractors for the construction,
reconstruction or alteration of buildings. These plans and accompanying
specifications are submitted to ensure compliance with building codes, setbacks and
other regulations. Documents include: site plan, scale of floor plan, elevation plan,
electrical plan, typical wall section and foundation, and specifications.
Permanent:
Keep plans and specifications for publicly-owned and commercial
structures permanently.
Temporary:
Keep plans and specifications for residences two years after
issuance of certificate of occupancy.
Note:
Idaho Code 50-907(1)(c) requires building plans and specifications
for commercial projects and government buildings to be kept
permanently. Idaho Code 50-907(2)(c) requires building
applications for commercial projects and government buildings to
be kept for at least five years. Idaho Code 50-907(3)(a) requires
building applications, plans and specifications for noncommercial
and nongovernment projects to be kept at least two years after final
inspection and approval.
Certificates of Occupancy:
Certification that a building
complies with city codes and is safe for occupancy. Information may include: type of
building, building permit number, type of construction, owner of building, address,
contractor name, date built and certified in compliance with code. Includes requests
for temporary occupancy.
Permanent.
Code Enforcement:
Case files on city code violations
including: correspondence with owners, site inspections, photographs, enforcement
actions, and hearings.
Permanent.
Comprehensive Plan:
The plan used to guide the long-
term growth and development of a city. Records typically include: the plan
document, periodic updates, citizen surveys and participation information, notices of
hearing, maps, photographs, staff reports, recommendations from the planning and
zoning commission, etc.
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Permanent.
Conditional Use Permits:
Permits allowing construction
of buildings in specific areas when impacts to neighbors are mitigated. Documents
typically include: application, blueprint drawings, notices of hearing, staff report,
planning and zoning commission recommendations/decision, and related
correspondence.
Permanent:
Keep application and decision documents permanently.
Semipermanent:
Keep other records 10 years after expiration, revocation or
discontinuance of use.
Correction Notices:
Notices to contractor/builder to
correct defects noted during the inspection process.
Permanent.
Design Review Records:
Records related to design review
overlay districts, including: applications, staff reports, committee recommendations,
maps, photographs, and other records.
Permanent:
Keep application and decision documents permanently.
Semipermanent:
Keep other records 10 years after approval or denial.
Development Agreements:
Records documenting
formation, modification and termination of development agreements, in which the
city requires the developer to make a written commitment concerning use or
development of the subject parcel as a condition of rezoning. The agreements are
recorded and binding on subsequent property owners.
Permanent.
Flood Plain Permit Records:
Permits issued for
construction within a flood plain zone. Records also may include: elevation
certificates, applications, review records, checklists, and other documents.
Semipermanent:
Keep permits and elevation certificates 10 years after the life of the
structure or until area is determined not to be a flood plain,
whichever is longer. Keep other records 10 years.
Future Acquisitions Map:
Records relating to the future
acquisitions map, which identifies land proposed for acquisition for infrastructure and
services over the next 20 years.
Permanent.
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Historic District Records:
Records relating to historic
district overlay zones, including: applications, staff reports, committee
recommendations, maps, photographs, list of historic structures and other records.
Permanent.
Land Use Hearing Recordings & Exhibits:
Includes
maps, plans, drawings, and other exhibits prepared for land use hearings and audio
recordings of land use hearings before the planning and zoning commission and city
council.
Permanent:
Keep land use exhibits referenced in minutes permanently.
Semipermanent:
Keep exhibits not referenced in minutes five years.
Transitory:
Keep audio recordings one year after the date of the hearing, unless
a longer period is required due to litigation.
Note:
Idaho Code 67-6536 requires that audio recordings of planning and
zoning hearings (transcribable verbatim record) be kept at least six
months after the final decision.
Nonconforming Use Records:
Records pertaining to uses
that are “grandfathered” in when zoning regulations change for a particular property.
Changes or expansions of nonconforming uses may require city approval. Records
may include: site plan, verification of original and current use, nonconforming use
certificate, and records regarding changes or expansion of the nonconforming use.
Permanent.
Plan Review Reports:
Reports indicating compliance with
adopted building codes, planning and zoning ordinances, and other city requirements.
Permanent:
Keep plan review reports for commercial buildings permanently.
Semipermanent:
Keep plan review reports for residential buildings five years after
issuance of certificate of occupancy.
Planned Unit Development Records:
PUDs allow for
flexibility in subdivision and zoning regulations with greater amenities provided by
the developer. These records include: application, maps, diagrams, site plans, notices
of hearing, staff report, recommendation/decision by the planning and zoning
commission, correspondence, etc.
Permanent:
Keep application and decision documents permanently.
Semipermanent:
Keep other records 10 years after approval or denial.
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Planning Studies:
Reports completed in-house or by
outside consultants on specific planning issues, including transportation plans,
affordable housing plans, etc.
Permanent.
Rezoning Records:
Document applications for rezoning
property within the city, including: application, review forms, maps of areas involved,
notices of hearing, staff report, recommendation of the planning and zoning
commission, written decision by the council, appeals, correspondence, etc.
Permanent:
Keep application and decision documents permanently.
Semipermanent:
Keep other records 10 years after approval or denial.
Sign Review Case Files:
Applications and related records
for sign permits, including: approvals, photographs or renderings of proposed signs,
etc.
Semipermanent:
Keep for the life of the structure.
Subdivision Records:
Document the preliminary and final
plat stages of subdivision approval, including: application, maps, diagrams, site plans,
staff report, recommendation by planning and zoning commission, written decision
by the council, correspondence, appeals, etc. Includes administrative lot split or
“short plat” applications involving less than five lots.
Permanent:
Keep records relating to approved subdivisions permanently.
Semipermanent:
Keep records relating to denied, expired or revoked applications 10
years after denial, expiration or revocation.
Variance Records:
Document variance applications for
relief from a quantifiable zoning standard (such as setback, lot size, etc.). Records
include: application, staff recommendation, recommendation/decision by planning
and zoning commission and council, correspondence, etc.
Semipermanent:
Keep 10 years after the life of the structure.
Zoning Ordinance Interpretations:
Records providing
interpretations of city ordinances by the planning director.
Permanent.
Zoning Maps:
Show zoning boundaries in the city, with
streets, property lines, and zoning classifications.
Permanent.
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Cemetery Records
Because of their historical significance, most cemetery records are permanent and may
not be destroyed. Idaho Code 50-907(1)(f) provides that “Cemetery records of lot
ownership, headstone inscriptions, interment, exhumation and removal records, and
cemetery maps, plot plans and surveys” are permanent records.
Burial Register (Section Books):
Register of burials and
index by lot, block and section number with the name of the lot owner, purchase date,
occupant and burial date.
Permanent.
Note:
Idaho Code 50-907(1)(f) provides that this record is permanent.
Burial Transit Permits:
Part of state Death Certificate,
labeled “Disposal—Transit Permit” and delivered to the cemetery office by the
funeral home. Shows the name of the deceased, place of death, mortician, and date of
death.
Permanent.
Note:
Idaho Code 50-907(1)(f) provides that this record is permanent.
Cemetery Complaints, Requests & Repairs:
Brief
description of complaint/request with the name of the person initiating the
complaint/request, name of the deceased, location, cost of repair estimate, etc.
Temporary:
Keep two years.
Cemetery Lot Inventory:
Records showing cemetery lots
by section, block and lot number and the status of the lot (sold, unsold, available or
unusable).
Transitory:
Keep until superseded.
Deeds or Certificates of Ownership:
Record of deeds or
certificates of ownership of lots that have been surrendered or exchanged or deeds
that have had a transfer of title.
Permanent.
Note:
Idaho Code 50-907(1)(f) provides that this record is permanent.
Maps:
Maps showing the sections, blocks and lots of the
cemetery.
Permanent.
Note:
Idaho Code 50-907(1)(f) provides that this record is permanent.
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Monument & Marker Register:
Monument register or
installation sheet showing name, location, and date the monument/marker was set.
Permanent.
Note:
Idaho Code 50-907(1)(f) provides that this record is permanent.
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Election Records
Ballots:
Includes voted ballots, unused ballots, absentee
ballots, spoiled ballots, and ballot stubs.
Temporary:
Keep two years.
Note:
Idaho Code 50-907(3)(c) requires ballots to be kept at least two
years.
Campaign Finance Reports:
Reports showing
contributions and expenditures in city campaigns by mayor/council candidates,
political committees and independent persons/entities. Includes C-1 (Certification of
Treasurer), C-2 (Campaign Financial Disclosure Report), C-4 (Independent
Expenditures), C-5 (48 Hour Notice of Contributions/ Loans Received), C-6
(Statement by Nonbusiness Entity), and C-7 (48 Hour Notice of Independent
Expenditures).
Permanent.
Note:
Idaho Code 50-907(1)(g) requires campaign finance reports be
kept permanently.
Candidate Declarations & Petitions:
Includes
declarations of candidacy and intent for candidates for city elective office.
Declarations of candidacy are filed by candidates to get their name on the election
ballot, and are accompanied by a filing fee of $40 or a petition with the signatures of
at least five qualified city electors, including a certification by the county clerk of the
number of signatures that are of qualified city electors. Declarations of intent are
filed by write-in candidates, and do not require the filing fee or petition.
Permanent.
Note:
Idaho Code 50-907(1)(g) requires candidate declarations and
petitions be kept permanently.
Election Working Files:
Includes the following records:
absentee voting, polling places, judges and clerks, challengers and watchers, voting
machines and vote tally systems, correspondence, and other records not specifically
listed in this schedule.
Semipermanent:
Keep five years.
Notices of Election & Sample Ballots:
Includes the first
and second notice of election and sample ballot, which are published in the official
newspaper.
Permanent.
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Note:
Idaho Code 50-907(1)(g) requires notices of election and sample
ballots to be kept permanently.
Petitions:
Petitions for initiative, referendum, recall, liquor by the drink,
& other elections.
Permanent.
Poll Books:
Books showing the name, address and
signature of those voting in city elections.
Permanent:
Keep one poll book from each precinct permanently.
Temporary:
Duplicate copies of poll book may be destroyed after two years.
Note:
Idaho Code 50-907(1)(g) provides that one poll book from each
precinct must be kept permanently. Idaho Code 50-907(3)(c)
provides that duplicate poll books must be kept at least two years.
Tally Books:
The book in which election staff record and
total the votes cast for each candidate and ballot question at the polling precinct.
Permanent.
Note:
Idaho Code 50-907(1)(g) provides that tally books must be kept
permanently.
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Emergency Communications
Activity Reports:
Daily, weekly, monthly or other reports
documenting the activities of employees, including: type of activity, employees
involved, time spent on activity, work completed, equipment used, etc.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Briefing Records:
Records documenting internal
communication between supervisors and shift workers or between staff on different
shifts to alert them to problems, issues or activities. Records may include, but are not
limited to: briefing logs, teletype messages, and bulletins from other agencies.
Transitory:
Keep until administrative needs end.
Data Management System Records:
Records
documenting the maintenance and update of current information used to provide and
direct incident response within a 911 service area. Information may include, but is
not limited to: address data, response unit assignments, response codes, responsible
person data, and related documentation.
Transitory:
Keep until superseded or obsolete.
Dispatch Incident Records:
Document specific incidents
when a call is received by the 911 dispatch center and subsequent response activities.
Information may include, but is not limited to: caller’s name, address, and telephone
number; details of incident or complaint; dispatcher’s name; responding agency and
time of response; and incident disposition. Additional information received through
an enhanced system is the Automatic Number Identification and Automatic Location
Identification (ANI/ALI) which includes the telephone subscriber name, subscriber’s
telephone number and location.
Temporary:
Keep two years.
Master Street Address Guide Maintenance Forms:
Records document the city’s notification to the phone service provider about the
addition of new streets or revision to existing streets on the Master Street Address
Guide (MSAG). The MSAG is maintained by the phone service provider or its
independent contractor. Information may include, but is not limited to: new or
updated address, customer, and responder information.
Transitory:
Keep until superseded.
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Master 24-Hour Audio Tapes:
Document recorded
incoming emergency and non-emergency calls; law enforcement, fire and emergency
medical services dispatches; radio activity; and 911 calls. Tapes are maintained on a
24-hour basis.
Transitory:
Keep tapes not needed for investigations, litigation, etc. six
months.
Operational Logs:
Records documenting chronological
tracking of activities related to 911 dispatch center operations, including, but not
limited to: radio logs, telephone logs, and criminal background check request logs.
Transitory:
Keep one year.
Premise Information Records:
Records documenting
information about specific premises or locations that emergency responders need to
know in advance of arrival at an incident site. Information may include, but is not
limited to: hazardous materials storage locations, building plans submitted to the fire
department, location of utility shut-offs, and related information.
Temporary:
Keep two years, or until renewed, superseded or expired,
whichever is longer.
Quality Assurance Records:
Records documenting the
evaluation, analysis, and assessment of the performance and quality of 911 dispatch
services. Records may include, but are not limited to: system evaluations,
performance reports, surveys and questionnaires, quality improvement reports and
recommendations, and related documentation.
Temporary:
Keep two years.
Statistical Reports:
Records documenting the compilation
of statistical data about the actions and activities of the 911 dispatch center. Data
may be compiled on a daily, weekly, monthly, quarterly and/or annual basis and may
be used for analysis, evaluation, and budget development purposes. Information may
include, but is not limited to: data about response times, number of calls received and
dispatched, and responses by individual agency.
Permanent:
Keep annual reports permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
System Error/Malfunction Records:
Records
documenting 911 electronic system errors or malfunctions and corrective action.
Records may include, but are not limited to: enhanced system error reports, trouble
logs, work orders, correspondence, and related documentation.
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Temporary:
Keep two years.
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Fire & Emergency Medical Services Records
Activity Reports:
Individual, shift, project or other activity
reports or logs filed on a daily, weekly, monthly or similar basis. Useful for
reference, performance monitoring, compiling annual reports, planning and
budgeting, and briefing subsequent shifts. Information typically includes: name,
shift, date, description of activities, and various statistical categories for tracking
responses, such as training, public outreach, inspections, maintenance and other work.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Burn Permits:
Applications and other documents relating
to permits issued for open air burning within the city. Information may include:
name, phone number, address, amount and location of burn, fire protection equipment
and conditions required, date and signatures of permittee and issuing officer.
Temporary:
Keep two years.
Certification Records:
Applications, supporting materials
and certifications from the Idaho Department of Health and Welfare for certification
of first responders, EMTs and paramedics.
Semipermanent:
Keep five years or until employee separation, whichever is longer.
Emergency Medical Equipment Maintenance Records:
Records used to verify regular maintenance of emergency medical equipment.
Includes: copies of contracts, maintenance schedules, test protocols, equipment
inventory, performance test records, repair records, parts used and service reports.
Temporary:
Keep one year after equipment is replaced.
Emergency Services Billings:
Records relating to billings
for transporting patients treated by EMS personnel. Information typically includes:
account number, incident number, service date and time, patient information,
insurance information, next of kin information, responsible party, services provided
and charges, signature authorizing insurance payments and signature of patient or
next of kin recognizing financial responsibility.
Temporary:
Keep four years.
False Alarm Record:
Monthly and annual lists of false
alarms by street address.
Semipermanent:
Keep five years.
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Fire & Security Alarm System Records:
Records
documenting the city fire department role in issuing permits, testing and maintaining
fire and security alarms that connect to a city alarm system. May include permits,
applications, malfunction reports, maintenance reports, and related documents.
Permit information often includes name and address of property owner, name and
address of company installing the system, permit number, alarm location, and date.
Maintenance information often includes date, malfunction (if any), tests conducted,
corrective actions taken, location of alarm, and related data.
Temporary:
Keep permit records two years after expiration. Keep other
records two years.
Fire Investigation Records:
Arson investigation case files,
including investigative reports; witness statements; photographs; maps;
correspondence; notes; video and cassette tape recordings; copies of property
releases; laboratory reports; and incident, injury and police department general
reports.
Semipermanent:
Keep 10 years.
Hose & Pump Test Reports:
Document that fire hoses
and pumping equipment are in good working condition. Includes: test date, date
previously tested, apparatus number, station number, hose diameter, conditions found,
service date, defects corrected, etc.
Temporary:
Keep one year after hose/equipment is replaced.
House Burns Training File:
Record of house burns for
training, results and evacuations.
Semipermanent:
Keep 10 years.
Hydrant Installation & Maintenance:
Record of fire
hydrant locations and repairs. Indexed by hydrant number, map coordinate, location
or street intersection. Includes: date last checked, service record, date installed,
physical characteristics, operation, flow check, pressure and leakage.
Semipermanent:
Keep one year after hydrant removed.
Incident Reports:
Uniform Fire Incident Reports. Made
for each fire run, medical emergency, or casualty. Returned monthly to State Fire
Marshal. Information includes: date, run number, location of fire, owner’s name and
address, property damage, loss estimate and other data. Also includes the Civilian &
Fire Service Casualty Reports, EMS Report, HazMat Report, etc.
Semipermanent:
Keep arson-related records ten years. Keep all other records five
years,
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Inspection & Occupancy Records:
Documents relating to
fire code inspections performed by the city fire department. Inspection records may
include: reports, notices, citations, and related documents. Information typically
includes: occupant name, location, contact person, violations found, inspector’s name,
number of days to correct violations, comments, etc. Also may include occupancy
and pre-fire planning records such as: floor plans, sketches, reports, lists and related
documents.
Semipermanent:
Keep ten years.
Maps:
Maps and related records maintained by the city fire
department for address location, reference and for tracking various trends, such as fire
frequency and location, arson fires, etc. Includes lists, books and other methods of
address location.
Transitory:
Keep until superseded or obsolete.
Mutual Aid Agreements:
Agreements for cooperative fire
fighting policy and procedures (includes EMS).
Permanent.
Public Education Programs & Publications:
Records
related to the design and implementation of educational and other outreach programs
provided to the public by the city fire department. Often includes: class descriptions,
instructional materials, course outlines, class enrollment and attendance records,
reports, speeches, etc. Also includes publications on: CPR, electric wiring, fire
prevention, fire safety for children, Christmas fire safety, etc.
Permanent:
Keep annual reports summarizing activities permanently.
Temporary:
Keep other records three years.
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Information Systems Records
Computer System Maintenance Records:
These records
document the maintenance of city computer systems and are used to ensure
compliance with warranties and service contracts; schedule regular maintenance;
diagnose system or component problems; and document system backups. Records
may include, but are not limited to: computer equipment inventories, hardware
performance reports, component maintenance records (invoices, warranties,
maintenance logs, correspondence, maintenance reports, etc.), system backup reports
and procedures, backup tape inventories, etc. (SEE ALSO Technical Manuals,
Specifications & Warranties in the Administrative section).
Temporary:
Keep records related to system or component repair or service for
the life of the system or component. Keep records related to
regular or essential records backups one year after superseded or
obsolete.
Computer System Program Documentation:
Records
documenting the development, installation, modification, troubleshooting, operation
and removal of software from city computer systems; records required to plan,
develop, operate, maintain and use electronic records; system specifications, file
specifications, codebooks, record layouts, user guides and output specifications.
(SEE ALSO Software Management Records in this section.)
Temporary:
Keep migration plans until superseded or obsolete. Keep other
records one year after system superseded or obsolete.
Computer System Security Records:
Records
documenting the security of the city’s computer systems, including: employee access
requests, passwords, access authorizations, and related documents.
Temporary:
Keep three years after superseded or obsolete.
Network Records:
Records containing information on
network circuits used by the city, including: circuit number, vendor, type of
connection, terminal series, software, contact person and other relevant information.
Also includes records used to implement a computer network, including; reports,
network diagrams, and wiring schematics.
Transitory:
Keep until superseded or obsolete.
Information Service Subscription Records:
Records
documenting city subscriptions to information services, including: subscriptions,
invoices, and correspondence.
Temporary:
Keep two years.
Information System Planning & Development Records:
Records documenting the planning and development of city information systems,
including: information technology plans, feasibility studies, cost-benefit analyses,
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institution studies and surveys, information management project records, system
specifications and revisions, software evaluations, component proposals, technical
literature, vendor literature and proposals and correspondence.
Semipermanent:
Keep information relating to implemented systems for the life of
the system.
Temporary:
Keep information relating to unimplemented systems three years.
Quality Assurance Records:
Records verifying the quality
of system, hardware or software operations including records of errors or failures and
the loss of data resulting from such failures, documentation of abnormal termination
and of error free processing, checks of changes put into production, transaction
histories and other records needed as an audit trail to evaluate data accuracy.
Transitory:
Keep until superseded or obsolete.
Software Management Records:
Records documenting
the use of software in city information systems to ensure that institution software
packages are compatible, that license and copyright provisions are complied with and
that upgrades are obtained in a timely manner. Records may include, but are not
limited to: software purchase records, inventories, licenses and correspondence.
Temporary:
Keep two years after software disposed of or upgraded.
User Support Records:
Records documenting
troubleshooting and problem-solving assistance provided by information systems
personnel to users of the systems. Records may include: assistance requests,
resolution records, and related documentation.
Transitory:
Keep one year.
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Insurance, Risk Management & Safety Records
City Vehicle Accident Records:
Records documenting
accidents involving city vehicles, including: name and address of parties involved,
date and time, complaint, description of damage, photographs, correspondence, etc.
(SEE ALSO Liability Claims Records in this section.)
Temporary:
If no claim is filed, keep three years.
Contractor Liability Insurance Verification Records:
Letters or certificates of coverage provided by insurance companies declaring that
specific contractors are covered by appropriate liability insurance. Records include:
insurance company name and address, issue date, expiration date, amount and type of
coverage, special provisions, signature of insurance company representative, etc.
Semipermanent:
For city public works projects keep 10 years after substantial
completion. Keep all other records six years after expiration.
Contractor Performance Bond Records:
Records
documenting the posting of performance guarantees or surety bonds by contractors
performing work for the city, including letters, certificates, copies of bonds, etc.
Information usually includes: name of individual or company covered, amount of
coverage, effective dates, name of bonding agent, authorized signatures, etc.
Semipermanent:
For city public works projects keep 10 years after substantial
completion. Keep all other bond records six years after expiration.
Insurance Policy Records:
Records documenting the
terms and conditions of city insurance policies covering liability, property, group
employee health and life, motor vehicle, workers’ compensation, etc. Records
usually include: policies, endorsements, rate change notices, agent of record, and
related documents.
Permanent:
Keep group employee health and life, property and liability
insurance policies permanently.
Semipermanent:
Keep other insurance records six years after expiration if no claims
pending.
Liability Claims Records:
Records documenting various
types of liability claims filed against the city, including: personal injury, property
damage, motor vehicle accident, false arrest, etc. Records often include: reports,
photographs, summaries, reviews, notices, audio and videotapes, transcripts of
recorded statements, correspondence and related documents.
Semipermanent:
Keep 10 years after case closed or dismissed.
Liability Waiver Records:
Document the release of the
city from liability related to various activities, including: police/fire ride-alongs,
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rekindling fires, participating in city-sponsored recreational events or classes, etc.
Information usually includes: release terms, date, signatures, and related information.
Semipermanent:
Keep six years.
Property Damage Records:
Records, photographs, and
other records documenting damage to city property such as signs, trees, picnic tables,
buildings, fountains, and fences. Information often includes: type and location of
property damaged, description of damage, date and time of damage (if known), name
and address of individual causing the damage (if known), value of damage, billing
costs, etc. (SEE ALSO Liability Claims Records in this section.)
Temporary:
If no claim is filed, keep three years.
Public Injury Reports:
Records documenting injuries
sustained by non-employees on city property (i.e. parks, swimming pools, libraries,
etc.). Information usually includes: date, time, and location; description of injury;
name, address, phone number, sex and age; witnesses and other related information.
(SEE ALSO Liability Claims Records in this section.)
Temporary:
If no claim is filed, keep three years.
Risk Survey & Inspection Records:
Records
documenting surveys, inspections, and other actions designed to identify potential
hazards and liabilities to the city related to buildings, parks, playgrounds, swimming
pools, etc. Useful for preventing liability claims and for illustrating a pattern of
responsible action regarding hazards. Records may include: survey summaries and
reports, safety audit and inspection reports, correspondence, etc.
Permanent:
Keep records documenting the formation or change of policy
permanently.
Semipermanent:
Keep other records five years.
Safety Program Records:
Records documenting the city’s
program to promote a safe work environment for its employees. Records may
include: safety policies, plans and procedures, workplace safety committee records,
reports on inspections conducted by the safety officer, evacuation rosters and reports,
and related documentation and correspondence.
Semipermanent:
Keep safety policies, plans and procedures five years after
superseded. Keep inspection reports, evaluations, and
recommendations ten years. Keep all other records five years.
Workers’ Compensation Claim Records:
Records
documenting the processing of individual employee claims of job related injuries or
illnesses, but not those describing actual medical conditions. Records may include:
claim disposition notices, claim reporting and status forms, injury reports,
determination orders, insurance premium data, hearing requests, safety citations,
inspection reports, medical status updates and reports, investigation reports,
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reimbursement and payment records, and related correspondence and documentation.
(SEE ALSO Employee Medical Records in the Personnel Records section for
retention of records describing injuries and illnesses).
Semipermanent:
Keep five years after claim closed or final action.
Note:
Idaho Code 72-601 requires employers to keep records of work-
related injuries and illnesses and provides that failure to keep these
records is a misdemeanor. Idaho Code 72-603 requires employers
to keep records of the job classifications and wages of employees.
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Legal Records
Civil Case Files:
Documentation of pending and closed
cases filed by and against the city, including complaints, summons, investigations,
reports, attorney’s notes, orders and judgments, dispositions, pleadings, mediation
information and related records.
Semipermanent:
Keep 10 years after case closed or dismissed, or date of last action.
Claim Files:
These records contain claims for damages
caused by city employees/equipment.
Semipermanent:
Keep 10 years, provided there is no pending litigation.
Criminal Case Files:
Records related to the prosecution of
criminal cases, including citations, police reports, driving records, tape recordings,
complaints, subpoenas, motions, judgments, and related records.
Semipermanent:
Keep 10 years after case closed or dismissed, or date of last action.
Land Use Appeals:
Records related to appeals of land use
decisions, including staff reports, pleadings, briefs, and related records.
Semipermanent:
Keep 10 years after final decision or date of last action.
Legal Opinions:
Formal and informal opinions rendered
by the city attorney for the mayor, council or city departments, examining legal
questions relating to state/federal law/rules or local ordinances/policies.
Permanent.
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Parks & Recreation Records
Activity Reports:
Daily, weekly, monthly or other reports
documenting the activities of parks and recreation department employees, including:
type of activity, employees/volunteers involved, time spent on activity, work
completed, etc.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Chemical Application Records:
Document the application
of pesticides, herbicides and fertilizers to city parks, golf courses and other property.
Information typically includes date used, weather conditions, application area,
chemical applied, mix ratio, and coverage rate.
Temporary:
Keep three years.
Note:
IDAPA 02.03.03.150 requires professional pesticide and
chemigation applicators to maintain records documenting each
application for three years.
Delivery Tickets:
Tickets issued by suppliers to verify
delivery of supplies or materials (mulch, sand, bark, topsoil, etc.). Information
usually includes date, time, amount and type of supplies received, and related data.
Temporary:
Keep two years.
Equipment Maintenance & Repair Records:
Records
documenting the inspection, maintenance, and repair of city-owned equipment,
including: mowers, trailers, edgers, blowers, aerators, office equipment, and furniture.
Information often includes: description of work completed, parts and supplies used,
date of service, date of purchase, purchase price, equipment number, make and
model, and related data. (SEE ALSO Capital Asset Records in the Administrative
section).
Temporary:
Keep until equipment removed from service.
Facility & Equipment Rental/Loan Records:
Records
documenting rental or loan of city-owned facilities (e.g. parks, ball fields, etc.) or
equipment (e.g. sports equipment, tools, gardening implements). Records often
include: applications, calendars, lists, receipts, and related documents. Information
typically includes: name, address and phone number of renter/borrower; description
of facility/equipment; date and time of reservation and signature.
Temporary:
Keep three years.
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Park & Facility Inspection & Maintenance Records:
Document periodic inspections, complaints, maintenance and repairs for parks,
playgrounds, sidewalks, picnic tables, and other property, equipment and facilities.
Semipermanent:
Keep five years.
Park & Facility Use Permits:
Permits issued to
individuals or organizations for special uses of city parks and facilities. Examples
include: fun runs, bicycle races, events with more than a specified number of
participants, concerts, etc.
Temporary:
Keep two years after date of event, denial, or revocation of permit.
Recreation Program Files:
Records relating to city
recreation programs, including: fliers, class/activity rosters, participants, instructors,
schedules, calendars, fees, advertisements, etc.
Permanent:
Keep annual reports summarizing activities permanently.
Temporary:
Keep other records three years.
Recreational Facility Files:
Records used to maintain a
record of construction and renovation projects for each facility (parks, golf courses,
swimming pools, etc.). Records may include: correspondence, construction
information, architectural drawings, contracts, specifications, news clippings,
histories of facilities, safety reports, photographs and maps.
Permanent.
Registration Records:
Registration records for city parks
and recreation programs, classes and events. Information includes: participant’s
name, address, phone and signature of participant/guardian; program name and
date(s); fee paid; etc. (SEE ALSO Liability Waiver Records in the Insurance, Risk
Management & Safety Section.)
Temporary:
Keep three years.
Sports Team Records:
Document information relating to
adult/youth sports leagues, including team rosters, participant information, sponsors,
game/tournament schedules, etc.
Temporary:
Keep three years.
Swimming Pool Operation & Maintenance Records:
Records documenting the operation and maintenance of city swimming pools.
Information typically includes: results of water quality tests, date and time of filter
backwash, dates during which the pool was emptied and/or cleaned, inspections, and
periods of recirculation equipment operation, malfunction and repair. May also
include records documenting inspection and maintenance of safety equipment.
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Semipermanent:
Keep five years.
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Personnel Records
Affirmative Action Records:
Records documenting city
compliance with the Civil Rights Act of 1964, the Equal Employment Opportunity
Act of 1972 and the Americans with Disabilities Act. Records include: plans,
updates, policy statements, reports, investigations, case files, complaints and related
information. Also includes EEO-4 reports submitted to the Equal Employment
Opportunity Commission (EEOC) documenting compliance with EEOC requirements
by cities with 15 or more employees.
Permanent:
Keep plans, updates and policy statements permanently.
Semipermanent:
Keep EEO-4 reports and all other records five years.
Benefits Continuation Records:
Records documenting
notice to employees, spouses and dependents informing them of their rights to
continue insurance coverage after termination or during disability or family leave and
whether coverage was elected or rejected. Continuation may be under COBRA or
another provision. Notice is also sent to a third party administrator who administers
the extended coverage. Records may be filed with the Employee Benefits Records or
Employee Personnel Records.
Semipermanent:
Keep three years after employee separation or eligibility expired or
five years, whichever is longer.
Note:
No retention period specified in 26 CFR Part 54.
Collective Bargaining Records:
Records documenting
negotiations between the city and employee representatives, including contracts,
reports, negotiation notes, letters of agreement, arbitration findings, cost analyses,
minutes, tape recordings, etc.
Semipermanent:
Keep contracts and minutes 75 years after contract expires. Keep
other records six years after contract expires.
Note:
Federal regulations (29 CFR 516.5) requires certain employment
contracts and collective bargaining agreements to be kept three
years after their last effective date.
Employee Benefits Records:
Records relating to city
employee benefit information such as: selection of insurance plans, retirement,
pension and disability plans, deferred compensation plans, and other benefit
information. Records may include, but are not limited to: plan selection and
application forms, enrollment records, contribution and deduction summaries,
personal data records, authorizations, beneficiary information, year-end leave balance
reports, notices of disability payment made, and related documentation. Generally
filed with Employee Personnel Records.
Semipermanent:
Keep year-end leave balance reports and official copy of
retirement enrollment records 75 years after date of hire. Keep
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other records five years after employee separation or eligibility
expired.
Note:
Numerous federal regulations provide retention periods for these
records:
29 CFR 1627.3 (Age Discrimination) requires employee benefit
plans such as pension and insurance plans to be kept for the full
period the plan or system is in effect, and for at least one year after
its termination. Payroll, recruitment and selection, personnel, and
employee benefits records must also be kept at least one year from
the date of the personnel action to which the records relate, with
the exception of records required for an enforcement action, which
must be kept until the action’s final disposition.
29 CFR 1602.14 (Recordkeeping & Reporting Under Title VII &
ADA) requires personnel, compensation and benefits records to be
kept at least one year from the date of making the record or the
personnel action involved, whichever is later, except in the case of
involuntarily terminated employees, which must be kept at least
one year from the date of termination. When a charge of
discrimination or action is filed, records must be kept until final
disposition of the case.
Idaho Code 45-610 provides that employment records must be
maintained for at least three years after the employee’s last date of
service.
IDAPA 09.01.35.081 provides that payroll, personnel, benefits,
and employee travel reimbursement records must be kept for at
least 3 years after the calendar year in which remuneration was
due.
Employee Medical Records:
Document an individual
employee’s work-related medical history. These records are not personnel records
and must be kept in a separate location from employee personnel records as required
by the Americans with Disabilities Act. Records may include, but are not limited to:
medical exam records (pre-employment, pre-assignment, periodic or episodic), X-
rays, records of significant health or disability limitations related to job assignments,
documentation of work-related injuries or illnesses, hearing test records, hazard
exposure records, first-aid incident records, physician statements, release consent
forms and related correspondence.
Semipermanent:
Keep hazard exposure records 30 years after separation. Keep
other records five years after separation or completion of litigation,
whichever is longer.
Note:
Idaho Code 72-601 requires employers to keep records of work-
related injuries and illnesses and provides that failure to keep these
records is a misdemeanor. Failure to keep these records is a
misdemeanor.
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Employee Personnel Records:
Document an employee’s
work history. Records may include, but are not limited to: employment applications,
notices of appointment, training and certification records, records of health
limitations, drug testing, salary schedules, personnel actions, performance
evaluations, awards and other special recognition, letters of recommendation,
investigation information, disciplinary action, notices of layoff, letters of resignation,
home address and telephone, emergency notification forms, oaths of office, grievance
and complaint records, and related correspondence and documentation. (SEE ALSO
Employee Benefits Records, Employee Medical Records, Recruitment & Selection
Records, and Volunteer Worker Records in this section.)
Semipermanent:
Keep ten years after separation.
Note:
Numerous regulations provide retention periods for these records:
29 CFR 1602.14 (Recordkeeping & Reporting Under Title VII &
ADA) requires personnel, compensation and benefits records to be
kept at least one year from the date of making the record or the
personnel action involved, whichever is later, except in the case of
involuntarily terminated employees, which must be kept at least
one year from the date of termination. When a charge of
discrimination or action is filed, records must be kept until final
disposition of the case.
29 CFR 1602.31 (Recordkeeping & Reporting for Civil Rights Act
& Americans with Disabilities Act) requires these records be kept
at least two years from the date of the making of the record or the
personnel action involved, whichever occurs later. Where a charge
of discrimination has been filed, or an action brought by the
Attorney General against a political jurisdiction under title VII or
the ADA, the city is required to preserve all personnel records
relevant to the charge/action until final disposition of the
charge/action.
29 CFR 1620.32 (Equal Pay Act) requires personnel, recruitment
and selection records, payroll and collective bargaining/contract
records to be kept at least two years.
49 CFR 382.401 (Drug Testing for Holders of Commercial
Driver’s Licenses) provides various retention requirements for
drug testing records.
Idaho Code 45-610 provides that employment records must be
maintained for at least three years after the employee’s last date of
service.
IDAPA 09.01.35.081 provides that payroll, personnel, benefits,
and employee travel reimbursement records must be kept for at
least 3 years after the calendar year in which remuneration was
due.
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Employment Eligibility Verification Forms (I-9):
Document to the U.S. Immigration and Naturalization Service that an applicant or
employee is eligible to work in the United States. Information includes: employee
information and verification data such as citizenship or alien status and signature, and
employer review and verification data such as documents, which establish identity
and eligibility, and employer’s signature certifying that documents were checked.
This category includes forms completed for all new hires, as well as superseded or
previous forms completed on rehires.
Semipermanent:
Keep five years after separation.
Note:
Federal regulations (8 CFR 274a.2) require these records be kept
three years after the date of hiring or one year after the individual’s
employment is terminated, whichever is later.
Hazard Exposure Records:
Emergency response
employees exhibiting signs or symptoms possibly resulting from exposure to
hazardous substances are required to be provided medical examination and
consultation. Records include: employee’s name and social security number;
physician’s written opinion, recommended limitations; results of examinations and
tests; employee medical complaints related to hazardous substance exposure;
description of employee’s duties as they relate to exposure; the employee’s exposure
levels or anticipated exposure levels; description of protective equipment used; and
information from previous medical examinations of the employee which is not readily
available to the physician and other information. (SEE ALSO Employee Medical
Records in this section.)
Semipermanent:
Keep 30 years after separation.
Photo Identification Records:
Photographs and other
records used to identify city employees, private security personnel, contract workers
and others. May include photographs taken for city identification cards, driver’s
license photographs, and information such as name, date of birth, physical
description, identification number, driver’s license number, and other data.
Transitory:
Keep until superseded, obsolete or administrative needs end.
Position Description, Classification & Compensation
Records:
Records documenting the description, classification and compensation of
city jobs and positions. Usually includes details of duties and responsibilities of each
position, time percentage breakdowns of tasks, skills and abilities needed for each
position, and related records documenting the development, modification or
redefinition of each job or position. Records often include: reports, position
descriptions, position evaluations, salary & benefits studies, job analyses, interview
data, selection criteria, authorizations, agreements and related records.
Temporary:
Keep three years after superseded, obsolete or administrative needs
end.
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Note:
29 CFR 1602.31 (Recordkeeping & Reporting for Civil Rights Act
& Americans with Disabilities Act) requires these records be kept
at least two years from the date of the making of the record or the
personnel action involved, whichever occurs later. Where a charge
of discrimination has been filed, or an action brought by the
Attorney General against a political jurisdiction under title VII or
the ADA, the city is required to preserve all personnel records
relevant to the charge/action until final disposition of the
charge/action.
29 CFR 1620.32 (Equal Pay Act) requires personnel, recruitment
and selection records, payroll and collective bargaining/contract
records to be kept at least two years.
29 CFR 1627.3 (Age Discrimination) requires payroll, recruitment
and selection, personnel, and employee benefits records to be kept
at least one year from the date of the personnel action to which the
records relate, with the exception of records required for an
enforcement action, which must be kept until the action’s final
disposition.
Recruitment & Selection Records:
Document the
recruitment and selection of city employees, and contracted service providers such as
attorneys, auditors, consultants, etc. Records may include, but are not limited to: job
announcements and descriptions, applicant lists, applications and resumes, position
advertisement records, civil service and other examination records, classification
specifications, affirmative action records, interview questions, interview and
application scoring notes, applicant background investigation information, polygraph
test results, letters of reference, civil service records, position authorization forms,
certification of eligibles, recruitment summary records (job announcement, position
description, documentation relating to the announcement and test, and test items and
rating levels), and related correspondence and documentation. (SEE ALSO
Employee Personnel Records and Employment Eligibility Verification Forms (I-9) in
this section.)
Semipermanent:
Keep announcement records, position description, and test and
rating records 10 years.
Keep unsuccessful applications and all other records five years
after position filled or recruitment canceled.
Note:
29 CFR 1602.14 (Recordkeeping & Reporting Under Title VII &
ADA) requires recruitment and selection, personnel, compensation
and benefits records to be kept at least one year from the date of
making the record or the personnel action involved, whichever is
later, except in the case of involuntarily terminated employees,
which must be kept at least one year from the date of termination.
When a charge of discrimination or action is filed, records must be
kept until final disposition of the case.
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29 CFR 1602.31 (Recordkeeping & Reporting for Civil Rights Act
& Americans with Disabilities Act) requires these records be kept
at least two years from the date of the making of the record or the
personnel action involved, whichever occurs later. Where a charge
of discrimination has been filed, or an action brought by the
Attorney General against a political jurisdiction under title VII or
the ADA, the city is required to preserve all personnel records
relevant to the charge/action until final disposition of the
charge/action.
29 CFR 1620.32 (Equal Pay Act) requires personnel, recruitment
and selection records, payroll and collective bargaining/contract
records to be kept at least two years.
29 CFR 1627.3 (Age Discrimination) requires payroll, recruitment
and selection, personnel, and employee benefits records to be kept
at least one year from the date of the personnel action to which the
records relate, with the exception of records required for an
enforcement action, which must be kept until the action’s final
disposition.
Training Program Records:
Records related to the design
and implementation of training programs provided to employees by the city. May
include class descriptions, instructor certifications, planning documentation,
instructional materials, course outlines, class enrollment and attendance records, and
related records. (SEE ALSO Employee Personnel Records for training records
related to individual employees.)
Semipermanent:
Keep significant program records five years.
Temporary:
Keep class enrollment and attendance records two years.
Transitory:
Keep all other records one year.
Volunteer Program Records:
Records documenting the
activities and administration of volunteer programs in the city. May include
volunteer hours statistics, volunteer program publicity records, insurance information,
inactive volunteer files, and related records. For records related to individual
volunteers, see Volunteer Worker Records in this section.
Semipermanent:
Keep five years.
Volunteer Worker Records:
Records documenting work
performed for the city by citizens without compensation for their services. May
include agreements, applications, skills test results, training documentation, task
assignment and monitoring records, etc.
Semipermanent:
Keep five years after separation.
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Police & Law Enforcement Records
Accident Reports:
Document traffic accidents investigated
by the police department. These reports typically include complete information on all
cars and drivers involved in the accident, accident location, damage, cause of
accident, date and time, accident diagram, description and weather conditions.
Temporary:
Keep three years.
Activity Reports:
Individual officer, shift, and other
activity reports usually filed on a daily, weekly, or monthly basis. Useful for
reference, performance monitoring, compiling annual reports, planning and
budgeting, and for briefing subsequent shifts or activities. Applies to various duties,
including dispatch, investigations, and patrol. Information usually includes: name,
shift, date, activities, and various statistical categories for tracking the number of
arrests, phone calls, mileage, etc. Also includes monthly and annual law enforcement
or uniform crime reports summarizing statistics on criminal activity and office
operations.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Animal Control Records:
Records documenting animal
control activities, often including: reports, logs, lists, cards, receipts, and related
records. Subjects may include: lost and found animals, animals running at-large, dog
bite reports, animals turned over to county animal control programs or humane
society programs, etc.
Temporary:
Keep three years.
Arrest Warrant Records:
Records relating to arrest
warrants and documenting the status of warrants as served, unserved or recalled by
the court. Records may also include detainer requests, informational documents
related to the wanted person, teletypes, and other records relevant to the service of
warrants. Warrant information includes: date, court, judge’s name, individual’s name
and date of birth, charge, etc.
Temporary:
Keep three years.
Booking Records:
Record of all persons arrested and
booked by the police department. Information includes: case number, name, race,
sex, date of birth, docket number, age, height, weight, hair, eyes, social security
number, visible scars and marks, NCIC identification number, address, phone
number, aliases, drivers license number, occupation, next of kin and address, booking
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officer’s name, current date, charge information, medical information, release date,
time and arresting officer.
Permanent:
Keep homicide and felony booking records permanently.
Semipermanent:
Keep misdemeanor booking records five years.
Bulletins from Other Agencies:
Records including
bulletins, circulars, and related records received from federal, state and local law
enforcement agencies. Usually contains descriptions and photographs of fugitives,
missing persons, stolen property, etc.
Temporary:
Keep records relied upon for police action three years.
Transitory:
Keep all other records until superseded, obsolete or administrative
needs end.
Civil Enforcement Case Files:
Records relating to actions
taken on a specific civil case. Information may include: attempts at service, actual
service information, and documentation of enforcement actions taken under the
provisions of the order.
Temporary:
Keep three years after action completed.
Community Service Programs:
Records relating to police
community service programs, including: DARE, Neighborhood Watch, youth
activities, etc. Records may include: publications, mailing lists, plans, evaluations,
notes, reports, lesson plans and outlines, etc.
Permanent:
Keep annual reports summarizing activities permanently.
Temporary:
Keep other records three years.
Crime Analysis Files:
Records documenting police efforts
to anticipate, prevent, or monitor criminal activity. May include reports, statistical
summaries, photographs, audio/videotape, etc. Subjects often include: crime patterns
or modes of operation, analysis of particular crimes, criminal profiles, forecasts,
movements of known offenders, alerts from other agencies, etc.
Permanent:
Keep records relating to homicides permanently.
Semipermanent:
Keep records relating to major investigations 10 years after case
closed.
Transitory:
Keep all other records until superseded, obsolete or administrative
needs end.
Crime Prevention Security Survey Records:
Records
documenting citizen-requested officer surveys of homes and businesses and
subsequent recommendations for improving security. Information usually includes:
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areas vulnerable to break-ins, blocked exits, landscaping that can hide crime, etc.
Information is typically compiled in a report that is sent to the property owner/renter.
Temporary:
Keep three years.
Crime Prevention Vacation House Inspection Records:
Records documenting inspection of homes and other properties while the occupants
are away. Information typically includes: name, address, date received, vacation
beginning and ending dates, emergency contact information, special conditions, dates
and times officers checked the house or property, etc.
Temporary:
Keep three years.
Criminal Arrest History Records:
Records documenting
information on the accumulated criminal arrest history of individuals which may be
useful in current or future investigations. Records may include: summary sheets or
cards, arrest reports, fingerprint cards, mug shots, and related records. Information
typically includes: name, aliases, residence, sex, age, date and place of birth, height,
weight, hair and eye color, race, scars, marks, tattoos, abnormalities, date of arrest,
offense committed, habits, closest relatives or friends, etc.
Permanent:
Keep records relating to homicides or felonies permanently.
Semipermanent:
Keep records relating to misdemeanors five years.
Criminal History Dissemination Records:
Records
documenting the dissemination of criminal histories and other law enforcement
information to other agencies or criminal information systems. May include teletype
and computer message logs. Information includes: date of release, subject of
information, recipient of information, reason information was requested, and
identification numbers.
Temporary:
Keep three years.
Detoxification Confinement Logs:
Logs listing names of
intoxicated individuals held and released when sober. Includes dates and times
confined and released, name of individual and related information.
Temporary:
Keep three years.
Equipment Issued Records:
These records document
equipment issued to police department personnel, including: handcuffs, keys,
uniforms, badges, bulletproof vests, and weapons (specifying the make, model, serial
number and caliber).
Temporary:
Keep three years after employee separation.
Expunged or Sealed Records:
Records documenting the
arrest and/or conviction of a person who petitions and is granted by the court an order
sealing records. Also applies to juvenile records.
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Permanent.
Field Interrogation Reports:
Informational reports
written by police officers relating to individuals, events or vehicles for which the
officer does not have probable cause for enforcement. Typically includes: name and
address of person contacted, physical description of person or vehicle, officer’s name,
location of contact, date and time, witnesses, reason for contact, etc.
Temporary:
Keep three years.
Firearm Disposal Records:
These files contain records of
firearms that have been disposed of through sale, trade or destruction. They include
the manufacturer’s name, serial number, model, caliber, disposal method, disposal
date, name of business purchasing firearm, and bid.
Permanent.
Fingerprint Cards:
Cards containing fingerprints,
palmprints, and other personal identifiers of arrested individuals. Used for
identification and apprehension of suspects in criminal investigations. The cards also
contain information necessary to identify the individual, including: fingerprint
classification number, name, address, date of birth, date of arrest, social security
number, photograph, occupation, employer, etc.
Permanent:
Keep records relating to homicides or felonies permanently.
Semipermanent:
Keep records relating to misdemeanors five years.
Fingerprint Cards (Latent):
Cards containing latent
fingerprints and palm prints found at crime scenes without identification of suspects.
These are compared against cards on file at the agency. Usually contains information
related to the crime, location, date and time, and other details of the case.
Permanent:
Keep records relating to homicides or felonies permanently.
Semipermanent:
Keep records relating to misdemeanors five years.
Handgun Dealers Sales Records:
Records documenting
purchases of handguns from dealers. May include duplicate register sheets mailed by
the dealer to the police department and triplicate register sheets mailed by the dealer
to the State Police for criminal records checks and then forwarded to the city police
department. Information includes: series number, sheet number, sales person, date
and time, city, make, serial number, caliber, name of purchaser, date of birth, address,
height, occupation, race, eye and hair color, local address (if traveling) and signatures
of purchaser and salesperson.
Semipermanent:
Keep 50 years.
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Indemnity Bonds:
Copies of insurance bonds issued to
indemnify the police department against claims of wrongful actions in civil seizure
cases.
Semipermanent:
Keep five years after seizure completed and a return has been
made to the court of issuance.
Impounded & Abandoned Vehicle Records:
Records
documenting vehicles impounded by police due to accidents, abandonment, recovered
stolen vehicles, vehicles used in commission of crimes, etc. May include reports,
notifications, information cards or sheets, receipts, etc. Information typically
includes: make, model, year, color, identification number, tag number, condition of
vehicle and contents, reason for impounding, location of impoundment, charge (if
any), towing company used, release conditions, and name and address of individual to
whom the vehicle was released.
Temporary:
Keep records not included in case files three years after disposition
of vehicle.
Incident Case File Index:
Indexes to incident case files
used as cross references between case numbers, names, dates, modus operandi, and
other descriptive information.
Permanent.
Incident Case Files:
Central case files documenting
complaints or other actions or incidents investigated by the police department.
Usually filed by case number. Records may include investigative reports, fingerprint
cards, arrest reports, supplemental reports, photographs, correspondence, teletypes,
court orders, court dispositions, officer notes, laboratory reports, drug/alcohol test
records, physical force records, citizen arrest certificates, copies of warrants, search
warrants, booking sheets, property/evidence reports, custody reports, and other
related documents. Information typically includes: suspect information, alleged
activity, location, date, validity of source information and other data.
Permanent:
Keep records relating to felonies and unsolved crimes where DNA
was collected permanently.
Semipermanent:
Keep records relating to misdemeanors five years.
Semipermanent/
Keep protective custody files until the minor turns 18 or is
emancipated.
Temporary:
Informant Case Files:
Records documenting information
about informants used by department personnel. Records typically include: reports,
correspondence, payment records, fingerprint cards, signature cards, letters of
understanding on informant activities, and related records.
Temporary:
Keep three years.
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Internal Investigations Case Files:
Records documenting
investigations of police department personnel for violations of laws, rules or policies
and may include findings and dispositions of investigations. Records often include:
complaints, correspondence, investigatory reports, interviews, hearing summaries,
testimony, etc. Information usually includes: the name of the officer investigated,
reason, location of violation, date, accomplices’ names and addresses, witnesses’
names and addresses, action taken, etc.
Semipermanent:
Keep 10 years after employee separation.
Juvenile Temporary Custody Records:
Records
documenting youths taken into temporary custody by the department. The action is
not considered an arrest. Information typically includes: name, age and address of the
youth; name and address of the person having legal or physical custody of the youth;
reasons for and circumstances under which the youth was taken into temporary
custody; and related information.
Temporary:
Keep three years.
Lost & Found Property Records:
Records documenting
city receipt and maintenance of lost and found or abandoned property such as money,
bicycles and other items not related to a crime. Includes: receipts, inventory lists,
disposition information, etc. (SEE ALSO Property & Evidence Control &
Disposition Records for records documenting property related to or held as evidence
to an alleged crime. SEE ALSO Impounded & Abandoned Vehicle Records for
records on abandoned vehicles.)
Temporary:
Keep three years.
Maps:
Maps and related records maintained for reference
and for tracking various trends. Examples include: Neighborhood Watch Program
maps, street number location maps and books, parking meter maps, and maps plotting
reported crimes in a given area.
Transitory:
Keep until superseded, obsolete or administrative needs end.
Master Name Index Records:
Records documenting
information on each individual who has been field interrogated or arrested, suspects
or accomplices in crimes, victims, complainants, and witnesses to incidents.
Information typically includes: name, address, date of birth, race, sex, date and time
of incident or contact, incident number, and related data.
Permanent.
Mug Shots:
Photographs and negatives of arrested
individuals used for identification and apprehension of suspects in criminal
investigations. The photograph is stamped with the case number or a department
number and the date the picture was taken.
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Permanent:
Keep records relating to homicides or felonies permanently.
Semipermanent:
Keep records relating to misdemeanors five years.
National Crime Information Center (NCIC) Records:
NCIC is a computerized database of criminal justice information available to federal,
state and local law enforcement agencies. NCIC includes information on: wanted
persons, individuals charged with serious/significant offenses, missing persons, gang
members, etc. Categories of records in the system cover stolen vehicles, guns and
articles, and wanted persons.
Transitory:
Keep one year if not part of case file.
Neighborhood Dispute Resolution Records:
Records
documenting the city’s dispute resolution program to handle complaints by citizens
about disputes with neighbors or merchants. Typical cases may cover: animal
control, landlord/tenant issues, noise, harassment, property disputes,
business/consumer issues, etc. Records may include: evaluation and intake records,
service referrals, resolution agreements, and follow-up surveys. Information may
include: name, phone number and address of person filing complaint; case number;
date of activity; narration of request/complaint; name and address of offender; action
taken; and other information.
Semipermanent:
Keep case records five years after last action.
Temporary:
Keep other records three years.
Officer Notes:
Notes written by officers during the course
of a shift containing information which may or may not be included in an official
report. Information may pertain to contacts, incidents, unusual circumstances, and
other subjects. Notes are often used for writing reports and testifying in court.
Information typically includes: names, dates, times, vehicles, activities, locations and
related information.
Permanent:
Keep records relating to homicides or felonies permanently.
Semipermanent:
Keep all other records five years.
Parade Applications:
Applications and other records
relating to parades on city streets, including: fees, insurance requirements, alternative
routes for emergency vehicles, etc.
Temporary:
Keep three years.
Parking & Traffic Warnings & Citations:
Police
department copies of citations and records documenting warnings issued for traffic,
motor vehicle and parking offenses. Information includes: date and time; name and
address; date of birth, sex, and occupation; license number and state; year, make and
model of vehicle; location and type of violation; name of officer issuing citation; etc.
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Temporary:
Keep citation records three years.
Transitory:
Keep warning records until superseded, obsolete or administrative
needs end.
Pawnbroker & Secondhand Dealer Reports:
Reports
submitted to the police department documenting merchandise bought and sold by
dealers. Useful in tracing stolen items. Information includes: name, address,
identification, personal description of pledgor, date, dealer’s name, and description of
article.
Temporary:
Keep three years.
Peer Court Records:
Records documenting the city’s peer
court program where youths who have committed certain first time offenses (typically
status offenses, i.e. underage drinking) are judged by a court of their peers and
typically sentenced to community service. Records may include: policy and
procedure manuals, guidelines and instructions, agreements with juvenile and parents,
verdict and terms of community service.
Semipermanent:
Keep case records five years after final disposition of case or youth
reaches age of majority, whichever is longer.
Temporary:
Keep records not classified as semipermanent or transitory two
years.
Transitory:
Keep participant guidelines and instructions until superseded,
obsolete or administrative needs end.
Photo Identification Records:
Photographs and other
records used to identify agency employees, private security personnel, contract
workers and others. May include photographs taken for agency identification cards,
driver’s license photographs, and information such as name, date of birth, physical
description, identification number, driver’s license number, and other data.
Transitory:
Keep until superseded, obsolete or administrative needs end.
Polygraph Records:
Records documenting polygraph tests
given to criminal suspects, for internal investigations and other purposes. Includes
pre-examination records, questions, statements of consent, analysis reports, results
charts, conclusions, interviewee statements, and related information. (SEE ALSO
Recruitment & Selection Records in the Personnel section for records relating to
prospective employees.)
Permanent:
Keep records relating homicides or felonies permanently.
Semipermanent:
Keep records relating to employees thirty years.Keep all other
records five years.
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Property & Evidence Control & Disposition Records:
Records used to track property and evidence coming into police department
possession. Documents receipt, storage, and disposition of personal property and
physical evidence from defendants, victims, etc. May include evidence photographs
documenting crime scenes, accidents, and other incidents. Records often include:
receipt forms, evidence logs (showing chain of possession of evidence), property
reports, destruction lists, property consignment sheets, seized firearm logs, homicide
evidence inventories, etc. Information usually includes case number, tag number,
date and time, property or evidence description, storage location, release date, etc.
Often filed with Incident Case Files. (SEE ALSO Lost & Found Property Records in
this section for property not related to an alleged crime.)
Semipermanent:
Keep records relating to crimes with no statute of limitations 75
years after case closed. Keep records relating to felonies one year
after statute of limitations expires.
Temporary:
Keep records relating to all other cases one year after statute of
limitations expires.
Property Registration Records:
Records documenting
registration of property for identification in case of theft, loss or burglary. Property
includes, but is not limited to: bicycles, televisions, cameras, stereos and guns.
Information typically includes: name and contact information of owner, description of
property, serial number, etc.
Transitory:
Keep until registration expired, superseded or obsolete.
Property Sales Records:
Documents sale and conveyance
of real and personal property by the police department. Records may include:
certificates of levy, notices of sale, publication proofs, mailing receipts, copy of
judgment and execution, certificate of sale, return of service, and copy of deed issued.
Semipermanent:
Keep seven years.
Radar Equipment Certification & Maintenance
Records:
Records documenting the calibration and maintenance of radar equipment
that may be useful in documenting the accuracy of the readings. Often includes
original factory certification of calibration. Information relating to maintenance and
repair may include: a description of work completed, parts used, date of service,
equipment number, make, model, etc.
Temporary:
Keep three years after equipment replaced.
Teletype, Fax & Electronic Messages:
Incoming and
outgoing teletype, fax or electronic messages concerning a variety of subjects,
including: incidents, meetings, arrests, warrant confirmation, etc. Information
typically includes: date, time, originating agency, and text. These are messages not
warranting inclusion in Incident Case Files or other classifications of records.
Transitory:
Keep until superseded, obsolete or administrative needs end.
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Videotapes:
Videotapes documenting traffic stops and
arrests, as well as surveillance videos of city facilities (including police facilities,
airport, etc.).
Temporary:
Keep tapes used as evidence three years after case reaches final
disposition. Keep tapes used for internal investigations three years
after investigation ends.
Transitory:
Keep all other tapes 30 days.
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Public Works & Engineering Records
Engineering
Engineering Project Technical Records:
Records related
to the planning, design, and construction of various city projects, including, but not
limited to: streets, sidewalks, traffic lights, streetlights, bikeways, water and
wastewater facilities, buildings, etc. May be useful for litigation, reference, or budget
planning. Records often include: impact statements, feasibility studies, plans,
amendments, field test and laboratory reports, inspector reports, change orders, status
reports, and related records. (SEE ALSO Maps, Plans, Drawings & Photos in this
section and Purchasing & Quality-Based Selection Records in the Administrative
section.)
Semipermanent:
Keep records of project cost three years after disposal or
replacement of facility, structure, or system. Keep all other
records 10 years after substantial completion.
General
Activity Reports:
Daily, weekly, monthly or other reports
documenting the activities of public works department employees, including: type of
activity, employees involved, time spent on activity, work completed, equipment and
fuel used, etc.
Permanent:
Keep reports summarizing activities on an annual basis
permanently.
Semipermanent:
Keep all other reports five years.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Benchmark Records:
Benchmarks placed by the city or
the U.S. Geological Survey to denote elevations above sea level. Records may
include books, maps, cards, and other documents. Information includes: location,
monument number, elevation, description, and related data. Usually filed numerically
by benchmark number.
Permanent.
Delivery Tickets:
Tickets issued by suppliers to verify
delivery of supplies or materials (concrete, road base, gravel, etc.). Information
usually includes: date, time, amount and type of supplies/materials received, and
related data.
Temporary:
Keep two years.
Equipment Maintenance & Repair Records:
Records
documenting the inspection, maintenance, and repair of city-owned equipment not
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listed elsewhere in this section. Examples include, but are not limited to: generators,
sewage lift pumps, water pumps, office equipment, and furniture. Records may
include summaries, reports, and similar records usually compiled from daily work
records on a monthly or quarterly basis. Information often includes: description of
work completed, parts and supplies used, date of service, date of purchase, purchase
price, equipment number, make and model, and related data. (SEE ALSO Capital
Asset Records in Administrative section.)
Semipermanent/
Keep until equipment removed from service.
Temporary:
Facilities & Grounds Maintenance & Repair Records:
Records of all minor maintenance and repairs to buildings and grounds owned or
leased by the city. Used to verify that repairs were made. May include summaries,
logs, reports, and similar records usually compiled from daily work records on a
monthly or quarterly basis. Information often includes location, narrative of work
completed, materials used, personnel completing work, authorization, dates of
activities, and related data.
Semipermanent:
Keep records requiring engineering stamps 2 years after life of
structure. Keep all other records five years.
Fill & Leaf Delivery Records:
Records documenting
citizen requests and city delivery of fill material and leaves to private property. Often
includes conditions; property owner address, phone number and signature; number of
loads requested; desired dumping location; and related information. (SEE ALSO
Street Surface Maintenance Records in this section for records documenting the
removal of leaves from city streets.)
Temporary:
Keep two years.
Maps, Plans, Drawings & Photos:
Maps, plans, drawings,
and photos created by or for the city. These include various types of maps such as
system schematic, as-built, topographic, planemetric, orthophoto, resource, and
others. System schematic maps represent locational and other information about
major systems such as water and sewer. Other maps are derived from aerial
photographs and represent physical features such as building footprints, edge of
pavement, and contours. This category also includes as-built plans, drawings, and
details documenting city engineering and construction projects.
Permanent:
Keep maps, plans, drawings, and photos permanently (with the
exception of copies obtained from other agencies).
Transitory:
Copies of maps, plans, drawings, and photos obtained from
federal, state, county or other agencies may be destroyed when
superseded, obsolete or administrative needs end.
Maintenance Request/Complaint Records:
Records
documenting complaints or requests concerning a variety of maintenance
responsibilities carried out by the public works department. Examples include, but
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are not limited to: brushing and limbing; road grading, rocking, sealing, patching, and
marking; traffic signals and signs; city-owned buildings and equipment; streetlights;
and water and sewer system problems. Information often includes: name, phone
number, and address of person making request/complaint; narration of
request/complaint; name of person responding to request/complaint; dates of related
activities; resolution of request/complaint; and other data.
Temporary:
Keep two years after last action.
Master Plan Records:
Document the present and
projected needs of the city for water, sewer, storm drainage, streets, bike paths, and
other systems. Often includes an implementation schedule for construction. Records
often include: plans, reports, evaluations, cost analyses, drawings, and related
documents. Subjects may include: rates, inventory evaluations, system rehabilitation
or replacement, distribution of services, etc.
Permanent.
Right-of-Way Permit Records:
Permits issued for private
use or construction on public rights-of-way such as streets, sidewalks, and adjacent
land. Examples of activities may include house moving, block parties and other uses.
Information can include owner’s name, address, and phone number; contractor’s
name, address, and phone number; location and description of activity; permit
conditions; fee amount; date; signatures; and related data.
Semipermanent:
Keep construction-related records 10 years after substantial
completion of project.
Temporary:
Keep other records two years after permit expiration, revocation,
or discontinuance of use.
Survey Field Records:
Detailed field notes and other
records related to surveys for boundary location or construction, including notes on
traverses, right-of-way location, construction (including levels, cuts, and grades),
sketches related to the survey, and other information.
Permanent:
Keep general surveys and right-of-way location records
permanently.
Semipermanent:
Keep other records 10 years after substantial completion of project.
Temporary Access/Construction Easement Records:
Records documenting temporary easements allowing entrance and work on property
or streets not owned by the easement holder. Permits usually apply to city crews and
utility workers. Information can include: applicant name, address, and phone
number; contractor name and license number; utility involved; location; description
of work; security deposit; surface restoration material used; signature; date;
comments; permit number; and related data. (SEE ALSO Right-of-Way Permit
Records in this section and Easement Records in the Administrative section.)
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Temporary:
Keep two years after expiration of easement.
Utility Installation & Connection Records:
Records
documenting installation of city utility systems or the connection of specific
properties to city water, sewer, power, or similar systems. Does not apply to
temporary stoppages or disconnections service. May include applications, permits,
and similar records. Information often includes: applicant’s name and address, permit
number, fee charged, service level, type of structure, pipe size, meter size and
number, and related data.
Semipermanent:
Keep two years after physical disconnection.
Utility Line Location Request Records:
Records
documenting requests and city action to locate underground lines in the vicinity of a
construction site. Information often includes: name of person requesting location;
planned and actual date and time of location; notations of water, sewer, storm drains,
and other line locations; name and signature of person locating lines; and related data.
Temporary:
Keep two years.
Utility Meter Installation, Location, Maintenance, &
Repair Records:
Records documenting the installation, location, maintenance,
testing, calibration and repair of city operated water and power meters. May include
logs, summaries, and similar records usually compiled from daily work records on a
monthly or quarterly basis. Information often includes: address, narrative of work
completed, personnel completing work, dates, and related data.
Semipermanent:
Keep one year after meter removed from service.
Streets, Streetlights & Bridges
Bridge & Culvert Maintenance & Repair Records:
Records documenting maintenance and repairs on city bridges and culverts, including
pedestrian and bicycle bridges. May include summaries, reports, logs, and related
records usually compiled from daily work records on a monthly or quarterly basis.
Information often includes: location, narrative of work completed, materials used,
personnel completing work, authorization, dates of activities, and related data. (SEE
ALSO Activity Reports in this section.)
Semipermanent:
Keep records with engineering stamps documenting structural
maintenance or repairs two years after bridge/culvert permanently
removed from service. Keep all other records five years.
Bridge Inspection Records:
Records related to bridge
inspections required by the U.S. Department of Transportation (23 CFR 650.305).
Inspections generally are done every two years. Records may include reports
prepared in accordance with federal standards, photographs, correspondence and
related documents.
Semipermanent:
Keep two years after bridge removed from service.
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Crosswalk Records:
Records documenting the location
and use of crosswalks in the city. Useful in determining the need for and placement of
existing and proposed crosswalks. May include striping records, reports, maps,
studies, and related records.
Temporary:
Keep two years after superseded or obsolete.
Railroad Crossing Records:
Records documenting city
activities in relation to railroad crossings. Records may include: crossing plans and
drawings, reports and studies, accident records, and related documentation and
correspondence.
Permanent.
Special Event Records:
Records documenting preparation
for and implementation of traffic changes related to special events such as parades,
motorcades, and demonstrations. Includes situations resulting in heavy traffic or
street use requiring street closures, traffic rerouting, barricades, signal timing
changes, and other variations. May include notifications, planning documents,
reports, and related records.
Temporary:
Keep two years after event.
Speed Zone Records:
Records documenting the
establishment and review of speed zones in the city, including reports, photographs,
proposals, orders, maps, accident summaries, and related documents. Considerations
include pedestrian and bicycle movements, environmental impact, adjacent land use,
and other factors.
Temporary:
Keep two years after superseded.
Street & Road Condition Inventory:
Records
documenting the condition of city streets, roads, curbs, shoulders, sidewalks,
bikeways, alleys, etc. Useful for reference and planning. Information can include
street or road name and location; year surveyed, constructed, and surfaced; bed and
surface type; surface size; condition; and other data.
Semipermanent:
Keep five years.
Street Banner Records:
Records documenting proposals
for and installations of banners on city streets, often in relation to civic events or
celebrations. Records may include: plans, maps, proposals, reports, applications, and
other documents. Applications usually include: applicant’s name, address, and phone
number; organization name; banner message; display period requested; signature of
city official approving permit; and related information.
Temporary:
Keep two years.
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Streetlight Inventory, Maintenance & Repair Records:
Records documenting inventory, maintenance and repairs of city streetlights. May
include reports, summaries, and similar records usually compiled from daily work
records on a monthly or quarterly basis. Information often includes: location, pole
numbers, maps, types of lights, dates of purchase and installation, narratives of repair
work completed, equipment repaired or replaced, supplies used, personnel completing
work, authorization, dates of activities, and related data. (SEE ALSO Activity
Records in this section.)
Temporary:
Keep three years.
Streetlight Request & Survey Records:
Records
documenting requests by citizens for the installation of streetlights, as well as city
surveys to assess need and feasibility. Often includes request forms, correspondence,
surveys, reports, and related records.
Temporary:
Keep two years after last action.
Street Maintenance & Repair Records:
Records
documenting maintenance and repairs of city-owned streets and sidewalks. May
include reports, summaries, and similar documents usually compiled from daily work
records on a monthly or quarterly basis. Information often includes: location,
narrative of work completed, amount of materials used, personnel involved,
authorization, dates of activities, and related data. (SEE ALSO Activity Reports in
this section.)
Semipermanent:
Keep records requiring engineering stamps 10 years after
substantial completion. Keep all other records five years.
Street Surface Maintenance Records:
Records
documenting routine and special street sweeping, cleaning, snow removal, sanding,
leaf removal, and similar work. Often includes reports, summaries and similar
records. Information can include: date and time, area covered, broom down time and
mileage, traveling time and mileage, operator’s name, equipment used, amount of
sand applied, amount of leaves removed, weather conditions, and related data. (SEE
ALSO Activity Reports in this section.)
Semipermanent:
Keep five years.
Traffic Control Equipment Inventory, Maintenance & Repair Records:
Records documenting the location, type, use, maintenance and repair of traffic signals
and signs in the city. May include inventories, reports, summaries, and similar
records. Information often includes: location, type of signal/sign, timing intervals for
signals, date of purchase and installation, narrative of work completed, equipment
repaired or replaced, supplies used, personnel completing work, dates of activities,
and related data. (SEE ALSO Activity Reports in this section.)
Semipermanent:
Keep traffic signal records two years after equipment removed
from service. Keep all other records five years.
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Traffic Research & Accident Analysis Records:
Records documenting the
study of traffic patterns, speed, direction, and accidents in the city. Records may
include various statistical data such as: machine or manual traffic counts; information
on vehicles, bicycles, and pedestrians; types of accidents; complicated intersections;
bridges; pedestrians; city streets/state highways; and other factors.
Semipermanent:
Keep reports and summaries 10 years. Keep all other records five
years.
Truck Route Records:
Records documenting the designation of truck routes for
transporting goods within and through the city. May include reports, maps, studies,
and related documents. Subjects often include: hazardous materials, triple trailer
trucks, log trucks, buses, and others.
Temporary:
Keep two years after superseded.
Wastewater & Stormwater
Discharge Monitoring Records:
Records documenting the amount of pollution
discharged from the city wastewater treatment facility. May also include supporting
documentation. Information includes: date; period covered; NPDES permit number;
discharge number; frequency of analysis; sample type; and average and maximum
quantities and concentrations of solids, ammonia, chlorine, nitrogen, and other
chemicals.
Permanent:
Keep reports permanently (with the exception of discharge
monitoring reports, see below).
Semipermanent:
Keep discharge monitoring reports 20 years after permit
expiration. Keep all other records five years, until the end of the
NPDES permit cycle, or as requested by state or federal agencies,
whichever is longer.
Equipment Maintenance & Calibration Records:
Records documenting the
maintenance and calibration of equipment and instruments used to undertake and
monitor wastewater treatment operations. Useful to verify equipment reliability and
for reference by regulatory agencies. Information includes: date, type of equipment
maintained or calibrated, tests performed, repairs needed, comments, and related
information.
Semipermanent:
Keep five years after equipment removed from service, until the
end of the NPDES permit cycle, or as requested by state or federal
agencies, whichever is longer.
Industrial Pretreatment Permits:
Permits issued by the city to private industries
allowing the discharge of specific pollutants under controlled conditions. Records
typically include: applications, permits, addenda, modifications, and related
supporting documentation. Information typically includes: influent and effluent
limits, chemical analysis data, water flow, test and recording requirements, definitions
and acronyms, compliance schedules, and related information.
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Permanent:
Keep permits, addenda, and modifications permanently.
Semipermanent:
Keep other records five years after expiration or revocation.
Mobile Waste Hauler Dumping Records:
Records documenting the dumping of
septic pumpings and other wastes from various sources at the city waste treatment
facility. Records include logs, manifests, and similar documents. Information
includes: name and signature of hauler, quantity of wastes dumped, location at which
wastes were pumped, and related information.
Semipermanent:
Keep five years.
National Pollutant Discharge Elimination System (NPDES) Records:
Records
documenting the application for and issuance of a permit to the city under the NPDES
program which allows discharge of specific pollutants under controlled conditions.
Records typically include: applications, permits, addenda, modifications, and related
supporting documentation. Information includes: influent and effluent limits,
chemical analysis records, water flow, test and recording requirements, definitions
and acronyms, compliance schedules, and related data. (SEE ALSO Wastewater
Inspection Records in this section.)
Permanent:
Keep permit, addenda, and modifications permanently.
Semipermanent:
Keep other records five years, until the end of the permit cycle, or
as requested by state or federal agencies, whichever is longer.
Note:
Federal regulations (40 CFR 122.41) require that permittees must
keep records of all monitoring information (including all
calibration and maintenance records and all original strip chart
recordings for continuous monitoring instrumentation), all records
required by the permit, and records of all data used to complete the
permit application for at least 3 years from the date of the sample,
measurement, report or application.
Sewage Sludge Application Landowner Agreements:
Agreements between the
city and landowners related to the application of sewage sludge to approved sites.
Records include signed agreements, exhibits, amendments, and related documents.
Information typically includes: agreement number, date, conditions or terms, parties
involved, period covered, and signatures.
Semipermanent:
Keep six years after expiration.
Sewage Sludge Application Site Logs:
Logs documenting the agricultural
application of sewage sludge to approved sites. Subjects include agronomic loading
calculations related to maximum application of nitrogen in pounds per acre per year,
and ultimate site life loading calculations tracking the amount of heavy metals
applied.
Permanent.
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Note:
Federal regulations (40 CFR 503.27 and 40 CFR 503.17) require
certain records relating to application of sewage sludge be kept
permanently (including the location and acreage of sites, date of
application, cumulative pollutants, tons of sludge applied and a
certification from the employee) and other records must be kept at
least five years.
Sewage Sludge Management Plans:
Plans submitted by the city to engage in
sludge disposal or application activity. Information includes: method of sludge
removal, land application or disposal sites, sludge stability determination methods,
projected sludge storage basin use, sludge analyses, application rates, and heavy
metal limitations.
Permanent.
Sewer & Storm Drainage Maintenance & Repair Records:
Records
documenting the maintenance and repair of city sewers and storm drains. May
include summaries, reports, and similar records usually compiled from daily work
records on a monthly or quarterly basis. Information often includes location, narrative
of work completed, amount and type of material used, personnel completing work,
dates of activities, authorization, and related information. (SEE ALSO Activity
Reports and Sewer Television/Videoscan Inspection Records in this section.)
Semipermanent:
Keep records requiring engineering stamps two years after life of
structure. Keep other records five years.
Sewer Smoke Test Records:
Records documenting smoke tests undertaken to
verify hookup to main sewer lines, check condition of pipes, or determine
effectiveness of backflow prevention devices. Information typically includes: maps
or diagrams of lines tested, location of leaks detected, inspector’s name, pipe size,
and related information.
Semipermanent:
Keep 10 years.
Sewer Television/Videoscan Inspection Records:
Reports documenting
television inspections used to locate problems and defects in sewer lines. Often
consists of periodic inspections of existing lines, final inspections of newly
constructed lines, and inspections at the end of warranty periods. Records usually
contain videotapes and written reports. Information typically includes: date, type of
inspection, conditions found, repairs needed, distances from manholes, and related
information.
Semipermanent:
Keep written reports one year after the life of the sewer line.
Transitory:
Keep videotapes one year after written report submitted.
Strip & Circle Chart Records:
Records documenting the continuous monitoring
of various wastewater treatment operations. May include strip charts, circle charts,
and similar monitoring records. Information typically pertains to pump flows,
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influent and effluent water flows, secondary total flow, influent pH, chlorine residue,
and related subjects.
Temporary:
Keep three years, except for NPDES-related charts (see
Wastewater Facilities Permit Records below).
Valve Maintenance Records:
Records documenting the
location, specifications, maintenance, and repair of valves in the city sewer system.
May include lists, charts, drawings, reports, logs, and related records. Information
often includes: valve location, identification number, run of pipe, size, make, year
installed, depth, turns to open and normal position, narratives of valve maintenance
and repair, tests run, personnel completing work, dates, and related information.
Semipermanent:
Keep location and specification records one year after valve
removed from service. Keep all other records five years.
Wastewater Facilities Permit Records:
Records
documenting the application for and issuance of a permit authorizing the city to
construct and operate a disposal system with no discharge to navigable waters.
Examples include: sewage lagoons, land application/reuse, septic tanks, and drain
fields. Records often include: applications, permits, addenda, modifications, and
related supporting documentation.
Permanent:
Keep permit, addenda, and modifications permanently.
Semipermanent:
Keep other records five years after permit expiration or revocation.
Wastewater Grant & Loan Records:
Records relating to
Idaho Department of Environmental Quality grants and loans for wastewater
facilities, including: application form and checklist, authorizing resolution,
engineering contract checklist, certificate of negotiation, proof of professional
liability insurance, certification of financial and management capability, and other
documents.
Semipermanent:
Keep three years after grant closure or loan payoff.
Wastewater Inspection Records:
Records documenting
inspections of city wastewater treatment operations to monitor compliance with
National Pollution Discharge Elimination System (NPDES) permit conditions. May
include reports and supporting documentation. Information typically includes: date,
location, areas evaluated during inspection, summary of findings, pre-treatment
requirements review, sampling checklists, flow measurements, laboratory assurance
checklists, and related information.
Permanent:
Keep reports permanently.
Semipermanent:
Keep other records five years, until the end of the NPDES permit
cycle, or as requested by state or federal agencies, whichever is
longer.
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Wastewater Treatment Operations Records:
Records
not listed elsewhere in this schedule which document wastewater treatment
operations. Created on a daily, monthly, and annual basis. Usually consists of
reports, logs, log sheets, and related records.
Permanent:
Keep annual reports permanently.
Semipermanent:
Keep other records five years, or as requested by state or federal
agencies, whichever is longer.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Water
Backflow Prevention Device Test Records:
Records
documenting test results on backflow prevention devices designed to protect the city
water system from pollution related to substances backing into water lines.
Information typically includes: date, type and size of device, serial number, location,
test records, line pressure, name of tester, name and address of device owner, and
related data.
Temporary:
Keep three years after subsequent test.
Cross Connection Control Survey Records:
Records
documenting the monitoring of potential or actual water system health hazards from
pollution entering water pipes from other pipes. Records may include: reports,
surveys, checklists, and related documents. Information often includes: address,
contact person, business name, date, inspector, type of facility, description of
protection, comments, corrections made, and other information.
Semipermanent:
Keep one year after disconnection or 10 years, whichever is longer.
Consumer Confidence Reports:
Records documenting the
presence of any contaminants identified by the city in city water over the course of a
year. Reports are mailed to city residences and businesses receiving city water.
Semipermanent:
Keep five years.
Note:
Federal regulations (40 CFR 141.155) require these records to be
kept for at least three years.
Disinfection Profiling & Benchmarking Records:
Records relating to disinfection profiling and benchmarking for Giardia lamblia or
virus inactivation.
Permanent.
Note:
Federal regulations (40 CFR 141.571) require these records to be
kept permanently.
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Drinking Water Grant & Loan Records:
Records
relating to Idaho Department of Environmental Quality grants and loans for water
facilities, including: application form and checklist, authorizing resolution,
engineering contract checklist, certificate of negotiation, proof of professional
liability insurance, certification of financial and management capability, and other
documents.
Semipermanent:
Keep three years after grant closure or loan payoff.
Equipment Maintenance & Calibration Records:
Records documenting the maintenance and calibration of equipment and instruments
used to monitor water treatment operations. Useful in verifying reliability and for
reference by regulatory agencies. May include logs, reports, and related records.
Information typically includes: date, type of equipment maintained or calibrated, tests
conducted, repairs needed, comments, and related information.
Semipermanent:
Keep until equipment removed from service.
Flouride Analysis Records:
Daily records of flow and
amounts of fluoride, and weekly analyses of fluoride in finished water.
Semipermanent:
Keep five years.
Note:
Idaho regulations (IDAPA 58.01.08.552.06) require these records
to be kept at least five years.
Free Chlorine Residual Analysis Records:
Analyses
made at least daily for free chlorine residual for systems using ground water that add
chlorine for disinfection.
Transitory:
Keep one year.
Note:
Idaho regulations (58.01.08.552.05) require these records to be
kept at least one year.
Hydrant Records:
Records documenting the location,
specifications, maintenance, testing, and repair of water hydrants in the city water
system. May include lists, charts, logs, reports, and related records. Information
typically includes: location, make, description (main size, valve size, flow capacity,
etc.), maintenance and repair narratives, dates, authorizations, and related
information.
Semipermanent:
Keep location and specification records until hydrant permanently
removed from service. Keep all other records five years.
Lead & Copper Control Records:
Records documenting
treatment triggered by lead and copper action levels measured in samples collected at
consumers’ taps, including corrosion control treatment, source water treatment, lead
service line replacement, public education and supplemental monitoring.
131
Semipermanent:
Keep twelve years.
Note:
Federal regulations (40 CFR 141.91) require these records be kept
at least 12 years.
Non-Compliance Corrective Action Records:
Records
documenting action taken by the city to correct violations of primary drinking water
regulations. May include reports, logs, and related records.
Temporary:
Keep three years after last action.
Note:
Federal regulations (40 CFR 141.33) require these records to be
kept at least three years after the last action taken with respect to
the particular violation.
Sanitary Survey Records:
Records documenting surveys
examining the overall sanitary condition of the city water system. May be conducted
by the city, private consultants, or state/federal agencies. Records may include
written reports, summaries, and related documents.
Permanent:
Keep reports and summaries permanently.
Semipermanent:
Keep all other records ten years.
Note:
Federal regulations (40 CFR 141.33) require written reports,
summaries and communications relating to sanitary surveys must
be kept at least 10 years after completion of the survey.
Secondary Contaminant Reports:
Reports documenting
the analysis of water samples to determine the level of secondary contaminants.
Secondary contaminants are those which, at levels generally found in drinking water,
do not present a health risk but may affect taste, odor, and color of water, as well as
stain plumbing fixtures and interfere with water treatment processes. Information
typically includes: date, report number, analyst, time of sample collection,
contaminant levels, and related information.
Semipermanent:
Keep 10 years.
Strip & Circle Chart Records:
Records documenting the
continuous monitoring of various water treatment operations. May include strip
charts, circle charts, and similar monitoring records. Information often pertains to
reservoir levels, pump flows, distribution line pressure, and related subjects.
Temporary:
Keep three years.
Variance & Exception Records:
Records documenting
variances and exceptions granted to the city by regulatory agencies concerning water
treatment operations. Information typically includes: date, conditions of variance or
exception, expiration date, and related information.
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Semipermanent:
Keep five years after expiration of variance/exception.
Note:
Federal regulations (40 CFR 141.33) require these records be kept
at least five years after expiration of the variance/exception.
Valve Maintenance Records:
Records documenting the
location, specifications, maintenance, and repair of valves in the city water system.
May include lists, charts, drawings, reports, logs, and related records. Information
typically includes: valve location, identification number, run of pipe, size, make, year
installed, depth, turns to open and normal position, narratives of valve maintenance
and repair, tests run, personnel completing work, dates, and related information.
Semipermanent:
Keep location and specification records one year after valve
removed from service. Keep all other records five years.
Water Bacteriological Quality Analysis Reports:
Reports documenting water samples taken from various locations throughout the city
water system and supply sources for bacteriological tests. Information includes:
location, collection date, person taking samples, sample type, analysis date,
laboratory name, person performing analysis, analytical method used, and the results
of the analysis.
Semipermanent:
Keep five years.
Note:
Federal regulations (40 CFR 141.33) require these records be kept
at least five years.
Water Chemical & Radiological Analysis Reports:
Records documenting water samples taken from various locations throughout the city
water system and supply sources for chemical and radiological tests. Information
includes: location, collection date, person collecting sample, sample type, analysis
date, laboratory name, person conducting analysis, analytical method used, and
results of the analysis.
Semipermanent:
Keep 10 years.
Note:
Federal regulations (40 CFR 141.33) require chemical analyses be
kept at least 10 years.
Water Consumption Reports:
Reports documenting
statistics of daily, monthly and annual water consumption. Useful for prediction of
future flows and peak demands. Information may include water consumption in
millions of gallons and cubic feet from treatment plants, springs, artesian wells,
pumped wells, and reservoirs.
Permanent:
Keep annual reports permanently.
Semipermanent:
Keep information not summarized in annual report 10 years.
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Transitory:
Keep information summarized in annual report one year.
Water Line Maintenance & Repair Records:
Records
documenting the maintenance and repair of city-owned water lines. May include
reports, summaries, and similar documents usually compiled from daily work records
on a monthly or quarterly basis. Information often includes: location, narrative of
work completed, amount and type of materials used, personnel completing work,
dates of activities, authorization, and related data. (SEE ALSO Valve Maintenance
Records, Hydrant Records, and Activity Reports in this section.)
Semipermanent:
Keep records requiring an engineering stamp two years after water
line permanently removed from service. Keep other records five years.
Water Quality Complaint Records:
Records
documenting complaints received from the public about the quality of city water.
Information typically includes: name, address, and phone number of complainant;
nature of complaint; location; description of water; name of person responding to
complaint; narrative of investigation; and resolution.
Temporary:
Keep three years after last action.
Water Treatment Operations Records:
Records not
listed elsewhere in this schedule, which document water treatment operations, created
on a daily, monthly, or annual basis. Records may include state or federal required
reports. May consist of reports, logs, log sheets, and related records. Subjects may
include: amount and types of chemicals used, filter rates, etc.
Permanent:
Retain annual reports permanently.
Semipermanent:
Keep all other reports five years, or as requested by state or federal
agencies, whichever is longer.
Note:
Idaho Code 50-907(2)(e) provides that departmental reports must
be kept at least five years.
Water Turbidity Reports:
Reports documenting the
analysis of water samples to determine the level of cloudiness caused by suspended
particles. Information typically includes: date, report number, analyst, time of sample
collection, turbidity unit values for routine and check samples, and related
information.
Semipermanent:
Keep 10 years.
Note:
Federal regulations (40 CFR 141.175) require that the results of
individual filter monitoring must be kept at least three years.
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