State Agency Records Management Manual Index

SCHEDULE NO. 1 - ADMINISTRATIVE RECORDS

SCHEDULE NO. 1 - ADMINISTRATIVE RECORDS

1-1. Agency History Records
1-2 Audit Reports

Department Audit Reports
Internal Audit Reports

1-3. Boards, Commissions, Committees

Appointments
Committees
Minutes and Supporting Documentation
Notices of Meetings

1-4. Colorado Open Records Act (CORA)

Open Records Requests and Supporting Documentation
Government Records Access Appeal Case Files

1-5. Correspondence and General Documentation

Enduring Long-Term Value
Routine Value
Transitory Value
Email

1-6. Forms Development Files

1-7. Information Governance/Records Management

Certificate of Record Disposal
Public Record Registers
Records Retention and Disposition Schedules

1-8. Legislative Records/Proposed Legislation

1-9. Performance Management Records

1-10. Policy and Procedures

Policy and Procedures and Supporting Documentation
Routine Operational Policies and Procedures

1-11. Publications

1-12. Reference Files

1-13. Rule-making Records

Secretary of State Publications
Agency/Board Rule-making Records
Local Government Mandate Reports
Executive Session Audio Recordings
Judicial Review of Rule-making Records
Administrative Hearings/decisions Issued by the Board as Authorized by Rule or Comparable Legal Authority

1-14. Working Papers and Other Preliminary Working Material

SCHEDULE NO. 2 - BUDGETING RECORDS

SCHEDULE NO. 2 - BUDGETING RECORDS

2-1. Annual Budget Reports

2-2. Block Grant Monthly Reports

2-3. Block Grant Yearly Reports

2-4. Budget Apportionment Files

2-5. Budget Work Papers

2-6. Budget Estimates and Justification Files

2-7. Budget Policy Files

2-8. Grant Case Files

2-9. Grant Control Files

2-10. Periodic Budget Reports

2-11. Unsuccessful Grant Application Files

SCHEDULE NO. 3 - CARTOGRAPHIC RECORDS

SCHEDULE NO. 3 - CARTOGRAPHIC RECORDS

Cartographic records include maps (printed, automated, scanned and microfilmed), aerial photography, globes, models, raised relief maps, and remote sensing imagery. These records have a special place in preserving the history of Colorado and should be scheduled as part of an agency-specific schedule.

SCHEDULE NO. 4 - COMMUNICATIONS RECORDS

SCHEDULE NO. 4 - COMMUNICATIONS RECORDS

4-1. Mail Control Records

4-2. Messenger Service Records

4-3. State Mail and Delivery Service Receipts

4-4. Telecommunications Service Work Orders

4-5. Telecommunications Service Agreements

4-6. Telecommunications Service Records

4-7. Telecommunications Statistical Reports

4-8. Telephone Message Registers

4-9. Telephone Messages

SCHEDULE NO. 5 - DATA PROCESSING RECORDS

SCHEDULE NO. 5 - DATA PROCESSING RECORDS

5-1. Activity Monitoring Records

5-2. Batch/Data Entry Control Forms

5-3. Computer Hardware Maintenance Records

5-4. Computer Job Schedules and Reports

5-5. Computer Produced Output Reports

5-6. Computer Utilization and Billing Reports

5-7. Data Processing Planning Records

5-8. Documentation

5-9. Programs and Job Control Language

SCHEDULE NO. 6 - FACILITY MANAGEMENT RECORDS

SCHEDULE NO. 6 - FACILITY MANAGEMENT RECORDS

6-1. Americans With Disabilities Act (ADA) Files

6-2. Appraisal Files

6-3. As-Built Construction Plans and Specifications

6-4. Building and Equipment Service Files

6-5. Construction Budget Requests

6-6. Construction Plans In-Review

6-7. Construction Project Case Files

6-8. Facilities Management Guidelines

6-9. Maintenance Work Orders

6-10. Natural Disaster and Damage Survey of Public Buildings

6-11. Space Utilization Reports

6-12. Under-Construction Plans and Specifications

SCHEDULE NO. 7 - FINANCIAL RECORDS

SCHEDULE NO. 7 - FINANCIAL RECORDS

A. PROCUREMENT RECORDS

1. Canceled Solicitation Files

2. Contract Controversies and Appeals Files

3. Contract and Purchase Order Files

4. Leasing Contract Files

5. Purchase Requisitions for amounts below purchase order threshold.

6. Real Property Acquisition Files

7. Successful Bids and Proposals

8. Expendable-Supply Management Files

9. Tax Exemption Files

10. Unsuccessful Offers (Bids and Proposals)

11. Electronic Records on BIDS

12. Protest and Appeal Records

B. BOND DOCUMENTS

1. Bond Official Transcripts

2. Bond Registration Files

3. Bonds, Notes and Coupons Paid

4. State General Obligation Bonds

5. State Revenue Bonds/Notes

C. BUDGET RECORDS

1. Coded Long Bill

2. Budget Document

3. Budget Work Papers

4. Annual Budget Reports

5. Appropriation Documents

D. CASH MANAGEMENT

1. Bank Records

2. Cash and Credit Card Receipts

3. Deposits with State Treasurer

4. EFT Authorizations

5. External Bank Account Authorization

6. Payment Logs/EFT and Warrant

7. Warrant Reconciliation

8. Warrant/Cancelled

9. Warrant/Lost

E. CONTRACTS

1. State Contracts

2. State Controller Delegation Authority Letters

3. Agency Signature Authority Forms

F. EXPENDITURES

1. Employee Travel Reimbursement Vouchers and Records

2. Expenditure Accounting General Correspondence and Control Files

3. Federal 1099 Records

4. Inter-departmental Transfers

5. Petty Cash Records

6. Procurement Card Records

7. Vouchers for the Purchase of Goods and Services

G. FEDERAL AID BILLING (FAB)

H. FIXED ASSETS

1. Fixed Assets (FAA)

2. Physical inventory records

3. Depreciation schedules

4. Acquisition of fixed assets records

5. Disposal of fixed assets records

6. Acquisition/disposal of real property

I. GENERAL LEDGER

1. Adjusting Journal Entries

J. GRANT FILES

K. INVENTORY CONTROL (INV)

L. LABOR DATA COLLECTION (LDC)

M. PROJECTS (PRJ)

N. REVENUE/ACCOUNTS RECEIVABLE

1. Accounts Receivable Invoices

2. Loan Records

3. Receipt Books

4. Revenue Contracts

5. Taxpayer Records

O. SECURITY RECORDS

1. Delegated Security Memorandum of Understanding

2. Individual Employee Profiles

SCHEDULE NO. 8 - HIGHER EDUCATION

SCHEDULE NO. 8 - HIGHER EDUCATION

Introduction and General Matters, Application of Schedule

1. GOVERNING BOARD

1-1. Governing Board Meeting Minutes

2.PRESIDENT’S OFFICE

2-2. Administrative Files

2-3. Meeting Minutes of President’s Executive Staff

2-4. Resource Files

3.PROVOSTS AND VICE PRESIDENTS

3-1. Administrative Correspondence

3-2. Administrative Files

4. ADMINISTRATIVE SERVICES

4-2. Administrative Staff Meeting Minutes

4-3. Administrative Bulletins

4-4. Administrative Regulations

4-5. Annual Reports

4-6. Attorney General Opinions

4-7. Calendars

4-8. Central Supply Request

4-9. Committee Files

4-10. Computer Utilization Summaries

4-11. Conferences, Workshops, and Seminars file (College or University Sponsored)

4-12. Deeds and Leases to College or University Property

4-13. Grant Files (Active and Inactive)

4-14. General Correspondence and Reference

4-15. Information Technology Plans

4-16. Internal Management Policy and Procedure

4-17. Legislative Reference Files

4-18. Litigation Case Files

4-19. Mailing Lists

4-20. Management Information Reports

4-21. Organization Charts

4-22. Permanent Building or Land Improvement

4-23. Photographs

4-24. Property Inventories

4-25. Public Relations

4-26. Publications

4-27. Reading File

4-28. Records Disposition Files

4-29. Speeches

4-30. Surveys/Maps

4-31. Telephone Logs

4-32. Telephone Bills

4-33. Work Order Request File

4-34. Work Reports

5. PERSONNEL (HUMAN RESOURCES)

5-1. Affirmative Action Plans and Progress Reports

5-2. Dual Employment File

5-3. Employer Status Reports (Unemployment Compensation)

5-4. Employment Applications (Not Hired)

5-5. Employment Data Analysis by Sex and Race

5-6. Equal Employment Opportunity Report

5-7. Equal Employment Opportunity Reporting and Personnel Research Forms

5-8. Faculty Contracts (Full and Part Time)

5-9. Job Announcements (Vacancies)

5-10. Job Classifications

5-11. Leave Records

5-12. Leave Slips

5-13. Log and Summary of Occupational Injuries and Illnesses

5-14. Personnel Administrative File

5-15. Personnel Files (Active and Terminated)

5-16. Personnel Policies and Procedures

5-17. Statewide Personnel Information and Reporting System

5-18. Time and Attendance Records

5-19. Vacancies File

5-20. Test Papers & Examination Instruments

7. PAYROLL

7-1. Computer Output Reports from Payroll Financial Data Bases (Non-Permanent)

7-2. Computer Output Reports from Payroll Financial Data Base (Permanent)

7-3. Electronic Funds Transfer Authorizations

7-4. Employer Contribution Report

7-5. Health, Dental, and Optional Life Insurance Reports

7-6. Payroll Adjustment Forms

7-7. Savings Bond Deductions File

7-8. Table Report (Payroll)

7-9. Workers’ Compensation Insurance Files

8. INTERNAL AUDITING

8-1. Internal Audit Report

8-2. Working Papers

9. STUDENT AFFAIRS (REGISTRAR)

9-1. Continuing Education Student Records

9-2. Degree Applications

9-3. Grade Sheet/Reports

9-4. Graduation Files

9-5. Identification Card Applications for Matriculated Students

9-6. Identification Card Applications for Non-Matriculated Students

9-7. Identification Card Receipt Books

9-8. International Identification Card Applications

9-9. Monthly Receipts for Monies Received for Transcripts

9-10. Official Transcripts (Graduate and Undergraduate)

9-11. Registration Files

9-12. Scholarship and Other Institutional Financial Aid Programs Files

9-13. Student Admission and Enrollment Files

9-14. Student Cumulative Files

9-15. Student Financial Aid Records

9-16. Transcript Requests

9-17. Visiting Scholars Information Files

10. ACADEMIC AFFAIRS

10-1. Administrative File/Correspondence (Academic Deans and Department Chairpersons)

10-2. Meeting Minutes (Academic Deans and Department Chairpersons)

10-3. Photographs/Slides/Posters

10-4. Thesis and Dissertation

11. ATHLETIC DEPARTMENT

11-1. Concession/Lease Agreements

11-2. Equipment Files

11-3. Recruiting Files

11-4. Scrapbooks

11-5. Sports Information

11-6. Ticket Applications

11-7. Ticket Records

11-8. Training Room Medical Records (Active and Inactive)

12. INSTITUTIONAL DEVELOPMENT AND RESEARCH

12-1. Appropriation Request File

12-2. Foundation Files

12-3. Gift Files

12-4. Project Grant Awards and Contracts

13. LIBRARY SERVICES

13-1. Book/Publication Disposal Record

13-2. Interlibrary Loan Request Records (Processed and Unprocessed)

13-3. Library Fines and Fees

13-4. Manual and On-Line Library Card Catalog (Books, Periodicals, and Other Publications)

13-5. Newspaper and Manuscript Collection

13-6. Photo Duplication Request Forms

13-7. Request Cards

14. STUDENT HEALTH

14-1. Student Medical Records

14-2. Physician Appointment Schedules/Books

14-3. Student Health Services Telephone

14-4. Student Health Census

SCHEDULE NO. 9 - MOTOR POOL MAINTENANCE AND OPERATIONS RECORDS

SCHEDULE NO. 9 - MOTOR POOL MAINTENANCE AND OPERATIONS RECORDS

9-1. Automobile Titles

9-2. Certificates of Mileage

9-3. Fuel Sales Tickets

9-4. Insurance Adjuster's Estimates

9-5. Manufacturer's Statement of Origins

9-6. Motor Pool Cost Files

9-7. Motor Pool Public Employee Operational Files

9-8. Motor Pool Release Files

9-9. Motor Pool Vehicle Maintenance Files

9-10. Motor Pool Vehicle Trip Logs

9-11. Vehicle Registration Certificates

9-12. Vehicle Repair Work Order

9-13. Automated Fuel Pump Logs

9-14. Vehicle Scheduling Logs and Reports

SCHEDULE NO. 10 - PAYROLL RECORDS

SCHEDULE NO. 10 - PAYROLL RECORDS

10-1. Administrative Payroll Reports

10-2. Budget Authorization Reference

10-3. Deduction and Other Earning Registers

10-4. Electronic Funds Transfer (EFT) Authorizations

10-5. Employee Benefit Matching Money Report

10-6. Final Time Summary Report

10-7. Full-Time Employee Report

10-8. Garnishments

10-9. Income Tax Exemptions and Withholdings Certificates

10-10. Insurance Deduction Files

10-11. Leave Adjustment Reports

10-12. Leave Applications

10-13. Leave Category Changes

10-14. Leave Summary Report

10-15. Notices of Payroll Action

10-16. Payroll Register

10-17. Preliminary Payroll Files

10-18. Retirement Benefits Assistance Files

10-19. Retirement Files

10-20. Savings Bond Purchase Files

10-21. Savings Bond Purchase Summary

10-22. Taxable Wage Earning Reports

10-23. Time and Attendance Reports

10-24. Wage Survey Files

10-25. Workers' Compensation Insurance Files

SCHEDULE NO. 11 - PERSONNEL RECORDS

SCHEDULE NO. 11 - PERSONNEL RECORDS

11-1. Adverse Action Files

11-2. Agency Personnel Files for Permanent Employees

11-3. Agency Personnel Files for Temporary Employees

11-4. Answers and Score Sheets

11-5. Eligibility List

11-6. Conflict of Interest Files

11-7. Course Announcement Files (Training or Educational)

11-8. Employee Assistance Files (C-SEAP)

11-9. Employee Awards Files

11-10. Employee Record Cards (Cardex)

11-11. Employee Training Records

11-12. Employment Applications (Not Hired)

11-13. Equal Employment Opportunity/Affirmative Action Plans

11-14. Equal Employment Opportunity Compliance Review Files

11-15. Equal Employment Opportunity Discrimination Complaint Case Files

11-16. Equal Employment Opportunity Statistics Files

11-17. Employees Performance Appraisals

11-18. Financial Disclosure Reports (SES)

11-19. Grievance/Appeal Files

11-20. Incentive Awards Program Reports

11-21. Individual Health Record Files

11-22. Interview Records

11-23. Job Announcements (Vacancies)

11-24. Job Classifications

11-25. Job Swap or Career Mobility Files

11-26. Labor-Management Relations Files

11-27. Leave Records

11-28. Leave Slips

11-29. Length of Service and Sick Leave Files

11-30. Letters of Employee Commendation

11-31. Log and Summary of Occupational Injuries and Illnesses

11-32. Merit Employee Performance-Related Records (Human Services)

11-33. Merit Promotion Case Files

11-34. Notice of Proposed Action for Unacceptable Employee Performance

11-35. Personal Injury Case Files

11-36. Personnel Operations Statistical Reports

11-37. Personnel Rules

11-38. Position Change Requests and Authorizations

11-39. Position Classification Appeal Files

11-40. Position Classification Inspection and Audit Files

11-41. Position Classification Standards Files

11-42. Position Classification Survey Studies

11-43. Position Descriptions (PDQ)

11-44. Recruitment Files

11-45. Requests for Approval of Overtime

11-46. Salary Survey

11-47. Standards of Conduct Files

11-48. Time and Attendance Records (Part-Time Employees)

11-49. Training Aids

11-50. Training Conference and Courses Files

11-51. Training Contracts

11-52.Verification of Employment Eligibility (I-9)

SCHEDULE NO. 12 - PRINTING RECORDS

SCHEDULE NO. 12 - PRINTING RECORDS

12-1. Control Files

12-2. Plate, Negatives, and Art Work Files

12-3. Printing Project Files

SCHEDULE NO. 13

SCHEDULE NO. 13

**Deleted Section** (Purchasing Records now covered under Schedule

SCHEDULE NO. 14 - PROPERTY RECORDS

SCHEDULE NO. 14 - PROPERTY RECORDS

14-1. Declaration of Surplus Property

14-2. Property Disposal Case Files

14-3. Real Property Sale Files

14-4. Surplus Property Case Files

SCHEDULE NO. 15 - PUBLIC AFFAIRS RECORDS

SCHEDULE NO. 15 - PUBLIC AFFAIRS RECORDS

15-1. Agency Commendation Files

15-2. Complaint/Informant Files

15-3. Indexes and Check Lists

15-4. Information Project Files

15-5. Press Releases

15-6. Press Service Files

15-7. Public Relations Files

15-8. Open Records Requests and Supporting Documentation (CORA)

SCHEDULE NO. 16 - SECURITY SERVICES RECORDS

SCHEDULE NO. 16 - SECURITY SERVICES RECORDS

16-1. Departmental Recovery Reports

16-2. Disaster Planning Files

16-3. Guard Assignment Files

16-4. Guard Service Control Files

16-5. Guard Service Reports

16-6. Insurance Reports

16-7. Key Accountability Files

16-8. Liability Insurance Policy Files

16-9. Liability Risk Management Case Files

16-10. Loss Control Inspection Reports

16-11. Personnel Security Clearance Status Files

16-12. Property Insurance Policy Files

16-13. Security Logs and Registers - Individual Guard Posts

16-14. Security Logs and Registers - Master Office

16-15. Visitor Control Files

16-16. Visitor Control Files for Areas of Maximum Security

16-17. Recordings and Images Related to Security – Public Areas