1-1. Acknowledgement Files
Acknowledgment, transmittal of inquiries, and requests that have
been referred elsewhere for reply.
Retention
Record copy: Retain for 3 months after acknowledgment
and/or referral and then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-2. Administrative Hearing Transcripts
Transcripts of hearing conducted as part of the regulatory
process and hearings on proposed rules and changes; they may be
maintained with related information including meeting notices,
proofs of publications, meeting minutes, and the conclusions
reached.
Retention
Record copy: Permanent.
Duplicate copies: Retain by agency for 5 years and then
destroy.
1-3. Administrative Reference/Reading Files
Record of all memoranda and correspondence generated by another
agency for general reference by all agency employees.
Retention
Record copy: Retain for 1 year or until administrative
need ends, whichever is first, and then
destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-4. Administrative Rulemaking Files
Papers of short-term interest which have no documentary or
evidential value. Includes transmittal correspondence, copies of
replies which require no administrative action, no policy
decision, and no special compilation or research for reply; and
quasi-official notices such as for holidays, charity, and fund
appeals, bond campaigns, and other similar papers.
Retention
Record copy: Retain by agency for 3 months or until
administrative need ends and then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-5. Agency Written Histories
Scrapbooks, photographs, articles, program notes and
documentation of events sponsored or funded by an agency. Also
included are narrative audio or audio-visual agency histories.
Retention
Record copy: Permanent. Retain by agency for 10 years and
then transfer to State Archives.
Duplicate copies: Retain until no longer needed then destroy.
1-6. Attorney General's Opinions
Legal interpretations written at the request of an agency asking
for guidance in enforcing, obeying, and/or interpretation of the
law.
Retention
Record copy: Permanent. Retain by the Office of the
Attorney General for 5 years and then
transfer to State Archives.
Duplicate copies: Retain until no longer needed then destroy.
1-7. Committee and Conference Files
Records created by a committee or conference which has been
created by the General Assembly or Governor, including advisory
committee's relating to executive establishment, organization,
membership, and policy. Includes agenda, meeting minutes, final
reports and related records documenting the accomplishments of
official boards and committees.
Retention
Record copy: Permanent. Retain by agency for 3 years and
then transfer to State Archives.
Duplicate copies: Retain by agency for 5 years and then
destroy.
1-8. Daily Activity Schedules
Records regarding State employees who are not executives or
exempt status containing substantive information relating to
official activities, the substance of which has not been
incorporated into official files. Includes calendars, appointment
books, schedules, logs, diaries, and other records documenting
meetings, appointments, telephone calls, trips, visits, and other
activities of employees. See also Executive Calendars or Routine
Activity Calendars.
Retention
Record copy: Retain by agency for 1 year and then
destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-9. Executive Calendars
Records containing substantive information relating to the
official activities of high-level officials which are not
incorporated into memoranda, reports, correspondence, or other
records included in the official files. Include calendars,
appointment books, schedules, logs, diaries, and other records
documenting meetings, appointments, telephone calls, trips,
visits, and other activities of the employees. See Daily Activity
Schedules.
Retention
Record copy: Retain by agency for 1 year and then
destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-10. Executive Correspondence
Records not duplicated elsewhere that document how the office is
organized and how it functions, its pattern of action, its
policies, procedures and achievements.
Retention
Record copy: Permanent. Retain by agency for 5 years and
then transfer to State Archives.
Duplicate copies: Retain until no longer needed then destroy.
1-11. Feasibility Studies
Studies conducted before the installation of any technology or
equipment. Studies and systems analyses for the initial
establishment and major changes of these systems.
Retention
Record copy: Retain for the life of the technology or
equipment plus 1 year.
Duplicate copies: Retain by agency for 2 years and then
destroy.
1-12. Finding Aids
Indices, lists, catalogues, registers, and other finding aids
necessary for the efficient use of other records.
Retention
Record copy: Retain until no longer needed then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-13. Forms Development Files
Working papers, background materials, requisitions,
specifications, processing data, and control records which
provide documentation to the creation and establishment of a
form.
Retention
Record copy: Retain for 1 month after form is
discontinued, superseded, or canceled and
then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-14. General Correspondence (Routine)
Records that are general in nature and do not relate directly to
primary program responsibilities of an office or agency. Letters
or appreciation, congratulations, charity fund, parking
assignments, etc.
Retention
Record copy: Retain by agency for 1 year and then destroy
Duplicate copies: Retain by agency for 3 months and then
destroy.
1-15. Government Records Access Appeal Case Files
Case Files that contain information on government records access
appeals to the designated Records Officer, Chief Administrative
Officer, State Archivist, and the District Court. They contain
correspondence, copies of requests, research notes, court
documents, and any other documentation concerning the appeal
process.
Retention
Record copy: Retain by agency for 5 years and then
destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-16. Incoming Document Log
Records which provide detailed information on incoming documents
that require distribution or action.
Retention
Record copy: Retain by agency for 1 year and then destroy
Duplicate copies: Retain by agency for 6 months and then
destroy.
1-17. Internal Administrative Correspondence
Records of a general nature (not policy) which would be created
in the course of administering agency programs. Information could
include office organization, staffing, procedures, and internal
communications.
Retention
Record copy: Retain by agency for 2 years and then
destroy.
Duplicate copies: Retain by agency for 6 months and then
destroy.
1-18. Internal Committee and Conference Files
Records relating to executive establishment, organization,
membership, and committee policy to handle problems or issues
within an agency.
Retention
Record copy: Retain by agency for 2 years after
termination of committee and then destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
1-19. Litigation Case Files
Document judicial proceedings, which involve the state agency.
Files include some or all of the following documents:
affidavits, summons and complaints, responses, orders of
dismissals, notice and general appeal, laws and regulations
applying to a particular case, legal briefs, transcripts of
proceedings, orders, court decisions, and related information.
Retention
Record copy: Portions of this series may be kept
permanently by the State Archives through
the Attorney General's office. Court
records in this series are also available in
the court having jurisdiction over these
cases.
Duplicate copies: 6 years after case is closed and then
destroy.
1-20. Management Improvement Reports
Reports on analysis and implementation of programs and operation
of those programs.
Retention
Record copy: Retain by agency for 10 years and then
destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-21. Minutes of the Governing Body Records of official proceedings of the governing body. Information includes agenda, date, place, list of attendees, action taken on resolutions, and a summary of discussion and decision. Official minutes also include all informational attachments such as reports, survey, proposals, studies and charts distributed to members for discussion and for use in making decisions on institution policy, planning and administrative matters.
Retention Record copy: Permanent.
Ad hoc committees (non-official): 3 Years
1-22. Organizational Files
Records detailing an organization, which could include charts and
reorganization studies. Also administrative maps that show
regional boundaries and headquarters of decentralized agencies or
that show the geographic extent or limits of an agency's programs
and projects.
Retention
Record copy: Permanent. Retain by agency for 3 years and
then transfer to State Archives.
Duplicate copies: Retain by agency until superseded and then
destroy.
1-23. Performance Audit Reports
These are reports written and prepared as a result of a
performance audit on state agencies. They contain summary
documentation on agencies programs, operations and productivity.
Retention
Record copy: Permanent.
Duplicate copies: Retain until no longer needed then destroy.
1-24. Policies and Procedures Manual
Policies and procedures that govern the operation and
administration of various programs within the organization.
Retention
Record copy: Permanent.
Duplicate copies: Retain until no longer needed then destroy.
1-25. Policy and Procedure Case Files
Case Files related to policy and procedure issuances which
document the development of the issuance. Includes issuances
related to routine administrative functions (e.g., payroll,
procurement, and personnel).
Retention
Record copy: Retain by agency for 2 years after
superseded and then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-26. Proposed Legislation Records
Records created by governmental agencies for the purpose of
proposing legislation. They contain correspondence, memoranda,
research information on proposed legislation, fiscal notes,
summaries, estimated cost reports, impact statements, and other
information documenting the proposed legislation.
Retention
Record copy: Permanent.
Duplicate copies: Retain until no longer needed then destroy.
1-27. Publications
Documents created by the agency, including pamphlets, reports,
leaflets, file manuals, annual reports, other published or
processed documents, and the last manuscript report, if not
published, relating to management projects.
Retention
Record copy: Permanent. Creating agency shall transfer
one copy to State Archives when published.
Duplicate copies: Retain by agency until administrative need
ends and then destroy.
1-28. Public Record Register Sheets
Descriptive listings of agency records transferred to the State
Archives. Information includes records series number, agency name
and address, record series title and inclusive dates,
classification information, accession number, agency box number,
description of box contents, and date of transfer.
Retention
Record copy: Retain by agency for 5 years after records
are destroyed and then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-29. Records Disposition Files
Records which document the destruction of a governmental agency's
records, such as destruction letters or destruction logs. May
also contain documentation of records maintained and destroyed by
the State Archives.
Retention
Record copy: Permanent.
Duplicate copies: Retain for 1 year and then destroy.
1-30. Records Management Files
Records used in creating and establishing records management
programs. They may contain records inventories, correspondence,
classification designations, records control, equipment, filing
procedures/manuals, training information, and other documents
created by the State Archives and other agencies to facilitate
records management practices. May also contain information on
records management equipment and/or computer software.
Retention
Record copy: Retain by agency until updated or superseded
and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
1-31. Technical Reference Files
These are documents retained strictly for reference and
informational purposes which are not part of any other official
files. They include copies of reports, studies, special
compilations of data, drawings, periodicals, books, clippings,
extra (non-record) copies of policy and procedure files,
brochures, catalogs, vendor price lists, and publications
prepared internally and externally.
Retention
Record copy: Retain by agency until administrative need
ends and then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-32. Transitory Files
Papers of short-term interest which have no documentary or
evidential value. Includes transmittal correspondence, copies of
replies which require no administrative action, no policy
decision, and no special compilation or research for reply; and
quasi-official notices such as for holidays, charity, and fund
appeals, bond campaigns, and other similar papers.
Retention
Record copy: Retain by agency for 3 months or until
administrative need ends and then destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-33. Transmittal Correspondence
Letters or other attachments to records which do not provide any
additional information to what is being sent.
Retention
Record copy: Retain by agency for 3 months and then
destroy.
Duplicate copies: Retain until no longer needed then destroy.
1-34. Word Processing Files
Documents such as letters, messages, memoranda, reports,
handbooks, directives, and manuals recorded on electronic media
such as hard disks or floppy diskettes and is used to produce a
hard copy which is then maintained in organized files.
Retention
Record copy: Retain by agency until hard copy is filed
and administrative need ends and then
delete.
Duplicate copies: Retain until no longer needed then destroy.
1-35. Working Papers
Papers which have a short-term use and comprise the background
records, such as preliminary studies, drafts, analyses, notes,
interim reports regarding a particular case files, and financial
performance audits.
Retention
Record copy: Retain by agency until administrative need
ends and then destroy.
Duplicate copies: Retain for 6 months and then destroy.
last modified 8/1/2010