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April SRC Retention Schedule Report

April 13, 2017 Comments off

The previously posted general schedule was heard by the State Records Committee today and approved. This general schedule was previously posted on this blog for your input.

To hear the discussion regarding these schedules, please go to the State Records Committee’s page on the Public Notice Website. All are welcome to attend the State Records Committee and provide input on retention schedules being discussed. Meetings are held on the second Thursday of each month at the Utah State Archives.

State General Retention Schedule Updates

April 5, 2017 Comments off

Listed here are six state financial retention schedules to be overwritten by the new financial schedule approved December 8th by the State Records Committee. If a retention schedule is overwritten by an updated schedule, it will be hyperlinked to the new schedule on our website.

The State Auditor’s Office also reviewed the schedule before it was seen by the State Records Committee. We hope this schedule will make the retention of many financial records simpler to manage.

Please update your records so the updated retention will be followed from this point going forward. Below is the updated schedule, then the schedules being removed from the  general retention schedule. If you have any questions, please call us at 801-531-3863.

Updated Schedule:

Budget Records (SG 7-67)
These records are used to document the intended appropriation of funds. Information may include budget requests, proposals, and reports documenting the status of appropriations.
Retention: Retain for 4 years and then destroy. (Approved 12/2016)

Schedules to be replaced:

Cost Report Data Files (SG 7-16)
Ledgers and forms used to accumulate data for use in cost reports.
Retention:  Retain by agency for 3 years and then destroy. (Approved 07/1990)

General Accounting Ledger (SG 7-25)
General accounts ledger, showing debit and credit entries, and reflecting expenditures in summary.
Retention:  Retain for 7 years and then destroy. (Approved 07/1990)

Petty Cash Records (SG 7-33)
Records which verify all monies received or expended through a petty cash account. Includes cash receipts, adding machine tapes, daily accounting records, reconciliation, transmittals, etc.
Retention: Retain by agency for 3 years and then destroy. (Approved 07/1990)

Journal Entry Records (SG 7-52)
Entries listing adjustments to an organization’s credit or debit financial statements. They contain the Division of Finance form FI-35, which lists the credit or debit adjustment, explanation of entry, and approval signature.
Retention: Retain by the Division of Finance for 10 years and then destroy. (Approved 12/1992)

Financial Information Network (FI-NET) Reports (SG 7-55)
Reports of accounting information contained in the state accounting system, including budget, grant, payroll, revenue expense, accounting reports, and bank reconciliations.
Retention: Retain by the Division of Finance for 7 years and then destroy. (Approved 06/1996)

Budget Authorization Records (SG 10-2)
Copies of budget authorizations in operating payroll units used to control personnel ceilings and personnel actions.
Retention: Retain for 2 years and then destroy. (Approved 10/2001)

More State General Retention Schedule Updates

April 4, 2017 Comments off

Listed here are five state financial retention schedules to be overwritten by the new financial schedule approved December 8th by the State Records Committee. If a retention schedule is overwritten by an updated schedule, it will be hyperlinked to the new schedule on our website.

The State Auditor’s Office also reviewed the schedule before it was seen by the State Records Committee. We hope this schedule will make the retention of many financial records simpler to manage.

Please update your records so the updated retention will be followed from this point going forward. Below is the updated schedule, then the schedules being removed from the  general retention schedule. If you have any questions, please call us at 801-531-3863.

Updated Schedule:

Budget Records (SG 7-67)
These records are used to document the intended appropriation of funds. Information may include budget requests, proposals, and reports documenting the status of appropriations.
Retention: Retain for 4 years and then destroy. (Approved 12/2016)

Schedules to be replaced:

Budget Apportionment Files (SG 2-5)
Apportionment and reapportionment schedules, proposing monthly obligations under each authorized appropriation.
Retention: Retain by agency for 3 years and then destroy. (Approved 10/2001)

Budget Background Records (SG 2-6)
Records used to assist in the preparation of the division budget and to justify budget requests presented to the department director. They also contain work programs, etc.
Retention: Retain by agency for 3 years and then destroy. (Approved 07/1990)

Budget Estimates and Justification Files (SG 2-7)
Copies of budget estimates and justification prepared or consolidated in formally organized budget offices. Included are appropriation language sheets, narrative statements, workload/expansion plans and related schedules and data.
Retention: Retain by agency for 3 years and then destroy. (Approved 10/2001)

Savings Bond Purchase Summary (SG 10-20)
List of all bond purchases and the remaining bond balances by low organization number.
Retention: Retain by agency for 2 years and then destroy. (Approved 10/2001)

Schedule Six Position Control Reports (SG 10-22)
Reports which document the employee positions authorized by the Department of Human Resource Management that are actually filled and the amount of money spent. Information includes the amount paid to the employee, which is posted against the general ledger to position control. Also indicates the posted benefits. Information appears on Schedule Six.
Retention: Retain by the Division of Finance for 2 years and then destroy. (Approved 07/1990)

New General Schedule for Your Input

March 30, 2017 4 comments

We would like to propose the following general schedule to the State Records Committee at their next meeting on April 13th. This will be listed in the state general schedule, but may be used by any governmental entity to schedule their records. If you have any changes you would like to see to this general schedule, please notify Rebekkah Shaw at rshaw@utah.gov or 801-531-3851.

TITLE: INVESTIGATION RECORDS (1-86)

DESCRIPTION: These records contain information necessary to undertake a complete investigation and are used to identify patterns of behavior, investigate claims, conduct internal investigations, and for other investigative purposes. Records may relate to the initiation, investigation, and disposition of cases, but do not include investigations of employees, criminal activities , or worker’s compensation, which have separate retention schedule.

RETENTION: 7 years after case is closed and then destroy.

Updating Municipal Budget Records 2/2

March 29, 2017 2 comments

Listed here are six financial retention schedules to be overwritten by the new financial schedule approved December 8th by the State Records Committee. If a retention schedule is overwritten by an updated schedule, it will be hyperlinked to the new schedule on our website.

The State Auditor’s Office also reviewed the schedule before it was seen by the State Records Committee. We hope this schedule will make the retention of many financial records simpler to manage.

Please update your records so the updated retention will be followed from this point going forward. Below is the updated schedule, then the schedules being removed from the  general retention schedule. If you have any questions, please call us at 801-531-3863.

New Schedule:

Budget Records (SG 7-67)
These records are used to document the intended appropriation of funds. Information may include budget requests, proposals, and reports documenting the status of appropriations.
Retention: 4 years and then destroy.  (Approved 12/2016)

Old Schedules Being Replaced:

Budget Message (MUN 3-6)
This message accompanies the tentative budget and is submitted by the budget officer to the governing body and explains the budget, contains an outline of the proposed financial policies of the municipality for the budget year, and describes the important features of the budgetary plan (Utah Code 10-6-111 (1997)).
Retention: Retain for 2 years after the close of the calendar year covered by the budget. (Approved 11/1996)

Budget Working Files (MUN 3-9)
These files contain working papers used to assist in the preparation of municipal budgets and to justify budget requests presented to the city council. Includes departmental budget requests, work-up sheets, cost estimates, and rough data accumulated in the preparation of annual budget estimates, related correspondence, and documentation for approval of final budget.
Retention: Retain for 2 years after the close of the calendar year covered by the budget. (Approved 11/1996)

Periodic Budget Reports (MUN 3-7)
These are routine budget reports prepared monthly or quarterly. They document the status of city appropriation accounts and apportionment and are only used for reference purposes. The reports are prepared for the council and mayor.
Retention: Retain for 1 year or until administrative need ends and then destroy. (Approved 06/1997)

Regular Budget Reports (MUN 3-10)
These regular reports are prepared monthly and quarterly. They document the status of city accounts and apportionment comparing budgets and actual expenditures. They are used for audit purposes.
Retention: Retain for 3 years and then destroy. (Approved 06/1997)

Tentative Budget Files (MUN 3-8)
These files contain tentative budget requests. “On or before the first regularly scheduled meeting of the governing body in May of each year, the budget officer shall prepare for the ensuing year, on forms provided by the state auditor, and file with the governing body, a tentative budget for each fund for which a budget is required” (Utah Code 10-6-111(1) (1997)).
Retention: Retain for 5 years and then destroy. (Approved 03/1989)

 

County General Retention Schedule Updates

March 27, 2017 Comments off

Listed here are three retention schedules to be overwritten by the updated Publications general retention schedule. They will be hyperlinked to the new schedule on our website.

Please update your records so the updated retention will be followed from this point going forward. Below is the updated schedule, then the schedules being removed from the  general retention schedule. If you have any questions, please call us at 801-531-3863.

Updated Schedule:

Publications (SG 1-25)
Any record, regardless of format, that is issued by a governmental entity for public distribution at the total or partial expense of that governmental entity. See Utah Code Section 9-7-101 8(a)(b) (2010) and 9-7-208 (2006).
Retention:  Permanent. Creating agency shall transfer preservation copy(ies) to State Archives and access copy(ies) to the State Library. (Approved 10/2013)

Schedules to be replaced:


Senior Center Annual Report (CO 19-14)
This report is submitted to the local aging and adult services administrative office on senior center activities. It compares the current year’s activities with the previous year’s. It is used for future planning.
Retention: Permanent. May be transferred to State Archives, if information is not compiled in an aging and adult services annual report.  (Approved 12/1992)

Annual Report (CO 24-2)
This is an annual report by the library directors required by Utah Code 9-7-506(1) (1995) “to the county governing body on the condition and operation of the library, including a financial statement.” It is also used to inform the general public regarding the operations of the library. The report includes budget figures both income and expenditure, circulation and other figures, and may include a brief description of the previous year’s activities.
Retention: Permanent. May be transferred to the State Archives. (Approved 12/1993)

Patron Assistance Publications (CO 24-12)
These publications are booklists and other patron assistance guides created by library staff members. They are used to aid library patrons in locating library materials and to assist in using the library. The information contained in these publications vary but all include the library name and location.
Retention: Retain until administrative need ends and then transfer significant publications to the State Archives with authority to weed. (Approved 12/1993)

 

Also the following county general retention schedule will be overwritten by the updated Vital Records general schedule.

Updated schedule:

Vital Records (CO 14-42)
These records document “birth, death, fetal death, marriage, divorce, dissolution of marriage, or annulment.” (Utah Code 26-2-2(20)(2014)) Documents may include registered certification or reports, applications, official registers and other similar records.
Retention: Permanent. May be transferred to the State Archives. (Approved 02/2015)

Schedule to be replaced:

Birth Certificates (CO 25-3)
These certificates document all live births in the State of Utah in compliance with Utah Code 26-2-5 (1995). In 1905, a state registry system of vital statistics was established at the State Health Department with local registrars. All certificates created prior to 1905 are only maintained at the local level and prior to 1978 some local registrars may not have reported all births to the State Health Department. Since 1978, all certificates maintained at the local level are duplicate certificates maintained by the State Health Department. The information recorded includes the child’s name, place of birth, date of birth, sex, and if child part of multiple birth; the parents’ name, race, age, birthplace, occupation, and marital status; a record of children previously born to the mother; the length of the pregnancy; the child’s weight and length at birth; the date of the serological test; and a description of any congenital malformations or birth injuries.
Retention: Permanent. May be transferred to the State Archives. (Approved 12/1992)

Updating Municipal Budget Records 1/2

March 13, 2017 2 comments

Listed here are four financial retention schedules to be overwritten by the new financial schedule approved December 8th by the State Records Committee. If a retention schedule is overwritten by an updated schedule, it will be hyperlinked to the new schedule on our website.

The State Auditor’s Office also reviewed the schedule before it was seen by the State Records Committee. We hope this schedule will make the retention of many financial records simpler to manage.

Please update your records so the updated retention will be followed from this point going forward. Below is the updated schedule, then the schedules being removed from the  general retention schedule. If you have any questions, please call us at 801-531-3863.

Budget Records (SG 7-67)
These records are used to document the intended appropriation of funds. Information may include budget requests, proposals, and reports documenting the status of appropriations.
Retention: 4 years and then destroy.  (Approved 12/2016)
_________________________________________________________________

Budget Apportionment Records (MUN 3-2)
These are apportionment and reapportionment schedules which propose quarterly obligations under each authorized appropriation.
Retention: 5 years after the close of the fiscal year and then destroy. (Approved 3/1989)

Budget Background Records (MUN 3-3)
These records are used to assist in the preparation of department budget requests presented to the county commission.
Retention: Retain for 2 years and then destroy. (Approved 09/1989)

Budget Estimates and Justification Files (MUN 3-4)
These are copies of budget estimates and justifications prepared or consolidated in formally organized budget proposals. Included are appropriation sheets, narrative statements, and related schedules and data.
Retention: Retain for 5 years and then destroy. (Approved 03/1989)

Budget Information Files (MUN 3-5)
These files document the adoption of the county’s annual budget. Includes recommended budget, tape recordings of public hearings associated with finalizing budget, and all related correspondence. Files may also contain budget amendments and any other actions affecting budget.
Retention: Retain for 2 year after budget has been adopted and then destroy. (Approved 11/1996)