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HomeMy WebLinkAbout2024-06-17 I01M ILC Record Retention ManualAGENDA ITEM: CITY OF WAUKEE, IOWA CITY COUNCIL MEETING COMMUNICATION MEETING DATE: June 17, 2024 AGENDA ITEM:Consideration of approval of a resolution adopting Iowa League of Cities Record Retention Manual for Iowa Cities FORMAT:Consent Agenda SYNOPSIS INCLUDING PRO & CON: The Iowa League of Cities has created a record retention manual to assist officials in the management of records created and received in the conduct of city business. The City of Waukee has followed this manual for many years, but it was recently discovered that references to the manual are no longer included in City ordinances. The proposed resolution corrects this omission. FISCAL IMPACT INCLUDING COST/BENEFIT ANALYSIS: COMMISSION/BOARD/COMMITTEE COMMENT: STAFF REVIEW AND COMMENT: RECOMMENDATION: Approve the resolution. ATTACHMENTS: I. Proposed Resolution II. Iowa League of Cities Record Retention Manual for Iowa Cities PREPARED BY:Becky Schuett REVIEWED BY: PUBLIC NOTICE INFORMATION – NAME OF PUBLICATION: DATE OF PUBLICATION: I1M THE CITY OF WAUKEE, IOWA RESOLUTION 2024- ADOPTING IOWA LEAGUE OF CITIES RECORD RETENTION MANUAL FOR IOWA CITIES IN THE NAME AND BY THE AUTHORITY OF THE CITY OF WAUKEE, IOWA WHEREAS, the City of Waukee, Dallas County, State of Iowa, is a duly organized Municipal Organization; AND, WHEREAS, the City of Waukee has a responsibility to maintain public records; AND, WHEREAS, a record retention and disposition schedule is important to ensure records are kept for as long as they are needed for audit, legal, administrative and historical purposes; AND, WHEREAS, the Iowa League of Cities has created a record retention manual to assist officials in the management of records created and received in the conduct of city business; AND, WHEREAS, the City of Waukee has followed the Iowa League of Cities Record Retention Manual for many years by reference in Waukee City Code; AND, WHEREAS, it was recently discovered that such references are no longer included in Waukee City Code so that it is now necessary to readopt the manual. NOW THEREFORE BE IT RESOLVED by the City of Waukee City Council in session this 17th day of June, 2024, that it hereby adopts Iowa League of Cities Record Retention Manual for Iowa Cities. ____________________________ Courtney Clarke, Mayor Attest: ___________________________________ Rebecca D. Schuett, City Clerk RESULTS OF VOTE: AYE NAY ABSENT ABSTAIN R. Charles Bottenberg Chris Crone Rob Grove Anna Bergman Pierce Ben Sinclair Iowa League of Cities | April 2024 500 SW 7th Street, Suite 101 Des Moines, IA 50309 Phone (515) 244-7282 Fax (978) 367-9733 www.iowaleague.org RECORD RETENTION MANUAL FOR IOWA CITIES This manual is intended to assist officials in the management of records created and received in the conduct of city business. Ideally, records should facilitate the efficient operation of municipal government, not impede it. This manual suggests methods for controlling records that can help convert a potential liability into an asset. One method of controlling records is to establish a schedule for destroying records that are no longer needed. The largest section of this manual consists of such schedules for records most commonly found in Iowa cities. These schedules list categories of records, or series, and indicate the minimum periods city officials need to keep them for administrative, legal, fiscal, or historical purposes. The recommended retention periods align with the requirements outlined in the Code of Iowa, the Iowa Administrative Code, and federal law. In cases where no law exists, state and city officials who work with records were consulted. In developing these schedules, no attempt was made to list all records that could exist in all cities. Rather, functional categories common to the majority of Iowa municipalities were identified. Record series retention and disposition schedules are only one component of an effective records management program. Inactive storage, historical appraisal, municipal records management ordinances, filing systems, electronic methods of recording and retrieving data, and disaster planning are some other components of record management important for municipalities. Records Management2 The Five Steps of Records Management 6 Managing Electronic Records 10 Contact Information 12 Schedule 1: Administrative and Legal Records 13 Schedule 2: Financial Records 18 Schedule 3: Payroll and Personnel Records 21 Schedule 4: Public Works Records23 Schedule 5: Fire Department Records 27 Schedule 6: Parks and Recreation Records 28 Schedule 7: Airport Records 29 Schedule 8: Library Records 30 Schedule 9: Housing Records 31 Schedule 10: Police Records 32 Schedule 11: Engineering Records 33 Schedule 12: Transit Records 34 Schedule 13: Electric Utility Records 35 Schedule 14: Water Utility Records 38 Schedule 15: Gas Utility Records 42 Table of Contents 2 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Records Management Public Records Defined Code of Iowa Section 22.1(3) defines the term “public records” relative to the examination of government records: “As used in this chapter, “public records” includes all records, documents, tape, or other information, stored or preserved in any medium, of or belonging to this state or any county, city, township, school corporation, political subdivision, nonprofit corporation other than a fair conducting a fair event as provided in Chapter 174, whose facilities or indebtedness are supported in whole or in part with property tax revenue and which is licensed to conduct pari- mutuel wagering pursuant to Chapter 99D, or tax-supported district in this state, or any branch, department, board, bureau, commission, council, or committee of any of the foregoing. “Public records” also includes all records relating to the investment of public funds including but not limited to investment policies, instructions, trading orders, or contracts, whether in the custody of the public body responsible for the public funds or a fiduciary or other third party.” Common to both definitions is that: • Records are information documented in the performance of the official business of an organization. • Record content, not record form, determines whether or not information constitutes a record. Any information documenting official business, whether recorded on paper or electronically, documented photographically, recorded in video or audio media, or documented using any other medium, constitutes a record. Record Creation and Maintenance Records are created and maintained to facilitate memory. City officials cannot reasonably be expected to remember every fact relative to a government’s business. Records, once created or received, must be maintained in unaltered condition in order to afford reliable authority for subsequent business of the government. Managing Records Municipal governments conduct a large amount of business that must be recorded. Accumulation of records of already transacted business (inactive records) can overwhelm available storage space and hamper retrieval of both active and inactive records. Furthermore, records of business already transacted can prove both legally and financially burdensome, since records must be produced when requested. Retrieving records can be difficult if record management is not done properly. Some records of business already transacted remain permanently valuable to the government due to their content, but most records are of no further use once the documented matter has been transacted and routine audit, legal, and administrative uses have been completed. 3 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Management of records allows records to be routinely maintained for legally accountable periods and affords documentation that the records were maintained, then destroyed routinely, under those scheduled record retention periods. Records that are managed routinely and consistently from the time of their creation through their final disposition favor efficient use of those resources allocated for record keeping. Record series retention and disposition schedules are developed by governmental organizations to ensure records are kept for as long as they are needed, routinely destroyed when no longer needed, and the disposition of records legally accounted for. The lengths of time for which a series is routinely needed for audit, legal, administrative, and historical purposes determine how long records must be retained. In all cases, the longest of the respective periods of need for each record series is used. The record series retention and disposition schedule formally authorizes the retention and ultimate disposition of the record series. Record Series A record series is a collection of records filed together based on their relationship, maintained for an ongoing official function. As long as the documented official function continues, records are added to the series. Typically, components of a record series, such as files, electronic records, and databases, are filed separately from records documenting other functions. For instance, claims are grouped with claims, and city council minutes are filed together, representing distinct record series. Retention and Disposition Schedules A record series retention and disposition schedule is a formal statement of the period records must be retained to fulfill routine fiscal, legal, administrative, and historical needs for the records. Retention and disposition schedules are developed through analysis of those fiscal, legal, administrative, and historical needs for determination of the necessary routine retention. Records are then scheduled for appropriate retention and final disposition. The record series retention schedule is intended to ensure that records are preserved for as long as needed but also, once retention needs have been met, those non-permanent records are destroyed in a routine, timely, and legally accountable manner. The retention and disposition schedule is formally adopted by the city to serve as the legal basis for records disposition. Retention and disposition schedules govern routine records disposition. Where a non-routine need for extended retention of a specific record series is determined before the scheduled destruction (for example, when outstanding or anticipated litigation may require the use of the records in question), the records must, of course, be held past the scheduled destruction time. However once the non-routine need is past, the scheduled records can be legally destroyed. Adherence to the record series retention and disposition schedule allows records to be destroyed routinely, freeing valuable storage space. Additionally, the smaller quantity of records that are scheduled for permanent retention are preserved and the resources available for permanent preservation of records are applied only to those records series determined to have permanent value to the government. 4 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Using Record Retention and Disposition Schedules Record series retention and disposition schedules identify record series, and the disposition, expressed as a retention period, applies to those record series. The record series identified in the schedules in this manual are ones typically created or maintained by Iowa municipalities. In some cities, a given record series may be called a different name than the one used in this schedule. Also, some cities may place authority for the same functions under different departments. To determine an appropriate schedule for records in each particular city organization, it may be necessary to compare the known purpose of the city’s own records with the indicated record series labels. Where no comparable example exists, a schedule should be developed, taking into account the administrative, fiscal, legal, and historical values of the record series, and adopted formally by the city. Record series generally accrue continuously with new records being added to the file as new business is transacted. The retention period must be applied to manageable file increments since it would be unwieldy to individually apply the schedule to each record item (i.e., case file, claim, database record entry, etc.) at the time each record becomes inactive. The retention schedule for a record series should correspond to the time frame in which that record series actually accrues, whether that be fiscal year or calendar year. Financial information, such as a file of claims, could be cut off at the end of the fiscal year and the retention and disposition schedule applied to that fiscal year’s accrual of records. Claims for that entire fiscal year would be retained for five years after the fiscal year, then destroyed, and claims for succeeding fiscal years would be retained for five years after the close of each of those respective fiscal years. In this way, the physical process of destroying records is simplified, the records to be destroyed together are kept together until the scheduled destruction date, and the entire destruction can be documented as having been performed at the appropriate time. Record Disposition Disposition is the final outcome of records retention, whether for destruction or permanent retention. Most records are scheduled to be destroyed after all normal legal, administrative, and fiscal needs for the record have expired. Those needs expire in a very short time for many record series, and for certain other record series, those needs continue for much longer periods. In either case, the records are to be destroyed once the needs for retaining the records have been met. For a few records series, however, permanent retention is the scheduled final disposition. Some record series might have long-term legal, administrative, or fiscal value, but where a record series also documents the development of policy of the city government or the history of the city itself, the record series may be scheduled for permanent retention. Permanent retention is a commitment to preserve the record series without end. Only a portion of all record series have such historical value. A record series allowed to accrue for years wastes storage space is difficult to use, and can become a legal liability. Only records scheduled for permanent retention can be allowed to accrue without routine destruction. 5 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Destroying Records The record series retention and disposition schedule, duly adopted by the city government, formally governs the retention and final disposition of records. Adherence to scheduled periods of retention results in a consistent, routine disposition of records. Only in instances where exceptional needs can be clearly identified and specified, such as for outstanding or pending litigation for which specific records series are needed, should records be retained beyond the scheduled period of retention. Permanent Retention The record series retention and disposition schedule indicates which records series are to be retained permanently as archives of the city government. Generally, records documenting the development of city policy (for example, council minutes) have permanent value for the history of the city organization and also for the history of the geographic area encompassed by the city. Records to be preserved as archives should be protected from extremes of temperature and humidity, light, rough handling, animals, cyber security and other conditions that may accelerate their deterioration or premature. Retaining Electronic and Non-Paper Records The record series retention and disposition schedules apply to all physical formats in which record series are maintained. Whether paper or electronic, all records are destroyed or preserved in conformity with the record series retention and disposition schedules. The form of the record does not exempt it from the application of the schedule. Content and documentary purpose, rather than the physical form in which the record is maintained, define the record series. Modifying a Record Retention Plan The retention periods indicated in the manual are based on reasons city officials in Iowa have found useful for scheduling the indicated record series. If the city’s needs are different, it can make specific changes to its schedule to accommodate those needs. Changes should be adopted under the legal mechanism the city has established for modifying municipal ordinances or rules. Once legally adopted, the modified record series retention and disposition schedule governs the disposition of the record series, and adherence to the schedule is necessary for legal accountability. Other records may be used in some cities for which no example in the existing manual provides a comparison. In such cases, the period the record is required to satisfy routine administrative, legal, and fiscal needs must be determined, as well as an appraisal of the historical value of the record series, to appropriately schedule the series. The State Archives in the State Historical Society of Iowa may be called upon for information concerning the appraisal of a record’s historical value. Any resulting schedules should be submitted to the Iowa League of Cities for possible inclusion in updates to the manual. 6 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 The Five Steps of Records Management Records management can be defined as the systematic control of records from the time of their creation or receipt, through their organization and maintenance, to their ultimate disposition. Managing records means keeping only those records that are necessary and keeping them in a way that permits quick and easy access to the important information they contain. As cities continue to see increased documentation and reporting, managing records before they inundate the office is becoming increasingly difficult. Finding enough storage space for these records is one problem. Another challenge is efficiently locating a specific record when needed. The application of records management techniques can help solve them. Major purposes of an efficient records management program are reducing the bulk of records stored by disposing of records that are no longer valuable, preserving the valuable records, and making records readily accessible to those who need them. The rewards of such a program are reduced costs for space, equipment, software and personnel and an orderly flow of information. Public records found in city governments require special consideration. First, public records are public property, owned by the citizens, and in most cases, they are open to public scrutiny. Second, some public records protect the rights of the city and its citizens, and for this, they deserve special care. Third, public records often have historical value because they document the development of the community. Therefore, ensuring public access, protecting legal rights, and preserving historical information are important goals of a records management program in city government. How to Begin The first task in establishing a records management program is the creation of record series retention and disposition schedules that identify records found in the city and indicate how long to keep them. The creation of these schedules requires three steps: inventory, appraisal, and scheduling. Making the schedules part of an ongoing program requires two more steps: organization and implementation. In the preparation of the record series retention and disposition schedules in this manual, the first three steps were followed. Through the combined efforts of the Iowa League of Cities, the Iowa Municipal Finance Officers Association, and the State Historical Society, recommended record series retention and disposition schedules have been developed for many of the records found in many Iowa cities. Officials in individual cities may wish to review and repeat the first three steps when setting up a specific program in their city hall. The last two steps, organization, and implementation, follow the decision-making and planning of the first three steps and constitute the action part of the program. Throughout all five steps, the process requires cooperation and participation from all city officials. Step 1: Conduct an Inventory To begin, a city must find out what records it has stored, not only in active office space, but also in the basements, vaults, computers, mobile devices, servers, or any other place where inactive records have been stashed over the years. During the search, information about the records should be written down; inventory worksheets designed for this purpose can simplify this process. The details recorded at this stage may vary according to each city’s needs, but the basic information should include the record’s title, the time span the complete record encompasses, a physical 7 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 description of the record (letters and legal papers, databases, GIS systems, maps, electronic documents, etc.), location of the records, the equipment currently used to store the record, the amount of space a record occupies, and the frequency of staff reference to the record. Most of these items are simply factual descriptions. It is usually most effective to categorize records according to function, subjects, or activity into what is called a “record series.” For example: • “Correspondence” is too general a term to be helpful. • “John Smith’s letter to the mayor regarding the bond issue to finance Main Street storm sewers” is too specific. • “Bond issue correspondence” successfully labels a type of record for most inventory purposes. If more than one person is conducting the inventory, it is wise to meet often so the record titles are standardized. Step 2: Appraise the Records Once the inventory is complete, the inventory sheets should be sorted so the information gathered can be classified and appraised. The purpose of this appraisal process is to establish the value of a record series in preparation for the next step, deciding how long to keep it. This step may involve research into statutory and audit requirements as well as interviews with city officials in all departments about the current and future values of records in their areas. To appraise records in an orderly manner, the following criteria are used: Administrative Value These records establish policy or document operations. Those that document policy (minutes or resolutions for example) usually have a long-term value. Those that document operations (personnel time sheets or monthly reports) usually have value for a relatively short length of time. Legal Value These records document the rights and obligations of the city and its citizens. Examples are records showing the basis for an action (legal decisions and opinions), documents representing legal agreements (leases, titles, contracts), and records of action in particular cases (claims, dockets). Retention periods can be dictated by the legal statute of limitations or the term of the agreement, in which case the retention period would be relatively short. However, records documenting long-term legal rights and obligations are typically retained permanently. Fiscal Value These records document the day-to-day financial transactions of a city as well as long-term financial planning and policy. Records that show financial transactions generally have a relatively short-term value determined by the audit period or specific law. Records that document financial policy usually have a longer-lasting value. 8 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Historical Value Records with historical value may have a future research use, although the original administrative, legal, or fiscal value no longer exists. They are permanently valuable to a city because they document the development of policy and/or the growth of the community. The historical value of a record is often the most difficult quality to determine. Each of these values should be considered when deciding how long to keep a record. A specific record can have value in more than one category, and, if one does, the retention period must satisfy the longest need. Step 3: Schedule the Records After the classification and evaluation of records in the appraisal process, a decision is made on how long to keep each record series. This information is compiled into a record series retention and disposition schedule that names a record series and states its retention period, usually in columns. The following example shows a simple format: More complex formats can be used if directions are to be given about location and form of retention at various stages in the record’s lifespan. A more complex format can also address the problem of duplicate copies of the same record. An example of a more complex format follows. The schedules in this manual are in a simpler format. As the second example demonstrates, however, schedules tailored for your city can be more detailed, reflecting your city’s needs and resources. Record Title Retention Period Reason Minutes of City Council Permanent Code of Iowa, 37213(5) Building Permits Permanent Continuing administrative value Purchase Orders 5 years Fiscal value ends Dog Licenses 3 years Administrative and legal values ends Record Title Active Use Inactive Storage Final Disposition Minutes aOfficial copy in clerk’s office 10 years Permanent Retain originals bWorking copies in other offices As long as administratively useful None Destroy Building Permits Building Permits 3 years Permanent Destroy originals Purchase Orders aOfficial copy in the finance office 2 years 2 years Destroy bOffice of origin 2 years 2 years Destroy Dog Licenses Dog Licenses Current year 2 years Destroy 9 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Once created, these schedules should be made available to all departments in the city so all offices can use them. Although the record series retention and disposition schedules may be revised in the future, they form the basis of the records management program. Step 4: Organize the Records Using the information gathered in the inventory process and decisions made in the appraisal and scheduling steps, city personnel in all departments now can roll up their sleeves and physically organize their records. In the active office area, the filing system used for current records may be adequate, but if changes are needed they should be made during the organization of records. At this time files should be weeded of valueless paper and non-current records should be removed for storage in inactive areas. The following suggestions can help organize records in this area: 1. Store records of the same record series together. • Do not mix payroll records with commission minutes or canceled checks with dog licenses in the same box or electronic file. • Before moving correspondence files to inactive storage, separate routine, less valuable records from those containing information with long-term value. • Consolidate information from different departments and dispose of unnecessary duplicate copies of the same record. 2. Store records with the same retention period together. 3. Destroy valueless records based on the retention and disposition schedules. 4. Label the remaining records in a clear, consistent manner. • Do not use a term such as “Financial Records” as it is too general. A specific term such as “invoices” or “daily cash receipts” is more helpful. • Be consistent in the labeling; choose a term and stick with it. “Claims,” “bills,” or “vouchers,” may all be the same thing, but the different terms can cause confusion. 5. Prepare a list or index identifying what and where records are stored and make this information available to all departments. 6. Maintain what is used for storage and make the records easily accessible. Step 5: Implement the Program Once the organizational phase of the program is completed, city officials might consider the job done. Certain steps in the process, however, need to be repeated regularly in the future to qualify these records management efforts as a “program” rather than a mere house cleaning. The inventory process will not have to be repeated if systematic labeling and indexing take place. The appraisal process might only have to be done again on a limited basis as new records series are created or reassessment of an old series becomes necessary. Schedules form a basis for the program and do not need to be changed often, but they can be amended as needed. 10 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Implementation of the program means repeating the organizational step often. On almost a daily basis, new records will enter the system. They should be adequately labeled and logically filed at that time. On an annual basis, the record series retention and disposition schedules should be checked. Non-current records should be removed from active files, weeded, consolidated, labeled and indexed before storing them in inactive areas. Records scheduled for destruction should be removed and destroyed. If they are allowed to accumulate, physical and digital storage areas will become as overcrowded as they were before the program began. Implementing the steps of the organizational phase regularly will ensure that the considerable amount of time and effort spent in initiating the program will not go to waste. With some effort, city officials can enjoy the benefits that an ongoing records management program can provide. Managing Electronic Records Government agencies must manage their electronic records appropriately. Like all other government records, electronic records are subject to requirements of the Code of Iowa Chapter 22 “Examination of Public Records” and litigation. As with all records, cities must ensure that they are retaining, managing, and properly destroying their electronic records. This guide is designed to help employees of local governments who create, receive, and retain electronic records follow existing procedures and protect themselves and their city. Electronic Records Defined An electronic record is information recorded by a computer or other electronic device that is produced or received in the initiation, conduct, or completion of a city or individual activity. Examples of electronic records include email and text messages, word-processed documents, electronic spreadsheets, digital images, and databases. Many electronic records are maintained as part of an electronic recordkeeping system, such as geographic information systems (GIS), digital image storage systems, computer-aided design (CAD) systems, and electronic commerce systems. Electronic Records as Public Records Electronic records are public records if they are created or received as part of performing official duties and fall under the Code of Iowa Chapter 22. All electronic records that are created, received, or stored by a city are the property of the city; they are not the property of its employees, vendors, or customers. Employees should not expect privacy when using the city’s computers and electronic devices. Use of Home Computer or Personal Device Records created in the performance of an official function must be managed in the same way as those created and received using government computer resources. This holds true when a home computer or personal device is used to create or receive city records. 11 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Electronic Records Under Code of Iowa Chapter 22 and During Litigation Electronic records might be released in accordance with the Code of Iowa Chapter 22 or during the discovery process. Computers and electronic devices are provided to employees for conducting public business. Employees should be prepared to provide access to their electronic records to their supervisor or their city’s attorney under these circumstances. Electronic records that are created using home computers that are related to public business might also be released in accordance with the Code of Iowa Chapter 22. Employee Responsibilities with Electronic Records Government employees are responsible for organizing their electronic records so they can be located and used. They are also responsible for using an approved record series retention and disposition schedule to identify how long electronic records must be kept and when or if they can be deleted. Record Retention and Disposition Schedules The State Historical Society and the Iowa Municipal Finance Officers Association have worked with the Iowa League of Cities to create general record series retention and disposition schedules that can be used by city governments. If the records in an office are not inventoried on a general schedule, a special or specific schedule must be created to cover the records in that office. The Iowa League of Cities is available to advise cities about the process for creating special record series retention and disposition schedules. Application of Retention and Disposition to Electronic Records Record series retention and disposition schedules apply to electronic records. You may contact the Iowa League of Cities for information concerning reviewing your electronic recordkeeping systems to determine if any changes are needed to your city’s record series retention and disposition schedule. Impact of Software Changes Electronic records must be retained in accordance with a record series retention and disposition schedule, so the database must be listed on a schedule. The schedule will tell you how long to keep the older data and will help you design the new computer system to purge data at the appropriate time. Note: Electronic records cannot be destroyed if they have been requested under Code of Iowa Chapter 22, or if they are part of ongoing litigation, even if their retention period has expired. Many electronic records need to be kept longer than the original technology that was used to create them. New technology is not always compatible with older technology that cities may have used. Cities are responsible for ensuring that older electronic records remain accessible as technology is upgraded or changed. Each time technology upgrades and changes occur cities should be aware of the existence and location of older electronic records so they can be migrated to the new technology. 12 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Storing Electronic Records Cities need to know how long their electronic records must be retained before they select their storage system. Therefore, record series retention and disposition schedules must include electronic records. It is unlikely that most electronic records will be stored in their original software format and on their original storage system for their entire retention period. Cities need to consider these changes in hardware and software when they select new technology. Deleting Electronic Records Individual employees are responsible for deleting electronic records in accordance with the appropriate record series retention and disposition schedule. Deleted electronic records, however, may be stored on backup systems for several days, weeks, or months after they are deleted. Cities need written procedures to ensure that deleted electronic records are rendered unrecoverable regularly. Note: Electronic records cannot be destroyed if they have been requested under Code of Iowa Chapter 22, or if they are part of ongoing litigation, even if their retention period has expired. Questions? For more information, contact: Iowa League of Cities 500 SW 7th Street, Suite 101 Des Moines, IA 50309 (515) 244-7282 wwwiowaleagueorg State Historical Society of Iowa Archives 600 East Locust Des Moines, IA 50319 (515) 281-7801 13 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason I. Council Proceedings A. Minutes 1 Official Copy Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 2 Working Copies As long as administratively useful; then destroy Administrative value ends 3 Index Permanent Continuing administrative and historical value 4 Audio Recordings and minutes of Closed Sessions 1 year from the date of the meeting; unless required to retain due to pending litigation Code of Iowa, 215(4) Administrative and legal value ends 5 Agendas 5 years Administrative value ends B. Ordinances 1 Current code Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 2 Superseded Code Two copies permanent Continuing historical value 3 Index Permanent Continuing administrative and historical value 4 Individual Copies of Ordinances for Disbursement Until superseded; then destroy Administrative and legal value ends C. Resolutions 1 Official Copy Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 2 Working Copies As long as administratively useful; then destroy Administrative value ends 3 Index Permanent Continuing administrative and historical value D. Affidavits of Publication 1 Re: Budget Until audited or 5 years Fiscal and legal value ends 2 Re: Ordinances Until recodification Fiscal and legal value ends 3 Re: Bond Issues Permanent Continuing legal and historical value 4 Others 5 years Fiscal and legal value ends E. Oaths of Office If in writing, add to the official copy of council minutes for permanent retention Continuing legal and historical value F. City Official Bonds 5 years after expiration Legal value ends Schedule 1: Administrative and Legal Records 14 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason II. Real Property A. Title Documents 1 Deeds Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 2 Title Opinions Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 3 Abstracts and Certificates of Title Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 4 Title Insurance Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value 5 Condemnation Proceedings Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value B. Easements and/or Right of Way Agreements Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value C. Plats (legal descriptions, maps, plat books, both current and outdated) Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value D. Vacations/Alterations of Plat Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value E. Annexation Files Permanent Code of Iowa, 37213(5) Also continuing legal, administrative, and historical value III. Permits and Licenses A. Cigarette 5 years Administrative and legal value ends B. Dog or Cat 5 years Administrative and legal value ends C. Liquor and Beer 5 years Administrative and legal value ends D. Restaurant 5 years Administrative and legal value ends E. Miscellaneous Business (peddler, taxi, mobile food trucks, etc.) 5 years Administrative and legal value ends F. Special Events (parades, festivals, etc.) 5 years Administrative and legal value ends IV. General A. Accidents on City Property Involving City 1 Claims Settled out of Court 10 years after settlement Legal value ends 2 Court Decisions Permanent Continuing legal value B. Bids 1 Accepted 5 years Legal and fiscal value ends 2 Rejected 5 years or 1 year after audit Legal and fiscal value ends C. Blueprints or Plans for City-Owned Structures Permanent Continuing administrative and historical value D. Cemetery Records, Burial Records Permanent Continuing historical value Schedule 1: Administrative and Legal Records, continued 15 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason E. Contracts or Agreements for Services, Purchases of Equipment or Supplies, Concessions 10 years after expirations Legal value ends F. Correspondence As long as administratively useful; appraise for permanent retention Possible long-term administrative use and historical value G. Daily Diaries or Logs (appointment calendars, telephone or radio logs, task lists, etc.) 5 years Administrative value ends H. Equipment Records 1 Inventories While current Administrative value ends 2 Maintenance History Life of equipment Administrative value ends 3 Cost of operation summaries 5 years Administrative value ends 4 Information Service Records a Computer equipment inventory While current Administrative value ends b Telephone and mobile phone 5 years Administrative value ends c Depreciation reports and records 5 years Administrative value ends d Vendor information 5 years Administrative value ends I. Franchise Agreements 5 years after expiration; appraise for permanent retention Legal value ends; possible continuing historical and legal value J. Insurance Policies 5 years after expiration Legal value ends K. Leases 7 years after expiration; appraise for permanent retention Legal value ends; possible continuing historical and legal value L. Legal Actions 1 Civil Lawsuits and Administrative Law Proceedings 5 years after closure Administrative and legal value ends 2 Criminal and Municipal Infraction Cases – Closed 5 years Administrative value ends 3 Civil Case – Closed 5 years Administrative value ends 4 Citations 5 years Administrative value ends M. Legal Opinions 1 Informal Opinions 5 years Administrative and legal value ends 2 Formal Opinions Permanent Continuing legal value N. Maps, Current and Outdated (road, street, zoning, park, flood plain, topography, utilities, etc.) Permanent Continuing administrative and historical value O. Minutes of Boards and Commissions Permanent Continuing administrative and historical value P. Notices Sent to Citizens to Comply with Ordinances (including nuisance abatement notices) 5 years after disposition Administrative and legal value ends Schedule 1: Administrative and Legal Records, continued 16 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason Q. Petitions from Citizens 5 years after issue closed; appraise significant issues for permanent retention Administrative and legal value ends; possible historical value R. Promotional Materials 1 City Newsletters Permanent Continuing historical value 2 Advertising Contracts 5 years Administrative and legal value ends 3 Press Releases 5 years Administrative value ends 4 Pamphlets, Brochures Appraise for permanent retention Possible historical value 5 Newspaper Clippings Permanent Continuing historical value S. Photos, Scrapbooks Appraise for permanent retention Possible historical value T. Reports from Departments 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value U. Studies, Surveys 1 From an Outside Source As long as administratively useful Administrative value ends 2 Pertaining Directly to City Appraise for permanent retention Possible historical value V. Election Records 1 Precinct Maps, Current and Outdated Permanent Continuing historical value 2 City Elections a Election Petitions Permanent Continuing historical value b Abstracts Permanent Continuing historical value V. Police and Fire Retirement Records A. Minutes of the Board Permanent Continuing administrative, legal, and historical value B. Reports 1 Actuary 5 years Fiscal value ends 2 Investment 5 years Fiscal value ends 3 Fund 5 years Fiscal value ends C. Case File (actions, appeals, decisions) Permanent Continuing administrative, legal, and historical value VI. Finance/Purchasing Records A. Leases 1 Agreements and Related Documents Acted on by Council Upon expiration, 5-year minimum Administrative value ends 2 Agreements not Requiring Council Action 5 years after expiration, 5-year minimum Administrative value ends B. Purchase Orders 1 Purchase Orders 10 years after order date or life of purchase Administrative value ends 2 Change Orders 10 years after order date Administrative value ends Schedule 1: Administrative and Legal Records, continued 17 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason C. Bids, Quotes and Proposals 1 Official Copy, Bid/Proposal RFP 10 years after completion of contract Administrative value ends 2 Copies of Bids Received and Related Documents for Public Improvement Projects and Acted on by Council 10 years after completion of contract; awarded bids retained permanently Administrative value ends; continuing administrative value 3 Copies of Bids Received and Related Documents for Fleet Equipment Acted on by Council Lifetime of equipment; unaccepted bids: 1 year after acceptance of winning bid Administrative value ends 4 Copies of Bids Received and Related Documents for Other Equipment and Service Projects Acted on by Council 10 years after completion of contract; unaccepted bids: 1 year after acceptance of winning bid Administrative value ends 5 Originals of Bids, Quotes and Proposals Received for Contracts Not Awarded by Council 10 years after completion of contract except fleet equipment and buses; lifetime of equipment and other capital equipment; 10 years after completion of contract or upon expiration of warranty, whichever is more Administrative, grant and warranty issues are active until equipment is taken out of service D. Printing Charges 5 years Administrative value ends E. Central Stores 1 Stocks of Material Safety Data Sheets for Distribution 30 years after last use Administrative value ends 2 Issue Slips After audit completion or at least 5 years Administrative value ends F. Materials Inventory Records 1 Issue Records 5 years Administrative value ends 2 Receipt Records 5 years Administrative value ends 3 Catalogued Inventory Physical Count Records After audit completion or at least 5 years Administrative value ends 4 Catalogued Inventory Year-End Exception/Adjustment Record After audit completion or at least 5 years Administrative value ends 5 Cataloged Inventory Adjustment Record After audit completion or at least 5 years Administrative value ends 6 Non-catalogued Inventory Physical Count Record After audit completion or at least 5 years Administrative value ends 7 Year-end Materials Inventory Summary After audit completion or at least 5 years Administrative value ends G. Interdepartmental Charges 1 Fax Charges After audit completion Administrative value ends 2 City Hall Copier Readings After audit completion Administrative value ends Schedule 1: Administrative and Legal Records, continued 18 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason I. Revenue A. Notice of Property Tax Allocation from County 5 years Fiscal value ends B. Notice of Liquor Tax Allocation from State 5 years Fiscal value ends C. Property Tax Assessment Books Permanent Continuing historical value D. Federal Revenue Sharing Records 5 years Fiscal value ends E. Investments (Notice of interest earned or reports of growth, dividends, purchase, sales, etc.) 5 years Fiscal value ends F. Parking Revenue 1 Income from Meters and Lots (daily receipts, monthly summaries, ledgers, deposit slips) 5 years Fiscal value ends 2 Income from Violations (ticket copies, logs, daily receipts, monthly summaries, deposit slips) 5 years Fiscal value ends G. Road Use Tax Funds 1 Application for Financial Aid (Forms 230001, 230002, agreement, invoices, payment vouchers, certificate of audit) 5 years Fiscal value ends 2 Annual Street Finance Report 5 years Fiscal value ends 3 Street Construction Program (Form RUT 1-A, 220001, 220002) 5 years Fiscal value ends 4 Aerial Street Maps Permanent Continuing historical value H. Claims for Refunds of State Sales Tax 5 years Fiscal value ends I. Claims for Refunds of State Fuel Tax 5 years Fiscal value ends J. Special Assessments 1 Certified Mail Stubs from Notice to Property Owners 5 years after final payment Fiscal and legal value ends 2 Assessment Title Searches 5 years Fiscal and legal value ends 3 Preliminary and Fiscal Assessment Schedules 5 years after final payment Fiscal and legal value ends 4 Petition and Waiver (agreements to special assessments) 5 years after final payment Fiscal and legal value ends 5 Assessment Plats 5 years after final payment Fiscal and legal value ends 6 Certificate of Levy and Final Assessment 5 years after final payment Fiscal and legal value ends Schedule 2: Financial Records 19 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason K. Bond Issues and Proceedings 1 Bond Certificates 5 years after final recall Fiscal value ends 2 Redeemed Coupons 5 years after final recall Fiscal value ends 3 Bond Register Permanent Code of Iowa, 37213(5) Also continuing administrative, legal, and historical value 4 Proceedings (notice and call of public meeting, minutes and certificate of meeting, certificate of referendum, legal opinions) Code of Iowa, 37213(5) and 7610 Also continuing administrative, legal, and historical value 5 Remittance Advice Received with Payments 5 years Fiscal value ends L. Records of Federally Funded Public Improvement Projects (applications, contracts, accounting and banking records, payroll, EEO compliance records) Also see Schedule 4, Public Works Records 5 years after final payment, if audited Fiscal value ends II. Accounting A. Source Documents 1 Accounts Payable a Requisitions 5 years Fiscal value ends b Purchase orders 5 years Fiscal value ends c Invoices, statements, bills 5 years Fiscal value ends d Claims presented to council 5 years Fiscal value ends e Check/warrant copies or stubs 5 years Fiscal value ends f Vendor ledger cards 5 years Fiscal value ends 2 Accounts Receivable a Receipt copies or books 5 years Fiscal value ends b Daily cash receipt tabulation (cash register tapes, tallies, etc) 5 years Fiscal value ends c Invoices, statements, bills 5 years Fiscal value ends B. Books of Original Entry 1 Receipt Journal 10 years Fiscal value ends 2 Disbursement Journal 10 years Fiscal value ends 3 General Journal 10 years Fiscal value ends 4 Appropriations Journal 10 years Fiscal value ends Schedule 2: Financial Records, continued 20 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason C. Ledgers 1 General Ledger Permanent Continuing fiscal value 2 Subsidiary Revenue Ledger Cards 10 years Fiscal value ends 3 Subsidiary Appropriation/ Expenditure Cards 10 years Fiscal value ends III. Banking A. Checking Account Statements 5 years Fiscal value ends B. Check/Warrant Register (same as Disbursement Journal, above) 10 years Fiscal value ends C. Canceled Checks/Warrants 5 years Fiscal value ends D. Savings Account Statements 5 years Fiscal value ends E. Reconciliation Worksheets 5 years Fiscal value ends IV. Financial Reports A. Annual Financial Report Permanent Continuing fiscal value B. Treasurer’s/Clerk’s Report 5 years Fiscal value ends C. Sales Tax and Use Tax Reports 5 years Statute of limitations on audit D. Grant Reports 5 years after audit; 7 years if not audited; grant terms if not stated therein Fiscal value ends V. Audits Permanent Fiscal value ends VI. Budget A. Appropriation Requests from Departments 5 years Fiscal value ends B. Annual Budget Forms 5 years Fiscal value ends C. Final Budget and Certificate Summary 2 copies permanent Continuing fiscal and historical value D. Budget Amendments 2 copies permanent Continuing fiscal and historical value Schedule 2: Financial Records, continued 21 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason I. Payroll A. Payroll Journal (shows name, SSN, earnings, deductions, net pay/period and yearly totals) 60 years Fiscal value ends (satisfies long-term need for future salary and pension inquiries) B. Payroll Support Documents 5 years Fiscal value ends C. Federal Reporting Forms 1 W-2, W-3, W-4 5 years Fiscal value ends 2 941E Quarterly Report 5 years Fiscal value ends 3 Copy of Deposit Card 5 years Fiscal value ends 4 1099, 1096 5 years Fiscal value ends D. State Reporting Forms 1 Withholding Agents Reports 5 years Fiscal value ends 2 Job Service Report 5 years Fiscal value ends 3 Copy of Deposit Card 5 years Fiscal value ends 4 IPERS 5 years Fiscal value ends 5 MFPRSI 5 years Fiscal value ends II. Payroll A. Individual Employee File 1 Job Description and History Permanent Continuing historical value 2 Application and Resume 60 years Administrative value ends (satisfies the long-term need for future inquiries) 3 Civil Service Test, Scores, Placement 60 years Administrative value ends 4 Evaluations, Discipline, Demotion, Promotion, Awards 60 years Administrative value ends 5 Continuing Education 60 years Administrative value ends 6 Medical Information (separate file)60 years Administrative value ends 7 Resignations, Reasons for Leaving 60 years Administrative value ends 8 Claim for IPERS 60 years Administrative value ends 9 Unemployment Insurance Claims 5 years Fiscal value ends 10 Garnishments Through closure plus 1 year Fiscal value ends 11 Enrollment for Direct Deposit, Insurance, Savings Bonds, Etc While current Administrative value ends 12 Centralized I9 (separate)3 years after hire date, or one year after the date employment ends, whichever is later Administrative value ends B. Applications of Those Not Hired 5 years Administrative value ends Schedule 3: Payroll and Personnel Records 22 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason C. Civil Service Records 1 Minutes of the Board or Commission Permanent Continuing administrative and historical value 2 Roster of Eligible Applicants 5 years Administrative value ends 3 Case Files (actions, appeals, decisions) 10 years Legal value ends D. Equal Employment Opportunity 1 EEO-4 Report 5 years Administrative value ends 2 Plans a City’s 5 years Administrative value ends b Potential contractors’5 years Administrative value ends E. Health Insurance Payments, Claims 5 years Administrative and fiscal value ends 1 Employer’s Report 5 years Administrative and fiscal value ends 2 OSHA Report 5 years Administrative and fiscal value ends 3 Workers’ Compensation Reports 2 years from the date of occurrence on which benefits are claimed or 3 years from the last payment of weekly compensation benefits Code of Iowa, 8526 Legal value ends F. Union Records 1 Negotiations As long as administratively useful; then appraise for permanent retention Administrative value ends Possible historical value 2 Contracts Permanent Continuing administrative and historical value 3 Fact Finding and Arbitration Cases 5 years minimum then appraise for permanent retention Administrative value ends Possible historical value 4 Case Files (actions, appeals, decisions) 10 years then appraise for permanent retention Legal value ends Possible historical value G. Public Service (PSE) Contracts, Claims, Etc. 5 years Administrative and fiscal value ends H. Miscellaneous 1 Classification Studies 5 years Administrative value ends Appraise for possible historical value 2 Compensation Surveys 5 years Administrative value ends Appraise for possible historical value 3 Administrative Studies 5 years Administrative value ends Appraise for possible historical value 4 Job Specifications Permanent Continuing historical value 5 Personnel Policies, Pay Plans, EtcPermanent Continuing historical value 6 Internal Investigations 10 years Administrative and legal value ends Appraise for possible historical value Schedule 3: Payroll and Personnel Records, continued 23 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason I. General Records Common to Engineering and Planning & Zoning Departments A. Annexation Files Permanent Continuing administrative and historical value B. Maps, Current and Outdated (road, street, zoning, park, flood plain, topography, utilities, etc.) Permanent Continuing administrative and historical value C. Plats (subdivision, annexation, assessors, legal descriptions, plat books) Permanent Continuing administrative and historical value D. Studies or Surveys 1 From Outside Source As long as administratively useful Administrative value ends 2 Pertaining to City Appraise for permanent retention Possible historical value E. Subdivision Files Permanent Continuing administrative and historical value II. Engineering Records A. Blueprints or Plans of City-Owned Structures Permanent Continuing administrative and historical value B. Bridge Records (inspection and maintenance) Life of structure Administrative value ends C. Capital Improvement Projects 1 Authorization Phase 5 years Administrative value ends a Minutes of Hearing, Clerk’s Certificate, Resolutions Permanent (part of minute and resolution books) Continuing legal and historical value b Specifications Permanent Continuing administrative and historical value c Notice of Hearing and Letting (proof of posting documents, instructions to bidders, bid, bid bond, performance bond, certificate of insurance) 5 years after project completed, if audited Fiscal and legal value ends d Contract Life of structure Administrative and legal value ends 2 Financing Phase See Schedule 2, Financing Records a Special Assessments, Bond Issues, State or Federal Grants 3 Pre-Construction Phase a Appraisals 5 years after project completed; if project not initiated, retain as administratively useful Administrative and fiscal value ends b Environmental Impact Surveys 5 years Administrative value ends c Historical Surveys of Buildings Appraise for permanent retention Possible historical value d Relocation Files 5 years after final payment Administrative and fiscal value ends Schedule 4: Public Works Records 24 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason e Condemnation Files Permanent Continuing legal and historical value f Demolition Files Permanent Continuing legal and historical value 4 Construction Phase a Work Orders 5 years after project completed, if audited Administrative and fiscal value ends b Daily Diaries 5 years after project completed, if audited Administrative and fiscal value ends c Payroll Records 5 years after the project is completed, if audited Administrative and fiscal value ends d Change Orders 5 years after the project is completed, if audited Administrative and fiscal value ends e Cement or Other Purchases 5 years after project completed, if audited Administrative and fiscal value ends f Inspections, Testing 5 years after project completed, if audited Administrative and fiscal value ends g Progress Reports 5 years after project completed if audited Administrative and fiscal value ends h Pay Requests 5 years after project completed, if audited Administrative and fiscal value ends i Blueprints, Tracings Permanent Administrative, and fiscal value ends j Certificate of Completion and Acceptance Permanent Administrative and fiscal value ends D. Deeds, Easements or Right of Way Agreements Permanent Continuing legal and historical value E. Land Survey Results 1 Field Notes Permanent Continuing administrative and historical value 2 Benchmark Books Permanent Continuing administrative and historical value F. Photos, Aerials As long as administratively useful; appraise for permanent retention Administrative value ends; possible historical value G. Profile and Grade Books Permanent Continuing administrative and historical value H. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value III. Planning & Zoning Records A. Case Files 1 Zoning Variance Requests and Decisions 10 years after settlement Administrative and legal value ends 2 Non-compliance Violations 10 years after settlement Administrative and legal value ends 3 Decisions and Orders Permanent Continuing administrative, historical, and legal value Schedule 4: Public Works Records, continued 25 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason B. Community Development 1 Urban Renewal, HUD Block Grant See Capital Improvement Projects in this schedule 2 Public Housing 3 Applications, Correspondence, Records of Ineligibility, Determinations, Tenant Files 5 years after case closed Administrative value ends (Federal Register, Guide to Record Retention Requirements suggests 3 year retention) C. General Planning (comprehensive plan, land use, open space, recreation, capital improvements, regional, transportation, etc.) As long as administratively useful; appraise for permanent retention Administrative value ends; possible historical value D. Minutes of the Board or Commission Permanent Continuing administrative and historical value E. Rosters of Previous Board or Commission Members Permanent Continuing historical value F. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value IV. Building Inspection Records A. Building/Site Plans 1 Residential 5 years Administrative value ends 2 Commercial Life of structure Long-term administrative value 3 Rental 5 years Administrative value ends B. Case Files, Board of Adjustment 10 years after disposition Administrative and legal value ends C. Inspection Records 1 Card or Address File 5 years Administrative value ends 2 Reports 5 years Administrative value ends 3 Log Books Permanent Continuing administrative and legal value D. License Records (electricians, plumbers, mechanical) 60 years Long-term administrative and legal value E. Minutes of the Board of Adjustment Permanent Continuing administrative and historical value F. Permits (or application, whichever has most info; building, plumbing, heating, A/C, electrical, sewer, excavation, demolition, occupancy, street, sidewalk) Permanent Continuing administrative value G. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value Schedule 4: Public Works Records, continued 26 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason V. Maintenance of Streets and Grounds A. Complaints 5 years after disposition Administrative value ends B. Daily Diaries or Logs (appointment calendars, telephone or radio logs, task lists, etc.) 5 years Administrative value ends C. Equipment 1 Inventories While current Administrative value ends 2 Maintenance Life of equipment Administrative value ends 3 Cost of Operation Summaries 5 years Administrative and fiscal value ends D. Purchasing See Schedule 2, Financial Records (Accounts Payable) 1 Fuel Consumption Records 5 years Fiscal value ends 2 Fuel, Gravel, Sand, Hauling, etc 5 years Fiscal value ends E. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value F. Work Orders 5 years Administrative value ends Schedule 4: Public Works Records, continued 27 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Blueprints of Commercial Buildings As long as administratively useful Administrative value ends B. Daily Diaries or Logs (appointment calendars, activity, radio, phone) 5 years Administrative value ends C. Equipment Records 1 Inventories 5 years Administrative value ends 2 Maintenance and Testing 5 years Administrative value ends D. Inspection Records 1 Card File or Log Book with Results, Violations, Corrections Life of structure Administrative and legal value ends 2 Inspector Books, Copies of Inspection Certificates 5 years Administrative value ends E. Iowa Incident Reports Permanent Continuing administrative and historical value F. Investigation Files 1 Arson Permanent Continuing administrative and legal value 2 Fire Deaths Permanent Continuing administrative and legal value G. Log Book of Fires Permanent Continuing administrative and historical value H. Maps of Area Served As long as administratively useful Administrative value ends I. Miscellaneous Vehicle Run Reports 5 years Administrative value ends J. Roll Call or Minute Books Permanent Continuing historical value K. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value L. Rural Township Contracts 5 years after expiration Administrative and legal value ends M. Photos, Department History Permanent Continuing historical value N. State Fire Marshal’s Statistics As long as administratively useful Administrative value ends Schedule 5: Fire Department Records 28 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. General 1 Contracts, Agreements (concessions, services, equipment, personnel, facility use, projects) 10 years after expiration Administrative and legal value ends 2 Minutes of the Board or Commission Permanent Continuing administrative and historical value 3 Facilities, Buildings, Other Structures Life of building or until sold Administrative value ends 4 Equipment (inventories, maintenance) Until equipment retired Administrative value ends 5 Facilities, park maintenance, pesticide applicator licenses 5 years minimum Administrative value ends B. Miscellaneous Records 1 Program Files (class lists, rosters, scorebooks, permission slips) 5 years Administrative value ends 2 Reservation Records (shelter houses, facilities, building spaces, etc) 5 years Administrative value ends 3 State Sales Tax Return 5 years Fiscal value ends 4 Promotional Materials 5 years; appraise for permanent retention Possible historical value 5 Photos, Park History Permanent Continuing historical value C. Swimming Pools, Golf Courses, and Other Enterprises that Charge Admission 1 Daily Cash Receipts, Cash Register Tapes, Deposit Slips 5 years Fiscal value ends 2 Record of Season Ticket Sales 5 years Fiscal value ends 3 User Statistics 5 years Administrative value ends 4 Department of Public Health Water Quality Tests 5 years Administrative value ends 5 Material Safety Data Sheets 30 years after last use OSHA requirement; administrative value ends D. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value Schedule 6: Parks and Recreation Records 29 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Contracts or Leases 10 years after expiration Administrative value ends B. Correspondence with Regulatory Agencies, FAA or Iowa DOT (inspections, certification, correction of violations, etc.) As long as administratively useful or until issue resolved; appraise for permanent retention Administrative value ends; possible historical value C. Facilities 1 Land See Schedule 1, Administrative and Legal Records, Title Documents 2 Buildings, Runways, Other Structures See Schedule 1, Administrative and Legal Records, Title Documents 3 Equipment (inventories, maintenance) See Schedule 1, Administrative and Legal Records, Title Documents D. Master Plans (5-10 year projections)Until superseded; appraise for permanent retention Administrative value ends; possible historical value E. Minutes of the Board or Commission Permanent Continuing administrative and historical value F. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value Schedule 7: Airport Records 30 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Circulation Records 5 years Administrative value ends B. Contracts for Service with Other Entities 10 years after expiration Administrative value ends C. Minutes of the Board or Commission Permanent Continuing administrative and historical value D. Purchasing See Schedule 2, Financial Records, Accounts Payable E. Reports to City Council 1 Monthly 5 years Administrative value ends 2 Annual Permanent Continuing historical value F. Report to State Library Commission Permanent Continuing historical value Schedule 8: Library Records 31 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Planning 1 Commercial Site Plans 180 days after completion of permitted work International Building Code 2 Subdivision Plans 5 years after last final plat approval Administrative value ends 3 PUD, P-C, P-1 Plans Permanent Continuing administrative and historical value 4 LUPP Requests 5 years Administrative value ends; possible historical value 5 Neighborhood Planning (sub- area plans, neighborhood liaison activities) 5 years minimum Administrative value ends; possible historical value 6 Historic Preservation Files Permanent Continuing administrative and historical value 7 Permitted Home Occupation Files Permanent Continuing administrative and historical value B. Affordable Housing 1 Home Buyer Files (applications, HUD settlement statements, purchase agreements, racial/ ethnic documentation, rehabilitation contracts, and documentation) 7-30 years or until the property is sold Administrative value ends 2 Grant Program Files (quarterly reports, monthly reports, close- out documents for audits) 5-year minimum after program completion and audit Administrative value ends 3 Annual Permanent Continuing historical value Schedule 9: Housing Records 32 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Permits 1 Noise Permits 5 years Administrative value ends 2 Keg Permits 5 years Administrative value ends B. Personnel 1 Staff Meeting Minutes and Index Permanent Continuing administrative value 2 Personnel Records (discipline, demotion, promotion, awards) 60 years Fiscal value ends (satisfies the long- term need for future salary and pension inquiries) 3 Personnel Training Records 5 years after termination of employment Administrative value ends 4 Significant Exposure and Insignificant Exposure Reports Permanent Continuing administrative value 5 Internal Affairs Investigations Permanent Continuing administrative value 6 Grievances/Responses Permanent Continuing administrative value 7 Outside-event Overtime Requests, Assignments, Billings 5 years Administrative value ends 8 Policies and Procedures Manuals and Updates Permanent Continuing historical value 9 Detective Division Policies and Procedures Manual and Updates Permanent Continuing historical value 10 Field Training Officers Manual and Updates Permanent Continuing historical value 11 Dispatchers Policies and Procedures Manual and Updates Permanent Continuing historical value 12 Liability Release Forms Permanent Continuing historical and legal value C. Records and Reports 1 Studies/Surveys 5-year minimum, as long as administratively useful Administrative value ends 2 Arrest Book Permanent Continuing administrative value 3 Trip Cards 7 years Administrative value ends 4 State of Iowa Grant Reports 5-year minimum, depending on grant requirements Administrative value ends 5 Federal Government Grant Reports 5-year minimum, depending on grant requirements Administrative value ends 6 Investigation Reports Permanent Continuing historical value 7 Accident Reports Permanent Continuing historical value 8 Pawn Records 7 years Administrative value ends 9 Arrest Records Permanent (hard copy)Continuing historical value D. Accounting and Payroll Administrative value ends 1 Department Employee Time Records 5 years Administrative value ends 2 Department Accounting and Payroll Records 5 years Administrative value ends Schedule 10: Police Records 33 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason 1 Annexation Maps Permanent Continuing administrative and historical value 2 Plats of City-Owned Property and Easements Granted to the City Permanent Continuing administrative and historical value 3 Topography, Flood Plain Maps Permanent Continuing administrative and historical value 4 Utility Location Maps and Plats Permanent Continuing administrative and historical value 5 As-Built and Drawings of City Buildings, Streets, and Supporting Infrastructure Permanent Continuing administrative and historical value 6 Capital Improvement Project Specifications Maintaining for the life of the bond or loan if the project was funded, or for 5 years after project completion if it was not funded by a loan or bond Administrative and fiscal value ends 7 Capital Improvement Project Files Maintaining for the life of the bond or loan if the project was funded, or for 5 years after project completion if it was not funded by a loan or bond Administrative and fiscal value ends 8 Survey Notes Permanent Continuing administrative and historical value 9 Benchmark Books Permanent Continuing administrative and historical value 10 Material Safety Data Sheets 30 years after the last usage OSHA requirement; administrative value ends 11 Nuclear Density Gauge Logs Permanent Permit requirement 12 Studies/Surveys 5 years Possible historical value; appraise for permanent retention 13 Complaints 5 years after settlement Administrative value ends 14 Daily Diaries or Logs (appointment calendar, activity, radio, phone) 5 years Administrative value ends 15 Correspondence with Regulatory Agencies (inspections, certification, correction of violations) 5 years/permanent if correspondence serves as certification or evidence of correction of violations Administrative value ends; appraise for possible historical value 16 Master Plans (5-10 year projections) Permanent Continuing historical value Schedule 11: Engineering Records 34 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Equipment and Maintenance 1 Inventories While current Administrative value ends 2 Leases Life of equipment Fiscal value ends 3 Fuel Consumption Permanent Continuing fiscal value 4 Cost of Operation Permanent Continuing administrative and historical value 5 Underground Tanks, Registration and Insurance Permanent Continuing administrative and fiscal value B. Maps 1 Time Schedules and Route Maps Permanent Continuing administrative and historical value C. Promotional Materials (pamphlets, brochures) Permanent Continuing administrative and historical value D. Financial Records and Reports 1 Quarterly Reports 5 year minimum Administrative value ends 2 Fuel Tax Reports 5 year minimum Fiscal value ends 3 DBE/WBE Report 5 year minimum Administrative value ends 4 Operating Grants Life of structure, not less than 5 years Fiscal value ends 5 Odometer Readings Life of equipment Administrative value ends 6 Time Sheets 5 years Fiscal value ends 7 Material Safety Data Sheets 30 years after the last usage OSHA requirement; administrative value ends 8 Claims for Refunds of State Fuel Tax 5 years Fiscal value ends Schedule 12: Transit Records 35 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason I. Electric Administration, Engineering and Plant Controls A. State and Federal Reports 1 EIA 412 – Annual Report of Public Electric Utilities 5 years Administrative value ends; appraise for possible historical value 2 EIA 767 – Steam-Electric Plant Operation and Design Report 5 years Administrative value ends; appraise for possible historical value 3 EIA 860 – Annual Electric Generator Report 5 years Administrative value ends; appraise for possible historical value 4 EIA 861 – Annual Electric Power Report 5 years Administrative value ends; appraise for possible historical value 5 Iowa Department of Revenue Annual Report of Transmission Lines and Equipment 5 years Administrative value ends; appraise for possible historical value 6 Form ME-1 – Iowa Utilities Board Annual Report 5 years Administrative value ends; appraise for possible historical value B. Iowa Utilities Board 1 Annual Inspection 5 years Administrative value ends; appraise for possible historical value C. FCC Radio License 5 years Administrative value ends; appraise for possible historical value D. Licenses and Permits, State and Federal 1 Iowa Dept of Public Health Materials License 5 years Administrative value ends; appraise for possible historical value 2 Continuous Emission Monitoring 5 years Administrative value ends; appraise for possible historical value 3 Iowa DNR Permits 5 years Administrative value ends; appraise for possible historical value 4 US EPA Permits 5 years Administrative value ends; appraise for possible historical value 5 Iowa Utility Board Permits 5 years Administrative value ends; appraise for possible historical value E. Distribution System 1 Electric Distribution Maps Permanent Continuing administrative value 2 Electric Switching Maps Permanent Continuing administrative value F. Security Lights, Rental Agreements Life of agreement, not less than 5 years Continuing administrative value G. Miscellaneous 1 Iowa One Call Locates 7 years Legal value ends 2 Primary Switching Log and Tags Permanent Continuing legal and historical value 3 Safety Glasses and Safety Footwear 7 years Administrative and fiscal value ends 4 Siren Tests 7 years Administrative value ends Schedule 13: Electric Utility Records 36 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason 5 Job Orders (active)Until completed, not less than 5 years Administrative and fiscal value ends 6 Job Orders (completed)Permanent Continuing historical value 7 Maps Permanent Continuing historical value 8 Tree Trimming Maps/Permit Cards 7 years Administrative, fiscal, and historical value 9 Material Safety Data Sheets 30 years after the last usage OSHA requirement; administrative value ends 10 Disposal Record of Material from Truck Bay Pits Permanent Continuing legal value H. Inventory 1 Poles Permanent Continuing fiscal and historical value 2 Transformers Permanent Continuing fiscal and historical value 3 Job Issues Permanent Continuing fiscal and historical value 4 Material in Stock While current Administrative and fiscal value 5 Inventory Records 5 years Fiscal, historical, and legal value ends I. Inspection/Maintenance Documents/Reports 1 OH Switch Maintenance 7 years Administrative value ends 2 PCB Test Reports Permanent Continuing historical and legal value 3 Cap Bank Maintenance/Inspection 5 years Administrative value ends 4 Tools As long as possessed, not less than 5 years Administrative value ends 5 OH Line Inspection 5 years Historical and legal value ends 6 UG Line Inspection 5 years Historical and legal value ends 7 Infrared Inspection 5 years Historical and legal value ends 8 Equipment As long as possessed, not less than 5 years Administrative value ends 9 Fire Extinguisher Inspection Permanent Continuing legal value 10 Sling Inspections Permanent Continuing legal value 11 High-Voltage Testing (hot sticks and cover-up) Permanent Continuing legal value 12 Fork-Lift Inspection As long as possessed, not less than 5 years Historical and legal value ends 13 High-Voltage Testing of Substation Hot Sticks Permanent Continuing legal value 14 Miscellaneous Building Maintenance Records Permanent Continuing historical value Schedule 13: Electric Utility Records, continued 37 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason II. Electric Production Records A. Operations and Maintenance 1 Generation and Output Logs (monthly meter logs) 6 years Federal Energy Regulatory Commission (17,704, 1253) 2 Recording Charts 5 years Federal Energy Regulatory Commission Regulations B. Payroll 1 Semi-Monthly Pay Sheets 5 calendar years Administrative and legal value ends C. Records 1 Record of Unclaimed Deposits 3 years Iowa Administrative Code, 199-204(8) 2 Customer Billing Records 3 years Iowa Administrative Code, 199-204(13) 3 Meter Test Records 3 years after retirement of meter Iowa Administrative Code, 199-206 4 Volunteer Records 2 years Iowa Administrative Code, 199-207(7) D. OSHA Safety Programs 1 Written Programs 5 years Administrative and legal value ends 2 Training Records 5 years Administrative and legal value ends 3 Canceled Confined Space Entry Permits 5 years Administrative and legal value ends 4 Portable Fire Extinguisher Inspections 5 years Administrative and legal value ends 5 Ladder Inspections 5 years Administrative and legal value ends 6 Sling Inspections 5 years Administrative and legal value ends 7 Monthly Respirator Inspection Forms 5 years Administrative and legal value ends 8 Material Safety Data Sheets 30 years after last usage OSHA requirement; administrative value ends Schedule 13: Electric Utility Records, continued 38 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. General 1 Minutes of the Board or Commission Permanent Continuing administrative and historical value 2 Capital Improvement Projects See Schedule 4, Public Works Records, Capital Improvement Projects a Records relating to state and federal funding of planning and/or construction of water and wastewater facilities (correspondence, grant applications, approvals, wage determinations, adjustments) 5 years after completion Administrative value ends b Records relating to the construction of wastewater treatment facilities (applications, permits, amendments, blueprints, complaints, investigations, reports, Municipal Operation Permits) Permanent Continuing administrative value 3 Operator’s Certification Length of employment Administrative and legal value ends 4 Valuations Permanent Continuing administrative, fiscal, and historical value 5 Rate Surveys a Monthly 3 years Administrative value ends b Annual Permanent Continuing historical value 6 Report to Iowa Department of Revenue 5 years Administrative and fiscal value ends Schedule 14: Water Utility Records 39 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason B. System, Plant and Equipment 1 Blueprints or Plans of Plant and System Permanent Continuing administrative and historical value 2 Inventories (elevated water tanks, wells, pumps, engines, reservoirs, dams, pump stations, etc) While current Administrative value ends 3 Equipment Records (water towers, wells, pumps, engines, tanks, reservoirs, dams, etc) a Inventories While current Administrative value ends b Maintenance History Life of equipment Administrative value ends c Depreciation Life of equipment Fiscal value ends 4 Maps of System Permanent Continuing administrative and historical value 5 Meter Records (location, testing, maintenance) 2 consecutive periodic tests or 2 years; if record made at retirement, retain for 3 years Iowa Administrative Code, 199-216(9); administrative value ends 6 Record of Ys Permanent Continuing administrative value 7 Valve Records Permanent Continuing administrative value 8 Water and Sewer Tap Records Permanent Continuing administrative value C. Operations 1 Logs Indicating Pumping, Hours, Gallons, Chemicals Added, Maintenance, Testing 6 years Administrative value ends 2 Recording Instrument Charts 5 years Administrative value ends 3 Records Relating to Operations, Including Correspondence, Permits (NPDES, pretreatment, disposal water/wastewater sludge, water supply, historical consumption, usage records, trouble calls) Permanent Continuing historical and future projection value 4 Lab Records Supporting Lab Certification 7 years Administrative value ends 5 IDNR Summary of Bacterial Analysis 7 years Administrative value ends 6 Water Supply Monthly Operations Report 7 years Administrative value ends 7 Operations Permits Permanent Continuing administrative value Schedule 14: Water Utility Records, continued 40 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason D. Water Treatment 1 Bacteriological Analysis 5 years US EPA, 40 CFR 14133 Administrative value ends 2 Chemical Analysis 10 years US EPA, 40 CFR 14133 Administrative value ends 3 Actions Taken to Correct Violations of Primary Drinking Water Regulations 5 years US EPA, 40 CFR 14133 Administrative value ends 4 Copies of Reports Relating to Sanitary Surveys of System 10 years US EPA, 40 CFR 14133 Administrative value ends 5 Records Relating to Variances or Exemptions 5 years after expiration US EPA, 40 CFR 14133 Administrative value ends 6 Record of Residuals Analysis and Disposal 5 years US EPA, 40 CFR 14133 Administrative value ends 7 Flood Prediction and Monitoring Data Permanent Continuing historical and future projection value 8 Groundwater Level Monitoring Data Permanent Continuing historical and future projection value E. Billing and Customer Services Records 1 Application Forms for Hydrant Meters and Unauthorized Use of Water (without meter) 5 years Administrative value ends 2 Job Orders 5 years Administrative value ends 3 Complaints 5 years Iowa Administrative Code, 199-214(10) Administrative value ends F. Meter Records 1 Meter Testing and Maintenance Records (meter cards) 5 years after the retirement of meter Administrative value ends 2 Meter Location Records (address cards) Permanent Continuing historical value Schedule 14: Water Utility Records, continued 41 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason G. Cross-Connection Control Records 1 Facility/Customer Records (device test and facility survey forms; notifications for the need for containment, testing, and noncompliance; assembly information and test log) Permanent Continuing administrative and historical value 2 Wastewater Treatment (record of monitoring activities and results) 3 years Iowa Administrative Code, 567-632(3) Administrative value ends 3 Billing and Customer Service Records a Applications, Certifications, or Permits for Hook-up, Initiation of Service or Discontinuation of Service 3 years Administrative value ends b Contracts for Service 1 year after expiration Administrative value ends c Rate Schedules and Descriptions of Rate Computations 50 years Administrative value ends d Job Orders 3 years Administrative value ends e Complaints 3 years Iowa Administrative Code, 199-214(10) Administrative value ends f Meter Readings See Iowa Administrative Code, 199-216(9)Iowa Administrative Code, 199-216(9) Administrative value ends g Billing Records 1) Stubs 5 years Fiscal value ends 2) Receipts 5 years Fiscal value ends 3) Daily Receipt Tabulations 5 years Fiscal value ends 4) Cash Books (journals)5 years Fiscal value ends 5) Ledgers 5 years Fiscal value ends 6) Summaries of Usage and Billing 5 years Fiscal value ends 7) Delinquent Account Lists 5 years Fiscal value ends 8) Bad Debt Write-Offs 5 years Fiscal value ends 9) Adjustment Postings or Books 1 year Fiscal value ends 10) Records of Customer Deposits and Refunds 7 years after the abandonment of service Fiscal value ends 11) Record of Unclaimed Refunds 1 year Code of Iowa, 5564 Legal and fiscal value ends Schedule 14: Water Utility Records, continued 42 | Record Retention Manual for Iowa Cities Iowa League of Cities | April 2024 Record Title Retention Period Reason A. Gas Utilities In general, gas utilities shall preserve records in accordance with the provisions of Part 225 of the Federal Power Commission Rules, 18 CFR 225 Iowa Administrative Code, 199-186(2) 1 Record of Unclaimed Deposits 2 years Iowa Administrative Code, 199-194(8) 2 Customer Billing Records 5 years Iowa Administrative Code, 199-194(13) 3 Meter Records (name of the manufacturer, number, type, capacity, multiplier, constants, pressure rating, dates of installation and removal, testing) 3 years after the retirement of the meter; before meter’s retirement, retain last 2 tests Iowa Administrative Code, 199-196 4 Pressure Surveys and Records 2 years Iowa Administrative Code, 199-197(3) Schedule 15: Gas Utility Records