Functional Schedule for North Carolina State Agencies (2017): General Schedule Crosswalk by Series #

Transcription

1 Functional Schedule for North Carolina State Agencies (2017): General Schedule Crosswalk by Series # NOTE: Many of the items listed on the General Schedule for State Agency Records (May 2015) are considered reference copies and have been bucketed as such, into one of the options under Functional Schedule RC No. 124, Reference Files. In these cases, the record copy of the record (i.e., the original or official copy) is held by a different agency and is governed by a more specific schedule entry; the RC No. governing the record copies of these records has been provided in parentheses as a see-also. General Schedule Functional Schedule Series #. Item Title RC No. Record Type and Description Disposition Notes / Agency Policy 1. Records G1. Messages File 133.A Correspondence internal and external communications (including ) to and from elected officials, appointed officials, and agency staff who are involved in decision-making, policy development, or other high-level planning for the agency PERMANENT (archival) 2. Administrative Records G2. Accident/Incidents Reports File Correspondence internal and external communications (including ) to and from agency employees whose correspondence has been identified for long-term retention for the purposes of institutional memory and planning Correspondence internal and external communications (including ) to and from all other agency employees Accident/Incident Reports accident or incident reports involving agency personnel that do not result in workers compensation Accident/Incident Reports accident or incident reports involving agency customers (adults) Accident/Incident Reports accident or incident reports that do not result in claims or legal actions RETAIN UNTIL: Received/Sent PLUS: 10 years * RETAIN UNTIL: Received/Sent PLUS: 5 years * RETAIN UNTIL: Settlement or denial of claim * RETAIN UNTIL: Settlement or denial of claim * 1

2 G2. Accident/Incidents Reports File (cont.) Accident/Incident Reports accident or incident reports involving agency customers (minors) G3. Administrative Rule File 639.P Rulemaking Proceedings records concerning administrative code rule making proceedings within the agency; includes written comments and petitions received, transcripts or recordings of public hearings, certifications, fiscal notes, and written explanations for adopting the rule G4. Affidavits of Publication File 1211.P Affidavits of Publication proof of publication provided by newspapers regarding publication of ordinances, public hearings, bid solicitations, payment of bills, public sales, etc.; record provides only evidence of publication Affidavits of Publication affidavits that provide supplementary evidence of publication G5. Associations and Organizations File 137.S Membership Records records concerning memberships or registrations on behalf of the agency or agency personnel RETAIN UNTIL: Minor reaches age of 21 * PERMANENT PERMANENT RETAIN UNTIL: Received * G6. Attorney General Opinions and Rulings File (see also RC No. 1261) 124.R Reference Files G7. Calendars of Events File 132.S Calendars schedules of agency staff and events 2

3 G8. Civil Rights File Civil Rights Records records concerning documentation of policies and procedures to comply with the Age Discrimination in Employment Act (ADEA), the Americans with Disabilities Act (ADA), the Equal Pay Act, the Genetic Information Nondiscrimination Act (GINA), and the 1964 Civil Rights Act; includes reports required by the Equal Employment Opportunity (EEO) Commission and affirmative action plans Reasonable Accommodations records concerning agency efforts to provide reasonable accommodation to the general public under Title II of the Americans with Disabilities Act, Title VII of the Civil Rights Act, and the 1973 Rehabilitation Act; includes constituent requests, survey of agency buildings to determine accessibility to the physically handicapped, federal regulations, proposals for implementing the act, resolutions, and solutions to access problems RETAIN UNTIL: Closed * G9. Complaints File Constituent Comments, Complaints, and Petitions records concerning positive comments as well as objections, dissatisfaction, or disagreements with actions or positions taken or not taken by the agency; includes petitions signed by constituents requesting action RETAIN UNTIL: Closed * G10. Conferences and Workshops File 1556.S Training Materials agendas, handouts, presentations, and other related records produced for agency training events for external audiences Employee Training Records employee-specific records documenting the training of agency personnel; includes certificates, transcripts, test scores, selections, and other related records TRANSFER to Personnel Jacket if training is required or could affect career advancement RETAIN REMAINING RECORDS UNTIL: Complete 3

4 G11. Customer Call Center Recordings File 1524.< Customer Call Center Recordings recordings of calls to customer service centers made for quality assurance and training purposes G12. Discrimination Complaints File Civil Rights Cases records concerning employee discrimination complaints and requests for reasonable accommodation; includes equal opportunity (EO) complaints G13. Emergency Management File 1621.S Agency Disaster Planning records concerning preparedness in the event of a disaster (natural, accidental, or malicious); includes background surveys, studies, reports, and records concerning the process of notifying personnel in the event of an emergency; also includes Continuation of Operations Plans (COOP) and Business Continuity Plans (BCP)s G14. Emergency Notification File 1621.S Agency Disaster Planning records concerning preparedness in the event of a disaster (natural, accidental, or malicious); includes background surveys, studies, reports, and records concerning the process of notifying personnel in the event of an emergency; also includes Continuation of Operations Plans (COOP) and Business Continuity Plans (BCP)s PLUS: 30 days * RETAIN UNTIL: Final disposition of the charge or action G15. Equipment Maintenance File Facility Management Records routine janitorial cleaning and maintenance records for properties, facilities, vehicles, IT systems, and other equipment; includes work/repair orders and other related records G16. Facility Maintenance, Housekeeping, and Repairs File Facility Management Records routine janitorial cleaning and maintenance records for properties, facilities, vehicles, IT systems, and other equipment; includes work/repair orders and other related records 4

5 G16. Facility Maintenance, Housekeeping, and Repairs File (cont.) Facility Management Records system repair and improvement records (including plumbing, electrical, fire, IT, and other systems) G17. Fire, Health, and Safety File 1653.S Fire, Health, and Safety Records reports, logs, and other related records documenting agency safety measures G18. Forms and Templates File 1543.S Forms, Style Sheets, and Templates blank forms, style sheets, templates, and letterhead used to create agency records G19. Indices File 122.S Indices and Inventories records that are used for tracking the existence and location of information within the agency G20. Inspections File (see also RC No S) 124.R Reference Files G21. Insurance Policies File Insurance Policies records concerning automobile, property/casualty, State Property Fire Fund, and other insurance policies purchased by agency; also includes insurance audits, claims reports, surveys, endorsements, and waivers 1 G22. Invitations File 1544.S Invitations routine invitations produced for agency events 135.S Logistics Materials routine notices, task lists, and arrangements G23. Itineraries File 135.S Logistics Materials routine notices, task lists, and arrangements * 5

6 G24. Legal Correspondence and Memoranda File General Legal Correspondence correspondence and memoranda concerning legal matters not related to specific legal cases or official opinions G25. Legislative File (see also RC No. 635) 124.R Reference Files PLUS: 5 years 633.R Government Affairs Records routine government affairs records; includes legislative liaisons G26. Loss Control Inspections File 1656.S Loss Control Inspection Reports self-inspections to identify potential liabilities or hazards that may exist in agency-owned buildings or property G27. Mail Services File Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, * reimbursements, receipts or bills of sale, check registers, and subsidiary registers G28. Mailing Lists and Media Contacts File 135.S Logistics Materials routine notices, task lists, contact lists, and arrangements G29. Material Safety Data Sheets File Safety Data Sheets forms supplied to agencies from manufacturers and distributors of hazardous materials for materials held by the agency G30. Media File 1512.R Media File reference copies of newspaper, magazine, and other media clippings concerning the agency, agency officials, and other topics of interest RETAIN UNTIL: Materials have been disposed of according to manufacturer s instructions PLUS: 30 years 6

7 G31. Occupational Safety and Health Administration (OSHA) File Occupational Safety and Health Administration (OSHA) records concerning injury or illness, extent and outcomes, summary totals for calendar year, and OSHA forms; include ergonomic assessments for employees 1 PLUS: 5 years G32. Parking Assignments File 1652.S Employee Security Records records concerning the issuance and return of keys, identification cards, passes, etc. for employees G33. Performance Audit Reports (see also RC No A) 124.R Reference Files Audit Reports final reports, including conclusions or recommendations, related to internal accounting systems and controls, administrative systems and controls, information technology systems and controls, skills, or those with limited administrative value PLUS: 10 years G34. Presentations File 1313.S Audit Reports work papers and other evidence and related supportive material directly pertaining to the work of the internal auditor s office 1556.S Training Materials agendas, handouts, presentations, and other related records produced for agency training events for external audiences 1551.S Agendas, Exhibits, and Programs routine agendas or programs produced for agency events and exhibits G35. Public Hearings File 1526.P Public Hearings minutes and/or transcripts of hearings PERMANENT 7

8 G35. Public Hearings File (cont.) Public Hearings agendas, notices, speaker sign-up sheets, and other related records G36. Public Records Requests File Public Records Requests requests submitted by persons seeking access to agency records and documentation of agency response 1 G37. Publications File Official Publications record copies of agency materials published in print or online; includes reports, directory, maps, newsletters, information brochures/pamphlets, periodicals, and bulletins 1513.S Official Publications surplus copies of agency printed materials * * Transfer 5 copies of publications for sale, 10 or more copies of free publications, or 1 electronic copy of each publication to the State Documents Clearinghouse, State Library of North Carolina. G38. Publications Received File 124.R Reference Files materials that have no regulatory authority for the recipient and are received from outside the agency or from other units within the agency G39. Publicity File 1541.S Advertisements routine print or online ads that promote agency initiatives or publicize agency activities 1552.S Announcements announcements sent concerning agency events 1544.S Press Releases routine press releases; includes public service announcements (PSAs) 8

9 G40. Received Directives, Reports, Policies, and Procedures File 124.R Reference Files materials that have no regulatory authority for the recipient and are received from outside the agency or from other units within the agency 124.R Reference Files G41. Records Management File 123.P Records Management Materials records documenting the final disposition of public records; includes destruction logs and transfer forms 123.S Records Management Materials records documenting the management of public records; includes approved retention and disposition schedules, file plans, and other related records G42. Reference File 124.R Reference Files subject files containing informational copies of records organized by areas of interest PERMANENT G43. Reports and Studies 142.A Reports Written by the Agency annual and biennial reports and reports requested by an agency governing body or court Reports Written by the Agency monthly, bimonthly, quarterly, or semi-annual reports PERMANENT (archival) -OR- Transfer 10 or more printed copies of 1 electronic copy of each publication to the State Documents Clearinghouse, State Library of North Carolina Reports Written by the Agency daily or periodic activity reports concerning workload measurements, time studies, productivity, services rendered, or other similar records G44. Requests for Information File Constituent Requests includes requests for service or information (RFI) RETAIN UNTIL: Closed * 9

10 G45. Security and Video Surveillance File G46. Social Media File 1659.< Workplace Security Records records concerning the security of agency offices, facilities, PLUS: 30 days vehicles, equipment, and personnel; includes visitors register and logs tracking access to facilities or resources 1659.< Workplace Security Records surveillance system reports and recordings 1515.A Social Media and Websites online presence of social media and other websites; includes comments and private messaging PLUS: 30 days * a) The States Archives will periodically retrieve State agency websites, including social media websites, from the Internet and transfer them to the custody of the Archives for permanent retention. b) Agencies that opt out of participation in the automatic retrieval of websites and social media or whose media cannot be captured for technical reasons shall create snapshots annually or whenever a major revision has taken place, whichever occurs first, and transfer them to the custody of the Archives for permanent retention. G47. Staff Meetings File 1515.S Social Media and Websites other related records produced in planning and executing agency s online presence Meeting Materials minutes and attachments for staff meetings, internal committees, or task forces 136.S Meeting Materials agendas, meeting packets, visual aids, presentations, notes, and audio/visual recordings for internal committees or task forces 10

11 G48. Supplies and Equipment File 222.S Inventory Management Records lists of properties, facilities, fixed assets, supplies, and surplus property 222.S Inventory Management Records operating manuals, specifications, and warranties Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, * reimbursements, receipts or bills of sale, check registers, and subsidiary registers G49. Surplus Property File 222.S Inventory Management Records lists of properties, facilities, fixed assets, supplies, and surplus property G50. Surveys File 1525.R External Surveys surveys distributed to and collected from constituents addressing agency services, policies, and other concerns G51. Vehicle Titles File (RC No. to come) 124.R Reference Files subject files containing informational copies of records organized by areas of interest PLUS: 30 days * G52. Vehicles File 225.S Vehicle Registration Records registration documents for all State-owned vehicles Inventory Management Records inventory control and usage records; includes records that track the movement of inventory, such as requisitions/draw tickets, along with mileage logs, request forms, and other related records * 11

12 G53. Social Media File 1515.A Social Media and Websites online presence of social media and other websites; includes comments and private messaging a) The States Archives will periodically retrieve State agency websites, including social media websites, from the Internet and transfer them to the custody of the Archives for permanent retention. b) Agencies that opt out of participation in the automatic retrieval of websites and social media or whose media cannot be captured for technical reasons shall create snapshots annually or whenever a major revision has taken place, whichever occurs first, and transfer them to the custody of the Archives for permanent retention S Social Media and Websites other related records produced in planning and executing agency s online presence * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See appendix for list of item numbers for records that will transfer to the State Archives. 12

13 General Schedule Functional Schedule Series #. Item Title RC No. Record Type and Description Disposition Notes / Agency Policy 3. Budget Records G54. Work Orders File Facility Management Records routine janitorial cleaning and maintenance records for properties, facilities, vehicles, IT systems, and other equipment; includes work/repair orders and other related records IT Assistance Records records documenting troubleshooting and problem-solving assistance provided by information systems personnel; includes help desk assistance requests, work orders, site visit reports, service histories, resolution records, and other related records G55. Accounts Payable File Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, reimbursements, receipts or bills of sale, check registers, and subsidiary registers G56. Accounts Receivable File Accounts Receivable records concerning receivables owed and collected; includes billing statements, records of payment received, remittances, subsidiary registers, overpayment or refund records, deposits, fines and fees assessed, and collection of past due accounts G57. Accounts Uncollectable File Accounts Uncollected records of accounts deemed uncollectable; includes returned checks, write-off authorizations, and other related records G58. Annual Reports (Financial) File Financial Reports annual financial reports or other reports generated from the NC Accounting System (NCAS) to inform decision-making RETAIN UNTIL: Resolution * * RETAIN UNTIL: Determined uncollectable Agency Policy: * 13

14 G59. Bank Statements, Cancelled Checks, Deposit Slips, Receipts, Reconciliations, and Warrants File G60. Bids File Reconciliations bank statements, canceled checks, deposit slips, and reconciliation reports Bids and Proposals (including Invitation for Bids [IFB], Request for Proposal [RFP], and Request for Quote [RFQ]) records documenting accepted bids/ proposals/quotes to supply the agency with goods or services Bids and Proposals (including Invitation for Bids [IFB], Request for Proposal [RFP], and Request for Quote [RFQ]) records concerning rejected bids and proposals to provide the agency with goods or services; also includes unopened bids * RETAIN UNTIL: Termination or expiration of contract PLUS: 5 years * RETAIN UNTIL: Received * G61. Bond Book File Bond Records records concerning expenditure and/or investment of bond proceeds G62. Bond Issues File 542.P Bond Records records concerning the sale of bonds issued by the State Bond Records vouchers, disbursements, payables of Certificates of Participation, and other records related to creditors G63. Bonds and Other Borrowing File Bond Records vouchers, disbursements, payables of Certificates of Participation, and other records related to creditors RETAIN UNTIL: Final distribution * PERMANENT RETAIN UNTIL: Final redemption * RETAIN UNTIL: Final redemption * G64. Budget Administration File Budget Development Records administrative budget records; includes research, correspondence, and other related records * 14

15 G65. Budget Certification File (see also RC No ) 124.R Reference Files G66. Budget Correspondence File Budget Development Records administrative budget records; includes research, correspondence, and other related records G67. Budget File Budget Development Records administrative budget records; includes research, correspondence, and other related records G68. Budget Reports File Budget Development Records administrative budget records; includes research, correspondence, and other related records G69. Budget Requests File Budget Development Record budget requests and appropriations; includes justifications and requests for revisions G70. Budget Revisions File Budget Development Record budget requests and appropriations; includes justifications and requests for revisions G71. Capital Improvements File (see also RC No ) 124.R Reference Files * * * * * G72. Capital Improvements Funds Monthly Report File (see also RC Nos and 518.<) 124.R Reference Files G73. Cash Receipts and Journals File Journals and Ledger daily, monthly, and quarterly details of receipts, collections, and disbursements not in NCAS * 15

16 G74. Check Stubs File Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, reimbursements, receipts or bills of sale, check registers, and subsidiary registers G75. Contracts, Agreements, and Leases File Contracts sealed contracts Contracts documents negotiated with vendors and firms concerning services, equipment, property, and other obligations * RETAIN UNTIL: Expiration PLUS: 10 years * RETAIN UNTIL: Expiration PLUS: 6 years * G76. Cost Accounting Reports File 518.< Financial Reports logs and distribution reports generated to track transactions RETAIN UNTIL: Released from audits G77. Credit Card Employee Use File Purchase Orders and Vouchers authorizations and other documents concerning purchased goods or services; includes procurement card authorization logs PLUS: 5 years * Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, reimbursements, receipts or bills of sale, check registers, and subsidiary registers G78. Credit Card Third Party Use File 5110.< Payment Card Data records created in association with payment card transactions entered by third parties for the purchase of goods or services from the agency G79. Daily Cash Reports File Journals and Ledger daily, monthly, and quarterly details of receipts, collections, and disbursements not in NCAS * RETAIN UNTIL: Processed * 16

17 G80. Direct Deposit Forms File 515.S Electronic Funds Transfer (EFT) includes forms authorizing electronic transfer of monies via wire transfer or automated clearing house (ACH); includes direct deposit forms and ACH bank reports * G81. Disbursing Accounts Statements File (see also RC No. 514) 124.R Reference Files G82. Earnings File Time Sheets time sheets or time cards recording daily hours worked Payroll records concerning salaries paid to employees (including employed apprentices or students, interns, contract employees, and temporary employees) G83. Escheats File (see also RC No. 516) 124.R Reference Files RETAIN UNTIL: Paid * G84. Financial Audits Reports File (see also RC No A) 124.R Reference Files Audit Reports final reports, including conclusions or recommendations, related to internal accounting systems and controls, administrative systems and controls, information technology systems and controls, skills, or those with limited administrative value 1313.S Audit Reports work papers and other evidence and related supportive material directly pertaining to the work of the internal auditor s office PLUS: 10 years 17

18 G85. Fiscal Correspondence (Budget Detail Sheet) Budget Development Record budget requests and appropriations; includes justifications and requests for revisions * G86. Fixed Assets File 222.S Inventory Management Records lists of properties, facilities, fixed assets, supplies, and surplus property G87. General Ledger File Journals and Ledgers year-end summaries of receipts and disbursements not in NCAS Journals and Ledger daily, monthly, and quarterly details of receipts, collections, and disbursements not in NCAS * * G88. Increments File Salary Changes notifications of salary changes; includes increments and salary increases mandated by legislative action G89. Invoices File Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, reimbursements, receipts or bills of sale, check registers, and subsidiary registers G90. Lapsed Salaries File Lapsed Salaries records concerning lapsed salaries G91. Legislative Salary Increases File Salary Changes notifications of salary changes; includes increments and salary increases mandated by legislative action RETAIN UNTIL: Effective * RETAIN UNTIL: Effective 18

19 G92. Loans File Awarded Scholarships records documenting the awarding of one-time scholarships; includes applications, award letters, conditions and stipulations, agreements and contracts, disbursement statements, and other related records * Awarded Scholarships records documenting the awarding of forgivable loans to qualified service professionals; includes applications, award letters, conditions and stipulations, agreements and contracts, disbursement statements, progress reports, and other related records Awarded Scholarships records documenting the awarding of renewable scholarships; includes applications, award letters, conditions and stipulations, agreements and contracts, disbursement statements, progress reports, and other related records * PLUS: 5 years * Loan Records records concerning loans granted by the agency; includes documentation of intent to proceed, loan agreements, promissory notes, letters of credit, statements, notices of principal and interest due, monitoring of wages, and other related records G93. Mail Transmittal Slips File 125.R Tracking Materials records intended to verify the receipt of information; includes certified mail receipts RETAIN UNTIL: Satisfaction of obligation PLUS: 7 years * G94. Monthly Budget Reports File Budget Execution and Tracking Records periodic reports (weekly, monthly, quarterly) detailing actual year-to-date revenue and expenditures * 19

20 G95. Payroll Deduction File Deduction Registers records used to start, modify, or stop all voluntary or required deductions from payroll; includes tax withholding, retirement contributions, bank payments, savings plans, insurance, dues, and other related records RETAIN UNTIL: Termination of deduction * G96. Payroll File Payroll records concerning salaries paid to employees (including employed apprentices or students, interns, contract employees, and temporary employees) G97. Price Quotations File Bids and Proposals (including Invitation for Bids [IFB], Request for Proposal [RFP], and Request for Quote [RFQ]) records documenting accepted bids/ proposals/quotes to supply the agency with goods or services G98. Procurements and Purchasing File Purchase Orders and Vouchers authorizations and other documents concerning purchased goods or services; includes procurement card authorization logs RETAIN UNTIL: Paid * RETAIN UNTIL: Termination or expiration of contract PLUS: 5 years * PLUS: 5 years * G99. Reconciliation Reports File Reconciliations bank statements, canceled checks, deposit slips, and reconciliation reports G100. Refunds Reports File Accounts Receivable records concerning receivables owed and collected; includes billing statements, records of payment received, remittances, subsidiary registers, overpayment or refund records, deposits, fines and fees assessed, and collection of past due accounts G101. Requisitions File Requisitions requests to acquire goods or services * * * 20

21 G102. Requisitions for Funds File 522.< Budget Execution and Tracking Records authorizations to move funds between budget codes RETAIN UNTIL: Released from audits G103. Returned Checks File Accounts Uncollected records of accounts deemed uncollectable; includes returned checks, write-off authorizations, and other related records RETAIN UNTIL: Determined uncollectable Agency Policy: * G104. Reversion and Continuation File Budget Development Records administrative budget records; includes research, correspondence, and other related records G104. Tax Forms File Tax Forms tax information returns generated by the agency (e.g., 1098, 1099, W-2) to be reported to the Internal Revenue Service and furnished to the other party to the transaction * RETAIN UNTIL: Submitted to taxpayer PLUS: 4 years * G105. Sales Information File Accounts Receivable records concerning receivables owed and collected; includes billing statements, records of payment received, remittances, subsidiary registers, overpayment or refund records, deposits, fines and fees assessed, and collection of past due accounts G106. Sales Tax File Tax Returns tax returns filed by the agency * RETAIN UNTIL: Filed PLUS: 6 years * G107. Statement of Costs File 561.R Bids and Proposals (including Invitation for Bids [IFB], Request for Proposal [RFP], and Request for Quote [RFQ]) notices, evaluations, and other related records * 21

22 G108. Subsidiary Ledgers File G109. Tax Forms File G110. Travel Requests and Reimbursements File Journals and Ledgers year-end summaries of receipts and disbursements not in NCAS Journals and Ledgers daily, monthly, and quarterly details of receipts, collections, and disbursements not in NCAS Deduction Registers records used to start, modify, or stop all voluntary or required deductions from payroll; includes tax withholding, retirement contributions, bank payments, savings plans, insurance, dues, and other related records Tax Forms tax information returns generated by the agency (e.g., 1098, 1099, W-2) to be reported to the Internal Revenue Service and furnished to the other party to the transaction Travel Requests financial records regarding agency travel; includes documentation of advance payments and reimbursements Travel Requests requests and authorizations for travel; includes forms and itineraries * * RETAIN UNTIL: Termination of deduction * RETAIN UNTIL: Submitted to taxpayer PLUS: 4 years * * G111. Utility Bills and Logs File Accounts Payable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, reimbursements, receipts or bills of sale, check registers, and subsidiary registers * 22

23 G112. Vendor Identification File 565.S Vendor Records records identifying vendors approved to conduct business with State agencies; also includes list of vendors debarred from doing business with State agencies G113. Vouchers File Purchase Orders and Vouchers authorizations and other documents concerning purchased goods or services; includes procurement card authorization logs PLUS: 5 years * * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See appendix for list of item numbers for records that will transfer to the State Archives. 23

24 General Schedule Functional Schedule Series #. Item Title RC No. Record Type and Description Disposition Notes / Agency Policy 4. Information Technology Records G114. Agency Information Technology and Data Processing Services Planning File Business Plans plans for managing the agency s units, projects, workforce, etc.; includes timelines, benchmarks, responsibilities, and routine work instructions G115. Application Development Project File Project Documentation records documenting the design, planning, development, control, or monitoring of a specific project or group of projects; includes proposals, schematics, forecasts, feasibility studies, statements of work, assessments, and other related records G116. Audit Trails File 922.< Data Authentication audit trails documenting user actions within monitored IT systems G117. Automated Program Listing Source Code 921.S Automated Program Listing Source Code automated program code that generates the machine language instructions used to operate an automated information system RETAIN UNTIL: Execution of plan RETAIN FROM: Disposition of record * G118. Circuits Inventories File 222.S Inventory Management Records lists of properties, facilities, fixed assets, supplies, and surplus property G119. Computer and Network Usage File Network and System Security Records records documenting access requests and authorizations, system access logs, and other related records G120. Computer Security File Network and System Security Records records documenting the security of networks and systems; includes records concerning firewalls, anti-virus programs, and other related records G121. Computer Security Incident Report File Network and System Security Records finalized cyber incident reports RETAIN FROM: Creation RETAIN FROM: Creation * RETAIN UNTIL: Resolution PLUS: 5 years 24

25 G121. Computer Security Incident Report File (cont.) 924.< Network and System Security Records records documenting incidents involving unauthorized attempted entry or probes on data processing systems, information technology systems, telecommunications networks, and electronic security systems, including associated software and hardware; includes logs, extracts, compilations of data, and other related records RETAIN FROM: Creation PLUS: 10 days G122. Data Documentation File Data Documentation Records records concerning data in automated systems; includes data element dictionary, file layout, code book or table, entity relationships tables, and other records related to the structure, management, and organization of data G123. Data/Database Dictionary File Data Documentation Records records concerning data in automated systems; includes data element dictionary, file layout, code book or table, entity relationships tables, and other records related to the structure, management, and organization of data RETAIN UNTIL: System is discontinued and/or replaced RETAIN UNTIL: System is discontinued and/or replaced G124. Digitization and Scanning File 915.< Digitization and Scanning Records records concerning data entry and imaging operations; includes quality control records and paper records that are digitized G125. Disaster Preparedness and Recovery Planning File 1624.P Disaster Recovery Records administrative records documenting major agency disaster recovery efforts and evaluating their efficacy Disaster Recovery Records records concerning minor or routine agency recovery operations that are managed with minimal disruption to normal operations RETAIN UNTIL: Digitized PLUS: 10 days PERMANENT 25

26 G125. Disaster Preparedness and Recovery Planning File (cont.) 1621.S Agency Disaster Planning records concerning preparedness in the event of a disaster (natural, accidental, or malicious); includes background surveys, studies, reports, and records concerning the process of notifying personnel in the event of an emergency; also includes Continuation of Operations Plans (COOP) and Business Continuity Plans (BCP)s G126. Finding Aids (Indexes)/Tracking Systems File 122.S Indices and Inventories records that are used for tracking the existence and location of information within the agency G127. Information Technology Assistance File IT Assistance Records records documenting troubleshooting and problem-solving assistance provided by information systems personnel; includes help desk assistance requests, work orders, site visit reports, service histories, resolution records, and other related records G128. Network/Circuit Installation and Service File IT Assistance Records records documenting troubleshooting and problem-solving assistance provided by information systems personnel; includes help desk assistance requests, work orders, site visit reports, service histories, resolution records, and other related records G129. Network Diagrams File 925.S Network Diagrams records documenting the logical and physical relationships of network components for purposes of organization, deployment, troubleshooting, monitoring of access, and management of day-to-day operations G130. Project Documentation File Project Documentation records documenting the design, planning, development, control, or monitoring of a specific project or group of projects; includes proposals, schematics, forecasts, feasibility studies, statements of work, assessments, and other related records RETAIN UNTIL: Resolution RETAIN UNTIL: Resolution 26

27 G131. Software Licenses and Copyright Provisions File Contracts records documenting restrictions and compliance with license and copyright provisions for products and services purchased by the agency G132. System Access File Network and System Security Records records documenting access requests and authorizations, system access logs, and other related records RETAIN FROM: Creation G133. System Documentation File System Documentation records documenting operating systems, application programs, structure and form of datasets, system structure, and system-to-system communication; includes system overviews, dataset inventories, server names, IP addresses, purpose of the systems, vendor-supplied documentation, installed software, and current source code G134. System Maintenance Records: Hardware Repair or Service File Facility Management Records routine janitorial cleaning and maintenance records for properties, facilities, vehicles, IT systems, and other equipment; includes work/repair orders and other related records Facility Management Records system repair and improvement records (including plumbing, electrical, fire, IT, and other systems) G135. System Maintenance Records: Records Backup File 917.S Records Backup Information records documenting regular or essential system backups; includes backup tape inventories and other related records (appraisal required) G136. Technical Program Documentation File Technical Program Documentation records concerning program code, program flowcharts, program maintenance logs, systems change notices, and other related records that document modifications to computer programs 27

28 G137. User Chargebacks for Data Processing Services File Accounts Receivable records concerning the status of accounts in which the agency owes money to firms or individuals; includes invoices, reimbursements, receipts or bills of sale, check registers, and subsidiary registers G138. Web Management and Operations File: Structure 928.S Web Management and Operations Records site maps that show the directory structure into which content pages are organized, and commercial, off-the-shelf software configuration or content management system files used to operate the site and establish its look and feel; also includes server environment configuration specifications * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See appendix for list of item numbers for records that will transfer to the State Archives. * 28

29 General Schedule Functional Schedule Series #. Item Title RC No. Record Type and Description Disposition Notes / Agency Policy 5. Personnel Records G139. Abolished Positions File Abolished Positions records concerning positions that have been abolished G140. Addesses File 135.S Logistics Materials routine notices, task lists, contact lists, and arrangements G141. Aggregate Service History File 862.T Aggregate Service History complete history of each employee s service with the agency TRANSFER to Personnel File G142. Applicant Flow Records File (see also RC No ) 124.R Reference Files G143. Applications for Employment (PD-107) File G144. Applications for Return of Accumulated Retirement Contributions File (see also RC No ) 873.T Applications for Employment applications and other related records for hired candidates; includes offers of employment and requests for reasonable accommodation Applications for Employment applications and other related records that are unsolicited or are received from individuals who are not hired or do not accept offered position 124.R Reference Files TRANSFER to Personnel File upon hiring RETAIN UNTIL: Received * G145. Aptitude and Skills Testing File Aptitude and Skills Testing records concerning aptitude and skills tests required of job applicants or of current employees seeking promotion or transfer; may include civil service examinations 29

30 G146. Asbestos Training File Asbestos Training employee-specific records concerning training programs for the proper management of asbestos G147. Benefits File Insurance and Fringe Benefits Plans records describing health, life, and other insurance and fringe benefit plans available to agency employees Retirement Records descriptive information about retirement systems G148. Bloodborne Pathogen Training File Bloodborne Pathogen Training records concerning training programs for the proper avoidance of bloodborne pathogen exposure; includes rosters, contents or summaries of sessions, names and qualifications of instructors, and other related records G149. Certifications and Qualifications File Certifications and Qualifications records concerning certification or qualification required for employment, continued employment, or promotion G150. Civil Rights Case File Civil Rights Cases records concerning employee discrimination complaints and requests for reasonable accommodation; includes equal opportunity (EO) complaints G151. Class Specifications File 878.P Position History classification records and complete histories of salaried positions within the agency; includes listings providing classification, titles, and position numbers RETAIN UNTIL: Separation RETAIN UNTIL: Superseded/obsolete RETAIN UNTIL: Expiration or employee separation PLUS: 5 years RETAIN UNTIL: Final disposition of the charge or action PERMANENT 30

31 G152. Classification File 875.S Position Control records concerning personnel actions and position control, status of each established permanent, temporary full-time, or part-time position, and other related records G153. COBRA (Consolidated Omnibus Budget Reconciliation Act) File Benefits Continuation notifications to employees or dependents informing them of their rights to continue insurance coverage after termination or during disability or family leave (e.g., Consolidated Omnibus Budget Reconciliation Act [COBRA]) RETAIN UNTIL: Employee returns or eligibility expires G154. Death Claims File (see also RC No ) 124.R Reference Files G155. Disability Salary Continuation Claims File (see also 833.3) 124.R Reference Files G156. Disciplinary File Disciplinary Actions records concerning disciplinary actions taken against employees G157. Drug and Alcohol Prevention Programs File n/a OSHR contracts out this service, so there are no records to schedule for State agencies. G158. Dual Employment File Dual and Secondary Employment records concerning employees engaging in dual employment with State government or secondary employment with an outside employer n/a RETAIN UNTIL: Termination of outside employment 867.< Dual and Secondary Employment denied requests for outside employment RETAIN UNTIL: Denial PLUS: 6 months 31

32 G159. Educational Assistance File Educational Assistance records concerning tuition assistance and reimbursement G160. Educational Leave and Reimbursement File 821.T Educational Leave records concerning approved requests for educational leave Educational Assistance records concerning tuition assistance and reimbursement G161. Employee Assistance Program File n/a OSHR contracts out this service, so there are no records to schedule for State agencies G162. Employee Polygraph File Employee Polygraphs reports, or similar records generated by the examiner and provided to the agency G163. Employee Suggestion (ES) File (see also RC No ) Employee Suggestions and Surveys employee surveys, rejected suggestions, and other related records outside of the ES System G164. Employment Eligibility Verification (Form I-9) File Employment Eligibility Verification I-9 forms used for verifying the identity and employment authorization of individuals hired for employment in the United States RETAIN UNTIL: Reimbursement * RETAIN UNTIL: Employee returns or separates THEN: Transfer to official personnel record RETAIN UNTIL: Reimbursement * n/a RETAIN UNTIL: Received RETAIN UNTIL: Employee separation G165. Employment Selection File Hiring Packages includes interview documentation, rosters, eligibility lists, test ranking sheets, tracking forms, justification statements, and other related records G166. Exit Interviews File Exit Interviews interviews or questionnaires conducted with employees planning to separate from the agency RETAIN UNTIL: Hiring decision 32

33 G167. Family Medical Leave Act (FMLA) File Family Medical Leave Act (FMLA) records concerning approved requests for leave under FMLA G168. Garnishments File Garnishments records concerning the garnishments of employees wages G169. Grievance File Grievances records concerning employee grievances; includes EEO informal inquiry process and formal internal grievance process G170. Hazardous Materials Training File Hazardous Waste Training records concerning training programs for the proper avoidance of hazardous material exposure; includes rosters, contents or summaries of sessions, names and qualifications of instructors, and other related records G171. Health Certificates File Employee Medical Records2 physical examinations required by the employer in connection with any personnel action; includes health or physical examination reports, or certificates created in accordance with the Americans with Disabilities Act (ADA) RETAIN UNTIL: Employee returns or separates RETAIN UNTIL: Termination of deduction * RETAIN UNTIL: Resolution * PLUS: 5 years G172. Insurance Plans File Insurance and Fringe Benefits Plans records describing health, life, and other insurance and fringe benefit plans available to agency employees G173. Internship Program File Apprentice, Intern, and Volunteer Records data concerning participants in apprenticeships, internships, and volunteer positions; includes applications and selection materials RETAIN UNTIL: Superseded/obsolete RETAIN UNTIL: Submission 33

34 G174. Leave File Leave File records concerning approved leave requests by agency personnel; includes civil leave, community service leave, and leave without pay G175. Leave without Pay File Leave File records concerning approved leave requests by agency personnel; includes civil leave, community service leave, and leave without pay G176. Longevity Pay Longevity Pay records concerning employees eligible for longevity pay G177. Medical Records File Employee Medical Records records concerning asbestos, toxic substances, and bloodborne pathogen exposure Employee Medical Records first aid records of minor job-related injuries Employee Medical Records remaining employee medical records RETAIN UNTIL: Employee returns or separates RETAIN UNTIL: Employee returns or separates PLUS: 7 years RETAIN UNTIL: Exposure PLUS: 30 years PLUS: 5 years RETAIN UNTIL: Employee separation PLUS: 30 years G178. Military Leave File Military Leave records concerning approved requests for military leave provided under the Uniformed Services Employment and Reemployment Act (USERRA) G179. Performance Management Program (PMP) File Performance Management Program (PMP) records concerning employees goals and tasks; includes performance evaluations RETAIN UNTIL: Employee returns or separates 34

35 G180. Personnel (Active) File (see also RC No ) 124.R Reference Files 873.T Applications for Employment applications and other related records for hired candidates; includes offers of employment and requests for reasonable accommodation Personnel Action Requests records concerning personnel action changes (e.g., hire, termination, retirement, resignation) G181. Personnel Action Forms (PD-105) File Personnel Action Requests records concerning personnel action changes (e.g., hire, termination, retirement, resignation) G182. Personnel Correspondence File 861.S Administrative Records personnel correspondence and memoranda G183. Position Control File 875.S Position Control records concerning personnel actions and position control, status of each established permanent, temporary full-time, or part-time position, and other related records G184. Position Descriptions File Position Descriptions job descriptions for each position G185. Position History (PD-118R) File 878.P Position History classification records and complete histories of salaried positions within the agency; includes listings providing classification, titles, and position numbers TRANSFER to Personnel File upon hiring PLUS: 5 years PERMANENT 35

36 G186. Position Evaluation Description File Position Evaluations forms used to evaluate the primary purpose of a position G187. Position Listings, Advertisements, and Announcements File Recruitment Records includes ads and notices of overtime, promotion, and training; also includes employment listings G188. Reduction-in-Force (RIF) File Personnel File records that document events in permanent and temporary individual s employment history that have long-term consequences for the employee and the agency; includes dismissals that are not challenged by the employee RETAIN UNTIL: Separation PLUS: 30 years Ω G189. Retirement Benefits File (see also RC No ) 124.R Reference Files G190. Salary Changes File Salary Changes notifications of salary changes; includes increments and salary increases mandated by legislative action G191. Salary Ranges File (see also RC No ) 124.R Reference Files G192. Savings Bond File Insurance and Fringe Benefits Plans records describing health, life, and other insurance and fringe benefit plans available to agency employees RETAIN UNTIL: Effective RETAIN UNTIL: Superseded/obsolete G193. Secondary Employment File Dual and Secondary Employment records concerning employees engaging in dual employment with State government or secondary employment with an outside employer RETAIN UNTIL: Termination of outside employment 36