RECORD NUMBER
|
RECORD TITLE
|
RETENTION PERIOD |
|
|
GENERAL
RECORDS OF SOUTH PLAINS COLLEGE
|
|
|
|
PART 1:
ADMINISTRATIVE RECORDS
|
|
|
|
SECTION 1-1: RECORDS OF GOVERNING BODIES
|
|
|
1000-01 |
AGENDAS |
|
|
|
I.
Open meetings. |
2
years. |
|
|
II.
Closed
sessions. |
2 years. |
|
1000-02 |
DEDICATIONS |
PERMANENT. |
|
1000-03 |
MINUTES (the use of the
term audiotape in (c)-(e) includes videotapes with sound) |
|
|
|
I.
Written
minutes. |
PERMANENT. |
|
|
II.
Notes taken
during meetings from which written minutes are prepared. |
90
days after approval of minutes by the governing body. |
|
|
III.
Audiotapes of
open meetings, except as described in (d), for which written minutes are not
prepared. |
PERMANENT. |
|
|
IV.
Audiotapes of
workshop sessions of governing bodies in which votes are not made and written
minutes are not required by law to be taken. |
2
years. |
|
|
V.
Audiotapes of
open meetings for which written minutes are prepared. |
90
days after approval of minutes by the governing body. |
|
|
VI.
Audiotapes of
closed meetings. |
2
years. |
|
|
VII.
Supporting
documentation - One copy of each document of any type submitted to a meeting
of a governing body for consideration, approval, or other action; if such action
is reflected in the minutes of the meeting. |
2 years. |
|
1000-04 |
OPEN MEETING NOTICES |
2 years. |
|
1000-05 |
ORDINANCES, ORDERS,
RESOLUTIONS (including those that have been repealed, revoked, or
amended) |
PERMANENT. |
|
1000-06 |
PETITIONS
- Petitions from the public to the governing body or subsidiary boards or
commissions of a local government |
Consideration
of the petition + 2 years |
|
1000-07 |
PROCLAMATIONS |
2 years. |
|
|
SECTION 1-2: GENERAL RECORDS
|
|
|
1000-20 |
ACCIDENT REPORTS - Reports
of accidents to persons on local government property or in any other
situation in which a local government could be party to a law suit. |
|
|
|
I.
Reports of
accidents to adults. |
5
years. |
|
|
II.
Reports of
accidents to minors. |
5 years; or 2 years after
the minor reaches the age of 18, whichever later. |
|
1000-21 |
AFFIDAVITS OF PUBLICATION
(including any accompanying clipping proofs or tear sheets) |
|
|
|
I.
Publication of
municipal ordinances. |
PERMANENT. |
|
|
II.
Election
notices. |
|
|
|
A.
Notices of
election in which candidates for federal office are not involved. |
60
days after election day. |
|
|
B.
Notices of
election in which candidates for federal office are involved. |
22
months after election day. |
|
|
III.
All other
published legal notices. |
2 years. |
|
1000-22 |
ANNEXATION, DISANNEXATION,
ABOLITION, AND OTHER JURISDICTIONAL RECORDS - Records relating to the
annexation or disannexation of territory to or from a local government, to
its abolition, or to other actions which affect its territorial
jurisdiction or service area, including reports, correspondence, records
of public hearings, agreements, and similar records. |
5 years. |
|
1000-23 |
CHARTERS |
PERMANENT. |
|
1000-24 |
COMPLAINTS - Complaints
received from the public by a governing body or any officer or employee of a
local government relating to government policy. |
Resolution or dismissal of
complaint + 2 years. |
|
1000-25 |
CONTRACTS,
LEASES, AND AGREEMENTS - Contracts, leases, and agreements, including
reports, correspondence, performance bonds, and similar records relating
to their negotiation, administration, renewal, or termination, except
construction contracts (see item number 1075-16). |
4 years after the
expiration or termination of the instrument according to its terms. |
|
1000-26 |
CORRESPONDENCE AND
INTERNAL MEMORANDA (includes incoming and copies of outgoing correspondence
and internal correspondence and memoranda) |
|
|
|
I.
Policy and
program development - Correspondence and internal memoranda pertaining
to the formulation, planning, implementation, modification, or redefinition
of the policies, programs, services, or projects of a local government. |
5
years. |
|
|
II.
Administrative
- Correspondence and internal memoranda pertaining to or arising from the
routine administration or operation of the policies, programs, services,
and projects of a local government. |
2
years. |
|
|
III.
Routine -
Correspondence and internal memoranda such as letters of transmittal, requests
for publications, internal meeting notices, and similar routine matters. |
AV |
|
1000-27 |
DEEDS (including title
opinions, abstracts and certificates of title, title insurance, documentation
concerning alteration or transfer of title, and similar records evidencing
public ownership of real property) |
PERMANENT. |
|
1000-28 |
EASEMENTS
- Documentation relating to easements and rights-of-way for public works or
other local government purposes, including releases. |
PERMANENT. |
|
1000-29 |
INSURANCE POLICIES -
Liability, theft, fire, health, life, automobile, and other policies for
local government property and personnel, including supporting documentation
relevant to the implementation, modification, renewal, or replacement of policies. |
4 years after expiration
or termination of the policy according to its terms. |
|
1000-30 |
LEGAL OPINIONS - Legal
opinions rendered by counsel for a local government or the Attorney General,
including any written requests for opinions, concerning the governance and
administration of a local government. |
PERMANENT. |
|
1000-31 |
LITIGATION CASE FILES
(including all cases to which a local government is a party unless the case
file is of a type noted elsewhere in this or other commission schedules) |
AV after final disposition
of the case. |
|
1000-32 |
MINUTES (STAFF) - Minutes
of internal staff meetings. |
AV |
|
1000-33 |
NEWS RELEASES |
AV |
|
1000-34 |
OPEN RECORDS REQUESTS -
Open records requests, including correspondence and other documentation
relating to the request. |
1 year after final
decision on request. |
|
1000-35 |
ORGANIZATIONAL CHARTS |
UNTIL SUPERSEDED |
|
1000-36 |
PERMITS AND LICENSES -
Records documenting the application for and the issuance of permits and
licenses by a local government for sales, solicitation, facility usage, and
similar activities. Does not include permits and licenses issued for the construction
of or alterations to real property, for those relating to health and
sanitation, or for those issued by police or fire departments listed in other
commission schedules. |
Expiration, cancellation,
revocation, or denial + 2 years. |
|
1000-37 |
PHOTOGRAPHS, RECORDINGS,
AND OTHER NON-TEXTUAL MEDIA - Photographs, photographic scrapbooks, slides,
sound recordings, videotapes, posters, and other non-textual media that
document the history and activities of a local government or any of its
departments, programs, or projects except such records noted elsewhere in
this or other commission schedules. |
PERMANENT |
|
1000-38 |
POLICY AND PROCEDURE
DOCUMENTATION - Executive orders, directives, manuals, and similar
documents that establish and define the policies, procedures, rules, and
regulations governing the operations or activities of a local government
as a whole or any of its departments, programs, services, or projects. |
UNTIL SUPERSEDED + 5
years. |
|
1000-39 |
RECORDS MANAGEMENT RECORDS |
|
|
|
I.
Records control
schedules (including all successive versions of and amendments to schedules) |
PERMANENT |
|
|
II.
Records
destruction documentation - Records documenting the destruction of
records under records control schedules, including requests submitted to the
Texas State Library and Archives Commission for authorization to
destroy unscheduled records or the originals of permanent records that have
been microfilmed. |
PERMANENT |
|
|
III.
Records
inventories - Lists or inventories of the active and inactive records created
or received by a local government. |
AV |
|
|
IV.
Records
management plans and policy documents - Plans and similar documents
establishing the policies and procedures under which a records management
program operates. |
UNTIL
SUPERSEDED + 5 years. |
|
1000-41 |
REPORTS
AND STUDIES (NON-FISCAL) |
|
|
|
I.
Annual, sub-annual,
or irregularly prepared reports, performance audits, or planning studies
submitted to the governing body or chief administrative officer of a local
government or by the local government to a state agency, as may be
required by law or regulation, on the non-fiscal performance of a
department, program, or project or for planning purposes, including
those prepared by consultants under contract with a local government,
except documents of similar types noted in this or other commission
schedules. |
|
|
|
A.
Annual reports. |
PERMANENT |
|
|
B.
Special reports
or studies prepared by order or request of the governing body or considered
by the governing body (as reflected in its minutes) or ordered or requested
by a state agency or a court. |
PERMANENT |
|
|
C.
Special reports
or studies prepared by order or request of the chief administrative
officer. |
5 years. |
|
|
D.
Monthly,
bimonthly, quarterly, or semi-annual reports. |
3 years. |
|
|
II.
Activity
reports compiled on a daily or other periodic basis pertaining to workload
measures, time studies, number of public contacts, etc., except reports of
similar types noted in this or other commission schedules. |
1
year. |
|
1000-42 |
WAIVERS
OF LIABILITY (including statements signed by volunteers acknowledging
non-entitlement to benefits, agreeing to abide by local government policies,
etc.) |
3
years from date of cessation of activity for which the waiver was signed. |
|
|
PART 2:
FINANCIAL RECORDS
|
|
|
|
SECTION 2-1: FISCAL ADMINISTRATION AND REPORTING
|
|
|
1025-01 |
AUDIT
RECORDS (by both internal and external auditors) |
|
|
|
I.
Annual or
biennial cumulative audit. |
PERMANENT |
|
|
II.
Annual,
biennial, or other periodic audit of a department, program, fund, or account
if included in a cumulative audit under (a). |
2 years. |
|
|
III.
Annual,
biennial, or other periodic audit of a department, program, fund, or account
if not included in a cumulative audit under (a). |
PERMANENT |
|
|
IV.
Special audits
ordered by a governing body, a court or grand jury, or mandated by
administrative rules of a state or federal agency. |
PERMANENT |
|
|
V.
Working papers,
summaries, and similar records created for the purposes of conducting an
audit. |
3
years after all questions arising from the audit have been resolved. |
|
1025-02 |
BANK
SECURITY RECORDS - Records documenting the pledging of bonds or securities by
banks serving as depositories for public funds including depository contracts,
security pledges and statements, surety bonds, and similar records. |
4
years after termination, expiration, or release of contractual obligations. |
|
1025-03 |
BOND RECORDS (see
retention note to item number 1025-09) |
|
|
|
I.
Bond
administrative records consisting of preliminary studies, proposals and
prospectuses, authorizations and certifications for issuance or cancellation,
and related policy correspondence. |
PERMANENT |
|
|
II.
Bond
certificates and redeemed coupons. |
1 year after payment. |
|
|
III.
Bond registers. |
PERMANENT. |
|
|
IV.
Records
relating to the exchange, conversion, or replacement of bonds by bondholders. |
a) If information is
contained in a bond register - 1 year. b) If information is
not contained in a bond register - PERMANENT. |
|
1025-04 |
BUDGETS
AND BUDGET DOCUMENTATION |
|
|
|
I.
Annual budgets
(including amendments). |
PERMANENT |
|
|
II.
Special budgets
(includes budgets for capital improvement projects, grant-funded projects, or
other projects prepared on a special or emergency basis and not included in
an annual budget). |
PERMANENT |
|
|
III.
Working papers
created exclusively for the preparation of budgets, including budget
requests, justification statements, and similar documents. |
2 years. |
|
|
IV.
Encumbrance and
expenditure reports (status reports showing expenditures and encumbrances
against a budget). |
2 years. |
|
|
V.
Budget change
documentation, including line item or contingency/reserve fund transfers and
supplemental budget requests. |
2
years. |
|
1025-05 |
CAPITAL
ASSETS RECORDS - Documentation relating to the capital and fixed assets of a
local government. |
|
|
|
I.
Equipment or
property history cards or similar records containing data on initial cost,
including disposal authorizations when disposed of. |
FISCAL YEAR END of date of disposal +7 years |
|
|
II.
Equipment or
property cost and depreciation schedules or summaries used for capital outlay
budgeting or other financial or budget control purposes. |
FISCAL YEAR END +7 years |
|
|
III.
Equipment or
property inventories (including sequential number property logs). |
UNTIL SUPERSEDED + 3 years. |
|
|
IV.
Property sale,
auction, or disposal records of government-owned equipment or property. |
1
year. |
|
1025-06 |
FEDERAL
REVENUE SHARING RECORDS - Records concerning the use of federal revenue
sharing funds by a local government, including revenue and expenditure
summaries; status, budget, and audit reports; and other reports or documentation
required by federal law or regulation. |
3
years. |
|
1025-07 |
FINANCIAL
REPORTS - Annual, sub-annual, or irregularly prepared financial reports
or statements on the accounts, funds, or projects of a local government
created either for internal use or for submission to state agencies as may be
required by law or regulation, except reports of similar types noted in
this or other commission schedules. |
|
|
|
I.
Monthly,
bimonthly, quarterly, or semi-annual reports. |
FISCAL YEAR END + 3 years. |
|
|
II.
Annual reports. |
PERMANENT |
|
|
III.
Long range
fiscal planning reports. |
PERMANENT |
|
|
IV.
Capital
improvement reports. |
PERMANENT |
|
1025-08 |
GRANT
DEVELOPMENT AND ADMINISTRATIVE RECORDS |
|
|
|
I.
Successful
grant applications and proposals and any documentation that modifies the
terms of a grant. |
FISCAL YEAR END + 7 years |
|
|
II.
Financial,
performance, and compliance reports submitted to grantor or subgrantor
agencies. |
FISCAL YEAR END + 7 years |
|
|
III.
Reports,
planning memoranda, studies, correspondence, and similar records created for
and used in the development of successful grant proposals. |
3 years. |
|
|
IV.
Any records of
the type noted in (a) or (b) relating to unsuccessful grant proposals. |
AV |
|
1025-09 |
INVESTMENT TRANSACTION
RECORDS - Documentation relating to the investment of public funds
(e.g., certificates of deposit) that evidences the investment of funds, the
performance or return of investments, the cancellation or withdrawal of investments,
and similar activity. |
FISCAL YEAR END + 7 years |
|
|
SECTION 2-2: ACCOUNTING RECORDS
|
|
|
1025-25 |
ACCOUNTING
POLICIES AND PROCEDURES DOCUMENTATION - Policy and procedure directives
and similar records documenting accounting methodology. |
UNTIL
SUPERSEDED + 5 years. |
|
1025-26 |
ACCOUNTS
PAYABLE AND DISBURSEMENT RECORDS - Claims, invoices, statements, copies
of checks and purchase orders, expenditure authorizations, and similar
records that serve to document disbursements, including those
documenting claims for and reimbursement to employees for travel and other
employment-related expenses, except |
FISCAL
YEAR END of date of payment +7
years |
|
|
I.
Accounts
payable records sufficient to document the purchase costs of capital
equipment or other fixed assets if capital asset documentation of the type
noted under item number 1025-05(a) is not created. |
FISCAL YEAR END of date of disposal +7 years |
|
|
II.
Fund
transmittal reports accompanying the transmittal of funds to federal, state,
or other local government agencies (e.g., sales tax to the State Comptroller
of Public Accounts), to retirement systems, or to other entities if the
funds are collected in whole or in part on behalf of other agencies or
individuals (e.g., retirement deductions of employees), except those
accompanying the transmittal of federal and state payroll and unemployment
taxes [see item number 1050-53(b)]. |
FISCAL
YEAR END of period covered by report + 3 years. |
|
1025-27 |
ACCOUNTS
RECEIVABLE RECORDS - Bill copies or stubs, statements, billing registers, account
cards, deposit warrants, cash receipts, receipt books, cash transfers, daily
cash reports, cash drawer reconciliations, and similar records that serve to
document money owed to or received by a local government and its collection
or receipt except |
FISCAL
YEAR END of date of receipt +7
years |
|
|
I.
Accounts
receivable records documenting the receipt of any monies by any local
government other than a school district that are remittable to the State
Comptroller of Public Accounts (e.g., court costs in criminal cases, sales
tax). |
Remittance due date + 7 years |
|
|
II.
Account card or
similar record documenting payments to a local government in which the
government holds a property lien until the debt is satisfied (e.g., liens
arising from demolition, lot cleaning), including original liens and
lien releases. |
FISCAL YEAR END of date of final payment and
release of lien + 3 years |
|
|
III.
Account card or
similar record relating to the receipt of cash deposits as sureties for the
delivery of services (e.g., water and wastewater). |
FISCAL YEAR END of termination of service or refund
of deposit + 3 years. |
|
|
IV.
Records of
accounts deemed uncollectable, including write-off authorizations. |
FISCAL
YEAR END of write-off date +7
years |
|
1025-28 |
BANKING
RECORDS - Bank statements, cancelled checks, check registers, deposit
slips, debit and credit notices, reconciliations, notices of interest earned,
etc. |
FISCAL
YEAR END + 5 years |
|
1025-29 |
COST
ALLOCATION AND DISTRIBUTION RECORDS - Records created to document the
allocation of costs among accounts and funds of a local government, including
records relating to chargebacks and other interdepartmental or interfund accounting
transactions. |
FISCAL
YEAR END +7 years |
|
1025-30 |
LEDGERS,
JOURNALS, AND ENTRY DOCUMENTATION |
|
|
|
I.
General ledger
showing receipts and expenditures from all accounts and funds of a local
government. |
|
|
|
A.
For fiscal
years for which an annual audit report (see item number 1025-01) exists. |
FISCAL YEAR END + 5 years |
|
|
B.
For fiscal
years for which an annual audit report (see item number 1025-01) does not
exist. |
PERMANENT |
|
|
II.
Subsidiary
ledgers. |
FISCAL YEAR END + 5 years |
|
|
III.
Receipt,
disbursement, general, or subsidiary journals. |
FISCAL YEAR END + 5 years |
|
|
IV.
Journal
vouchers and entries or similar posting control forms (including supporting
documentation such as correspondence and auditor adjustments that evidence
journal entries and amendments). |
FISCAL YEAR END + 5 years |
|
|
V.
Perpetual care
fund registers of municipally-owned cemeteries. |
PERMANENT. |
|
1025-31 |
TRANSACTION
SUMMARIES - Periodic summaries or reports of accounting transactions or
activity by department, budget code, program, account, fund, or type of activity,
including trial balances, unless the summary is of a type noted elsewhere in
this part. |
|
|
|
I.
Daily. |
AV. |
|
|
II.
Weekly. |
90 days. |
|
|
III.
Monthly,
bimonthly, quarterly, or semi-annual. |
2 years. |
|
|
IV.
Annual. |
FISCAL
YEAR END +7 years |
|
1025-32 |
UNCLAIMED
PROPERTY DOCUMENTATION - Any form of record sufficient to verify information
on unclaimed property previously reported to the State Treasurer showing the
name and last known address of the apparent owner of reportable unclaimed
property, a brief description of the property, and the balance of each
unclaimed account, if appropriate. |
Date
on which property is reportable + 10 years. |
|
|
PART 3:
PERSONNEL AND PAYROLL RECORDS
|
|
|
|
SECTION 3-1: PERSONNEL RECORDS
|
|
|
1050-01 |
AFFIRMATIVE
ACTION PLANS |
|
|
|
I.
Reports,
analyses, and statistical data compiled from source documentation used to
develop, implement, and monitor affirmative action plans. |
5 years. |
|
|
II.
Affirmative
action plans. |
UNTIL
SUPERSEDED + 5 years. |
|
1050-02 |
APTITUDE
AND SKILLS TEST RECORDS - Records relating to aptitude or skills tests
required of job applicants or of current personnel to qualify for promotion
or transfer, including civil service examinations. |
|
|
|
I.
Validation
studies. |
Life of test + 2 years. |
|
|
II.
Tests. |
UNTIL SUPERSEDED + 2 years. |
|
|
III.
Test papers of
persons taking tests. |
2 years. |
|
|
IV.
Records, other
than those noted (a)-(c), relating to the planning and administration of
tests. |
3
years. |
|
1050-03 |
AWARDS
AND COMMENDATIONS |
Date
of separation + 5 years. |
|
1050-04 |
CERTIFICATES
AND LICENSES - Certificates, licenses, or permits required of employees
to qualify for or remain eligible to hold a position requiring certification
or licensing. |
UNTIL
SUPERSEDED or separation of employee + 5 years. |
|
1050-05 |
CONFLICT
OF INTEREST AFFIDAVITS |
5
years after leaving position for which the affidavit was filed. |
|
1050-06 |
COUNSELING
PROGRAM FILES |
|
|
|
I.
Reports of
interviews, analyses, and similar records relating to the counseling of an
employee for work-related, personal, or substance abuse problems. |
3 years after termination of counseling. |
|
|
II.
Records
relating to the planning, coordination, implementation, direction, and
evaluation of a employee counseling program. |
3
years. |
|
1050-07 |
DISCIPLINARY AND ADVERSE
ACTION RECORDS - Records created by civil service boards or by personnel or
supervisory officers in considering, or reconsidering on
appeal, an adverse action (e.g., demotion, probation, termination, suspension,
leave without pay) against an employee, including, as applicable,
witness and employee statements, interview reports, exhibits, reports
of findings, and decisions and judgments. |
2
years after case closed or action taken, as applicable. |
|
1050-08 |
EMPLOYEE
PENSION AND BENEFITS RECORDS [for records of pension and deferred
compensation deductions from payroll see 1050-52(b)] |
|
|
|
I.
Employee
benefit plans such as pension; life, health, and disability insurance; seniority
and merit systems; and deferred compensation plans, including amendments. |
Termination of plan + 1 year. |
|
|
II.
Enrollment
forms providing personal identifying data, beneficiary information, option
selection, and similar information. |
|
|
|
A.
If the official
record is maintained by the retirement system of which the local government
is a member or by the service provider. |
AV |
|
|
B.
If the official
record is maintained by the local government. |
|
|
|
1.
Pension and
deferred compensation. |
PERMANENT |
|
|
2.
Life, health,
and disability insurance. |
Termination
of coverage + 4 years. |
|
|
III.
Annual reports
from a pension system or fund. |
PERMANENT. |
|
1050-09 |
EMPLOYEE RECOGNITION
RECORDS - Award committee reports, selection criteria, nominations, and
similar administrative records of employee award or incentive programs. |
2 years. |
|
1050-10 |
EMPLOYEE SECURITY RECORDS |
|
|
|
a) Records created to
control and monitor the issuance of keys, identification cards, passes, or
similar instruments of identification and access. |
UNTIL SUPERSEDED, date of
expiration, or date of separation + 2 years, as applicable. |
|
|
b) Records relating
to the issuance of parking permits. |
UNTIL SUPERSEDED |
|
1050-11 |
EMPLOYEE
SELECTION RECORDS - Notes of interviews with candidates; audio and videotapes
of job interviews; applicant rosters; eligibility lists; test
ranking sheets; justification statements for violating eligibility or
ranking sequence; background, criminal history, and previous injury
checks; polygraph examination results; offers of employment letters; and
similar records documenting the filling of a vacant position. |
2
years from the creation (or receipt) of the record or the personnel action
involved, whichever later. |
|
1050-12 |
EMPLOYEE SERVICE RECORD -
Summary employment history record for each employee maintained on one or more
forms, containing the following minimum information: name; sex; date of birth; social
security number; positions held with dates of hire, promotion, transfer,
or demotion; dates of leaves of absence or suspension that affect computation
of length of service; wage or salary rate for each position held, including
step or merit increases within grades; and date of separation. [For other information
on employees that must also be retained permanently either as part of
this record or in another form, see item numbers 1050-52(b) and
1050-54(a)]. |
PERMANENT. |
|
|
b) The Teacher
Service Record (Texas Education Agency Form FIN-115 or its equivalent),
containing information required by statute or regulation, shall be considered
an employee service record of the type described and must be retained
permanently. |
|
|
|
c) Salary or wage
data on an employee service record may be indicated by grade and step numbers
if all corresponding wage rate tables (see item number 1050-59)
applicable to a personÕs employment history are retained permanently. |
|
|
1050-13 |
EMPLOYMENT ADVERTISEMENTS
OR ANNOUNCEMENTS - Advertisements or postings relating to job openings,
promotions, training programs, or overtime opportunities, including
jobs orders submitted to employment agencies. |
2 years. |
|
1050-14 |
EMPLOYMENT APPLICATIONS -
Applications, transcripts, letters of reference, and similar documents
whose submission by candidates for vacant positions (both hired and
not hired) or for promotion, transfer, or training opportunity (both selected
and not selected) is required on the application form, by application
procedures, or in the employment advertisement except |
2 years from the creation
(or receipt) of the record or the personnel action involved, whichever later. |
|
|
a) Samples of publications,
artwork, or other products of prior achievement not returned to
applicants. |
AV |
|
|
b) Transcripts of
persons hired if state or federal law or regulation mandates a level of
education needed to qualify for employment (e.g., school district
professional and paraprofessional personnel). See also item number
1050-28(a). |
Date
of separation + 5 years. |
|
1050-15 |
EMPLOYMENT
CONTRACT/COLLECTIVE BARGAINING RECORDS |
|
|
|
a) Contracts and
agreements, including collective bargaining agreements, between a local government
and an employee or a group of employees, including written acceptances
of such contracts. |
Last effective date of
contract + 4 years. |
|
|
b) Records relating
to the negotiation of collective bargaining agreements or similar group
contracts, including reports; correspondence; mediation or arbitration agreements;
the proceedings, findings, and awards of arbitration boards; and similar
records. |
Last effective date of
contract + 4 years or, if no agreement or contract results, 4 years. |
|
1050-16 |
EQUAL
EMPLOYMENT OPPORTUNITY RECORDS AND REPORTS |
|
|
|
a) Reports, analyses,
or statistical data compiled from source documentation used to complete EEO
reports. |
3 years. |
|
|
b) EE0-1, EEO-4,
EE0-5, and EE0-6 reports. |
3 years. |
|
|
c) Case files
relating to discrimination complaints, including complaints, legal and
investigative documents, exhibits, related correspondence, withdrawal
notices, and decisions or judgments. |
Resolution of case + 3
years |
|
1050-17 |
EQUAL PAY RECORDS -
Reports, studies, aggregated or summarized data, and similar documentation
compiled to monitor and demonstrate compliance with the Equal Pay Act. |
2 years. |
|
1050-18 |
FIDELITY BONDS |
Effective life of bond + 5
years. |
|
1050-19 |
FINGERPRINT CARDS |
Date of separation + 5
years. |
|
1050-20 |
GRIEVANCE RECORDS -
Records relating to the review of employee grievances against personnel
policies, working conditions, etc. |
2 years. |
|
1050-21 |
JOB EVALUATIONS
(PERFORMANCE APPRAISALS) |
|
|
|
a) Evaluations of
public school teachers, subject to the career ladder system, for the 1983-84
school year and subsequent years only. |
PERMANENT. |
|
|
b) Evaluations of all
other local government employees. |
UNTIL SUPERSEDED + 2
years. |
|
1050-22 |
MEDICAL AND EXPOSURE
REPORTS |
|
|
|
I.
Health or
physical examination reports or certificates of all job applicants if physical
condition is a factor in hiring decisions, including the promotion, transfer
or selection for training of current personnel. |
2
years. |
|
|
II.
Health or
physical examination reports or certificates of employees for whom periodic
monitoring of health or fitness is required. |
|
|
|
A.
For employees
exposed in the course of their work to toxic substances or harmful physical
agents. |
Date
of separation + 30 years. |
|
|
B.
For all other
employees. |
UNTIL
SUPERSEDED + 2 years. |
|
|
III.
Environmental,
biological, and material safety monitoring reports concerning toxic
substances and harmful physical agents in the workplace, including analyses
derived from such reports. |
30 years. |
|
1050-23 |
OATHS OF OFFICE |
UNTIL SUPERSEDED + 5
years; or, 5 years after leaving position for which oath required, whichever
applicable. |
|
1050-24 |
PERSONNEL ACTION OR
INFORMATION NOTICES - Documents used by personnel officers to create or
change information in the personnel records of individual employees concerning
hiring, termination, transfer, pay grade, position or job title, leaves
of absence, name changes, and similar personnel actions except
those noted elsewhere in this part. |
2 years. |
|
1050-25 |
PERSONNEL
STUDIES AND SURVEYS - Studies, statistical reports, surveys, cost
analyses and projections, and similar records, except those noted elsewhere
in this part, on any aspect of the personnel management or administration of
a local government. |
3 years. Review before
disposal; some documents may merit permanent retention for historical
reasons. |
|
1050-26 |
POSITION DESCRIPTION,
CLASSIFICATION, AND STAFF MONITORING RECORDS |
|
|
|
I.
Job
descriptions, including any associated task or skill statements. |
UNTIL
SUPERSEDED or position abolished + 4 years. |
|
|
II.
Documentation
concerning the development and analysis of job descriptions and
classification systems, including survey, review and audit reports;
classification standards and guidelines; selection criteria,
determination of classification appeals, etc., as follows: |
|
|
|
A.
Documents
linked to a specific position. |
Dispose
with job description under (a). |
|
|
B.
Survey, audit,
or other reports issued on a regular basis. |
UNTIL
SUPERSEDED + 4 years. |
|
|
C.
Other
documentation not included in (b)(1) or (b)(2). |
4 years. |
|
|
III.
Position
staffing and vacancy reports. |
UNTIL SUPERSEDED |
|
|
IV.
Personnel
requisitions. |
2
years. |
|
1050-27 |
REDUCTION IN FORCE PLANS
(including any related implementation documentation) |
UNTIL SUPERSEDED, or if
implemented, 2 years from date of last RIF action under the plan. |
|
1050-28 |
TRAINING AND EDUCATIONAL
ATTAINMENT RECORDS (for other records
relating to aptitude or skills tests required of job applicants or of
current personnel to qualify for promotion or transfer see item number
1050-02) |
|
|
|
I.
Certificates of
completion, transcripts, test scores, or similar records documenting the
training, testing, or continuing education achievements of an employee if
such training or testing is required for the position held or if the
educational or skill attainment or enhancement affects or could affect
career advancement in the local government or, in the case of licensed
or certified personnel (e.g., school professionals, firefighters, police
officers, health care professionals), in other governments or the private
sector. |
Date
of separation + 5 years. |
|
|
II.
Records
documenting the planning, development, implementation, administration
and evaluation of in-house training programs. |
3
years. |
|
|
III.
Training
manuals, syllabuses, course outlines, and similar training aids used in
in-house training programs. |
UNTIL
SUPERSEDED |
|
|
IV.
Skill or
achievement measurement records of a training group or class as a whole
(e.g., rosters with scores). |
2 years. |
|
1050-29 |
UNEMPLOYMENT COMPENSATION
CLAIMS FILES - Unemployment claims, pertinent correspondence, and similar
records documenting unemployment compensation cases. |
5 years. |
|
1050-30 |
VERIFICATION
OF EMPLOYMENT ELIGIBILITY (INS Form I-9 |
3
years from hire or 1 year after separation, whichever later. |
|
1050-31 |
WORK SCHEDULES - Work,
duty, shift, crew, or case schedules, rosters, or assignments except
work schedules includable in item number 1050-56. |
1 year. |
|
1050-32 |
WORKERS COMPENSATION CLAIM
FILES - Initial and supplemental reports of accidents to or job-related
illnesses of employees and documentation relating to any subsequent
filing of claims by employees. |
5 years. |
|
1050-33 |
FINANCIAL DISCLOSURE
STATEMENTS - Financial disclosure statements of officers and/or employees of
a local government. |
2 years. |
|
|
SECTION 3-2: PAYROLL RECORDS
|
|
|
1050-50 |
DEDUCTION AUTHORIZATIONS -
Documentation used to start, modify, or stop all voluntary or required
deductions from payroll, including orders of garnishment or other
court-ordered attachments. |
4 years after separation
or 4 years after amendment, expiration, or termination of authorization,
whichever sooner. |
|
1050-51 |
DIRECT DEPOSIT
APPLICATIONS/AUTHORIZATIONS |
UNTIL SUPERSEDED |
|
1050-52 |
EARNINGS AND DEDUCTION
RECORDS |
|
|
|
I.
A record
containing the following payroll information on each employee: name, last
known address and social security number; amount of wages paid to the
employee for each payroll period, including all deductions, and date of
payment. Retention of any one of the following records for 4 years will
satisfy the retention requirement: |
4
years |
|
|
A.
Individual
employee earnings card or record that shows earnings and deductions
for each pay period. |
|
|
|
B.
Master payroll
register which shows earnings and deductions for each pay period. |
|
|
|
II.
A record
containing the following minimum pension and deferred compensation
information on each employee: name, date of birth, social security number,
and amount of pension and deferred compensation deductions. Permanent
retention of any one of the following will satisfy the retention requirement: |
PERMANENT. |
|
|
A.
Individual
employee earnings card or record as in (a)(1). |
|
|
|
B.
Employee
Service Record (see item number 1050-12) if it contains the prescribed
pension and deferred compensation deduction data. |
|
|
|
C.
Master payroll
register, or the final year-to-date register of each calendar year, if the
register shows all persons employed during the year from whose wages pension
and deferred compensation deductions were made. |
|
|
|
D.
Pension and
deferred compensation deduction register, or the final year-to-date pension
deduction register of each calendar year, if the register lists all persons
employed during the year from whose wages pension and deferred compensation
deductions were made. |
|
|
|
E.
Copies of
annual or other periodic statements furnished to each employee detailing
the deductions and contributions to a pension or deferred compensation
plan during the past year or period. |
|
|
|
III.
Master payroll
register, including year-to-date registers, if not used to satisfy either
of the retention requirements set in (a) or (b). |
FISCAL
YEAR END + 3 years. |
|
|
IV.
Subsidiary
payroll registers, if not used to satisfy either of the retention requirements
set in (a) or (b). |
|
|
|
A.
If data
contained in the subsidiary payroll register is not contained in the master
payroll register. |
FISCAL
YEAR END + 3 years. |
|
|
B.
If data
contained in the subsidiary payroll register is contained in the master payroll
register. |
AV |
|
|
V.
Copies of
annual or other periodic statements furnished to each employee detailing
the deductions and contributions to a pension or deferred compensation
plan during the past year or period, if not used to satisfy the retention
requirement set in (b). |
2
years. |
|
|
VI.
Payroll
adjustment records, including transaction registers, authorizations, and similar
records authorizing and detailing adjustments to payroll records because of
overpayment, underpayment, etc. |
FISCAL YEAR END +7 years |
|
1050-53 |
FEDERAL AND STATE TAX
FORMS AND REPORTS |
|
|
|
I.
Forms used to
determine withholding from wages and salaries for payroll tax purposes. |
4
years after separation or 4 years after form amended, whichever sooner. |
|
|
II.
Forms and
reports used to report the collection, distribution, deposit, and transmittal
of payroll or unemployment taxes. |
4 years after tax due date
or date tax paid, whichever later. |
|
1050-54 |
LEAVE RECORDS |
|
|
|
I.
A record
containing a record of the unused accumulated sick leave of each employee if
(1) all or a percentage of accumulated sick leave is used to calculate length
of service and/or (2) accumulated sick leave is creditable to an employee if
rehired. Retention of any one of the following permanently will satisfy the
retention requirement: |
PERMANENT. |
|
|
A.
Individual
employee earnings card or record as described in item number 1050-52(a) if it
also contains accumulated sick leave data. |
|
|
|
B.
Employee
Service Record (see item number 1050-12) if it contains the accumulated
sick leave data prescribed. |
|
|
|
C.
Copy of the
final time summary or leave status report, as noted in (d), of each separated
employee. |
|
|
|
II.
Requests and
authorizations for vacation, compensatory, sick and other types of authorized
leave. |
FISCAL
YEAR END + 3 years. |
|
|
III.
Leave or
hours-to-date registers. |
FISCAL
YEAR END + 3 years. |
|
|
IV.
Copies of
periodic time summary or leave status reports furnished to each employee
containing information on vacation, sick, compensatory, or other leave earned
and used, including the final report of separated employees if they are not
used to satisfy the retention requirement set in (a). |
2 years. |
|
1050-55 |
PAYROLL ACTION OR
INFORMATION NOTICES - Documents used by payroll officers to create or
change information in the payroll records of individual employees
except deduction authorizations (see item number 1050-50) and federal tax
forms [see item number 1050-53(a)]. |
|
|
|
I.
Documents concerning
hiring, termination, transfer, pay grade, position or job title, name
changes, etc. |
2
years. |
|
|
II.
Documents
concerning adjustments to payroll and leave status. |
FISCAL YEAR END + 3 years. |
|
1050-56 |
TIME
AND ATTENDANCE REPORTS - Time cards or sheets, including work schedules and
documentation evidencing adherence to or deviation from normal hours for
those employees working on fixed schedules. |
4 years |
|
1050-57 |
TIME CHANGE RECORDS -
Requests and authorizations for overtime, time trading, and other
actions that affect normal work time except leave requests [see item number
1050-54(c)]. |
2 years. |
|
1050-58 |
REQUESTS AND
AUTHORIZATIONS TO ENGAGE IN REIMBURSABLE ACTIVITIES - Requests and
authorizations for travel; participation in educational programs, workshops,
or college classes; or for other bona fide work-related activities in which
the expenses of an employee are defrayed or reimbursed. |
FISCAL YEAR END +7 years |
|
1050-59 |
WAGE AND SALARY RATE
TABLES |
|
|
|
I.
If wage or
salary rate for each position listed on an Employee Service Record (see item
number 1050-12) is expressed in dollars. |
2
years after last effective date. |
|
|
II.
If wage or
salary rate for each position listed on an Employee Service Record (see item
number 1050-12) is indicated by grade or step number only. |
PERMANENT. |
|
|
PART 4:
SUPPORT SERVICES RECORDS
|
|
|
|
SECTION 4-1: PURCHASING RECORDS
|
|
|
1075-01 |
BIDS
AND BID DOCUMENTATION |
|
|
|
I.
Successful bids and
requests for proposals, including invitations to bid, bid bonds and
affidavits, bid sheets, and similar supporting documentation. |
FISCAL
YEAR END of award + 7 years |
|
|
II.
Unsuccessful bids. |
2
years. |
|
|
III.
Informal bid records,
such a requests for quotations or estimates, for the procurement of goods or
services for which state law or local policy does not require the formal letting
of bids. |
1 year. |
|
1075-02 |
INVENTORY RECORDS (PARTS
AND SUPPLIES) |
1 year. |
|
1075-03 |
PURCHASE
ORDER AND RECEIPT RECORDS |
|
|
|
I.
Purchase
orders, requisitions, and receiving reports. |
FISCAL
YEAR END +7 years |
|
|
II.
Purchasing log,
register, or similar record providing a chronological record of purchase
orders issued, orders received, and similar data on procurement status. |
FISCAL
YEAR END + 3 years. |
|
|
III.
Packing slips
and order acknowledgments. |
10
DAYS |
|
|
IV.
Vendor and
commodity lists. |
UNTIL SUPERSEDED |
|
|
SECTION 4-2: FACILITY, VEHICLE, AND
EQUIPMENT MANAGEMENT RECORDS
|
|
|
1075-15 |
ACCIDENT AND DAMAGE
REPORTS (PROPERTY) - Reports of accidents or damage to facilities,
vehicles, or equipment if no personal injury is involved. |
3 years. |
|
1075-16 |
CONSTRUCTION PROJECT FILES
- Records concerning the planning, design, construction, conversion, or
modernization of local government-owned facilities, structures, and systems,
including feasibility, screening, and implementation studies;
topographical and soil surveys and reports; architectural and engineering
drawings, elevations, profiles, blueprints, and as-builts; inspection
and investigative reports; laboratory test reports; environmental impact
statements; construction contracts and bonds; correspondence; and
similar documentation. |
PERMANENT |
|
1075-17 |
LOST
AND STOLEN PROPERTY REPORTS |
FISCAL
YEAR END + 3 years |
|
1075-18 |
MAINTENANCE, REPAIR, AND
INSPECTION RECORDS - Records documenting the maintenance, repair,
and inspection of facilities, vehicles, and equipment. |
|
|
|
I.
Vehicles and
equipment. |
|
|
|
A.
Routine
inspection records. |
1
year. |
|
|
B.
Maintenance and
repair records |
LIFE
OF THE ASSET |
|
|
II.
Facilities. |
|
|
|
A.
Routine
cleaning, janitorial, and inspection work. |
1
year. |
|
|
B.
All other
facility maintenance, repair and inspection records (including those relating
to plumbing, electrical, fire suppression, and other infrastructural systems).
|
3 years. |
|
1075-19 |
SERVICE REQUESTS/WORK
ORDERS (for repairs and maintenance to facilities, vehicles, or
equipment) |
2 years. |
|
1075-20 |
USAGE
REPORTS - Reports of usage of facilities, vehicles, and equipment. |
|
|
|
I.
Any type of
usage report (e.g., mileage, fuel consumption, copies run) if such reports
are the basis for allocating costs, for determining payment under rental or
lease agreements, etc. |
FISCAL
YEAR END +7 years |
|
|
II.
Reservation
logs or similar records relating to the use of facilities such as meeting
rooms, auditoriums, etc. by the public or other governmental agencies. |
2
years. |
|
|
III.
Usage reports
compiled for purposes other than those noted in (a) or (b). |
1 year. |
|
1075-21 |
VEHICLE ASSIGNMENT RECORDS
- Assignment logs, authorizations, and similar records relating to the
assignment and use of government-owned vehicles by employees. |
2 years. |
|
1075-22 |
VISITOR CONTROL REGISTERS
- Logs, registers, or similar records documenting visitors to limited
access or restricted areas. |
3 years. |
|
1075-23 |
WARRANTIES (for vehicles
and equipment) |
Expiration of warranty + 1
year. |
|
|
SECTION 4-3: COMMUNICATIONS RECORDS
|
|
|
1075-40 |
POSTAL AND DELIVERY
SERVICE RECORDS |
|
|
|
I.
Meter and
permit usage records. |
1
year. |
|
|
II.
Registered,
certified, insured, and special delivery mail receipts and similar records of
transmittal by express or delivery companies. |
1 year. |
|
1075-41 |
TELEPHONE
LOGS OR ACTIVITY REPORTS - Registers or logs of telephone calls made and
similar telephone activity reports |
|
|
|
|
|
|
|
I.
If the log,
report, or similar record is used for cost allocation purposes. |
FISCAL
YEAR END +7 years |
|
|
II.
If the log,
report, or similar record is used for internal control purposes other than
cost allocation. |
2 years. |
|
|
SECTION 4-4 WORKPLACE SAFETY RECORDS
|
|
|
5750-01 |
|
|
|
|
PART 5: ELECTRONIC DATA PROCESSING RECORDS
|
|
|
|