|
Record Series Code
|
Record Series Title
|
Minimum Retention
|
Disposition
|
DESCRIPTION
|
|
Agency General Schedules: Administrative
|
|
ADMIN-001
|
|
Follow retention of appropriate corresponding records series
|
Follow disposition of records series that documents specific agency functions or programs. [When requesting permission to dispose of records, indicate the records series number on Form RC-108]
|
For communications related to specific agency functions or programs including email, instant messaging, and text messaging, use appropriate corresponding records series.
|
|
ADMIN-002
|
|
Follow retention of appropriate corresponding records series
|
Follow disposition of appropriate records series.
|
For electronic messages, such as electronic mail (email), instant messaging, (IM) and text messaging (SMS), use appropriate corresponding records series.
|
|
ADMIN-003
|
|
Follow retention of appropriate corresponding records series
|
Follow disposition of appropriate corresponding records series
|
For social media/Web 2.0 records, such as Facebook™ and Twitter™, use the appropriate corresponding records series.
|
|
ADMIN-004
|
|
Follow retention of appropriate corresponding records series
|
Follow disposition of appropriate corresponding records series
|
For website content records, such as websites, blogs, and wikis, use the appropriate corresponding records series. This applies to the official record copy.
|
|
ADMIN-005
|
|
Calendar year end + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents reports and related documents regarding personal injury on state property, at state sponsored events, or in state owned vehicles.
|
|
ADMIN-006
|
|
Next accreditation + 5 Year(s)
|
Disposition 5 years from date accreditation granted, or until next accreditation, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the accreditation process by accrediting and regulatory bodies. Including but not limited to data; correspondence; other supporting documentation, reports received from study committees of accrediting associations; and suggestions and recommendations concerning organizational structure and administration.
|
|
ADMIN-007
|
|
Activity date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents alarm system activity at agency facilities. Including but not limited to: alarm test check sheets; zone check sheets; gate alarm check sheets; and alarm activity logs.
|
|
ADMIN-008
|
|
Award date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the issuance of awards and recognition of state employees, as well as students and faculty at higher education institutions, and the general public. Including but not limited to: award descriptions; qualification materials; and related correspondence.
|
|
ADMIN-009
|
|
Term of office + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents daily activities of the administrative head of an agency (i.e., commissioner, executive director, agency head, or chief executive officer)
|
|
ADMIN-010
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents daily activities of staff.
|
|
ADMIN-011
|
|
Resolution date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents routine complaints that do not involve health and safety issues. Including but not limited to: complaints, preliminary investigations, findings, background material and responses.
|
|
ADMIN-012
|
|
Life of structure
|
Destroy after receipt of signed Form RC-108
|
This series documents new construction and improvements to real property and includes the final plans and specifications, which show the work as it was actually built. Including but not limited to: all construction documents depicting the final constructed configuration (as-builts); blueprints; plans; and system schematics.
|
|
ADMIN-013
|
|
Certificate of occupancy issue date + 8 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents new construction and improvements to real property and includes all plans and specifications which lead up to as-built records, which show the work as it was actually built. Including but not limited to: correspondence; cost estimates; construction contracts; construction documents; specification manuals; and tracings and master drawings that lead to final construction (includes revised and superseded materials).
|
|
ADMIN-014
|
|
No longer administratively useful
|
Destroy
|
This series documents temporary communications including email, instant messaging, and text messaging that have short term administrative value (e.g. transmittal faxes/memos; out of office replies; and listserv messages).
|
|
ADMIN-015
|
|
Month end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents routine incoming communications and copies of routine outgoing communications for internal and external audiences including email, instant messaging, and text messaging. Includes general requests and Freedom of Information Act (FOIA) requests that do not lead to a formal complaint.
|
|
ADMIN-016
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of incoming and/or outgoing correspondence. Information collected may include date received, name of sender, and receiving person of office
|
|
ADMIN-017
|
|
Permanent
|
Retain in Agency
|
This series documents the transfer and use of money or property (i.e., bequests and endowments) to an institution. Including but not limited to : agreement forms; survey letters; and related correspondence, and related documentation.
|
|
ADMIN-018
|
|
Superseded, obsolete or expired + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents agency or facility disaster response and business recovery plans in the event of a natural or man-made disaster.
|
|
ADMIN-019
|
|
Superseded, obsolete or expired
|
Destroy after receipt of signed Form RC-108
|
This series documents agency or facility disaster plans for the recovery of operational and vital records in the event of a natural or man-made disaster.
|
|
ADMIN-020
|
|
Review date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the results of disaster preparedness exercises and supporting documents including scenarios, locations of safety related drills, timetables, response times, probable outcomes, areas of difficulty, descriptions of how difficulties were resolved, and areas for improvement.
|
|
ADMIN-021
|
|
Activity end date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents disaster recovery activities
|
|
ADMIN-022
|
|
Activity end date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series document the administration, planning, arrangement and execution of special events and activities such as, but not limited to lectures, ceremonies, and dedications. Including, but not limited to program details and arrangements; Announcements; brochures; photographs; audio and/or video recordings; and related correspondence.
|
|
ADMIN-023
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the use of agency facilities for activities, programs and community events. This series may contain, but is not limited to facility request forms, scheduling calendars, contracts or other forms consenting to abide by the agency's policies regarding use of facilities, and related correspondence. The consent forms are signed by the requestor and may include personal or financial identification information.
|
|
ADMIN-024
|
|
Last entry or life of shell, whichever is less + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the inspection and annual maintenance checks of portable fire extinguishers.
|
|
ADMIN-025
|
|
Last inspection date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the inspection and annual maintenance checks of building fire standpipe and hose systems.
|
|
ADMIN-026
|
|
Activity date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the maintenance and use of Global Positioning System (GPS) devices for vehicle/employee tracking purposes. Including but not limited to: tracking logs and system information.
|
|
ADMIN-027
|
|
Renewal or final report + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents grants administered by the agency. Including but not limited to: applications; project proposals; narratives; supporting documentation; grant contracts; research data; related correspondence; evaluations; award letters; and reports
|
|
ADMIN-028
|
|
Decision date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents grants administered by the agency. Including but not limited to: project proposals; narratives; supporting documentation; related correspondence; and evaluations.
|
|
ADMIN-029
|
|
Renewal or final report + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents public and private grants received by the agency. Including but not limited to: applications; supporting documentation; grant award/denial letters; related correspondence; evaluations; and reports
|
|
ADMIN-030
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years from the date the waste was accepted by the initial transporter. Destroy after receipt of signed Form RC-108
|
This series documents the transportation of hazardous waste from a generator’s site to the site of its disposition. Including but not limited to: uniform hazardous waste manifest and instructions (EPA Forms 8700–22 and 8700–22A); biennial reports and exception reports; and test results, waste analyses, or other determinations.
|
|
ADMIN-031
|
|
Superseded or termination date
|
Destroy after receipt of signed Form RC-108
|
This series documents the creation and maintenance of identification (ID) cards for employees, students, and volunteers. Including but not limited to: applications; forms; and photographs.
|
|
ADMIN-032
|
|
Calendar year end + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the circumstances surrounding events, occurrences, and incidents. Including but not limited to: incident reports; and related documents used to monitor the number and type of incidents.
|
|
ADMIN-033
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents legal opinions and administrative decisions issued by state agencies. Including but not limited to: legal opinions; memorandum opinions; and informal opinions.
|
|
ADMIN-034
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the creation of legislation at the agency level (passed or not passed). Including but not limited to: copies of bills and previous drafts; testimony; copies of hearing transcripts; reports; and related correspondence.
|
|
ADMIN-035
|
|
Expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents proof of coverage for state sponsored programs at private facilities, use of state facilities by private organizations, and insurance certificates required for loans of museum artifacts and archival documents.
|
|
ADMIN-036
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents waivers and assumptions of risk for individuals or private organizations participating in state programs or utilizing state property (e.g., ride-a-longs, job shadows, or refusals of medical treatment).
|
|
ADMIN-037
|
|
Final disposition + 5 Year(s)
|
Disposition is 5 years after resolution, if no further action taken, or 5 years after issue is resolved and all litigation is completed. Destroy after receipt of signed Form RC-108
|
This series documents judicial proceedings of state agencies. Including but not limited to: affidavits, complaints, responses, orders of dismissals, notice and general appeal, orders, legal briefs, transcripts of proceedings, and court decisions.
|
|
ADMIN-038
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents meetings for staff and committees at the agency level. Including but not limited to agendas, meeting notes or minutes, rosters and handouts.
|
|
ADMIN-039
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the summarized record of the proceedings of executive staff meetings, boards, commissions, and task forces. Including but not limited to: minutes and by-laws.
|
|
ADMIN-040
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents meeting activities. Including but not limited to: agendas; notices of schedule; schedules of meetings; and related documents (e.g., presentations and meeting packets).
|
|
ADMIN-041
|
|
Approval of minutes + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents audio/video recordings of meetings, regardless of format (e.g., cassette, VHS, DVD, DVR, SD, or USB).
|
|
ADMIN-042
|
|
Expiration date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents formal agreements reached between the state and other entities; or a state agency, and another agency or another local, state, or federal agency. Including but not limited to: Memorandums of Agreement (MOA); Memorandums of Understanding (MOU); and related documents.
|
|
ADMIN-043
|
|
Superseded, obsolete or expired
|
Destroy after receipt of signed Form RC-108
|
This series documents plans required by OSHA (Occupational Safety and Health Administration) or CONN-OSHA (Connecticut Department of Labor, Division of Occupational Safety and Health). Including but not limited to: facilities-based plans; emergency procedures; and other related plans.
|
|
ADMIN-044
|
|
End of year to which record relates + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents recording and reporting of occupational injuries and illness. Including but not limited to: annual summaries; OSHA 300 Logs; privacy case list (if one exists); annual summary, and OSHA 301 Incident Reports.
|
|
ADMIN-045
|
|
Chemical disposed of or consumed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of chemicals used, where they were used, and for how long they were used pursuant to 29 CFR Part 1910.1200.
|
|
ADMIN-046
|
|
Calendar year end + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents SARA Title III Emergency Planning and Community Right-to-Know Act (EPCRA) Tier II emergency and hazardous chemical inventory forms submitted annually, or within 90 days of exceeding the EPCRA threshold, to the Connecticut Department of Public Health (DPH) by facilities that use or store chemicals requiring a material safety data sheet in volumes exceeding the threshold amount.
|
|
ADMIN-047
|
|
Superseded, obsolete or expired + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the permitting process to park at state parking facilities. Including but not limited to: applications and related documentation.
|
|
ADMIN-048
|
|
Expiration date
|
Destroy after receipt of signed Form RC-108
|
This series documents the permitting process to temporarily park at state parking facilities. Including but not limited to: applications and related documentation.
|
|
ADMIN-049
|
|
Record accessed or disclosed or life of record + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents maintenance and disclosure of personal data pursuant to the Personal Data Act (CGS Sec 4-190). Including but not limited to: personal data removal logs and related notifications.
|
|
ADMIN-050
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for removal of personal data as defined by the Personal Data Act (CGS Sec 4-190). Including but not limited to: Requests for Removal of Personal Data (Form RC-077) submitted to the Office of the Public Records Administrator.
|
|
ADMIN-051
|
|
End of year to which record relates + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the usage of agency land lines or cell phones and related phone call information such as person calling, date and time of phone call, number dialed, and length of call. Including but not limited to: message books, while you were out notices, and phone system activity reports.
|
|
ADMIN-052
|
|
Superseded, obsolete or expired + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the process of planning new or redefined programs, services, or projects of agency or program functions. Including but not limited to: needs assessments; consultant reports; surveys; studies; project files; questionnaires; and related correspondence.
|
|
ADMIN-053
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents formal policies and procedures issued by governing boards, commissioners, agency heads, or other authorized entities to address agency-wide operations and critical agency functions. Including but not limited to: policies; directives; general letters; official memos; and guidelines.
|
|
ADMIN-054
|
|
Superseded, obsolete or expired + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents policies and procedures of routine, day-to-day operations of agencies or program units. Including but not limited to: policies; memoranda; orders; guidelines; bulletins; and manuals.
|
|
ADMIN-055
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents presentations given by agency staff as part of training sessions, conferences, or workshop activities. Including but not limited to: handouts and presentations.
|
|
ADMIN-056
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the history and development of agency programs, units, and/or divisions, as well as its purpose, authority, and organization. Including but not limited to: organization charts; mission or function statements; program charges, bylaws, and legislation related to the organization and structure of the agency; long term plans; and agency histories.
|
|
ADMIN-057
|
|
Calendar year end + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents communications and public relations activities of agencies. Including but not limited to: news clippings; press releases; remarks; speeches; and related correspondence.
|
|
ADMIN-058
|
|
Permanent
|
Retain in agency or transfer to State Library, State Documents Depository Program [CGS Sec 11-4a; Sec 11-9d]
|
This series consists of all publications printed or otherwise produced in tangible form, and all publications produced in electronic or other intangible form, by or under the authority direction of the state or any officer thereof, or any other agency supported wholly or in part by state funds.
|
|
ADMIN-059
|
|
Disposition date + 25 Year(s)
|
|
This series documents the disposition (destruction or legal transfer) of public records. Including but not limited to: Records Disposition Authorizations (Form RC-108); State Records Center Storage Lists (Form RC-100); Certificate of Records Disposition for Information Systems Records (Form RC-109); transfer agreements; memorandums of transfer; and related documentation certifying disposition of records (e.g., certificates of destruction).
|
|
ADMIN-060
|
|
Regulation not passed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the formulation and approval process of regulations that did not pass. Including but not limited to: hearing transcripts; minutes of formal hearings; public comments; correspondence; and subject files.
|
|
ADMIN-061
|
|
Expiration date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the formulation and approval process of regulations that by their own terms or by statute are limited in duration. Including but not limited to: hearing transcripts; minutes of formal hearings; public comments; correspondence; and subject files.
|
|
ADMIN-062
|
|
Permanent
|
Retain in agency or transfer to State Archives or other approved archival repository
|
This series documents the formulation and approval process of regulations that are permanent in duration. Including but not limited to: hearing transcripts; minutes of formal hearings; public comments; correspondence; and subject files.
|
|
ADMIN-063
|
|
Permanent
|
Retain in agency or transfer to State Library, State Documents Depository Program [CGS Sec 11-4a]
|
This series documents reports produced by agencies or by special tasks forces, commissions and other bodies created by the Governor or Connecticut General Assembly to investigate issues or events of significant but finite duration.
|
|
ADMIN-064
|
|
Permanent
|
Retain in agency or transfer to State Library, State Documents Depository Program [CGS Sec 11-9d]
|
This series documents annual reports to the Office of the Governor or the Connecticut General Assembly.
|
|
ADMIN-065
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administrative reports created for submission to state or federal agencies or legislative committees.
|
|
ADMIN-066
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents location or duty assignments for agency staff. Including, but not limited to: desk schedules; duty rosters; staffing assignments (including logs); staffing worksheets; and work assignment change forms.
|
|
ADMIN-067
|
|
Notification date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents agency response to disclose of breaches of security pursuant to CGS Sec 36a-701b. Including but not limited to: notifications to affected persons and to designated state agencies; logs of notifications; and related records.
|
|
ADMIN-068
|
|
End of year to which record relates + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents security of state buildings and parking facilities. Including but not limited to: logs of facility visitors; employee ID/key assignments; routine security inspections; and building checks.
|
|
ADMIN-069
|
|
Recording date + 30 Day(s)
|
Destroy
|
This series documents audio/video security surveillance recordings, regardless of format (e.g., cassette, VHS, DVD, DVR, SD, or USB).
|
|
ADMIN-070
|
|
Issue date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents writs issued by a court authority to compel the attendance of a witness at a judicial proceeding.
|
|
ADMIN-071
|
|
Calendar year end + 3 Year(s)
|
Disposition is calendar year end + 3 years, or until audited, whichever is laterDestroy after receipt of signed Form RC-108
|
This series documents suggestions from the public and employees to contribute practical ideas to improve government operations. Including but not limited to: suggestions; reviews/evaluations of suggestions; awards; and related correspondence.
|
|
ADMIN-072
|
|
Permanent
|
Retain in agency or transfer to State Archives or other approved archival repository
|
This series documents hearings conducted pursuant to the Connecticut Uniform Administrative Procedures Act (CGS Sec 4-176 et seq.). Including but not limited to: notices; petitions, pleadings, motions and intermediate rulings; evidence, objections and rulings; the official transcript of proceedings or any recording or stenographic record of the proceedings; proposed final decisions and exceptions thereto; and the final decision.
|
|
ADMIN-073
|
|
No longer administratively useful
|
Destroy
|
This series documents information recorded to voice mail systems, answering machines, or other Web based systems.
|
|
ADMIN-074
|
|
Last contact + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of agencies’ volunteer, intern, and community service programs. Including but not limited to: recruitment and selection records; volunteer agreements; background checks; emergency notification forms; insurance documentation; work schedules; sign-in/out sheets; time sheets; orientation and training documentation; and work history records.
|
|
ADMIN-075
|
|
Superseded, obsolete or expired + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the management and operation of agency websites. Including but not limited to: site design; use of copyrighted materials; software applications; and site maps.
|
|
Agency General Schedules: Fiscal
|
|
FISCAL-001
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Accounts Receivable and Payable
|
|
FISCAL-002
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of passbooks, statements, reconciliation records, cancelled checks, and outstanding checks for agency held accounts.
|
|
FISCAL-003
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Includes activity funds and trustee accounts.
|
|
FISCAL-004
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents commitments (also known as encumbrances) for obligations in the form of purchase orders or contracts which are to be met from an appropriation and for which a part of the appropriation is reserved.
|
|
FISCAL-005
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Cost Allocation Plans
|
|
FISCAL-006
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records related to the distribution, receipt, or expenditure of federal or state grant funds.
|
|
FISCAL-007
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of financial statements and reports prepared by agency personnel. Includes trial balances of subsidiary accounts.
|
|
FISCAL-008
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of receivables written off as uncollectible.
|
|
FISCAL-009
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of completed rental leases.
|
|
FISCAL-010
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of requisitions for reservation of funds.
|
|
FISCAL-011
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later.
Destroy after receipt of signed Form RC-108
|
Consists of admission tickets and meal tickets.
|
|
FISCAL-012
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of allotment or appropriation adjustment requests (Form B-107).
|
|
FISCAL-013
|
|
Funds expended + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of request forms, justifications, supporting documentation, questionnaires, fiscal information, and notices of decision.
|
|
FISCAL-014
|
|
Decision date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of request forms, justifications, supporting documentation, questionnaires, fiscal information, and notices of decision.
|
|
FISCAL-015
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of budget request records (Form B-66).
|
|
FISCAL-016
|
|
Project end date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document minor and major capital projects.
|
|
FISCAL-017
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of financial summary reports (aka CFSRs).
|
|
FISCAL-018
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of bills and bills for service, including utility bills (e.g., telephone and security bills).
|
|
FISCAL-019
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Expenditure Analyses and Certificates
|
|
FISCAL-020
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of invoices and vouchers (Form CO-17).
|
|
FISCAL-021
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records that document moving expenses, including employee moving expense information (Federal Form 4782).
|
|
FISCAL-022
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of authorizations for postal service transactions (Form CO-924).
|
|
FISCAL-023
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records documenting the use of purchasing cards. Including but not limited to: P-Card envelopes and related documentation (Forms CO-501 and CO?502).
|
|
FISCAL-024
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Receipts, Pending
|
|
FISCAL-025
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of petty cash replenishment requests (Form CO-17XP) and travel expense requests (Form CO-17RPC).
|
|
FISCAL-026
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Remittance Advice Subscriptions
|
|
FISCAL-027
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of granted or denied Requests for Proposals (RFP), Requests for Quotations (RFQ), and Requests for Information (RFI).
|
|
FISCAL-028
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Service Requests, Prepayment
|
|
FISCAL-029
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of travel authorization requests (Form CO-112) and related records.
|
|
FISCAL-030
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of vendor check cancellations (Form CO-790), vendor cancellation statements (Form CO-790S), and vendor request for payment information (CO-860).
|
|
FISCAL-031
|
|
Final expenditure report submission + 3 Year(s)
|
Disposition is 3 fiscal years after submission of final expenditure report, or receipt of last payment, whichever is later. Destroy after receipt of signed Form RC-108 [44 CFR 13.42]
|
Consists of documentation related to the distribution, receipt, or expenditure of state or federal funds for natural or man-made disasters including major storms, floods, fires, industrial accidents, and terrorist attacks.
|
|
FISCAL-032
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Internal Auditors’ Reports
|
|
FISCAL-033
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records that document the maintenance and use of equipment and facilities. Including but not limited to: checklists, logs, requests, and work orders.
|
|
FISCAL-034
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Receipt Forms, Pre-numbered
|
|
FISCAL-035
|
|
Termination date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of Form CO-1092 applications used by agency employees to request access to Core-CT.
|
|
FISCAL-036
|
|
Last service date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108 [FCC Directive 04-190]
|
Consists of program documentation for receipt and delivery of discounted services as part of the Universal Service Fund (USF). Including but not limited to: pre-bidding process, bidding process, contracts, application process, purchase and delivery of services, invoicing, inventories, forms, and rule compliance.
|
|
FISCAL-037
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Alternate Retirement Program Records
|
|
FISCAL-038
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of Form CO-536.
|
|
FISCAL-039
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
Consists of records documenting deductions from employee paychecks. Including but not limited to: child care, financial institution (bank, credit union), insurance (auto, home, life), retirement (germane to payroll), transportation, and union deductions.
|
|
FISCAL-040
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of notices of employee death for currently employed employees (Form CO-638).
|
|
FISCAL-041
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records documenting changes to employee files. Including but not limited to: new employees, transfer-in/outs, and terminations (Form COP?6).
|
|
FISCAL-042
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Employee Time Sheets (timesheets) and Cards
|
|
FISCAL-043
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of employee waivers for group coverage or requests to discontinue contributions.
|
|
FISCAL-044
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of garnishments and release of garnishments.
|
|
FISCAL-045
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of applications, payroll change reports, and continuing coverage requests during authorized leave(s) of absence.
|
|
FISCAL-046
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of choice of health insurance after retirement (Form CO-744).
|
|
FISCAL-047
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Health Insurance Reimbursement Records
|
|
FISCAL-048
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records documenting salary increases based on length of employment.
|
|
FISCAL-049
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records documenting monetary compensation for overtime or compensatory time.
|
|
FISCAL-050
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Including but not limited to: advance requests, authorization cards, check cancellations, deduction authorizations, notices, and worksheets.
|
|
FISCAL-051
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of cost recovery reports for federal and other funds.
|
|
FISCAL-052
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Remittance Reports
|
|
FISCAL-053
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
Consists of requests and approvals related to work schedules, flextime schedules, and alternative work schedules.
|
|
FISCAL-054
|
|
Tax return due date or paid date, whichever is later + 4 Year(s)
|
Destroy after receipt of signed Form RC-108 [26 CFR 31.6001-1(e)(2)]
|
Consists of tax withholding allowance certificates, exemption certificates, and other withholding records (e.g., W-2).
|
|
FISCAL-055
|
|
Tax return due date or paid date, whichever is later + 4 Year(s)
|
Destroy after receipt of signed Form RC-108 [26 CFR 31.6001-1(e)(2)]
|
Consists of Form W-9 used to request the taxpayer identification number (TIN) of a U.S. person and to request certain certifications and claims for exemption.
|
|
FISCAL-056
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of Form CO?101 used to request tuition reimbursements and waivers.
|
|
FISCAL-057
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
|
|
FISCAL-058
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of Forms CO-959, CO-960, and CO-961.
|
|
FISCAL-059
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of applications, orders, executions, exemptions, and modification claims.
|
|
FISCAL-060
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of Form CO-715.
|
|
FISCAL-061
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Competitive Bid Requests and Replies
|
|
FISCAL-062
|
|
Contract end date
|
Disposition is term of contract, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of direct purchase orders, personal service contracts, purchase order amendments (change orders), and purchase orders for contracts.
|
|
FISCAL-063
|
|
Life of equipment
|
Destroy after receipt of signed Form RC-108
|
Consists of direct purchase orders, personal service contracts, purchase order amendments (change orders), and purchase orders for equipment.
|
|
FISCAL-064
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of direct purchase orders, personal service contracts, purchase order amendments (change orders), and purchase orders for all other purchases.
|
|
FISCAL-065
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of requisition forms and inventory withdrawal forms.
|
|
FISCAL-066
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of Form SP-10.
|
|
FISCAL-067
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of detailed inventory reports, fixed assets, property inventory report, inventory summary, controllable property inventory, and Generally Accepted Accounting Principles (GAAP) reporting form.
|
|
FISCAL-068
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of inventory reports (Form CO-648A) and report summaries (Form CCP-40).
|
|
FISCAL-069
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of requests (scrap ticket) to the Property Distribution Center (PDC) for disposal of surplus property.
|
|
FISCAL-070
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of property damage reports for loss or damage to motor vehicles. Including but not limited to: comprehensive loss or damage to state-owned automobiles, property loss or damage due to natural disaster.
|
|
FISCAL-071
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of property damage reports for loss or damage to real or personal property. Including but not limited to: loss or damage to real or personal property reports and property loss or damage due to natural disaster.
|
|
FISCAL-072
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Accountability Reports
|
|
FISCAL-073
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Bad Check Notices
|
|
FISCAL-074
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Cash Register Tapes
|
|
FISCAL-075
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Deposit Slips
|
|
FISCAL-076
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Refund Slips
|
|
FISCAL-077
|
|
Approved or denied date + 3 Year(s)
|
Disposition is 3 years from approved or denied date, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents preapproval or prequalification for contractors for service. Including but not limited to: applications; audited or reviewed financial statements; contractor performance evaluations; and supporting documentation (e.g., bonding letters, DRS letters, and copies of licenses).
|
|
Agency General Schedules: Full-Time Post Secondary Programs in Vocational-Technical School Systems
|
|
VocTech-001
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Acceptance Letters
|
|
VocTech-002
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Advanced Placement Letters
|
|
VocTech-003
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Applications
|
|
VocTech-004
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Entrance Examination Reports
|
|
VocTech-005
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Foreign Student Forms
|
|
VocTech-006
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Interview Reports
|
|
VocTech-007
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Transcripts
|
|
VocTech-008
|
|
Termination date + 50 Year(s)
|
Disposition is 50 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Academic Achievement Records
|
|
VocTech-009
|
|
Termination date + 50 Year(s)
|
Disposition is 50 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Attendance Records
|
|
VocTech-010
|
|
Termination date + 50 Year(s)
|
Disposition is 50 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Basic Biographical Information
|
|
VocTech-011
|
|
Termination date + 6 Year(s)
|
Disposition is 6 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Pre and Post Test Scores
|
|
VocTech-012
|
|
Termination date + 3 Year(s)
|
Disposition is 3 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Letters of Recommendation
|
|
VocTech-013
|
|
Termination date + 3 Year(s)
|
Disposition is 3 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Disciplinary Records (Referrals and Actions)
|
|
VocTech-014
|
|
Termination date + 5 Year(s)
|
Disposition is 5 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Financial Aid Records
|
|
VocTech-015
|
|
Calendar year end + 1 Year(s)
|
|
Grade Books
|
|
VocTech-016
|
|
Termination date + 6 Year(s)
|
Disposition is 6 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Accident Reports
|
|
VocTech-017
|
|
Termination date + 6 Year(s)
|
Disposition is 6 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Adult Physical Forms (including Hepatitis B)
|
|
VocTech-018
|
|
Termination date + 50 Year(s)
|
Disposition is 50 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Bloodborne Pathogen (Hepatitis B) Exposure Incident Reports
|
|
VocTech-019
|
|
Superseded
|
Disposition is until superseded or until student leaves the school district.
|
Emergency Health Information
|
|
VocTech-020
|
|
Termination date + 6 Year(s)
|
Disposition is 6 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Records of Immunization
|
|
VocTech-021
|
|
Permanent
|
|
Policy and Procedure Manuals
|
|
VocTech-022
|
|
Termination date + 6 Year(s)
|
Disposition is 6 Years after student leaves the school district. Destroy after receipt of signed Form RC-108.
|
Section 504 Records
|
|
Agency General Schedules: Health
|
|
HEALTH-001
|
|
Permanent
|
Maintain in agency
|
Consists of logs, reports, and other records that document admissions and discharges of patients.
|
|
HEALTH-002
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document newly diagnosed and follow-up of cancer patients. Including but not limited to: forms submitted to the Department of Public Health (DPH).
|
|
HEALTH-003
|
|
Session date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document counseling sessions for clinical supervision. Including but not limited to: evaluations and audio / video recordings of sessions for training purposes.
|
|
HEALTH-004
|
|
Completion date of the last evaluation + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the examination of defendants as to their competency to stand trial. Including but not limited to: evaluation reports and related documents.
|
|
HEALTH-005
|
|
Activity end date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document daily activities at medical facilities. Including but not limited to: daily appointment sheets, daily hospital census reports, and daily movement sheets, which track patients’ movements in and out of the facility (e.g., transfers, discharges, and admissions).
|
|
HEALTH-006
|
|
Death date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of copies of death certificates and death certificate stubs submitted to the Department of Public Health (DPH).
|
|
HEALTH-007
|
|
Transfer date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the transfer of body to morgue or funeral home.
|
|
HEALTH-008
|
|
Requisition date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of requisitions to conduct laboratory work (e.g., EEG, ECG, EKG, radiology, and MRI).
|
|
HEALTH-009
|
|
Discharge or death + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document laboratory work (e.g., maternal serum screening) maintained by laboratories.
|
|
HEALTH-010
|
|
Discharge date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of electroencephalography (EEG), electrocardiography (ECG), and electrocardiogram (EKG) graphs and tracings.
|
|
HEALTH-011
|
|
Life of record
|
Disposition is duration of corresponding patient medical record. Destroy after receipt of signed Form RC-108
|
Consists of electroencephalography (EEG), electrocardiography (ECG), and electrocardiogram (EKG) diagnostic and interpretation reports.
|
|
HEALTH-012
|
|
Discharge or death + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of radiology diagnostic films, scans, and images (e.g., X-ray).
|
|
HEALTH-013
|
|
Discharge or death + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of reports of radiology diagnostic films, scans, and images (e.g., X-ray).
|
|
HEALTH-014
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of radiology diagnostic films, scans, images, and reports for mammograms.
|
|
HEALTH-015
|
|
Service date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document disease, operation, and physician activities at a health care facility.
|
|
HEALTH-016
|
|
Response date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of logs that document emergency responses for respiratory and cardiac cases (e.g., code blue or code red).
|
|
HEALTH-017
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of an employee (which is made or maintained by a physician, nurse, or other health care personnel, or technician). Including but not limited to: medical and employment questionnaires or histories, results of medical examinations; medical opinions, diagnoses, progress notes, and recommendations; first aid records; descriptions of treatments and prescriptions; and employee medical complaints.
|
|
HEALTH-018
|
|
Expiration date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document compliance with the Standards for Privacy of Individually Identifiable Health Information (privacy rule) and Security Rule pursuant to the Health Insurance Portability and Accountability Act (HIPAA). Including but not limited to: privacy policies and procedures, privacy practices notices, disposition of complaints, and other actions, activities, and designations.
|
|
HEALTH-019
|
|
Discharge or death + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at public or private organization which provides services in the patients’ home. Includes nursing, social work services, home health care agencies, and homemaker-home health aide services.
|
|
HEALTH-020
|
|
Expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document Institutional Review Board (IRB) and Human Investigations Committee (HIC) activities. Including but not limited to: research proposals, progress reports, notes of IRB meetings, lists of IRB members, IRB procedures records of continuing review activities, and related correspondence.
|
|
HEALTH-021
|
|
Project end date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document Institutional Review Board (IRB) and Human Investigations Committee (HIC) investigator activities retained pursuant to HIPAA. Including but not limited to: documents related to uses and disclosures, authorization forms, business partner contracts, notices of practice, responses to requests to amend or correct information, patient’s statements of disagreement, and related complaints.
|
|
HEALTH-022
|
|
Permanent
|
|
Master Patient Index
|
|
HEALTH-023
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the psychiatric health status of a patient at outpatient mental health behavioral facilities. Includes free-standing mental health day treatment facilities, intermediate treatment facilities, psychiatric outpatient clinics for adults and case management, and community liaison services.
|
|
HEALTH-024
|
|
Discharge date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at ambulatory care clinics and dental facilities. Including but not limited to: questionnaires and histories, results of examinations, descriptions of treatments and prescriptions, and radiology diagnostic imaging (dental X-ray films).
|
|
HEALTH-025
|
|
Discharge or death + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at outpatient psychiatric clinics for children and adolescents less than eighteen years of age.
|
|
HEALTH-026
|
|
Discharge or death + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at short-term general hospitals for children and adolescents less than eighteen years of age.
|
|
HEALTH-027
|
|
Discharge or death + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at long-term chronic disease hospitals.
|
|
HEALTH-028
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at developmental services facilities (formerly mental retardation facilities). Includes residential and non-residential facilities (transitional facilities, group homes, community training homes and supervised apartments).
|
|
HEALTH-029
|
|
Discharge or death + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient requiring dialysis at out of hospital outpatient and in-hospital outpatient dialysis units. Including but not limited to: medical questionnaires or histories, patient care plans, treatment orders, and prescriptions (receipt and disposition of controlled substances).
|
|
HEALTH-030
|
|
Termination date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status and immunization of a patient at higher education institutions. Includes mental health, counseling, and substance abuse for students.
|
|
HEALTH-031
|
|
Discharge or death + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at short-term special hospice hospitals.
|
|
HEALTH-032
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at inpatient medical hospitals and psychiatric hospitals. Includes short-term hospitals, substance abuse facilities, long-term hospitals, and mental health institutions.
|
|
HEALTH-033
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the health status of a patient at nursing homes, chronic and convalescent nursing homes, and rest homes with nursing supervision.
|
|
HEALTH-034
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the use and disposition of controlled substances. Including but not limited to: audits, inventories, and transfers between pharmacies, prescriptions, and dispositions of controlled substances, night medication sheets, and proof of use sheets.
|
|
HEALTH-035
|
|
Discharge or death + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document pharmaceutical reviews of drug regimens. Includes long-term care and skilled nursing facilities
|
|
HEALTH-036
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the status of incomplete or delinquent medical records older than 30 days. Including but not limited to: listings, logs, and reports.
|
|
HEALTH-037
|
|
Screening date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document preadmission screening for patients not admitted for treatment. Including but not limited to: intake forms and checklists.
|
|
HEALTH-038
|
|
Verification date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the verification of the credentials of health care practitioners and definitions of their privileges, which are used to increase patient safety and reduce medical errors.
|
|
HEALTH-039
|
|
Test date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of raw test data (e.g., IQ test) from psychological assessments of patients.
|
|
HEALTH-040
|
|
Calendar year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document quality assurance, quality improvement, peer review, and performance improvement activities. Including but not limited to: program evaluations, clinical record reviews, annual process and outcome record audits, patient restraint and seclusion reports, and related reports.
|
|
HEALTH-041
|
|
Discharge or death + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document social work activities (e.g., service planning, contracting, counseling, case work, advocacy for the recipient, and crisis intervention) that are maintained as a separate entity and not interfiled within the patient medical record.
|
|
HEALTH-042
|
|
Report filed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document utilization and quality control review of the health care furnished, or to be furnished, to patients (e.g., to establish whether or not acute inpatient admission was medically necessary). Including but not limited to: Medicare material from fiscal intermediaries, correspondence from Medicare beneficiaries, billing forms, and service recording forms.
|
|
Agency General Schedules: Higher Education
|
|
EDU-001
|
|
Academic year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the practice, playing, and attendance of competitions, games, and sporting events. Including but not limited to: schedules; scrapbooks; audio / video recordings; sports history; memorabilia; and related correspondence.
|
|
EDU-002
|
|
Academic year end + 5 Year(s)
|
Disposition is 5 years, or end of eligibility, whichever is longer. Destroy after receipt of signed Form RC-108
|
This series documents recruitment and eligibility of students for participation in athletics. Including but not limited to: official visit of prospective athletes; student-athletes’ affirmation of eligibility; and national letters of intent.
|
|
EDU-003
|
|
Academic year end + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents competition schedules between other institutions. Including but not limited to: correspondence; and final schedules.
|
|
EDU-004
|
|
Academic year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the drug and alcohol testing of student athletes. Including but not limited to: lab reports; interpretations; related documentation; and related correspondence.
|
|
EDU-005
|
|
Academic year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information on potential employment for graduates of institution. Including but not limited to: job descriptions; company information; contact information; and job qualifications.
|
|
EDU-006
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents internships, practicum, cooperative education, student teaching, and field experience.
|
|
EDU-007
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents assistance provided to students in planning career goals and objectives. Including but not limited to: résumés; cover letters; career goals; and academic credentials.
|
|
EDU-008
|
|
Annual required disclosure date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Athletic Participation / Equity in Athletics Disclosure Act (EADA) data, which is disclosed annually to students and other required parties.
|
|
EDU-009
|
|
Annual required disclosure date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information related to campus crime, annual CLERY Reports, Drug-Free Schools and Communities Act (DFSCA) information, and Security Protocol Plans. Including but not limited to: institutional policies and proceedings for reporting crimes and disciplinary actions; crime statistics; education programs; and security and access policies for campus facilities.
|
|
EDU-010
|
|
Annual required disclosure date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents graduation, completion, and transfer-out data disclosed to students and other required parties.
|
|
EDU-011
|
|
Annual required disclosure date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents institutional information disclosed annually to students and the Federal government. Including but not limited to: cost of attendance; withdrawal procedures; refund policy; and other items not covered in faculty, staff, and student handbooks.
|
|
EDU-012
|
|
Graduation or last enrollment date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information related to certifications for veterans. Including but not limited to: applications for benefits; correspondence and requests for certification; birth certificates for children of deceased veterans; and notices of benefits for guard and reservists.
|
|
EDU-013
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
This series documents FERPA annual notices of rights to students regarding access to the student’s education records.
|
|
EDU-014
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests by students for formal hearings concerning the student’s education records.
|
|
EDU-015
|
|
Life of student file or until terminated by the student
|
Destroy after receipt of signed Form RC-108
|
This series documents requests and disclosures of personally identifiable information contained in the student's education records.
|
|
EDU-016
|
|
Life of student file or until terminated by the student
|
Destroy after receipt of signed Form RC-108
|
This series documents student requests for nondisclosure of directory information, which is defined as that information which would not generally be considered harmful or an invasion of privacy if disclosed.
|
|
EDU-017
|
|
Life of student file or until terminated by the student
|
Destroy after receipt of signed Form RC-108
|
This series documents student statements on content of records regarding hearing panel decision concerning the student's education records.
|
|
EDU-018
|
|
Life of student file or until terminated by the student
|
Destroy after receipt of signed Form RC-108
|
This series documents the student’s written consent for records disclosure of the student's education records.
|
|
EDU-019
|
|
Life of student file or until terminated by the student
|
Destroy after receipt of signed Form RC-108
|
This series documents waivers for rights of access of the student's education records.
|
|
EDU-020
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents written decisions of hearing panels concerning the student's education records.
|
|
EDU-021
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents alumni and fundraising efforts. Including but not limited to: demographic information about alumni; solicitation plans; donation histories; and related records.
|
|
EDU-022
|
|
Permanent
|
Maintain in agency
|
Consists of the official record copy of the university or college catalog, which is used to present information about the institution (e.g., course descriptions, schedule of classes, and academic calendar).
|
|
EDU-023
|
|
Permanent
|
Maintain in agency
|
Consists of the official record copy of commencement programs for graduation ceremonies and related graduation lists.
|
|
EDU-024
|
|
Semester end date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents evaluations by students of courses / instructors. Including but not limited to: completed evaluations; survey sheets; student comments; and faculty or course identifying materials.
|
|
EDU-025
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for faculty participation in consulting for outside professional activities (i.e., not acting in their official capacity as a State employee). Including but not limited to: requests for permission and supporting documentation; records of violation / noncompliance; and related correspondence.
|
|
EDU-026
|
|
Permanent
|
Maintain in agency
|
Consists of the official record copy of faculty, staff, and student handbooks, which outline rules, regulations, overview of institution, by-laws, and overview of tenure.
|
|
EDU-027
|
|
Academic year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents activities of department, college, and university-related honorary societies. (NOTE: does not include non-university affiliated societies.)
|
|
EDU-028
|
|
Permanent
|
Maintain in agency
|
This series documents creation and maintenance of intellectual property developed by faculty and staff. Including but not limited to: copyright; patents; trademarks; publicity rights; performance rights; and rights against unfair competition.
|
|
EDU-029
|
|
Academic year end + 4 Year(s)
|
Disposition is 4 years from date licensed or 4 years from end of academic year if program is exempt from being licensed Destroy after receipt of signed Form RC-108
|
This series documents activities of lab schools for pre-school children. Includes university run child care and family resource centers.
|
|
EDU-030
|
|
Decision date
|
Disposition is until employee’s review period is completed and letter of decision is issued. Destroy after receipt of signed Form RC-108
|
This series documents the review process of promotion and tenure for faculty or professional staff members. Including but not limited to: applications; evaluative materials (e.g., publications, performance videos, and works of art); and written recommendations.
|
|
EDU-031
|
|
Termination date + 30 Year(s)
|
Disposition is 30 years from end of residency / fellowship. Destroy after receipt of signed Form RC-108
|
This series documents participation in residency / fellowship programs (e.g., medical residency). Records may also be used to verify completion of residency or fellowship education requirements. Including but not limited to: requests for verification of training; release forms; agreements; assignment authorizations; evaluations; performance summaries; rotation assignments; and certifications of completion.
|
|
EDU-032
|
|
Permanent
|
Maintain in agency
|
Consists of the official record copy of institutional schedules and directories of classes.
|
|
EDU-033
|
|
Permanent
|
Maintain in agency
|
This series documents statistical information about the institution, including degree, enrollment, grade, and race / ethnicity data.
|
|
EDU-034
|
|
Academic year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents activities of student governing associations. Including but not limited to: minutes; elections; reports; and related correspondence.
|
|
EDU-035
|
|
Academic year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents activities of student associations and student organizations affiliated with the institution. Including but not limited to: minutes; elections; reports; and related correspondence.
|
|
EDU-036
|
|
Semester end date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of the official record copy of course syllabi maintained by department or university.
|
|
EDU-037
|
|
Semester end date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the processing of residents, inspection of rooms, and status of room and housing assignments for on-campus housing. Including but not limited to: check-in and -out forms; room condition forms; and inspection reports.
|
|
EDU-038
|
|
Application date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the admissions process for applicants who apply for admission, but do not enroll at the institution. Including but not limited to: applications for admission and supporting documentation (e.g., advanced placement records, entrance examinations, international student documents, letters of recommendation, medical records, military records, placement scores, residency classification forms, and transcripts); interview records; acceptance / denial letters; and related correspondence.
|
|
EDU-039
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the admissions process for applicants who apply for admission, and enroll at the institution. Including but not limited to: applications for admission and supporting documentation (e.g., advanced placement records, entrance examinations, international student documents, military records, placement scores, residency classification forms, and transcripts); acceptance / denial letters; and related correspondence.
|
|
EDU-040
|
|
Enrollment date
|
Destroy after receipt of signed Form RC-108
|
This series documents interviews and letters of recommendation for applicants who apply for admission and enroll at the institution. Including but not limited to: Interview records; letters of recommendation; and related correspondence.
|
|
EDU-041
|
|
Graduation or last enrollment date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records used to recruit applicants who apply for admission and enroll at the institution. Including but not limited to: advertising materials; sales materials; and marketing and enrollment materials.
|
|
EDU-042
|
|
Resolution date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents disciplinary actions resulting in an action less than expulsion. Including but not limited to: incident reports; academic transcripts; witness statements; discipline history; incident database records; and related correspondence.
|
|
EDU-043
|
|
Permanent
|
Maintain in agency
|
This series documents disciplinary actions resulting in expulsion. Including but not limited to: incident reports; academic transcripts; witness statements; discipline history; incident database records; and related correspondence.
|
|
EDU-044
|
|
Resolution date
|
Disposition is end of appeals process. Destroy after receipt of signed Form RC-108
|
This series consists of audio / video recordings of disciplinary hearings.
|
|
EDU-045
|
|
Academic year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the actions, findings and recommendations of student honor code / council hearings. Including but not limited to: hearing records; results; and related correspondence.
|
|
EDU-046
|
|
Academic year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents campus-based aid (e.g., Federal Work Study, Perkins loan, and Supplemental Educational Opportunity Grants) and Federal student financial aid program records (e.g., Direct PLUS loans, Federal Family Education Loans, Pell grants, Stafford loans, and Ford Federal Direct Loans).
|
|
EDU-047
|
|
Semester end date
|
Destroy after receipt of signed Form RC-108
|
This series documents student absences from class (e.g., medical emergency, jury duty, or religious observance).
|
|
EDU-048
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents student dismissals and other related actions.
|
|
EDU-049
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents student requests for academic adjustments based on qualifying disabilities. Including but not limited to: intake forms; supporting documentation (medical records, psychological reports, psychological evaluations, educational evaluations, letters of academic adjustments from other education institutions); academic adjustment request forms; summaries of documentation review; histories of academic adjustments; approvals / denials of academic adjustment requests; and related correspondence.
|
|
EDU-050
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents academic counseling activities. Including but not limited to: group files; test results; peer group leader program; pre-professional student files; student history files; and tutor applications.
|
|
EDU-051
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents student academic progress (department / school files). Including but not limited to: activity reports; copies of partial transcripts; evidence of date of graduation; and enrollment verifications.
|
|
EDU-052
|
|
Permanent
|
Maintain in agency
|
Consists of the official record copy of the student academic record. Including but not limited to: narrative evaluations; and competency assessments.
|
|
EDU-053
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents academic evaluations of students in clinical settings (e.g., dental and nursing). Including but not limited to: placement descriptions; supervision training plans; activity or progress reports; commendations; remediation letters and related correspondence; and clinical exams.
|
|
EDU-054
|
|
Not Applicable
|
Destroy
|
This series documents course registrations (e.g., pass / fail, audit, credit, and no credit classes) and course changes (e.g., add, drop, and withdrawal).
|
|
EDU-055
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for substitution of courses towards degree.
|
|
EDU-056
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents placement test records and credit by examination records (e.g., CLEP [College Level Examination Program] records).
|
|
EDU-057
|
|
Permanent
|
Maintain in agency
|
This series consists of dissertations and theses written in partial fulfillment of graduate or undergraduate degree requirements. Including but not limited to: doctoral dissertations, master’s theses, and honors theses.
|
|
EDU-058
|
|
Permanent
|
Maintain in agency
|
This series documents students’ final grades, which contains names of all students officially registered for a course and their respective grade.
|
|
EDU-059
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents grade change records. Including but not limited to: appeals of grades; requests to change grades; and records of grade review boards.
|
|
EDU-060
|
|
Semester end date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of students’ grades maintained by faculty members.
|
|
EDU-061
|
|
Not Applicable
|
Destroy
|
This series consists of grade progress reports reported by class.
|
|
EDU-062
|
|
Not Applicable
|
Destroy
|
This series documents graded coursework and final examinations that were not returned to the student. Including but not limited to: assignments; essays; exams; and other student projects.
|
|
EDU-063
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents graduation of students. Including but not limited to: applications and related materials used to apply for graduation; forms to authorize graduation; and audits conducted to verify graduation.
|
|
EDU-064
|
|
Released date
|
Disposition is until date hold or encumbrance released. Destroy after receipt of signed Form RC-108
|
This series documents authorizations to place or remove a hold or encumbrance from a student’s account to prohibit the student from registering for classes, releasing transcripts, or delay reception of diplomas.
|
|
EDU-065
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents independent study activities. Including but not limited to: request forms; and authorizations.
|
|
EDU-066
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of forms and authorizations to declare a major, change a major, or to set up curriculum studies.
|
|
EDU-067
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents authorizations of name changes for current students.
|
|
EDU-068
|
|
Superseded, obsolete or expired
|
Destroy after receipt of signed Form RC-108
|
This series documents personal information about the student (e.g., name, address, and phone number, for use by the institution).
|
|
EDU-069
|
|
Termination date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of the employee file for student employees. Including but not limited to: applications; résumés; CVs; transcripts; interview materials; performance evaluations / reviews; and related documents.
|
|
EDU-070
|
|
Permanent
|
Maintain in agency
|
This series consists of students’ undergraduate or graduate academic transcript.
|
|
EDU-071
|
|
Request date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for transcripts. Including but not limited to: requests for transcripts; authorizations; and related correspondence.
|
|
EDU-072
|
|
Graduation or last enrollment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests to transfer credit. Including but not limited to: transfer credit requests; and authorizations / denials.
|
|
EDU-073
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series documents the routes and schedules of university/college managed transportation for student, faculty, and staff use around campus, university/college properties, and adjacent locations; including but not limited to: schedules, routes, and related documentation.
|
|
EDU-074
|
|
Report date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of mileage reports for university/college managed vehicles used as campus transportation.
|
|
EDU-075
|
|
Filing date + 5 Year(s)
|
Disposition is 5 years from the date of application filing. [20 CFR 656.10(f)] Destroy after receipt of signed Form RC-108
|
This series documents permanent residence (“green card”) sponsorship for permanent employment of international faculty. Including but not limited to: petitions, applications; and supporting documentation.
|
|
EDU-076
|
|
Termination date + 5 Year(s)
|
Disposition is 5 years from date of termination or program completion. Destroy after receipt of signed Form RC-108
|
This series documents international faculty seeking temporary (e.g. H-1B, TN, O-1, P-1, E-3) employment visas. Including but not limited to: certificates; applications; petitions; and supporting documentation.
|
|
EDU-077
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years after expiration of agreement. Destroy after receipt of signed Form RC-108
|
This series documents agreements between higher education institutions and facilities/organizations for placement of students for completion of clinical and/or field work degree requirements. Series includes, but is not limited to: contracts, Memorandum of Understanding (MOU), Memorandum of Agreement (MOA), and related documentation.
|
|
Agency General Schedules: Information Systems
|
|
INFOSYS-001
|
|
Service date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document incoming requests for technical assistance and responses to those requests. Including but not limited to: help desk assistance requests, resolution records, and related correspondence.
|
|
INFOSYS-002
|
|
Three (3) most recent backup cycles
|
Destroy in agreement with Certificate of Records Disposition for Information Systems Records (Form RC-109)
|
Consists of backup media needed to restore systems and data in the event of a loss of information.
|
|
INFOSYS-003
|
|
Superseded + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of information systems certificates complying with retention and disposition requirements established by the Office of the Public Records Administrator.
|
|
INFOSYS-004
|
|
Discontinuance or modification
|
Disposition is discontinuance or modification of the related application, but not before the application’s data is destroyed or transferred to a new structure or format. Destroy in agreement with Certificate of Records Disposition for Information Systems Records (Form RC-109)
|
Consists of records that document database and data file documentation. Including but not limited to: data dictionaries, metadata documentation, data element reports, diagram of logical data model, and any other database or data file documentation that could be used for reference material.
|
|
INFOSYS-005
|
|
Discontinuance or modification
|
Disposition is discontinuance or modification of the related application, but not before the application’s data is destroyed or transferred to a new structure or format
|
Consists of records created and used to develop, redesign or modify an automated software system or application. Including but not limited to: user requirements, status reports, correspondence, and high-productivity tool logic constructs used to generate such components as reports, queries, forms, and macros, user and operational documentation describing system operations, including system documentation records, user guides, system diagrams, input/output specifications, and related System Development Methodology (SDM) records.
|
|
INFOSYS-006
|
|
Superseded, obsolete or expired
|
Disposition is until superseded or system is no longer operational. Destroy in agreement with Certificate of Records Disposition for Information Systems Records (Form RC-109)
|
Consists of records that describe the agencies’ local and wide area network schematics and information systems environment, including the system, application design, and database.
|
|
INFOSYS-007
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document support services provided to equipment or installations. Including but not limited to: site visit reports, program and equipment service reports, service histories, and related correspondence.
|
|
INFOSYS-008
|
|
Superseded, obsolete or expired
|
Disposition is until superseded or system is no longer operational. Destroy in agreement with Certificate of Records Disposition for Information Systems Records (Form RC-109)
|
Consists of records concerning processes for data entry, the operation of computer equipment, production control, tape library, system backup, operation, and maintenance of an agency's information systems operation documentation. Including but not limited to: operating manuals, hardware/operating system requirements, hardware configurations, scheduled jobs, and equipment control systems and other aspects of a data processing operation.
|
|
INFOSYS-009
|
|
Access privileges revoked + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document users’ access rights and privileges to data repositories or granting authorization to systems, applications or databases based on a unique user identity.
|
|
INFOSYS-010
|
|
No longer administratively useful
|
Destroy in agreement with Certificate of Records Disposition for Information Systems Records (Form RC-109)
|
Consists of records that document the monitoring of the use of the agency's network traffic and system access by its customers or employees. Including but not limited to: system usage files (user account logs, records and access authorization log files) and network usage files (log-in records, security logs, router logs, and firewall logs).
|
|
INFOSYS-011
|
|
Three (3) source code productions
|
Disposition is until three (3) source code productions or discontinuance or modification of the related application, but not before the application’s data is destroyed or transferred to a new structure or format. Destroy in agreement with Certificate of Records Disposition for Information Systems Records (Form RC-109)
|
Consists of production source code used to operate an information system.
|
|
Agency General Schedules: Library, Museum, Special Collection and Archival Records
|
|
LIBRARY-001
|
|
Calendar year end + 3 Year(s)
|
|
This series documents the online access, receipt, and payment history for holdings of library materials in all formats. Includes active, sold, and discarded (withdrawn) titles. Including but not limited to: periodical check-in cards; shelf list cards; payment cards; serials data input work form sheets; serials renewals; serials usage reports; license agreements; serial lists; serials inventory worksheets; and records documenting transfer of library materials between institutions.
|
|
LIBRARY-002
|
|
Superseded, obsolete or expired
|
|
This series documents the bibliographic and item information represented in catalog and electronic systems (e.g., Integrated Library Systems [ILS]; union catalogs; Online Public Access Catalogs [OPACs], and discovery tools). Includes shelf lists and shelf list cards.
|
|
LIBRARY-003
|
|
Permanent
|
Retain in agency
|
This series documents the acceptance of materials into archives, libraries, special collections, and museums. Including but not limited to: accession worksheets; memorandums of transfer; deeds of gift; supporting documentation; donor information; gift forms; worksheets of physical descriptions; photographs of objects; conservation information regarding objects; background research; and accession ledgers.
|
|
LIBRARY-004
|
|
Permanent
|
Retain in agency
|
This series documents the description of materials in archives, libraries, special collections, and museums. Including but not limited to: appraisal reports; original container listings; rulings regarding access (e.g., Attorney General, statutory, or court rulings); background materials; biographical information; conservation or preservation reports; photographs; legal documentation; correspondence; and lists of record groups. Also known as record group files.
|
|
LIBRARY-005
|
|
Permanent
|
Retain in agency
|
This series documents the deaccessioning of materials from archives, libraries, special collections, and museums. Including but not limited to: reappraisal reports and recommendations; approval memoranda; copies of related oversight board agenda and minutes; and related correspondence.
|
|
LIBRARY-006
|
|
Exhibition closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the planning, display, and use of artifacts and materials from archives, libraries, special collections, and museums. Including but not limited to: planning documentation; installation photographs; sketches; worksheets; loan agreements; certificates of insurance; shipping receipts; exhibit catalogs; publicity; and related correspondence.
|
|
LIBRARY-007
|
|
Returned date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents loans of materials from archives, special collections, and museums to other institutions. Including but not limited to: brochures; insurance certifications; loan forms; manuscript appraisals; and related correspondence.
|
|
LIBRARY-008
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 calendar years from end of calendar year to which record relates. National Commissions on New Technological Uses of Copyright Works (CONTU) Guidelines on Photocopying under Interlibrary Loan Arrangements. Destroy after receipt of signed Form RC-108
|
This series documents requests for reproductions of materials and the fulfillment of such requests. Including but not limited to: requests; invoices; and related documentation.
|
|
LIBRARY-009
|
|
Final financial status report + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents grant funding from the Institute of Museum and Library Services’ (IMLS) Library Services and Technology Act (LSTA). Including but not limited to: financial records; supporting documentation; statistical records; and all other records pertinent to the grant.
|
|
LIBRARY-010
|
|
Registration inactive
|
Destroy after receipt of signed Form RC-108
|
This series documents patrons’ access rights and privileges to borrow materials. Including but not limited to: application information and supporting documentation.
|
|
LIBRARY-011
|
|
30 Day(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents patrons’ access rights and privileges to utilize equipment (e.g., computer terminals or microfilm readers). Including but not limited to: registers; logs; and sign-up sheets.
|
|
LIBRARY-012
|
|
Returned date
|
Destroy
|
This series documents the borrowing history of specific patrons. Includes all information that identifies patrons utilizing particular non-restricted materials.
|
|
LIBRARY-013
|
|
25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents patrons’ access rights and privileges to, and retrieval and use of, restricted materials such as archival collections and special collections. Including but not limited to: applications; call slips; and related documentation.
|
|
LIBRARY-014
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for permission to publish, exhibit, or broadcast reproductions of materials. Including but not limited to: applications; and related correspondence.
|
|
LIBRARY-015
|
|
Superseded, obsolete or expired
|
Disposition is when superseded or no longer administratively useful.
|
This series documents research aids created by staff for patrons to facilitate research or access to archives, library, special collections, and museum materials. Including but not limited to: collection guides; finding aids; indices; locators; pathfinders; and research or subject guides.
|
|
LIBRARY-016
|
|
Calendar year end + 1 Year(s)
|
Disposition is 1 year from end of year to which record relates. Destroy after receipt of signed Form RC-108
|
This series documents usage of archives, libraries, special collections, and museums and the overall circulation of materials. Including but not limited to: raw statistical data.
|
|
Agency General Schedules: Personnel
|
|
PERS-001
|
|
Superseded, obsolete or expired + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of affirmative action plans and reports used to monitor the implementation of plans.
|
|
PERS-002
|
|
Superseded, obsolete or expired + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document affirmative action initiatives and policies.
|
|
PERS-003
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the application process for applicants that were hired. Including but not limited to: applications, cover letters, references, and résumés.
|
|
PERS-004
|
|
Position filled or closed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the application process for applicants that were not hired. Including but not limited to: applications, cover letters, references, and résumés.
|
|
PERS-005
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the employee arbitration process.
|
|
PERS-006
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the background check process for applicants that were hired. Including but not limited to: polygraph tests, psychological profiles, and credit reports.
|
|
PERS-007
|
|
Position filled or closed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the background check process for applicants that were not hired. Including but not limited to: polygraph tests, psychological profiles, and credit reports.
|
|
PERS-008
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document benefit choices for employees. Including but not limited to: election process forms and COBRA (Consolidated Omnibus Budget Reconciliation Act) forms.
|
|
PERS-009
|
|
Final disposition + 5 Year(s)
|
Disposition is 5 years, or until resolution of appeal process and complaint resolved, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records that document complaints and actions initiated due to alleged violation of state or federal statutes. Records are maintained by agency’s Attorney General designee.
|
|
PERS-010
|
|
Final disposition + 5 Year(s)
|
Disposition is 5 years, or until resolution of appeal process and complaint resolved, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of records that document discrimination complaints. Including but not limited to: actions under the Americans with Disabilities Act (ADA), bullying, hostile work environment, harassment, and sexual harassment.
|
|
PERS-011
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document disciplinary actions that do not result in suspension, dismissal, litigation, or other action. Includes supervisory counseling and verbal warnings reduced to writing.
|
|
PERS-012
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document disciplinary actions that result in further action, (e.g., dismissal, suspension, or litigation).
|
|
PERS-013
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document secondary employment (at other state agencies) of current employees. Including but not limited to: applications, authorizations, and supporting documentation.
|
|
PERS-014
|
|
Report or referral date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the Employee Assistance Program (EAP), which assists employees with the negative effects of personal and/or workplace problems. Including but not limited to: annual reports, referrals, and statistical reports.
|
|
PERS-015
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of cards that summarize the employment histories of employees.
|
|
PERS-016
|
|
Superseded, obsolete or expired
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document licensure of employees as required in certain job classes (e.g., health care practitioners).
|
|
PERS-017
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document employee state service and compensation history. Includes full-time employees, part-time employees, other than full-time employees, and seasonal workers.
|
|
PERS-018
|
|
Hire date or one year after employment is terminated, whichever is later + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of Immigration and Naturalization Service Employment Eligibility Verifications (Form I-9) and related documents.
|
|
PERS-019
|
|
Life of request + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of forms, letters, and related documents submitted by agency to Department of Administrative Services (DAS) to request an examination.
|
|
PERS-020
|
|
Termination date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of exit interview questionnaires and surveys for employees when they are no longer employed by agency.
|
|
PERS-021
|
|
Final disposition + 5 Year(s)
|
Disposition is 5 years from date grievance settled. Destroy after receipt of signed Form RC-108
|
Consists of records that document grievance proceedings initiated by employees.
|
|
PERS-022
|
|
Final decision + 5 Year(s)
|
Disposition is 5 years after resolution if no further action taken, or until issue is resolved and all litigation is completed. Destroy after receipt of signed Form RC-108
|
Consists of records related to administrative Human Resources investigations. Including but not limited to: misuse of funds, threat assessment, whistleblower, and workplace violence investigations.
|
|
PERS-023
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the donation of leave from one employee to another employee. Including but not limited to: leave donation requests, advance of sick leave letters, and related documents.
|
|
PERS-024
|
|
Review date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document employee requests to take time off of work. Including but not limited to: requests, reviews, and related documents.
|
|
PERS-025
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document employee requests to take time off of work for educational purposes (e.g., sabbatical). Including but not limited to: requests, reviews, and related documents.
|
|
PERS-026
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of employee medical records, as well as Family and Medical Leave Act (FMLA) and Military Family Leave records. Including but not limited to: designation and notices, requests, medical certifications, and notices of rights and responsibilities.
|
|
PERS-027
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document employee service in the military. Including but not limited to: active military duty status reports (DD-214) and service purchase records.
|
|
PERS-028
|
|
Report date + 1 Year(s)
|
|
Consists of records that document employee overtime accruals and acceptance or refusal to work overtime.
|
|
PERS-029
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document employee service ratings and performance evaluations.
|
|
PERS-030
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document personnel changes to individual employees. Including but not limited to: job position changes, job hour changes, and working out of class.
|
|
PERS-031
|
|
Superseded, obsolete or expired
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document employee notification of policies and procedures (e.g., code of ethics, drug, electronic monitoring, workplace discrimination, and workplace violence policies).
|
|
PERS-032
|
|
Position filled or closed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the recruitment to fill individual employment vacancies. Including but not limited to: affirmative action race/ethnicity cards, approvals to refill vacancies, certifications of eligibility, job announcements, interview criteria, and interview questions.
|
|
PERS-034
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of requests, approvals, and related documents for temporary service or temporary service in a higher class.
|
|
PERS-035
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records related to the termination of employees. Including but not limited to: notifications, pink slips, reviews, and approvals.
|
|
PERS-036
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document training of employees. Including but not limited to: course outlines and materials, enrollment and attendance, and applications or requests for training.
|
|
PERS-037
|
|
Transfer date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of requests, approvals, and related documents for intra- and inter-agency employee transfers.
|
|
PERS-038
|
|
Life of list + 1 Year(s)
|
|
Consists of waivers signed by employees on re-hire lists.
|
|
PERS-039
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document compensation to employees due to lost work time benefits and attendant medical expenses. Including but not limited to: selective duty forms, first report of injury forms, incident review reports, status and exemption reports, use of accrued leave reports, and third party liability reports.
|
|
PERS-040
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records related to extension of working test periods (e.g., initial and promotional test periods).
|
|
PERS-041
|
|
Termination date + 10 Year(s)
|
Disposition is 10 years after employee termination. Destroy after receipt of signed Form RC-108
|
This series documents an agency's reasonable accommodation and provisions for its employees with disabilities in compliance with the Americans with Disabilities Act. Including but not limited to: employee request, medical information, engineering and design plans, related correspondence, and supporting documentation.
|
|
Agency General Schedules: Public Safety and Emergency Services
|
|
PUBSAFTY-001
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents alarm system activity at agency facilities. Including but not limited to: alarm test check sheets; zone check sheets; gate alarm check sheets; and alarm activity logs.
|
|
PUBSAFTY-002
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of worksheets and reports for alarm response when no investigation is necessary.
|
|
PUBSAFTY-003
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document bonds for bail. Including but not limited to: receipts for posting bonds.
|
|
PUBSAFTY-004
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Includes community-oriented programs and initiatives (e.g., identity theft, child seat safety, “Click It or Ticket” and underage drinking).
|
|
PUBSAFTY-005
|
|
Report date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of weekly sworn statements of transactions by pawnbrokers.
|
|
PUBSAFTY-006
|
|
Expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document non-weapon permit applications process (e.g., raffles). Including but not limited to: applications, permit reviews or approvals/denials.
|
|
PUBSAFTY-007
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of all calls for service. Including but not limited to: initial incident cards, computer-aided dispatch (CAD) records, and activity records, including blotters (daily record of activities), logs, field interviews, and situation reports.
|
|
PUBSAFTY-008
|
|
Recording date + 30 Day(s)
|
Destroy or recycle
|
Including but not limited to: alarm call printer tapes, incoming / outgoing (digital or analog) 911 and routine calls; ANI / ALI (Automatic Number Identifier / Automatic Location Identifier) information; and automated phone dialing (e.g., reverse 911 calls or calls to senior citizens, homebound citizens, and ill residents).
|
|
PUBSAFTY-009
|
|
Calendar year end + 2 Year(s)
|
Current year end
|
Consists of logs created during temporary power loss to online dispatch system to document radio transmissions, issue event or report numbers, and written dispatch cards.
|
|
PUBSAFTY-010
|
|
Recording date + 30 Day(s)
|
Destroy or recycle
|
Consists of Mobile Data Computer (MDC) and Mobile Data Terminal (MDT) transmissions.
|
|
PUBSAFTY-011
|
|
Not Applicable
|
Destroy
|
Consists of summaries of court actions issued by the court. Reference copy for administrative purposes only.
|
|
PUBSAFTY-012
|
|
Life of case file or expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of criminal protective orders, civil restraining orders, transfers of property, eviction notices, and other written legal notifications or rulings.
|
|
PUBSAFTY-013
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of log of arrest information submitted to the courts by law enforcement agencies.
|
|
PUBSAFTY-014
|
|
Life of system
|
Destroy after receipt of signed Form RC-108
|
Consists of as-built system installation drawings, hydraulic calculation, original acceptance test records, and device manufacturer’s data sheets.
|
|
PUBSAFTY-015
|
|
Activity date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document NFPA mandated testing (e.g. sprinkler systems, standpipe and hose systems, and storage tanks).
|
|
PUBSAFTY-016
|
|
Not Applicable
|
Destroy
|
Consists of building plans and specifications submitted to fire department. Reference copy for administrative purposes only.
|
|
PUBSAFTY-017
|
|
Permit date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of explosive and blasting permits. Including but not limited to: applications for permit, reviews, and authorizations.
|
|
PUBSAFTY-018
|
|
Site inspection date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of permit applications, reviews and authorizations for site locations.
|
|
PUBSAFTY-019
|
|
Alarm test date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the testing of fire alarm systems.
|
|
PUBSAFTY-020
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the inspection of firefighting equipment. Including but not limited to: annual vehicle inspections, daily driver inspections of vehicle fire hoses and ladders, and inspections of other firefighting equipment.
|
|
PUBSAFTY-021
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the inspection of fire valves. Including but not limited to: monthly fire valve inspection records.
|
|
PUBSAFTY-022
|
|
Not Applicable
|
No requirement
|
Consists of incident reporting system maintained on firehouse computer system.
|
|
PUBSAFTY-023
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document inspections (e.g. fire alarms, emergency lights, HVAC systems/fire dampers, and fire doors/fire shutters) as required by state fire and building codes. Including but not limited to: written reports, notices of discrepancies, and/or code violations.
|
|
PUBSAFTY-024
|
|
Life of structure
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document issuing of building permits. Including but not limited to: applications, plans, original and revised building plans and specifications, written reports and permits, and fire lane designations.
|
|
PUBSAFTY-025
|
|
Drill date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document fire drills as required by NFPA code.
|
|
PUBSAFTY-026
|
|
Life of structure
|
Destroy after receipt of signed Form RC-108
|
Certificates of Occupancy (CO)
|
|
PUBSAFTY-027
|
|
Expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of permits to carry or sell dangerous weapons, as defined in CGSSec53-206 and pertaining to weapons permit application process as determined by CGS Sec29-28 ff.
|
|
PUBSAFTY-028
|
|
Expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of permits to carry or sell firearms. Including but not limited to: requests for application, applications, and permits.
|
|
PUBSAFTY-029
|
|
Denial or revocation date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records pertaining to weapons permit application process as determined by CGS Sec29-28 ff.
|
|
PUBSAFTY-030
|
|
Purchase or transfer date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] Consists of records that document purchases of dangerous weapons. Including but not limited to: weapon transfers and voluntary registration.
|
|
PUBSAFTY-031
|
|
Purchase or transfer date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document purchases of firearms. Including but not limited to: weapon transfers and voluntary registration.
|
|
PUBSAFTY-032
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document activities of prisoners. Including but not limited to: check-in, check-out screening forms.
|
|
PUBSAFTY-033
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Animal Control Officer (ACO) Monthly Reports
|
|
PUBSAFTY-034
|
|
Reported date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of case investigation records that do not involve death. Including, but not limited to, non-fatal accidents (motor vehicle, airplane, boating, and all other accidents), felonies, infractions, misdemeanors, solved missing persons, and stolen motor vehicles or license plates.
|
|
PUBSAFTY-035
|
|
Permanent
|
Retain in agency
|
Consists of case investigation records that involve death. Including, but not limited to fatal accidents (motor vehicle, airplane, boating, and all other accidents), capital felonies, homicides, unsolved missing persons, suicides and unidentified bodies
|
|
PUBSAFTY-036
|
|
Final disposition upon written request of accused + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of arrest reports where charges have been nolled or dismissed or erased.
|
|
PUBSAFTY-037
|
|
Creation date + 15 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document case investigations on individuals, groups, or organizations suspected of participating in illegal activities.
|
|
PUBSAFTY-038
|
|
Creation date + 15 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document case investigations of alleged criminal activity that have not been supported by additional and confirming facts or evidence.
|
|
PUBSAFTY-039
|
|
Life of offender or release of obligation
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document case investigations of sex crimes other than those against a minor.
|
|
PUBSAFTY-040
|
|
Reported date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document case investigations of sex crimes where the defendant was not convicted.
|
|
PUBSAFTY-041
|
|
+ 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document case investigations of sexual abuse of a minor.
|
|
PUBSAFTY-042
|
|
Permanent
|
Retain in agency
|
Consists of records that document case investigations of offenses involving sexual assault when DNA (deoxyribonucleic acid) evidence is available and the victim notified the police or state’s attorney of the crime.
|
|
PUBSAFTY-043
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document case investigations of offenses that are not of a criminal nature (e.g., violating a town ordinance or soliciting without a permit).
|
|
PUBSAFTY-044
|
|
Issue date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of active and voided infractions / violations, and receipt slips.
|
|
PUBSAFTY-045
|
|
Issue date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of active and voided misdemeanor / summons, and receipt slips.
|
|
PUBSAFTY-046
|
|
Birth date + 110 Year(s)
|
Destroy after signed receipt of RC-108
|
This series consists of locally maintained individual criminal history information of offenders compiled by criminal justice agencies, as defined in CGS Sec 54-142g(a). Also known as a “rap sheet.” Series including, but not limited to: final hearing decisions impacting the criminal history record, such as pardons and Clean Slate challenges.
|
|
PUBSAFTY-047
|
|
Disclosure date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of criminal history disclosures including date, information disclosed, how or where information obtained, to which agency or person.
|
|
PUBSAFTY-048
|
|
Life of case file
|
|
Consists of officer notes recorded in the field, regardless of format.
|
|
PUBSAFTY-049
|
|
Life of case file
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document identification of individuals. Including but not limited to: fingerprints; photographs, mug shots, physical descriptors, and recordings.
|
|
PUBSAFTY-050
|
|
Last entry date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document use and maintenance of breath alcohol test devices. Including but not limited to: operator identity, frequency of accuracy checks, results of each subject’s analysis, and calibration for breathalyzers and intoxilyzers.
|
|
PUBSAFTY-051
|
|
Referral date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document referrals made to the Department of Consumer Protection’s Liquor Commission regarding violations
|
|
PUBSAFTY-052
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document receipt and disposition of abandoned, found, and lost property (includes vehicles).
|
|
PUBSAFTY-053
|
|
Recording date + 30 Day(s)
|
Destroy or recycle
|
Consists of audio/video recordings, regardless of format. Including but not limited to: cruiser video recording systems.
|
|
PUBSAFTY-054
|
|
Life of equipment + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the maintenance, use, and calibration of radar units.
|
|
PUBSAFTY-055
|
|
Calendar year end + 10 Year(s)
|
|
Consists of departmental copy of court issued warrants.
|
|
PUBSAFTY-056
|
|
Issue date + 3 Year(s)
|
|
Consists of warnings issued for non-criminal events (e.g., no accident traffic violations, jay walking, juvenile activities, and illegal fishing).
|
|
PUBSAFTY-057
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document internal affairs investigations resulting in discipline. Including but not limited to: cases which are limited to supervisory counseling and verbal warnings reduced to writing.
|
|
PUBSAFTY-058
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document internal affairs investigations resulting in discipline. Including but not limited to: psychological evaluations, medical evaluations, additional training, referrals to EAP, and letters of reprimand, suspension or dismissal. Includes Internal Affairs investigations resulting from administrative inquiry or civilian complaints.
|
|
PUBSAFTY-059
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document internal affairs investigations where complaint is unsubstantiated.
|
|
PUBSAFTY-060
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the training of public safety employees. Including but not limited to: in-service training, requested schools, HAZMAT, OSHA, CONN-OSHA, SARA TITLE 3.
|
|
PUBSAFTY-061
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the maintenance and use of parking facilities for parking authorities. Including but not limited to: claim checks, stubs, revenue, and expenditure records.
|
|
PUBSAFTY-062
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document violations related to parking. Including but not limited to: parking tickets and appeal records not associated with vehicle accidents.
|
|
PUBSAFTY-063
|
|
Data entry date + 30 Day(s)
|
Destroy
|
Consists of traffic stop data recorded (Alvin W. Penn Racial Profiling Prohibition Act). Data should be submitted to the African-American Affairs Commission.
|
|
Agency Specific Schedules: Administrative Services, Department of: Bureau of Collection Services - Claims Section
|
|
DAS-11-001
|
|
3 Year(s)
|
|
Current Case Files
|
|
DAS-11-002
|
|
Permanent
|
|
Financial Records; Check Registers; Active Bank Accounts; STIF: Active Accounts Only
|
|
DAS-11-003
|
|
Permanent
|
|
Trust Accounts & Legal Rep Monthly Summaries
|
|
DAS-11-004
|
|
3 Year(s)
|
|
Trust Account System Reports & Edits
|
|
DAS-11-005
|
|
7 Year(s)
|
|
BCS - 290's - Probate Notices
|
|
DAS-11-006
|
|
Permanent
|
|
Judicial Absent Parent List; Inpatient, 1977 to present Microfiche Centaur, 1979 to present; PAIN Alpha/Numeric, PRI
|
|
DAS-11-007
|
|
3 Year(s)
|
|
Closed Bank Account Records; Personal Expense Allowance Listings; Auto Debit Cycles; Unit Production
|
|
DAS-11-008
|
|
3 Year(s)
|
|
BCS - 284's - Trust Account Notices
|
|
Agency Specific Schedules: Administrative Services, Department of: Bureau of Collection Services - Delinquent Accounts
|
|
DAS-10-001
|
|
Completion date
|
|
Delinquent Account Case Files
|
|
DAS-10-002
|
|
Completion date
|
|
Asset Jackets - Mortgages & Liens
|
|
DAS-10-003
|
|
Cancellation date + 1 Year(s)
|
|
Dept. of Income Maintenance Delinquent Case Files
|
|
Agency Specific Schedules: Administrative Services, Department of: Bureau of Collection Services-1
|
|
DAS-09-001
|
|
2 Year(s)
|
|
HASPS (Proof of program materials)
|
|
DAS-09-002
|
|
3 Year(s)
|
|
Special Reports
|
|
DAS-09-003
|
|
3 Month(s)
|
|
Punched Card Backup
|
|
DAS-09-004
|
|
12 Month(s)
|
|
Microfiche, Production Usage (monthly) - Accounts Receivable
|
|
DAS-09-005
|
|
25 Year(s)
|
|
Microfiche, Production Usage (Semi-annual) - A/R Records
|
|
DAS-09-006
|
|
80 Year(s)
|
|
Microfiche, Semi-Annual Archival Material A/R Records
|
|
DAS-09-007
|
|
25 Year(s)
|
|
Microfilm, Production Usage A/R Records
|
|
DAS-09-008
|
|
80 Year(s)
|
|
Microfilm, Archival A/R Records
|
|
Agency Specific Schedules: Administrative Services, Department of: Bureau of Collection Services-2
|
|
DAS-14-001
|
|
80 Year(s)
|
|
Court Transmittal System Records - Microfilm Masters
|
|
DAS-14-002
|
|
80 Year(s)
|
|
Public Assistance Accounts Receivable Records
|
|
DAS-14-003
|
|
80 Year(s)
|
|
Trust Account Records
|
|
DAS-14-004
|
|
80 Year(s)
|
|
Inpatient and Outpatient Hospital System
|
|
DAS-14-005
|
|
80 Year(s)
|
|
Inpatient Hospital Payer Recipient and alphabetic Records; Payer and Recipient Indexes
|
|
Agency Specific Schedules: Administrative Services, Department of: Collections Division
|
|
DAS-01-001
|
|
Data entry date + 6 Month(s)
|
Disposition is 6 Months from Date of Entry into System Designating Referral as Nonpayment. Destroy after receipt of signed Form RC-108
|
Consisting of background information gathered on potential cases referred by DMHAS, DCF, DDS or other state agency which do not become paid cases.
|
|
DAS-01-002
|
|
Case closed date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consisting of referrals, process notes and billing information for Title 19 payments or for recovery from accident settlement liens, descendent estate/inheritance reimbursements for past state support including time incarcerated in a state prison. Arranged by type of claim then alphabetically by name of individual.
|
|
Agency Specific Schedules: Administrative Services, Department of: Division of Construction Services
|
|
DAS-05-001
|
|
Life of structure + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state construction projects as actually built. Documents include architectural plans and specifications.
|
|
DAS-05-002
|
|
Project end date + 20 Year(s)
|
Disposition is 20 years after date project suspended. Destroy after receipt of signed Form RC-108
|
This series documents the most advanced design stage that was completed for state construction projects that were never completed. Documents include but not limited to architectural plans and specifications.
|
|
DAS-05-003
|
|
Project end date
|
Destroy after receipt of signed Form RC-108
|
This series documents the process leading up to the final architectural record documents. Documents include but not limited to working copies of architectural plans and specifications.
|
|
DAS-05-004
|
|
Project end date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the identification, abatement, and disposal of asbestos, lead, etc. for state-owned real property. Documents include but not limited to: inspection, test and compliance reports, and plans and specs for abatement.
|
|
DAS-05-005
|
|
Project end date + 8 Year(s)
|
Disposition is 8 years after date project substantially completed or suspended. Destroy after receipt of signed Form RC-108
|
This series documents improvements to state owned real property under a construction services managed project. Documents include but not limited to: cost estimates; construction contracts; construction documents; specification manuals; and related correspondence.
|
|
DAS-05-006
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents weekly inspections of boilers and elevators. Documents includes but not limited to inspector’s notes.
|
|
DAS-05-007
|
|
Service end date + 2 Year(s)
|
Disposition is 2 years after date state inspector verifies boiler no longer in service. Destroy after receipt of signed Form RC-108
|
This series documents the registration and inspection process for the construction, installation, repair, use and inspection of boilers pursuant to CGS Sec 29-241. Includes initial and renewal commissions, as well as revocations, suspensions or refusals to renew certification. Including but not limited to: registrations; and completed inspection reports.
|
|
DAS-05-008
|
|
Decision date + 20 Year(s)
|
Disposition is 20 years from date of decision and resolution of any appeals. Destroy after receipt of signed Form RC-108
|
This series documents the process for requesting exemptions of State Building Code (Conn. Agencies Regs. Sec 29-252-1d, et seq.), such as handicap exemptions. Including but not limited to: exemption applications, letter of notification.
|
|
DAS-05-009
|
|
Certificate expiration date + 1 Year(s)
|
Disposition is 1 year from date certificate no longer active. Destroy after receipt of signed Form RC-108
|
This series documents the review and certification process of inspectors and special inspectors for the inspection of boilers pursuant to CGS Sec 29-234. Documents includes but not limited to initial and renewal commissions, as well as revocations, suspensions or refusals to renew certification. Including but not limited to: applications; supporting documentation; and certifications.
|
|
DAS-05-010
|
|
Decision date + 7 Year(s)
|
Disposition is 7 years from date of decision or resolution of any appeals, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the hearing and appeal process before the Connecticut Codes and Standards Committee related to modifications and disability exemption rulings by fire code officials and local building code officials pursuant to sections of CGS Sec 29-423 and Sec 29-250 respectively. Including but not limited to: written notices; questionnaire forms; supporting documentation; recordings of appeal hearings; and related correspondence.
|
|
DAS-05-011
|
|
Training date + 3 Year(s)
|
Disposition is 3 years after date courses completed. Destroy after receipt of signed Form RC-108
|
This series documents training records for building code and fire credentialing programs and career development classes, per CGS 29-251c. Includes master roster, attendance sheets, class grade reports, incremental assessment test masters, and evaluation reports
|
|
DAS-05-012
|
|
Training date + 3 Year(s)
|
Disposition is 3 years after date courses completed. Destroy after receipt of signed Form RC-108
|
This series documents the training and accrediting of Building and Fire Code Officials pursuant to CGS Sec 29-251c. Including but not limited to: course outlines; training guides; and handouts.
|
|
DAS-05-013
|
|
Report date + 10 Year(s)
|
Disposition is 10 years from date report received by OEDM. Destroy after receipt of signed Form RC-108
|
This series documents the data collected from health care providers within 48 hours of treatment for burn injuries including those from fireworks in compliance with CGS 19a-510a. Includes but not limited to: Data in database.
|
|
DAS-05-014
|
|
Data entry date + 6 Month(s)
|
Disposition is 6 months after data is entered into OEDM database. Destroy after receipt of signed Form RC-108
|
This series documents health care provider compliance with CGS 19a-510a to submit a written report of burn injuries including those from fireworks, within 48 hours of treatment, to the State Fire Marshal. Includes but not limited to: submitted report forms, spreadsheets.
|
|
DAS-05-015
|
|
Certification expiration date + 3 Year(s)
|
Dispostion is 3 years after date certification no longer active . Destroy after receipt of signed Form RC-108
|
This series documents certification of individuals to become fire marshals, fire code inspectors, state fire code enforcement officials and fire investigators pursuant to CGS 29-289. Includes active, expired, suspended, and revoked certifications. Includes but not limited to: applications; examination grade letter; continuing education documentation (replaced by three year printout at end of cycle); cycle renewal letter; decertification documentation; and correspondence with information that is substantive to the above.
|
|
DAS-05-016
|
|
Final decision + 3 Year(s)
|
Disposition is 3 years after date of final OEDM decision. Destroy after receipt of signed Form RC-108.
|
This series documents individuals whose applications to become fire marshals, fire code inspectors and fire investigators pursuant to CGS 29-289 were denied or withdrawn. Includes but not limited to: applications; examination grade letter; and correspondence with information that is substantive to the above.
|
|
DAS-05-017
|
|
Report date + 3 Year(s)
|
Disposition is 3 years after date grades disseminated to candidates. Destroy after receipt of signed Form RC-108
|
This series documents examinations administered to building official and fire official candidates for licensure of building officials and certification per CGS 29-262 and CGS 29-298, respectively. Includes Master Exams and exam bubble sheets.
|
|
DAS-05-018
|
|
Data entry date + 6 Month(s)
|
Disposition is 6 months after data is entered into NFIRS. Destroy after receipt of signed Form RC-108
|
This series documents local fire marshal compliance with CGS Sec29-303 to report fire incidents or explosions cause, origin, kind, estimated value, ownership of property, injury, etc. to the State Fire Marshal. Data is entered into the U.S. Fire Administration [USFA] web-based National Fire Information Reporting System [NFIRS] that fire departments use to uniformly report on the full range of their activities, from fire to Emergency Medical Services (EMS) to equipment involved in the response. OEDM staff verifies the report for format and correct dates. Includes but not limited to: submitted incident reports, error reports, correspondence, and other related materials.
|
|
DAS-05-019
|
|
Data entry date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents State compliance with the U.S. Hotel and Motel Fire Safety Act of 1990, to submit/maintain a list of hotels and motels that meet certain fire safety guidelines to USFA for compilation into the Hotel-Motel National List. Data is entered into USFA web-based reporting system.
|
|
DAS-05-020
|
|
Termination date + 3 Year(s)
|
Disposition is 3 years after license no longer active. Destroy after receipt of signed Form RC-108
|
This series documents licensure of individuals to become building officials and assistant building officials pursuant to CGS 29-261. Building officials include electrical inspectors, heating and cooling inspectors, mechanical inspectors, plan review technicians, plumbing inspectors, and state building code enforcement officials. Includes expired, suspended, and revoked licenses. Includes but not limited to: applications; examination grade letter; continuing education documentation (replaced by three year printout at end of cycle); cycle renewal letter; delicensure documentation; and correspondence with information that is substantive to the above.
|
|
DAS-05-021
|
|
Final decision + 3 Year(s)
|
Disposition is 3 years after date of final OEDM decision. Destroy after receipt of signed Form RC-108
|
This series documents individuals whose applications to become building officials and assistant building officials pursuant to CGS Sec 29-261 were denied or withdrawn. Building officials include electrical inspectors, heating and cooling inspectors, mechanical inspectors, plan review technicians, plumbing inspectors, and state building code enforcement officials. Includes but not limited to: applications; examination grade letter; and correspondence with information that is substantive to the above.
|
|
DAS-05-022
|
|
Certification expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents certification of individuals to operate tower cranes, hydraulic cranes, and derrick and mobile cranes as an apprentice pursuant to CGS Sec 29-224. Includes expired, suspended, and revoked certificates. Including but not limited to: certificates of registration.
|
|
DAS-05-023
|
|
Application date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents individuals whose applications to operate tower cranes, hydraulic cranes, and derrick and mobile cranes as an apprentice pursuant to CGS Sec 29-224 were denied or withdrawn. Including but not limited to: certificates of registration.
|
|
DAS-05-024
|
|
Certification date + 3 Year(s)
|
Disposition is 3 years from date license granted . Destroy after receipt of signed Form RC-108
|
This series documents certification of individuals hoisting equipment as an apprentice pursuant to CGS Sec 29-223a. Includes active and expired certificates. Including but not limited to: certificates of registration.
|
|
DAS-05-025
|
|
Application date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents individuals whose applications to operate hoisting equipment as an apprentice pursuant to CGS Sec 29-223a were denied, withdrawn or revoked. Including but not limited to: certificates of registration.
|
|
DAS-05-026
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents requests to modify codes related to hazardous materials. Modifications are deemed by the Office of the State Fire Marshal (OSFM) to be valid for the life of the building/occupancy/ installation. Including but not limited to: requests; and letter of notification.
|
|
DAS-05-027
|
|
Expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents registration of tower cranes, hydraulic cranes, and derrick and mobile cranes to operate pursuant to CGS Sec 29-223a. Includes expired, denied, suspended, and revoked licenses. Including but not limited to: registration applications.
|
|
DAS-05-028
|
|
Service end date + 3 Year(s)
|
Disposition is 3 years after date state inspector verifies elevator no longer in service. Destroy after receipt of signed Form RC-108
|
This series documents the registration and inspection of elevators, escalators, dumbwaiters, moving walks, private residence elevators, tramways, and personnel hoists used for construction and demolition pursuant to CGS Sec 29-191 through Sec200 and CGS Sec 29-201 through Sec214. Includes initial and renewal certifications, as well as revocations, suspensions or refusals to renew certification. Including but not limited to: registrations; blueprints; test records; renewals; and maintenance contracts.
|
|
DAS-05-029
|
|
Certification date + 3 Year(s)
|
Disposition is 3 years after date examination has been administered, graded and grades disseminated to candidates. Destroy after receipt of signed Form RC-108
|
This series documents examinations administered to fire official candidates for certification per CGS Sec 29-298. Includes but not limited to Master Exams and exam bubble sheets.
|
|
DAS-05-030
|
|
Termination date + 3 Year(s)
|
Disposition is 3 years after license no longer active. Destroy after receipt of signed Form RC-108
|
This series documents license of businesses to engage in demolition pursuant to CGS Sec 29-402. Includes active, expired, denied, suspended, and revoked certificates of registration. Including but not limited to: applications; registrations; certificates of insurance; and certifications.
|
|
DAS-05-031
|
|
Final decision + 3 Year(s)
|
Disposition is 3 years after date of final OSFM decision. Destroy after receipt of signed Form RC-108
|
This series documents businesses whose applications to engage in demolition pursuant to CGS Sec 29-402 have been denied or withdrawn. Including but not limited to: applications; registrations; certificates of insurance; and certifications.
|
|
DAS-05-032
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from date license expires. Destroy after receipt of signed Form RC-108
|
This series documents licensure of individuals to operate tower cranes, hydraulic cranes, and derrick and mobile cranes pursuant to CGS Sec 29-224. Includes active, expired, suspended, and revoked licenses. Including but not limited to: applications; supporting documentation; and examination documentation.
|
|
DAS-05-033
|
|
Application date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents individuals whose applications to operate tower cranes, hydraulic cranes, and derrick and mobile cranes pursuant to CGS Sec 29-224 were denied or withdrawn. Including but not limited to: applications; supporting documentation; and examination documentation.
|
|
DAS-05-034
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from date license expires. Destroy after receipt of signed Form RC-108
|
This series documents licensure of individuals to operate hoisting equipment pursuant to CGS Sec 29-223a. Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: applications; supporting documentation; and examination documentation.
|
|
DAS-05-035
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from date license expires. Destroy after receipt of signed Form RC-108
|
This series documents individuals whose applications to operate hoisting equipment pursuant to CGS Sec 29-223a were denied or withdrawn. Including but not limited to: applications; supporting documentation; and examination documentation.
|
|
DAS-05-036
|
|
Final payment date + 3 Year(s)
|
Disposition is 3 years after date of final payment or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents school construction grants administered by SDE pursuant to CGS Sec. 10-282 through Sec. 10-292q. Including but not limited to: applications; project proposals; narratives; preliminary plans and specifications; grants contracts; related correspondence, evaluations, award letters; and reports.
|
|
DAS-05-037
|
|
Termination date + 5 Year(s)
|
Disposition is 5 years from date lease terminated. Destroy after receipt of signed Form RC-108
|
This series documents leasing of real properties by the State. Documents include but not limited to current and lease agreements for each property, including all amendments and extensions to lease agreements.
|
|
DAS-05-038
|
|
Termination date + 5 Year(s)
|
Disposition is 5 years from date lease terminated. Destroy after receipt of signed Form RC-108
|
This series documents the lease of real properties from the State including leases for state employee housing on state property and non-profit organizations who perform state functions related to the property. Documents include but not limited to lease agreements.
|
|
DAS-05-039
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the purchase or other means of acquisition of real properties by the State. Documents include but not limited to purchase agreements of real property, including easements.
|
|
Agency Specific Schedules: Administrative Services, Department of: Fiscal & Administrative
|
|
DAS-07-001
|
|
10 Year(s)
|
|
Source Documents for Centaur System
|
|
DAS-07-002
|
|
10 Year(s)
|
|
Source Documents for In Patient Systems
|
|
DAS-07-003
|
|
10 Year(s)
|
|
Source Documents for Out Patient System
|
|
DAS-07-004
|
|
3 Year(s)
|
|
Daily Movement Reports
|
|
DAS-07-005
|
|
3 Year(s)
|
|
Inpatient Cash Listings
|
|
DAS-07-006
|
|
3 Year(s)
|
|
Payment Return Cards, Cash Payment Entry Lists and District Payment Transmittal for Cantaur, Inpatient and Outpatient Systems
|
|
DAS-07-007
|
|
1 Year(s)
|
|
Sorted Proof Lists - Inpatient
|
|
DAS-07-008
|
|
1 Year(s)
|
|
Monthly Special Reports including edits & proofs
|
|
DAS-07-009
|
|
1 Year(s)
|
|
Inpatient Pending Lists
|
|
DAS-07-010
|
|
3 Year(s)
|
|
Hospital and Cantaur Refunds
|
|
DAS-07-011
|
|
3 Year(s)
|
|
Purged Lists for Cantaur, Inpatient and Outpatient
|
|
DAS-07-012
|
|
3 Year(s)
|
|
District & CARS Source Document Transmittals
|
|
DAS-07-013
|
|
1 Year(s)
|
|
Post Office Address Correction Notices
|
|
DAS-07-014
|
|
3 Year(s)
|
|
Trust Account Authorization & Asset Document Transmittal
|
|
DAS-07-015
|
|
3 Year(s)
|
|
Trust Account Disbursement & Bank Statements
|
|
DAS-07-016
|
|
3 Year(s)
|
|
Title XIX Remittance Advice
|
|
Agency Specific Schedules: Administrative Services, Department of: Office of the Claims Commissioner
|
|
DAS-13-001
|
|
Adjudication + 1 Year(s)
|
|
Claims Against the State of Connecticut
|
|
Agency Specific Schedules: Administrative Services, Department of: Procurement Services
|
|
DAS-04-001
|
|
Expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents contracts awarded to vendors to conduct business in the State of Connecticut. Including but not limited to: sealed bids, Requests for Proposal (RFP), responses, resulting award documents, and related correspondence.
|
|
DAS-04-002
|
|
Last action date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents contracts not awarded to vendors to conduct business in the State of Connecticut. Includes but not limited to RFPs; responses; sealed bids; supporting documentation; and related correspondence.
|
|
DAS-04-003
|
|
Request date + 3 Year(s)
|
Disposition is 3 years after receipt of bid request. Destroy after receipt of signed Form RC-108
|
This series documents tracking of bids and contracts.
|
|
DAS-04-004
|
|
Superseded + 5 Year(s)
|
Transfer to State Archives
|
This series documents general policy letters issued by Procurement Services to client agencies regarding non-competitive purchasing procedures for items not on state contract and under designated dollar thresholds. Including but not limited to: general letters and supporting documentation.
|
|
DAS-04-005
|
|
Issue date + 3 Year(s)
|
Transfer to State Achives
|
[OBSOLETE] This series documents manufacturers’ specifications submitted to the Advisory Committee in order to be on the state's acceptable brands list. Including but not limited to: copies of lists and supporting documentation.
|
|
DAS-04-006
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years after contract expiration date or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the process of approving purchases waived from the competitive bid process. Procurement staff can approve purchases under $50,000; a Standardization Committee must approve purchases over $50,000. Committee votes are conducted electronically by email. Including but not limited to: requisitions; waiver approval form; Standardization Committee vote tally sheet; emails and contract.
|
|
DAS-04-007
|
|
Application date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents vendor certification as a small business enterprise (SBE) or minority business enterprise (MBE). Including but not limited to: applications; Federal tax returns; by-laws; stock certificates; sales and use tax permits; and annual reports related to certification.
|
|
DAS-04-008
|
|
Calendar year end + 1 Year(s)
|
Disposition is end of current year plus 1 year. Transfer to State Archives
|
This series documents state agency implementation and results of small business and minority business enterprise set-side programs pursuant to CGS Sec. 4a-60g(l) and Sec. 4a-60g(m). Including but not limited to: reports and related correspondence.
|
|
DAS-04-009
|
|
Approved or revoked date + 3 Year(s)
|
Disposition is 3 years from approval date or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents the prequalification of potential construction contractors. Including but not limited to: application; audited or reviewed financial statements; contractor performance evaluations and associated documents such as bonding letter; and DRS letter and copies of licenses.
|
|
DAS-04-010
|
|
Activity date + 3 Year(s)
|
Disposition is 3 years from date of auction. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents bidders attending DAS live auctions of surplus state property. Including but not limited to: bidder contact information.
|
|
DAS-04-011
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents direct sales between the State of Connecticut and other state agencies or municipalities. Including but not limited to: authorization to sell or transfer (Form DPS-28) and bill of sale (BPS-30).
|
|
DAS-04-012
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents surplus property turned over to the Surplus Department for disposal or sale. Including but not limited to: surplus property declaration form (DPS-38).
|
|
DAS-04-013
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents surplus vehicles turned over to the Surplus Department for sale. Including but not limited to: vendor sales and corresponding deposit reports and surplus vehicle declaration form (DPS-29).
|
|
DAS-04-014
|
|
Report date + 28 Day(s)
|
Disposition is 28 days from date of report or resolution of payment issue, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents review of by-weekly payroll deductions for rental payments from state employees for certain state owned residential properties. Including but not limited to: biweekly printout listing name of employee and amount paid and correspondence related to payment issues.
|
|
DAS-04-015
|
|
Superseded, obsolete or expired + 3 Year(s)
|
Disposition is until next leasee approved for occupancy or property no longer leased. Destroy after receipt of signed Form RC-108
|
This series documents verification of eligibility of state employees to lease certain state owned residential properties. Includes but not limited to: request for certification and response.
|
|
Agency Specific Schedules: Administrative Services, Department of: Purchasing
|
|
DAS-12-001
|
|
Permanent
|
|
Donee Eligibility File (Update every 3 years)
|
|
DAS-12-002
|
|
3 Year(s)
|
|
Property Applications (SF-123)
|
|
DAS-12-003
|
|
Service date + 18 Month(s)
|
|
Compliance Records
|
|
DAS-12-004
|
|
3 Year(s)
|
|
Property Distribution Records
|
|
DAS-12-005
|
|
3 Year(s)
|
|
Inventory Cards
|
|
Agency Specific Schedules: Administrative Services, Department of: State Insurance Purchasing Board
|
|
DAS-15-001
|
|
Permanent
|
|
Minutes
|
|
DAS-15-002
|
|
Permanent
|
|
Annual Reports
|
|
DAS-15-003
|
|
Permanent
|
|
Audit Reports
|
|
DAS-15-004
|
|
Permanent
|
|
General Ledgers
|
|
DAS-15-005
|
|
Permanent
|
|
Attorney General's Advices and Opinions
|
|
DAS-15-006
|
|
Permanent
|
|
Performance and Fidelity Bonds: blanket, appointive, and elective offices; state employees; etc.
|
|
DAS-15-007
|
|
Expiration date + 3 Year(s)
|
|
Insurance Policies
|
|
DAS-15-008
|
|
Expiration date + 3 Year(s)
|
|
Correspondence related to same
|
|
DAS-15-009
|
|
3 Year(s)
|
|
Acceptance and Completion Records, Requests for Coverage, and Acquisitions of Property, from Publics Works Department
|
|
DAS-15-010
|
|
Permanent
|
|
Card Index to Policies Purchased
|
|
DAS-15-011
|
|
3 Year(s)
|
|
Includes purchase orders, requisitions, payment lists, service transfers, payroll records and all such housekeeping files.
|
|
Agency Specific Schedules: Administrative Services, Department of: State Marshal Commission
|
|
DAS-02-002
|
|
Termination date + 5 Year(s)
|
Disposition is 5 years from date appointment ends. Destroy after receipt of signed Form RC-108
|
Consists of appointed state marshal personal files. Including but not limited to: application materials, training information, certificates of appointment, certificates of oaths, badge numbers, annual fee payments, annual liability insurance forms, Department of Motor Vehicles (DMV) codes, client fund information, appointment status information, pre-2000 sheriff material, correspondence, and related materials. Files are arranged alphabetically by county then by name.
|
|
DAS-02-003
|
|
Termination date + 5 Year(s)
|
Disposition is 5 years from date appointment ends. Destroy after receipt of signed Form RC-108
|
Consists of audits of state marshal client fund accounts by Auditors of Public Account and State Marshal Commission. Including but not limited to: audit reports, records and actions on such audits, and related correspondence. Files are arranged alphabetically by county then by name.
|
|
DAS-02-004
|
|
Final disposition + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of case investigation and complaint files of state marshals when no hearing was held (dismissals). Including but not limited to: investigation materials, complaints, related correspondence, and outcomes of investigations or complaints. Files are arranged alphabetically by name.
|
|
DAS-02-005
|
|
Termination date + 5 Year(s)
|
Disposition is 5 years from date appointment ends. Destroy after receipt of signed Form RC-108
|
Consists of case investigation and complaint files of state marshals when a hearing was held. Including but not limited to: investigation materials, complaints, related correspondence, hearing recordings, hearing transcripts (if created), hearing exhibits, and final decisions. Files are arranged alphabetically by name.
|
|
DAS-02-006
|
|
Life of list + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records related to rotating assignments of state marshals for restraining order duty at state courts.
|
|
DAS-02-007
|
|
Current cycle plus previous cycle
|
Destroy after receipt of signed Form RC-108
|
Consists of records related to in-class training material for new state marshals.
|
|
DAS-02-008
|
|
Not Applicable
|
|
Consists of databases for marshal list, complaints, audits, and application status.
|
|
DAS-02-009
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of hard copy reports generated from the state marshal databases for marshal list, complaints, audits, and application status.
|
|
Agency Specific Schedules: Administrative Services, Department of: State Properties Review Board
|
|
DAS-06-001
|
|
Approved or revoked date + 10 Year(s)
|
Disposition is 10 years from date approved or denied. Destroy after receipt of signed Form RC-108
|
This series documents the State Properties Review Board's (SPRB) oversight of State real estate activities, acquisition of farm development rights, and the hiring of architects, engineers, and construction-related professionals. Proposals are submitted by state agencies to the SPRB for review and approval. Including but not limited to: proposals, review memos, recommendations, contracts, and related documentation.
|
|
Agency Specific Schedules: Administrative Services, Department of: Statewide Human Resources
|
|
DAS-03-001
|
|
Expiration date + 1 Year(s)
|
Disposition is 1 year after exam list expires or until resolution of contested exam, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents individual examination applicant results. Including but not limited to: exam applications; answer papers; Veterans’ Preference documentation; appeal documentation; and exam scores.
|
|
DAS-03-002
|
|
Expiration date + 1 Year(s)
|
Disposition is 1 year after exam list expires or until resolution of contested exam, whichever is later. Destroy after receipt of signed Form RC-108
|
This series consists of sign in sheets for exam reviews.
|
|
DAS-03-003
|
|
Life of list + 10 Year(s)
|
Disposition is10 years after list promulgated or until resolution of contested exam, whichever later. Destroy after receipt of signed Form RC-108
|
This series documents the administration of examinations to measure qualifications of current and potential State employees pursuant to CGS Sec 5-216. Including but not limited to: agency examination requests and supporting documentation.
|
|
DAS-03-004
|
|
Permanent
|
Retain in Agency
|
This series documents the development of examinations to measure qualifications of current and potential State employees pursuant to CSG Sec. 5-216. Including but not limited to: the agency request for a specific examination, as scheduling letters, thank you letters and signed confidentiality statements of each Committee Member participating in the development of the exam when applicable, the class specification for the job class being examined, and the exam announcement.
|
|
DAS-03-005
|
|
Accommodation granted or denied date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents testing accommodations pursuant to the American’s with Disabilities Act (ADA). Including but not limited to: requests and supporting documentation granting or denying accommodation.
|
|
DAS-03-006
|
|
Approved date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents DAS approval to waive examination requirements and delegation of authority to recruit for a position pursuant to CGS Sec 5-227b. Including but not limited to: agency requests; agreements; and related correspondence.
|
|
DAS-03-007
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from expiration date of exam list. Destroy after receipt of signed Form RC-108
|
This series documents examination results and qualified candidates for state service pursuant to CGS Sec 5-216. Including but not limited to: examination lists.
|
|
DAS-03-008
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents DAS audit of decentralized job classification programs pursuant to CGS Sec 5-200(a). Including but not limited to: agreements; and supporting documentation.
|
|
DAS-03-009
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents actions to correct errors sited on DAS audits. Including but not limited to: spreadsheets.
|
|
DAS-03-010
|
|
Resignation date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents employee requests for rescind of resignation pursuant to CGS Sec 5-248(f). Including but not limited to: forms and letters of DAS approval/denial.
|
|
DAS-03-011
|
|
Response date + 3 Year(s)
|
Disposition is 3 years from date of DAS response. Destroy after receipt of signed Form RC-108
|
This series documents State employee appeals to the DAS Commissioner for resignation not in good standing. Including but not limited to: appeals and supporting documentation.
|
|
DAS-03-012
|
|
Commencement of leave date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents special leave requests to hold a classified position while an employee serves in an unclassified appointed position pursuant to CGS Sec 5-248 and Sec 5-249. Including but not limited to: agency requests and supporting documentation.
|
|
DAS-03-013
|
|
Request date + 3 Year(s)
|
Disposition is 3 years after receipt of bid request. Destroy after receipt of signed Form RC-108
|
This series documents agency requests for a higher rate of pay for new hires to state service. Including but not limited to: employment applications; justification for requests; and supporting documentation.
|
|
DAS-03-014
|
|
Session date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents human resources certificate training delivered by DAS to state HR professionals. Including but not limited to: handout materials and course outlines; evaluation sheets; and attendance records.
|
|
DAS-03-015
|
|
Permanent
|
Retain in agency
|
This series documents individuals that have completed the program including date of completion. Including but not limited to: lists.
|
|
DAS-03-016
|
|
Effective date + 3 Year(s)
|
Disposition is 3 years from effective date of transaction. Destroy after receipt of signed Form RC-108
|
This series documents justifications for position transactions such as but not limited to reclassifications and requests to refill vacant positions. Including but not limited to: table of organization; justification; and supporting documentation.
|
|
DAS-03-017
|
|
Abolishment of job class date + 10 Year(s)
|
Transfer to State Archives
|
This series documents the evaluation of job classifications pursuant to CGS Sec 5-200a which serves as the supporting documentation for collective bargaining agreements. Including but not limited to: objective job evaluation questionnaires; organizational charts; incumbent lists; and evaluation records.
|
|
DAS-03-018
|
|
Abolishment of job class date + 10 Year(s)
|
Transfer to State Archives
|
This series documents the history of active and abolished classes. Including but not limited to: class specification revisions; justifications; and related correspondence.
|
|
DAS-03-019
|
|
Report date + 5 Year(s)
|
Disposition is 5 years from issuance of report, or 5 years after issue is resolved, whichever later. Destroy after receipt of signed Form RC-108
|
This series documents the evaluation of employee job duties and responsibilities. Including but not limited to: objective job evaluation questionnaires completed by employees and reports.
|
|
DAS-03-020
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents collective bargaining unit State Coalition on Pay Equity (SCOPE) evaluations conducted pursuant to CGS Sec 5-200c. Including but not limited to: bargaining unit class lists and reports.
|
|
DAS-03-021
|
|
Implementation date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents agency requests for job class actions in CORE-CT or legacy systems, such as but not limited to, class specification revisions; salary adjustments; and organizational level revisions. Including but not limited to: forms and supporting documentation.
|
|
DAS-03-022
|
|
Report date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series summarizes classification actions that impact job classes, such as but not limited to class specification revisions; salary adjustments; and organizational level revisions. Including but not limited to: reports and supporting documentation.
|
|
DAS-03-023
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents evaluation of job classes to negotiate salary groups pursuant to CGS Sec 5-200a. Including but not limited to: reports.
|
|
DAS-03-024
|
|
Approved or revoked date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state agency requests to DAS for appointments, transfers, promotions, or demotions to ensure compliance with CGS Sec 5-215a; Sec 5-226; Sec 5-228; Sec5-229, Sec 5-233, Sec 5-234 and Collective Bargaining Agreements. Including but not limited to: requests, and supporting documentation.
|
|
DAS-03-025
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years from expiration of eligibility on list. Destroy after receipt of signed Form RC-108
|
This series documents employee requests for placement on the statewide transfer list for a job classification currently occupied. Including but not limited to: requests.
|
|
DAS-03-026
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years from expiration of eligibility on list. Destroy after receipt of signed Form RC-108
|
This series documents requests for placement on re-employment list by former, retired employees pursuant to RCSA 5-243-1(d). Including but not limited to: requests.
|
|
DAS-03-027
|
|
Expiration date + 7 Year(s)
|
Disposition is 7 years after expiration of rights or 1 year after resolution of grievance, whichever is earlier. Destroy after receipt of signed Form RC-108
|
This series documents employee eligibility for re-employment or “qualified to fill” (SEBAC) rights upon layoff or demotion in lieu of layoff. Including but not limited to: agency certification forms (CT-HR-1); employee applications (CT-HR-12; and resume.
|
|
DAS-03-028
|
|
Decision date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents grievances filed by unions on behalf of employees for reclassification of position, temporary-service-in-a-higher-class, duties not within job classification and removal of duties. Including but not limited to: grievance forms, duties questionnaires; organizational charts; DAS grievance response and panel decisions.
|
|
Agency Specific Schedules: Administrative Services, Department of: Workers' Compensation
|
|
DAS-08-001
|
|
Permanent
|
|
Per-WC 207, Report of Accident or Occupational Disease to and Employee
|
|
DAS-08-001A
|
|
Active
|
|
Active Workers' Compensation Claimant Files (A-Z)
|
|
DAS-08-002
|
|
Permanent
|
|
AG 208, Attending Physician's First Report of Injury
|
|
DAS-08-002A
|
|
Closure + 55 Year(s)
|
|
Inactive Workers' Compensation Claimant Files (A-Z)
|
|
DAS-08-003
|
|
Permanent
|
|
AG 209, Supplemental Physician's Report
|
|
DAS-08-004
|
|
Permanent
|
|
Per 201, Request for Personnel Action
|
|
DAS-08-005
|
|
Permanent
|
|
Pre-Audit Form/Notes
|
|
DAS-08-006
|
|
Permanent
|
|
Physician's Medical Report
|
|
DAS-08-007
|
|
Permanent
|
|
Draft Request Form/Reserves, Order to Pay, financial information
|
|
DAS-08-008
|
|
Permanent
|
|
Copy of check issued to claimant for Workers'' Compensation claim
|
|
DAS-08-009
|
|
Permanent
|
|
J. Neale MacDonald Workers' Compensation Division Refund Form
|
|
DAS-08-010
|
|
Permanent
|
|
J. Neale MacDonald Workers' Compensation Application
|
|
DAS-08-011
|
|
Permanent
|
|
Indemnity Override Approval Form
|
|
DAS-08-012
|
|
Permanent
|
|
Medical Peer Review Form/Follow-up Report for Workers' Compensation State of Connecticut
|
|
DAS-08-013
|
|
Permanent
|
|
Form 36 / Notice to Compensation Commissioner and Employees
|
|
DAS-08-014
|
|
Permanent
|
|
Input Form for Form # 36 - Discontinued Payments
|
|
DAS-08-015
|
|
Permanent
|
|
17H, Workers' Compensation Commission of Connecticut Notice of Formal Hearing
|
|
DAS-08-016
|
|
Permanent
|
|
Workers' Compensation Hearing Report
|
|
DAS-08-017
|
|
Permanent
|
|
WCC-1 / Agreement as to Workers' Compensation State of Connecticut Workers' Compensation Commission
|
|
DAS-08-018
|
|
Permanent
|
|
J. Neale MacDonald Activity Log / Diary of Activity
|
|
DAS-08-019
|
|
Permanent
|
|
J. Neale MacDonald Workers' Compensation File Review Checklist
|
|
DAS-08-020
|
|
Permanent
|
|
Independent Medical Examination Report
|
|
DAS-08-021
|
|
Permanent
|
|
Treating Physician Record
|
|
DAS-08-022
|
|
Permanent
|
|
Reserve Calculation Worksheet
|
|
DAS-08-023
|
|
Permanent
|
|
Treatment Activity Sheet
|
|
DAS-08-024
|
|
Permanent
|
|
Payment Record
|
|
DAS-08-025
|
|
Permanent
|
|
Attorney Correspondence
|
|
DAS-08-026
|
|
Permanent
|
|
Notice of Third Party Liability
|
|
DAS-08-027
|
|
Permanent
|
|
Investigation Report
|
|
DAS-08-028
|
|
Permanent
|
|
Specific Award
|
|
DAS-08-029
|
|
Permanent
|
|
Stipulated Agreements
|
|
DAS-08-030
|
|
Permanent
|
|
Subrogation or Overpayment Recovery Records
|
|
DAS-08-031
|
|
Permanent
|
|
Per 301, Request for Personnel Action
|
|
DAS-08-032
|
|
Permanent
|
|
Per - WC 211 Wage Verification Schedule
|
|
DAS-08-033
|
|
Permanent
|
|
Per - WC 201 Concurrent Employment/Third Party Liability Form
|
|
DAS-08-034
|
|
Permanent
|
|
WCC/A Filing Status and Exemption Form
|
|
DAS-08-035
|
|
3 Year(s)
|
|
Voided Checks for Workers' Compensation
|
|
DAS-08-036
|
|
3 Year(s)
|
|
Check Registers
|
|
Agency Specific Schedules: Aging and Disability Services, Department of: Bureau of Rehabilitation Services
|
|
ADS-01-001
|
|
Case closed date + 7 Year(s)
|
Disposition is 7 years from date of case closure through end of State Fiscal Year. Destroy after receipt of signed Form RC-108.
|
This series documents Employment Opportunities Program (EOP) services for persons with the most severe disabilities that would be unable to maintain employment without ongoing support. Including but not limited to: program forms, case notes, medical and psychological records and related correspondence.
|
|
ADS-01-002
|
|
Final payment date + 7 Year(s)
|
Disposition is 7 years from date of final payment through end of State Fiscal Year. Destroy after receipt of signed Form RC-108.
|
This series documents fiscal records associated with Employment Opportunities Program (EOP) client services. Including but not limited to: purchase orders and invoices.
|
|
ADS-01-003
|
|
Case closed date + 7 Year(s)
|
Disposition is 7 years from date case closed. Destroy after receipt of signed Form RC-108.
|
This series documents operator training to qualified permanent Connecticut residents who require vehicles with special equipment and eligible candidates with limited licenses without special equipment as part of the Driver Training Program for People with Disabilities. Including but not limited to: intake sheets; medical reports; rehab facility evaluation reports; training dates/results; on-the-road skills test date/results; detailed reports (if trainee not a candidate for a license); and dates/results of limited license retests administered to applicants with impairments but who do not need special adaptive equipment.
|
|
ADS-01-004
|
|
Case closed date + 7 Year(s)
|
Disposition is 7 years from date of case closure through end of Federal Fiscal Year. Destroy after receipt of signed Form RC-108.
|
This series documents vocational rehabilitation services for persons with significant physical or mental disabilities to prepare for, find, or keep a job. Including but not limited to: program forms, case notes, medical and psychological records, and related correspondence.
|
|
ADS-01-005
|
|
Final payment date + 7 Year(s)
|
Disposition is 7 years from date of final payment through end of Federal Fiscal Year. Destroy after receipt of signed Form RC-108.
|
This series documents fiscal records associated with vocational rehabilitation client services for persons with significant physical or mental disabilities to prepare for, find, or keep a job. Including but not limited to: purchase orders and invoices.
|
|
Agency Specific Schedules: Agricultural Experiment Station, Connecticut: Entire Agency
|
|
CAES-01-001
|
|
Publication date + 1 Year(s)
|
Disposition is 1 year after experiment results are published, or 2 years from date of data collection, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents original experiments conducted under the Connecticut Agricultural Experiment Station including staff, visiting scientists, and collaborators. Includes but not limited to: laboratory notebooks, tally sheets, logbooks, audio recordings, and related documentation.
|
|
CAES-01-002
|
|
Report date + 5 Year(s)
|
Disposition is 5 years from date report issued by CAES. Destroy after receipt of signed Form RC-108
|
This series consists of reports issued by the Connecticut Agricultural Experiment Station concerning scientific evaluations of samples submitted to CAES by members of the public or other state agencies.
|
|
CAES-01-003
|
|
Application date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of applications to take exams to obtain arborist license set by the Tree Protection Examining Board.
|
|
CAES-01-004
|
|
Exam date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of completed examinations taken by applicants to obtain arborist license.
|
|
CAES-01-005
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series consists of Connecticut Agricultural Experiment Station internal reports summarizing the findings of the nursery surveys conducted by CAES staff.
|
|
CAES-01-006
|
|
Registration date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents nursery registrations filed with the Connecticut Agricultural Experiment Station, including but not limited to: registrations, and registration cards.
|
|
CAES-01-007
|
|
Registration date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of registrations filed with the Connecticut Agricultural Experiment Station by Connecticut plant dealers.
|
|
CAES-01-008
|
|
Inspection date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents inspections of nurseries conducted by the Connecticut Agricultural Experiment Station. Inspections may be routine, annual, during growing season, or by request. Series includes but not limited to: inspection information, results, and supporting documentation.
|
|
CAES-01-009
|
|
Certification date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents houseplant inspections conducted by CAES. Inspections are conducted at request of members of the public prior to moving houseplants out of Connecticut. Including but not limited to: inspections, certifications, supporting documentation.
|
|
CAES-01-010
|
|
Inspection date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents phyto sanitary inspections conducted by CAES on plants to be exported out of Connecticut per MOU (memorandum of understanding) with the USDA (United States Department of Agriculture), including but not limited to: inspections, reports, related documentation.
|
|
CAES-01-011
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents phyto sanitary inspections conducted by CAES on plants that are quarantined after import to Connecticut per MOU (memorandum of understanding) with the USDA (United States Department of Agriculture), including but not limited to: inspections, reports, and related documentation.
|
|
CAES-01-012
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents inspections conducted by the Connecticut Agricultural Experiment Station on beekeepers and their work. Including but not limited to: inspections, reports, and related documentation.
|
|
CAES-01-013
|
|
Map date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Gypsy Moth activity in Connecticut, including but not limited to: control program records, aerial surveys, and survey maps, and related documentation.
|
|
CAES-01-014
|
|
Permit date + 5 Year(s)
|
Disposition is 5 years after permit issue. Destroy after receipt of signed Form RC-108
|
This series documents permits issued by the Connecticut Agricultural Experiment Station granting permission for members of the public or state agencies to move live plant pests for the purpose of research, including but not limited to: applications, permits, and related documentation.
|
|
CAES-01-015
|
|
Rejection date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of notifications issued to the Connecticut Agricultural Experiment Station of rejected plant exports from Connecticut. Notifications are issued by other states receiving exported plants from Connecticut that have failed importing inspections.
|
|
CAES-01-016
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series documents white pine blister rust In Connecticut, including but not limited to: inspections, reports, and supporting documentation.
|
|
CAES-01-017
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series consists of incoming and outgoing Connecticut Agricultural Experiment Station from 1899-1914.
|
|
CAES-01-018
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series documents the work conducted by prominent scientists at the Connecticut Agricultural Experiment Station. Notable scientists include: T. Osborne, H. Vickery, and D. Jones. Series includes but not limited to: correspondence, experiment data, and related records.
|
|
Agency Specific Schedules: Attorney General, Office of the: All OAG Agency Programs
|
|
OAG-01-001
|
|
Appeal expiration date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-002
|
|
Appeal expiration date + 5 Year(s)
|
Disposition is 5 years after expiration of appeal period. Destroy after receipt of signed Form RC-108.
|
This series documents legal proceedings for juvenile cases. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-003
|
|
Appeal expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings for child support cases. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-004
|
|
Appeal expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings for environmental cases. Including, but not limited to: motions, pleadings, decisions, and related correspondence.
|
|
OAG-01-005
|
|
Appeal expiration date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings with outstanding collected judgments such as tax liens, recovery of the cost of incarceration and other obligations owed the State. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-006
|
|
Appeal expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal representation of the State at administrative hearings before formal administrative tribunals. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-007
|
|
Appeal expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings for the Office of Claims Commissioner. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-008
|
|
Appeal expiration date + 20 Year(s)
|
Transfer to State Archives
|
This series documents legal proceedings for Indian matter cases. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-009
|
|
Appeal expiration date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings for real estate transaction cases. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-010
|
|
Appeal expiration date + 12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings regarding reapportionment of voting districts. Including, but not limited to: motions, pleadings, decisions, and related research and correspondence.
|
|
OAG-01-011
|
|
Appeal expiration date + 5 Year(s)
|
|
This series documents representation of consumers at legal proceedings held by the Department of Consumer Protection for new car lemon law cases. Including, but not limited to: motions, pleadings, decisions and related correspondence.
|
|
OAG-01-012
|
|
Closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document investigations into improper behaviors of state employees, state agencies, quasi state agencies and large state contractors. Include, but not limited to: notes, interview transcripts, business records, draft reports and related correspondence.
|
|
OAG-01-013
|
|
Closed date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations into cases that do not result in litigation. Including, but not limited to: notes, business records and related correspondence.
|
|
OAG-01-014
|
|
Permanent
|
|
This series documents formal opinions of the office of the Attorney General to leaders of the General Assembly and the heads of any state agency, state board or commission. Including but not limited to: formal opinions
|
|
OAG-01-015
|
|
Opinion date + 3 Year(s)
|
Transfer to State Archives
|
This series documents informal advices (opinions) of the office of the Attorney General. Including but not limited to: informal opinions and related correspondence.
|
|
OAG-01-016
|
|
Adopted date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process of Regulations of Connecticut State Agencies. Including, but not limited to: background information, correspondence.
|
|
OAG-01-017
|
|
Approved date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review and approval of contracts over $3,000 on behalf of state agencies. Includes, but not limited to: checklists (face sheets) and related correspondence.
|
|
OAG-01-018
|
|
Contract end date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the negotiation of contracts for legal service on behalf of state agencies. Including, but not limited to: requests for proposals, contracts, and related correspondence.
|
|
OAG-01-019
|
|
Creation date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the monetary deposits made by tobacco manufacturers pursuant to CGS 4-28i. Including but not limited to: bank statements, sales records, compliance forms, spreadsheets, and related correspondence.
|
|
OAG-01-20
|
|
Notice date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents maintenance of notices received by the office that are required by statue, including but not limited to the Class Action Fairness Act (CAFA), 28 U.S.C. § 1711, et. seq., the Connecticut Unfair Trade Practices Act (CUTPA), CSG § 42-110a, et seq., and creditor notices pertaining to foreclosures and collection liens, CSG §49-31.
|
|
Agency Specific Schedules: Banking, Department of: Consumer Credit Division
|
|
DOB-03-001
|
|
Report date + 3 Year(s)
|
Disposition is 3 years after report date, or until next examination is conducted, whichever is greater. Destroy after receipt of signed Form RC-108
|
This series documents examinations conducted on licensed entities of mortgage and/or non-mortgage entities licensed by the Consumer Credit Division to ensure compliance with state and federal statutes and regulations. Licensed entities including but not limited to: Small Loan Companies, Sales Finance Companies, Mortgage Loan Licensees, Consumer Collection Agencies, Debt Adjusters, Debt Negotiators, Student Loan Servicers, Check Cashiers, Money Transmitters and Miscellaneous Creditors. Series includes but is not limited to: final exam reports.
|
|
DOB-03-002
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date examination is closed, or until the next examination is conducted, whichever is greater. Destroy after receipt of signed Form RC-108
|
This series documents all files, work papers, and other support material related to examinations conducted on licensed entities of mortgage and/or non-mortgage entities licensed by the Consumer Credit Division to ensure compliance with state and federal statutes and regulations. Licensed entities including but not limited to: Small Loan Companies, Sales Finance Companies, Mortgage Loan Licensees, Consumer Collection Agencies, Debt Adjusters, Debt Negotiators, Student Loan Servicers, Check Cashiers, Money Transmitters and Miscellaneous Creditors. Series includes but is not limited to: managers questionnaire, loan documents, contracts, financial statements, advertising materials, correspondence, emails and electronic filings and records, including legacy computer examination records.
|
|
DOB-03-003
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from expiration, surrender, or revocation of license. Destroy after receipt of signed Form RC-108
|
This series documents the licensure or registration of entities by the Consumer Credit Division, including but not limited to: Small Loan Companies, Sales Finance Companies, Mortgage Loan Licensees, Consumer Collection Agencies, Debt Adjusters, Debt Negotiators, Student Loan Servicers, Check Cashiers, Money Transmitters and Miscellaneous Creditors. Series includes but is not limited to: applications, licenses, registrations, requests to verify license status, licensee annual activity reports, related correspondence, and supporting documentation.
|
|
DOB-03-004
|
|
Denied or withdrawn date + 3 Year(s)
|
Disposition is 3 years from withdrawal, abandonment, or denial. Destroy after receipt of signed Form RC-108
|
This series consists of withdrawn, denied, or abandoned applications for entities seeking licensure or registration by the Consumer Credit Division, including but not limited to: Small Loan Companies, Sales Finance Companies, Mortgage Loan Licensees, Consumer Collection Agencies, Debt Adjusters, Debt Negotiators, Student Loan Servicers, Check Cashiers, Money Transmitters and Miscellaneous Creditors. Series includes but is not limited to: applications, renewal applications, related correspondence, and supporting documentation.
|
|
DOB-03-005
|
|
Closed date + 5 Year(s)
|
Disposition is 5 years from date when complaint/investigation was closed. Destroy after receipt of signed Form RC-108
|
This series documents all records and material related to complaint files for entities regulated by the Consumer Credit Division. Series includes but is not limited to: consumer or division initiated investigations, complaint letters, correspondence, electronic records, emails, transcripts, affidavits, subpoenas, bank records, spreadsheets, findings, background material and responses.
|
|
DOB-03-006
|
|
Report date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of reports prepared by the Consumer Credit Division documenting activities of licensed entities. Reports are submitted by statutory requirement to regulatory bodies including the CFPB (Consumer Financial Protection Bureau), IRS (Internal Revenue Service), and FinCEN (U.S. Financial Intelligence Unit), and may be prepared on a monthly, quarterly, or annual basis, or upon request. Series includes but is not limited to: work papers, examination schedules, master composites, reports, and supporting documentation.
|
|
DOB-03-007
|
|
Last action date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents all legislative research conducted by the Consumer Credit Division, including but not limited to: Small Loan Companies, Sales Finance Companies, Mortgage Loan Licensees, Consumer Collection Agencies, Debt Adjusters, Debt Negotiators, Student Loan Servicers, Check Cashiers, Money Transmitters and Miscellaneous Creditors. Series includes but is not limited to: documents used by our attorneys regarding legislative and administrative matters; Including, but not limited to: bills, memorandums, opinion letters, hearing records, orders, transcripts, confidential material and miscellaneous support material.
|
|
DOB-03-008
|
|
Accreditation date + 5 Year(s)
|
Disposition is 5 years from the date accreditation granted, or until next accreditation, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents all records used for the accreditation of the Consumer Credit Division by regulatory bodies. Series includes but is not limited to: licensing, examination and investigation results records, data, correspondence, other supporting documentation, reports received from study committees of accrediting associations, and suggestions and recommendations concerning organizational structure and administration.
|
|
DOB-03-009
|
|
Notice date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of notices filed by defendants with the Consumer Credit Division in accordance with the Class Action Fairness Act (CAFA), 28 U.S.C. Sec. 1711, et seq.
|
|
Agency Specific Schedules: Banking, Department of: Financial Institutions Division
|
|
DOB-02-001
|
|
Correspondence date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of correspondence received from federal regulatory agencies, including but not limited to Regional Director Memoranda issued by the Federal Deposit Insurance Corporation.
|
|
DOB-02-002
|
|
Report date + 8 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents examinations conducted on Connecticut financial institutions, including but not limited to: reports of examination, pre-opening examination reports for proposed Connecticut banks or credit unions, IT service provider exam reports and federal/state exams, correspondence related to the reports, credit union net worth restoration plans, and director acknowledgements of examinations for Connecticut banks, Connecticut credit unions, holding companies and foreign banking organizations.
|
|
DOB-02-003
|
|
Approved date + 8 Year(s)
|
Disposition is 8 years from date application approved or acknowledged by the Banking Commissioner. Destroy after receipt of signed Form RC-108
|
This series documents the application process for existing financial institutions to conduct certain activities within or outside of Connecticut that require notice to or approval of the Commissioner pursuant to Title 36a, including branch activity, mergers, acquisitions and expanded investment authority. These files include applications, notices, confidential analyst memoranda, any orders, findings, determinations, approvals or other documents issued by the Commissioner, and any other regulatory approvals.
|
|
DOB-02-004
|
|
Closed date + 10 Year(s)
|
Disposition is 10 years after institution closes or merges/converts into or is acquired by an institution not regulated by Connecticut Department of Banking. Destroy after receipt of signed Form RC-108
|
This series documents the application process to organize a new Connecticut bank or new Connecticut credit union. These files include applications, confidential analyst memoranda, any orders, findings, determinations, approvals or other documents issued by the Commissioner, and any other regulatory approvals (e.g. federal) filed under CGS Sec 36a-70, Sec 36a-135 through 36a-139b, Sec 36a-469c, Sec 36a-437a and Sec 36a-469b.
|
|
DOB-02-005
|
|
Closed date + 10 Year(s)
|
Disposition is 10 years after institution closes or subsidiary Connecticut bank merges/converts into or is acquired by an institution not regulated by Connecticut Department of Banking. Destroy after receipt of signed Form RC-108
|
This series documents the application process to organize a new holding company. These files include applications, confidential analyst memoranda, any documents issued by the Commissioner including approvals, and any other regulatory approvals (e.g. federal) filed in connection with the organization of a bank holding company or mutual holding company.
|
|
DOB-02-006
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the corporate files of active Connecticut banks, Connecticut credit unions and foreign banking organizations, including but not limited to: (1) Articles of Incorporation, bylaws, and amendments thereto; (2) Temporary Certificate of Authority; (3) Final Certificate of Authority; (4) Federal regulatory approvals related to organization of institution; and (5) Confidential analyst memoranda, Commissioner’s approvals and any other documents issued by the Commissioner, and federal approvals related to financial institution applications (requests for approval to engage in certain activity pursuant to various statutes) including notices identified in Banking Activities - Existing Financial Institution Applications series.
|
|
DOB-02-007
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents files related to the liquidation or closure of a financial institution, including but not limited to liquidation plans, orders issued by the Commissioner or a court, and other documents submitted or prepared in connection with such liquidation or closure.
|
|
DOB-02-008
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the protection of public deposits under Part III of Chapter 665a of Title 36a and includes: trust agreements with FHLB (Federal Home Loan Bank), FRB (Federal Reserve Board), or financial institutions pursuant to CGS Sec 36a-333(b)(4); quarterly collateral reports from FHLB, FRB, or financial institutions pursuant to CGS Sec 36a-333(b)(1); quarterly deposit reports from qualified public depositories; FHLB letters of credit pursuant to CGS Sec 36a-337(c); and collateral release requests and confirmations.
|
|
DOB-02-009
|
|
Issue date + 5 Year(s)
|
Disposition is 5 years after assessment issued. Destroy after receipt of signed Form RC-108
|
This series documents the annual assessment of fees for financial institutions pursuant to CGS Sec 36a-65, including assessments and related workpapers.
|
|
DOB-02-010
|
|
Examination date + 3 Year(s)
|
Disposition is 3 years or until next examination, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents information provided by financial institutions or prepared by Financial Institution Division examiners during examinations of financial institutions, including but not limited to: (1) work papers related to examinations; and (2) annual audits submitted by financial institutions.
|
|
DOB-02-011
|
|
Withdrawn date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents applications, requests or inquiries submitted to the Financial Institutions Division pursuant to Title 36a of the Connecticut General Statutes that have subsequently been withdrawn, including but not limited to (1) any documents submitted to support such application, request or inquiry and (2) the request to withdraw such application, request or inquiry.
|
|
DOB-02-012
|
|
Receipt date + 8 Year(s)
|
Disposition is 8 years after receipt of report. Destroy after receipt of signed Form RC-108
|
This series consists of the CU Report of Officers (Form 50) filed annually by credit unions to report the current members of the institution’s board of directors and various board committees.
|
|
DOB-02-013
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years after corporation or entity is no longer licensed by the Connecticut Department of Banking. Destroy after receipt of signed Form RC-108
|
This series documents business and industrial development corporations; international trade and investment corporations; and entities licensed pursuant to Part III of Chapter 665b of Title 36a, including but not limited to applications, correspondence, and statutorily required filings.
|
|
DOB-02-014
|
|
Receipt date + 8 Year(s)
|
Disposition is 8 years after receipt of filing. Destroy after receipt of signed Form RC-108
|
This series documents oaths and affirmations of directors of Connecticut banks and credit unions, required pursuant to CGS Sec 36a-101 and Sec 36a-448a(d), and consists of board minutes and copies of any such oaths or affirmations that are filed with the Financial Institutions Division.
|
|
DOB-02-015
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series consists of time sheets documenting the number of hours an examiner was assigned to an examination of a financial institution.
|
|
DOB-02-016
|
|
Calendar year end + 15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series consists of call reports for savings banks, bank & trust, federal savings & loan, state savings & loan, and national banks. Reports include Year Ending December 31, and Quarterly Call Reports (March, June, and September).
|
|
Agency Specific Schedules: Banking, Department of: Government Relations and Consumer Affairs Division
|
|
DOB-01-001
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document consumer complaints related to financial, consumer credit, and securities issues. Including but not limited to: complaint letters, correspondence (e.g., consumer or financial institution), and related documents.
|
|
DOB-01-002
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document constituent complaints related to financial, consumer credit, and securities submitted to legislators. Including but not limited to: complaint letters, correspondence (e.g., constituent, legislator, or financial institution), and related documents.
|
|
Agency Specific Schedules: Banking, Department of: Securities and Business Investments Division
|
|
DOB-04-001
|
|
Action date + 3 Year(s)
|
Disposition is 3 years following agency action (effectiveness, withdrawal, abandonment). Destroy after receipt of signed Form RC-108
|
This series documents the initial registration of broker-dealer firms with Connecticut to permit them to sell securities as part of a business. Series consists of initial registration application documents as submitted to the Securities and Business Investments Division, including, but not limited to: the Connecticut Broker-dealer Supplement form, financial statements and related written communications responding to examiner comments.
|
|
DOB-04-002
|
|
Action date + 3 Year(s)
|
Disposition is 3 years following agency action (effectiveness, withdrawal, abandonment). Destroy after receipt of signed Form RC-108
|
This series documents the initial registration of smaller investment adviser firms (under $100 million in assets) with Connecticut to permit them to offer investment advice on securities as part of a business. Series consists of initial registration application documents as submitted to the Securities and Business Investments Division, including, but not limited to: the Connecticut Supplement for State-Regulated Investment Advisers form, financial statements (including Registrant's Certificate), a sample of the investment advisory contract, advertising and sales literature, and related written communications responding to examiner comments.
|
|
DOB-04-003
|
|
Receipt date + 3 Year(s)
|
Disposition is 3 years from receipt or satisfaction of conditions, whichever occurs first. Destroy after receipt of signed Form RC-108
|
This series documents supplemental circumstances involving the Connecticut registration of individuals who represent broker-dealer firms in selling securities (broker-dealer agents) and individuals who represent investment advisory firms in giving investment advice on securities. Series includes, but is not limited to: employer consent letters where the individual seeks to become registered with multiple firms or agency issued documentation reflecting conditions placed on the registration.
|
|
DOB-04-004
|
|
Action date + 5 Year(s)
|
Disposition is 5 years following agency action (effectiveness, withdrawal, abandonment). Destroy after receipt of signed Form RC-108
|
This series documents the Connecticut registration of individuals (agents of issuer) who represent securities issuers in selling securities to the public. Series includes, but is not limited to: the initial registration application (Form U-4), amendments to Form U-4, evidence of meeting examination (testing) requirements, registration renewal materials, registration termination notices (Form U-5), disciplinary information, and related supporting materials and correspondence.
|
|
DOB-04-005
|
|
Receipt date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the annual report of financial condition that Connecticut-registered investment advisers must file with the Securities and Business Investments Division. The series includes the report of financial condition itself as well as the Securities and Business Investments Division’s prescribed Registrant’s Certificate form to accompany the report of financial condition.
|
|
DOB-04-006
|
|
Issue date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents authorized waivers of regulatory requirements granted in conjunction with the Connecticut Securities and Business Investments Division’s licensing and registration functions, including but not limited to: written waiver requests, supporting justification and agency written response.
|
|
DOB-04-007
|
|
Report date + 3 Year(s)
|
Disposition is 3 years after report date, or until next examination is conducted, whichever is greater. Destroy after receipt of signed Form RC-108
|
This series documents Connecticut Securities and Business Investments Division staff on-site and remote examinations of the books and records of Connecticut state-registered broker-dealers, investment advisers and their branch offices conducted to ensure compliance with state and federal statutes and regulations. Series includes, but is not limited to: final staff exam reports.
|
|
DOB-04-008
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date examination is closed, or until the next examination is conducted, whichever is greater. Destroy after receipt of signed Form RC-108
|
This series documents all files, work papers, and other support material related to Connecticut Securities and Business Investments Division on-site and remote examinations conducted of the books and records of Connecticut state registered broker-dealers, investment advisers and their branch offices to ensure compliance with state and federal statutes and regulations. Series includes, but is not limited to: firm operations and supervisory procedures, financial statements, advertising materials, correspondence, emails and electronic filings and records, including legacy computer examination records.
|
|
DOB-04-009
|
|
Closed date + 5 Year(s)
|
Disposition is 5 years from date complaint and/or investigation is closed. Destroy after receipt of signed Form RC-108
|
This series documents the investigation of individuals and entities for suspected violations of the Connecticut Uniform Securities Act or the Connecticut Business Opportunity Investment Act. Series includes, but is not limited to: complaints received from the public, agency issued subpoenas, background and evidentiary materials, depositions, oaths and affirmations, sanction documentation and related correspondence.
|
|
DOB-04-010
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series describes the internal database listing of securities and business opportunity inquiries and complaints received from the public and other sources such as federal and state regulators.
|
|
DOB-04-011
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents administrative orders and settlements (e.g. cease and desist orders, orders of restitution, orders imposing fine, consent orders and stipulation and agreements) entered by the Department of Banking Commissioner addressing violations of the Connecticut Uniform Securities Act or the Connecticut Business Opportunity Investment Act. Series includes, but is not limited to: core order or settlement documents and associated internal database indexing the orders and settlements.
|
|
DOB-04-012
|
|
Action date + 3 Year(s)
|
Disposition is 3 years following agency action (effectiveness order; withdrawal; abandonment). Destroy after signed receipt of RC-108
|
This series documents the registration of securities by coordination under Section 36b-17 of the Connecticut Uniform Securities Act and the registration of securities by qualification under Section 36b-18 of the Act. Series includes, but is not limited to: Form U-1 Application to Register Securities; Form U-2 (Consent to Service of Process); Form U-2A Uniform Form of Corporate Resolution, offering circular, issuer financial statements, investor subscription documents; issuer organizational documents; and related correspondence as well as agency comment letters and effectiveness orders.
|
|
DOB-04-013
|
|
Action date + 3 Year(s)
|
Disposition is 3 years following agency action (deeming filing complete). Destroy after signed receipt of RC-108
|
This series documents initial and renewal notice filings with Connecticut made by investment companies (mutual funds, closed-end funds, face-amount certificate companies and unit investment trusts) selling securities to the public. Series includes, but is not limited to: Form NF (Uniform Investment Company Notice Filing form), Form U-2 (Consent to Service of Process) and associated fee payment documentation.
|
|
DOB-04-014
|
|
Receipt date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents securities exemption filings made with Connecticut under C.G.S. Section 36b-21, as well as private placement notices for securities the state is preempted from registering under federal law. Series includes, but is not limited to: federal Form D; Form U-2 (Consent to Service of Process); Model Accredited Investor Form; and related correspondence.
|
|
DOB-04-015
|
|
Action date + 3 Year(s)
|
Disposition is 3 years following agency action (effectiveness order; withdrawal; abandonment). Destroy after receipt of signed Form RC-108
|
This series documents the registration of business opportunities in Connecticut by franchisors and other business opportunity sellers. Series including, but not limited to: registration application, franchise disclosure document, Consent to Service of Process, effectiveness orders, staff comment letters, renewal documentation and related correspondence.
|
|
DOB-04-016
|
|
Acknowledgement date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents claims of exclusion from the definition of “business opportunity” as defined by Connecticut law, and claims of exemption from registration filed by business opportunity sellers with the Securities and Business Investments Division. Series includes but is not limited to: exclusion claims, exemption claims, agency issued acknowledgment letters, legal analysis, and supporting documentation.
|
|
DOB-04-017
|
|
Notice date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of notices filed by defendants with the Securities and Business Investments Division in accordance with the Class Action Fairness Act (CAFA), 28 U.S.C. § 1711, et seq.
|
|
Agency Specific Schedules: Comptroller, Office of the State: Retirement Services Division
|
|
OSC-01-001
|
|
Benefits cease date + 10 Year(s)
|
Disposition is 10 years from date benefits cease and any contested claims resolved. Destroy after receipt of signed Form RC-108
|
This series documents eligibility for and determination of retirement benefits for member participation in the State Employee Retirement System (SERS). Including but not limited to: agency notification; choice of retirement plan, tier and beneficiary; application for retirement benefits; income payment election forms; health and dental enrollment/waiver forms; spouse waiver of monthly survivor form; state and federal tax forms; direct deposit forms; supporting documentation (e.g., notarized birth certificate, contingent annuitant's birth certificate, marriage certificate or license, Medicare membership card); preliminary and final audits of retirement record; deceased retiree documentation; refund records; purchase & service credit data; change forms (e.g., name, address, or designated beneficiary); Limited Power of Attorney; claim reviews and appeals; disability retirement application records; workers compensation records; and vested rights records.
|
|
OSC-01-002
|
|
Benefits cease date + 10 Year(s)
|
Disposition is 10 years from date benefits cease and any contested claims resolved. Destroy after receipt of signed Form RC-108
|
This series documents eligibility for and determination of retirement benefits for member participation in the Municipal Employee Retirement System (MERS). Including but not limited to: designation of retirement system; application for MERS retirement benefits; monthly contribution report; disability application retirement records; income payment election forms; spouse waiver of monthly survivor form; state and federal tax forms; direct deposit forms; supporting documentation (e.g., notarized birth certificate, contingent annuitant’s birth certificate, marriage certificate or license, Medicare membership card); health and dental enrollment/waiver forms; preliminary and final audits of retirement record; deceased retiree documentation; refund records; purchase & service credit data; and change forms (e.g., name, address, or designated beneficiary); claim reviews and appeals; workers compensation records; and vested rights records.
|
|
OSC-01-003
|
|
Benefits cease date + 10 Year(s)
|
Disposition is 10 years from date benefits cease and any contested claims resolved. Destroy after receipt of signed Form RC-108
|
This series documents eligibility for and determination of retirement benefits for member participation in the Alternative Retirement Program (ARP); Judges, Family Support Magistrates and Compensation Commissioner’s Retirement System; Probate Judges and Employees Retirement System; States Attorneys’ Retirement System; and Public Defenders’ Retirement System. Including but not limited to: designation of retirement system record; application for ARP retirement benefits, PJERS retirement benefits, payment election forms, spouse waiver; deceased retiree documentation; refund records; purchase & service credit data; preliminary and final audits of retirement record; change forms; supporting documentation (e.g., notarized birth certificate, contingent annuitant’s birth certificate, marriage certificate or license, Medicare membership card); disability retirement records; claim reviews and appeals; and spouse waiver of monthly survivor benefits.
|
|
OSC-01-004
|
|
Termination date + 30 Year(s)
|
Disposition is 30 years from date of employment termination. Destroy after receipt of signed Form RC-108
|
This series documents individuals who are no longer members of the State Employee Retirement System (SERS), Municipal Employee Retirement System (MERS), Alternative Retirement Program (ARP); Judges, Family Support Magistrates and Compensation Commissioner’s Retirement System; Probate Judges and Employees Retirement System; States Attorneys’ Retirement System; and Public Defenders’ Retirement System and have been refunded their retirement account contributions. Including but not limited to: refund of retirement contribution records; purchase & service credit data; and claim documents.
|
|
Agency Specific Schedules: Connecticut Health and Educational Facilities Authority: Entire Agency
|
|
CHEFA-01-001
|
|
Final payment date + 6 Year(s)
|
Disposition is 6 years after bond defeasance, redemption or maturity. If bond is refunded, 6 years after defeasance, redemption or maturity of any refunding bond. Destroy after receipt of signed Form RC-108.
|
This series documents conduit bonds issued by CHEFA. Including but not limited to: applications, agreements, documents, reports, accounts, financial records, audits, expenditure records, investment records, use of bond-financed property and related correspondence.
|
|
CHEFA-01-002
|
|
Denied or withdrawn date + 3 Year(s)
|
Disposition is 3 years from date withdrawn, denied, revoked, abandoned, bonds not issued, or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents applications for the issuance of conduit bonds through CHEFA that have been withdrawn, denied, revoked, abandoned, or bonds were not issued. Including but not limited to: applications, requests, records, reports, documents and related correspondence.
|
|
CHEFA-01-003
|
|
Report filed date + 5 Year(s)
|
Disposition is 5 years after submission of grantee final report. Destroy after receipt of signed Form RC-108.
|
This series documents grants awarded and administered by CHEFA. Including but not limited to: requests for proposals, applications, agreements, documents, reports, evaluations, financial records and related correspondence.
|
|
Agency Specific Schedules: Connecticut Higher Education Supplemental Loan Authority: Entire Agency
|
|
CHESLA-01-001
|
|
Final payment date + 7 Year(s)
|
Disposition is 7 years after bond defeasance, redemption or maturity. If bond is refunded, 7 years after defeasance, redemption or maturity of any refunding bond. Destroy after receipt of signed Form RC-108.
|
This series documents student loan bonds issued by CHESLA. Including but not limited to: all agreements, documents, reports, accounts, financial records, audits, expenditure records, investment records and related correspondence.
|
|
CHESLA-01-002
|
|
Disbursement date + 5 Year(s)
|
Disposition is 5 years after end of academic year in which scholarships are disbursed. Destroy after receipt of signed Form RC-108.
|
This series documents scholarships awarded and administered by CHESLA. Including but not limited to: all applications, agreements, documents, reports, accounts, financial records and related correspondence.
|
|
Agency Specific Schedules: Connecticut Innovations: All CI Agency Programs
|
|
CI-01-001
|
|
Termination date + 10 Year(s)
|
Disposition is 10 years after term of loan or grant . Destroy after receipt of signed Form RC-108
|
This series documents approved Connecticut Innovations loans and grant programs/projects. Including but not limited to: application forms, letters of credit, insurance certificates, bonds, correspondence, and notes.
|
|
CI-01-002
|
|
Denied date + 10 Year(s)
|
Disposition is 3 years from date of denial of loan or grant . Destroy after receipt of signed Form RC-108
|
This series documents denied Connecticut Innovations loan and grant programs/projects. Including but not limited to: application forms, letters of credit, insurance certificates, bonds, correspondence, and notes.
|
|
CI-01-003
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Affirmative Action Plans and Statements of companies seeking to obtain Connecticut Innovations loans or grants.
|
|
Agency Specific Schedules: Connecticut Student Loan Foundation: Entire Agency
|
|
CSLF-01-001
|
|
Final payment date + 6 Year(s)
|
Disposition is 6 years after bond defeasance, redemption or maturity. If bond is refunded, 6 years after defeasance, redemption or maturity of any refunding bond. Destroy after receipt of signed Form RC-108.
|
This series documents student loan bonds issued by CSLF. Including but not limited to: all agreements, documents, reports, accounts, financial records, audits, expenditure records, investment records and related correspondence.
|
|
Agency Specific Schedules: Consumer Council, Office of: All OCC Agency Programs
|
|
OCC-01-001
|
|
Appeal expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series supports the Office of Consumer Counsel’s (OCC) statutory responsibility to represent customers of Connecticut’s five regulated utilities – electric, gas, water, telephone, and to some extent, cable television, primarily in matters that go before the Public Utility Regulatory Authority (PURA), f/k/a the Department of Public Utility Control (DPUC). The series includes but is not limited to: applications, copies of notices of hearing and special meetings, transcripts of hearings, exhibits (including large filings over 50 pages deemed ‘bulk’), interrogatory responses, pre-filed testimonies, drafts of decisions, final decisions, orders, rules, regulations, tariffs and compliance filings.
|
|
OCC-01-002
|
|
Appeal expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the OCC’s statutory authority under Conn. Gen. Stat. Sec16-2a(a) to appeal final decisions of the PURA. The series includes, but is not limited to: briefs, motions, pleadings, memoranda of law, judicial decisions, notices from the court, court orders, correspondence between the court and parties regarding procedural matters relevant to the case.
|
|
OCC-01-003
|
|
Appeal expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the OCC’s statutory authority under Conn. Gen. Stat. Sec16-2a(a) to represent ratepayer interests at administrative hearings before the Federal Energy Regulatory Commission (FERC). The series includes but is not limited to: briefs, motions, pleadings, notices from FERC, FERC Orders, decisions and correspondence between FERC and parties regarding procedural matters relevant to the docket.
|
|
Agency Specific Schedules: Consumer Protection, Department of: All DCP Agency Programs
|
|
DCP-02-001
|
|
Activity end date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Includes, but is not limited to application forms, photographs, proof of educational qualifications, exam results, renewal documentation, correspondence and related materials.
|
|
DCP-02-002
|
|
Death date + 3 Year(s)
|
Disposition is 3 years after death of licensee or dissolution of corporation. Destroy after receipt of signed Form RC-108
|
Includes, but is not limited to, application forms, photographs, proof of educational qualifications, exam results, correspondence and related materials.
|
|
DCP-02-003
|
|
Receipt date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Includes, but is not limited to application forms, correspondence and related materials for applicants who did not pass an exam within a specific time period, submitted an incomplete application or failed to submit all required supporting documentation.
|
|
DCP-02-004
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer. Destroy after receipt of signed Form RC-108.
|
Includes, but is not limited to applications, financial records and related materials.
|
|
DCP-02-005
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer. Destroy after receipt of signed Form RC-108.
|
Includes, but is not limited to applications, filings, renewal information and related materials submitted by corporations seeking to market timeshares and real property in other states to Connecticut Residents or Connecticut based property out of state.
|
|
DCP-02-006
|
|
Receipt date + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer.
|
Consists of application form, course outline/syllabus, sample course certificate, a resume of the instructor for occupational and related correspondence submitted by schools for approval of pre-application and continuing education courses in the areas of real estate, occupational trades and professional licensing.
|
|
DCP-02-007
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer. Destroy after receipt of signed Form RC-108.
|
Consists of correspondence, proof of credits, disciplinary actions and supporting documentation for real estate, occupational trades and professional licensees
|
|
DCP-02-008
|
|
Product tagged date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consists of investigation and inspection reports, embargo orders, seizure orders, sample analysis, correspondence and other supporting documentation related to the confiscation, prohibition from sale or relocation of food, drugs, cosmetics, medical devices, bedding and upholstered furniture, and household products or substances hazardous to children.
|
|
DCP-02-009
|
|
Received date + 7 Year(s)
|
Disposition is 7 years from date complaint received or investigation initiated. Destroy after receipt of signed Form RC-108.
|
Consists of investigation reports and supporting documentation regarding the nature of the investigation (consumer complaint, agency-initiated, etc.) and the outcome of the investigation.
|
|
DCP-02-010
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer. Destroy after receipt of signed Form RC-108.
|
Consists of inspection reports and supporting documentation regarding the nature of the inspection (required for license renewal, check for statutory compliance, etc.) and the outcome.
|
|
DCP-02-011
|
|
Inspection date + 3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer.
|
Including but not limited to reports, correspondence and other supporting documentation related to USDA and FDA inspections assigned to the agency.
|
|
DCP-02-012
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer. Destroy after receipt of signed Form RC-108.
|
Consists of arbitration applications and supporting documentation such as hearing status, correspondence and settlement outcomes.
|
|
DCP-02-013
|
|
Permanent
|
Disposition is 3 years or until audited, whichever is longer.
|
Consists of permits and completion reports for residential and commercial well-drilling, correspondence and related materials
|
|
DCP-02-014
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is longer. Destroy after receipt of signed Form RC-108.
|
Consists of internal reports of agent/inspector activities submitted to supervisors.
|
|
Agency Specific Schedules: Consumer Protection, Department of: Drug Control
|
|
DCP-04-001
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Letter issued to Connecticut manufacturers of drugs, cosmetics and medical devices allowing them to sell their goods overseas.
|
|
DCP-04-002
|
|
Destruction date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consisting of prescription information, dates of destructions and names of individuals conducting the destructions. Arranged by date.
|
|
DCP-04-003
|
|
Activity end date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Initiated by the agency or from consumer complaints; includes details of investigations, voluntary surrender reports and outcome of investigations.
|
|
Agency Specific Schedules: Consumer Protection, Department of: Food and Standards
|
|
DCP-05-001
|
|
Agreement date + 3 Year(s)
|
Disposition is 3 years from date of agreement between owner and State. Destroy after receipt of signed Form RC-108.
|
Documentation relating to agreements between food product owners and the State to voluntarily destroy items that are adulterated. These may consist of destruction forms, inspection reports, sample analysis, correspondence and related materials. Maintained by inspector and then chronologically
|
|
DCP-05-002
|
|
Product tagged date + 3 Year(s)
|
Disposition is 3 years from date tag placed on product.
|
Documentation relating to products removed from commerce because of problems with their quantity, quality or accuracy. These files may consist of "Ordered Repaired" or "Condemnation" tags, inspection reports, correspondence and related materials.
|
|
DCP-05-003
|
|
Inspection date + 3 Year(s)
|
Disposition is 3 years from date tag placed on product.
|
Consisting of reports prepared by field inspectors checking packages to verify that weight is correct as labeled, correspondence and related materials.
|
|
DCP-05-004
|
|
Activity date + 3 Year(s)
|
Disposition is 3 years from date sample collected. Disposition is 3 years from date tag placed on product.
|
Includes consumer complaints, inspection reports, sample collection reports, chain of custody forms, correspondence and related materials.
|
|
DCP-05-005
|
|
Received date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consisting of forms submitted by vendors to notify the State of changes in weighing and measuring devices.
|
|
Agency Specific Schedules: Consumer Protection, Department of: Gaming Division
|
|
DCP-03-001
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Lottery and Off-Track Betting (OTB); arranged by case file number
|
|
DCP-03-002
|
|
Case closed date + 15 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Lottery and Off-Track Betting (OTB); arranged by case file number
|
|
DCP-03-003
|
|
Drawing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Including, but not limited to checklist of procedures, ball weights, machine used, staff overseeing drawing, and numbers drawn; arranged by date
|
|
DCP-03-004
|
|
Drawing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Recordings of online drawings; may consist of tapes, mini-CDs, DVDs, or any other format; arranged by date
|
|
DCP-03-005
|
|
Closed date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Including, but not limited to design date, vendor, testing procedures, on-sale and closeout dates; arranged by game number
|
|
DCP-03-006
|
|
Activity end date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Lottery, Off-Track Betting, Pari-Mutuel, and Casino Occupational Licensure Files; including, but not limited to application, correspondence, and supporting documentation
|
|
Agency Specific Schedules: Consumer Protection, Department of: Legal
|
|
DCP-06-001
|
|
Case closed date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the investigation of consumer protection law violations. Including but not limited to: attorney notes, legal research; and copies of pleadings.
|
|
DCP-06-002
|
|
Permanent
|
Retain in agency for 10 years; then transfer to State Archives
|
This series documents enforcement of consumer protection laws. Including but not limited to: pleadings and hearing records; final decisions; orders; agreements; and transcripts.
|
|
DCP-06-003
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents declaratory rulings issued by the DCP Legal Division. Including but not limited to: legal opinions by agency, board or commission.
|
|
DCP-06-004
|
|
Case closed date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents recordings of formal administrative hearings; investigatory hearings; compliance meetings or other meetings. Including but not limited to: audio and or video recordings.
|
|
Agency Specific Schedules: Consumer Protection, Department of: Liquor Control
|
|
DCP-01-001
|
|
Event date + 3 Year(s)
|
Disposition is 3 years from date permit canceled, denied, or revoked. Destroy after receipt of signed Form RC-108
|
Application/Permittee Files for Liquor Permits including but not limited to investigations, inspection reports, sales agreements, financial affidavits, fire marshall's certificates, sketches & photos of premises, health certifications, personal history for permittee and backer/owner, transfer of ownership reports, substitution applications (change of permittee), transfers of LLC (interest in backer), transfers of stock and related materials
|
|
DCP-01-002
|
|
Event date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents wholesale and “freight on board” price lists for alcohol submitted monthly by wholesalers, liquor manufacturers, and out-of-state shippers to DCP. Including but not limited to: lists.
|
|
Agency Specific Schedules: Correction, Department of: Entire Agency
|
|
DOC-01-001
|
|
Incident date + 10 Year(s)
|
Disposition 10 years from date of incident, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents formal inmate discipline in accordance with DOC Administrative Directive 9.5, Code of Penal Discipline. May include but not limited to: forms and attachments associated with AD 9.5 and any related documentation or recordings.
|
|
DOC-01-002
|
|
Report date + 30 Day(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents informal inmate discipline in accordance with DOC Administrative Directive 9.5, Code of Penal Discipline. May include but not limited to: forms and attachments associated with AD 9.5 and any related documentation.
|
|
DOC-01-003
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
This series documents DOC employee 5 & 2 day post assignments and the conditions set forth in the agreements. May include but not limited to: 5 & 2 Post Agreement Form (CN21501).
|
|
DOC-01-004
|
|
Termination date + 30 Year(s)
|
Disposition is Duration of employment plus 30 years. Destroy after receipt of signed Form RC-108
|
This series documents DOC employee confidentiality agreements regarding criminal record data in computerized form. May include but not limited to: Agreement to Protect Confidentiality of Computerized Criminal Record Data (CN 4403).
|
|
DOC-01-005
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents DOC employee postings for payroll purposes. May include but not limited to: daily payroll packages; facility documents; daily trip logs; weekly transportation logs; and related documents.
|
|
DOC-01-006
|
|
Activity date + 3 Year(s)
|
Disposition is 3 years from date of activity. Destroy after receipt of signed Form RC-108
|
This series documents the maintenance and use of Global Positioning System (GPS) devices for parolee tracking purposes, such as ankle bracelets. May include but not limited to: tracking logs and system information.
|
|
DOC-01-007
|
|
Incident date + 10 Year(s)
|
Disposition is 10 years from date of incident, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the notification, reporting, and review of DOC incidents in accordance with DOC Administrative Directive 6.6, Reporting of Incidents. May include but not limited to: forms and attachments associated with AD 6.6 and any related documentation or recordings.
|
|
DOC-01-008
|
|
Resolution date + 5 Year(s)
|
Disposition is 5 years from date of final resolution, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents inmate grievances, appeals, and property claims in accordance with DOC Administrative Directive 9.6, Inmate Administrative Remedies. May include but not limited to: forms and attachments associated with AD 9.6 and any related documentation or recordings.
|
|
DOC-01-009
|
|
Notice date + 3 Year(s)
|
Disposition is 3 years from date of notice, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents inspection and review of inmate communications in accordance with DOC Administrative Directive 10.7, Inmate Communications. May include but not limited to: forms and attachments associated with AD 10.7 and any related documentation.
|
|
DOC-01-010
|
|
Recording date + 90 Day(s)
|
Disposition is 90 days from date of recording except any recording containing information related to administrative or investigative matters or litigation, which shall be retained for 10 years, or the duration of any such proceedings, whichever is longer. Destroy after receipt of signed Form RC-108
|
This series documents recordings of inmate phone conversations maintained in accordance with DOC Administrative Directive 10.7, Inmate Communications.
|
|
DOC-01-011
|
|
Count date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents facility specific inmate counts in accordance with DOC Administrative Directive 6.3, Population Counts. May include but not limited to: forms, attachments, and any related documentation associated with any facility/unit inmate count.
|
|
DOC-01-012
|
|
Discharge or death + 15 Year(s)
|
Disposition is 15 years from date of discharge or date of death while incarcerated. Destroy after receipt of signed Form RC-108
|
This series documents the health of an adult inmate during confinement in accordance with DOC Administrative Directive 8.7, Health Records. May include but not limited to: forms and attachments associated with AD 8.7 and any related documentation.
|
|
DOC-01-013
|
|
Discharge or death + 25 Year(s)
|
Disposition is 25 years from date of discharge or date of death while incarcerated. Destroy after receipt of signed Form RC-108
|
This series documents the health of a juvenile inmate during confinement in accordance with DOC Administrative Directive 8.7, Health Records. May include but not limited to: forms and attachments associated with AD 8.7 and any related documentation.
|
|
DOC-01-014
|
|
Report date + 30 Day(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the movement of inmates during confinement in accordance with DOC Administrative Directive 9.10, Inmate Identification and Movement. May include but not limited to: forms or documentation related to inmate housing assignments/location.
|
|
DOC-01-015
|
|
Discharge or death + 25 Year(s)
|
Disposition is 25 years from date of discharge or date of death while incarcerated. Destroy after receipt of signed Form RC-108
|
This series documents the incarceration, classification, and behavior of an inmate during confinement in accordance with DOC Administrative Directive 4.1, Inmate Records. May include but not limited to: forms and attachments associated with AD 4.1 and any related documentation.
|
|
DOC-01-016
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents inmate compensation during confinement pursuant to CGS §18-101 and DOC Administrative Directive 10.1, Inmate Assignment and Pay Plan. May include but not limited to: vendor reports; signed vendor documents; database reports; and any facility based pay records.
|
|
DOC-01-017
|
|
Discharge or death + 5 Year(s)
|
Disposition is 5 years from date of discharge or date of death while incarcerated. Destroy after receipt of signed Form RC-108
|
This series documents the administration, control, and disposition of inmate property during confinement in accordance with DOC Administrative Directive 6.10, Inmate Property. May include but not limited to: forms and attachments associated with AD 6.10 and any related documentation.
|
|
DOC-01-018
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from fiscal year end, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents inmate receipts for commissary purchases in accordance with DOC Administrative Directive 3.8, Commissary. May include but not limited to forms and attachments associated with AD 3.8 and any related documentation.
|
|
DOC-01-019
|
|
Approved or denied date + 30 Day(s)
|
Disposition is 30 days from date of approval or denial. Destroy after receipt of signed Form RC-108
|
This series documents visitors’ applications to correctional facilities in accordance with DOC Administrative Directive 10.6, Inmate Visits. May include but not limited to: forms and attachments associated with AD 10.6 and any related documentation.
|
|
DOC-01-020
|
|
Closure + 10 Year(s)
|
Disposition is 10 years from date of closure of investigation, or 5 years from the duration of incarceration or employment of alleged abuser, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents administrative investigations into allegations of inmate sexual abuse/harassment in accordance with DOC Administrative Directive 1.10, Investigations; DOC Administrative Directive 6.6, Reporting of Incidents; or DOC Administrative Directive 6.12, Sexual Assault Prevention and Intervention Policy. May include but not limited to: forms and attachments associated with AD 1.10, AD 6.6 or AD 6.12 and any related documentation or recordings.
|
|
DOC-01-021
|
|
Closure + 10 Year(s)
|
Disposition is 10 years from date of closure, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents initial inquiries and/or administrative investigations in accordance with DOC Administrative Directive 1.10, Investigations. May include but not limited to: forms and attachments associated with AD 1.10 and any related documentation or recordings.
|
|
DOC-01-022
|
|
Last entry date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents facility, station, visitor, incident, and disciplinary logs.
|
|
DOC-01-023
|
|
Request date + 10 Year(s)
|
Disposition is 10 years from date of request, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents preservation requests, written responses and related recordings (if available for preservation) in accordance with DOC Administrative Directive 6.9, Collection and Retention of Contraband and Physical Evidence. May include but not limited to: forms and attachments associated with AD 6.9 and any related documentation or recordings.
|
|
DOC-01-024
|
|
Collected date + 10 Year(s)
|
Disposition is 10 years from date of collection [28 CFR Sec 115.89]. Destroy after receipt of signed Form RC-108
|
This series documents data collected pursuant to 28 CFR Sec 115.87 and DOC Administrative Directive 6.12, Sexual Assault Prevention and Intervention Policy. May include but not limited to: data and any associated reviews or reports.
|
|
DOC-01-025
|
|
Recording date + 30 Day(s)
|
Destroy
|
This series documents routine audio/video recordings of DOC activity, regardless of format. May include but not limited to: Recordings from stationary or hand-held devices.
|
|
DOC-01-026
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents briefings and pass-along information presented to correctional staff at shift changes.
|
|
DOC-01-027
|
|
Inspection date + 2 Year(s)
|
Disposition is 2 years from date of security check. Destroy after receipt of signed Form RC-108
|
This series documents daily security checks of facilities, buildings, and grounds. May include but not limited to: security check sheets; radio/body alarm test check sheets; fence zone check sheets; and door/gate alarm check sheets.
|
|
DOC-01-028
|
|
Audit completion date + 3 Year(s)
|
Disposition is 3 years after date of audit. Destroy after receipt of signed Form RC-108
|
This series documents audits of DOC facilities/divisions/units in accordance with DOC Administrative Directive 1.9, Audits. May include but not limited to: forms and attachments associated with AD 1.9 and any related documentation.
|
|
DOC-01-029
|
|
Participation end date + 10 Year(s)
|
Disposition is 10 years from date of completion of Security Risk Group Program or date of discharge if program not completed. Destroy after receipt of signed Form RC-108
|
This series documents the identification, monitoring, and management of an inmate identified as a member of a security risk group, disruptive group, or watch group in accordance with DOC Administrative Directive 6.14, Security Risk Groups. May include but not limited to: forms and attachments associated with AD 6.14 and any related documentation or recordings.
|
|
DOC-01-030
|
|
Participation end date + 6 Month(s)
|
Disposition is 6 months from date of removal from Special Monitoring. Destroy after receipt of signed Form RC-108
|
This series documents increased supervision and monitoring upon an inmate's completion of a special management program or for reasons of safety and security in accordance with DOC Administrative Directive 9.4, Restrictive Status. May include but not limited to: Special Monitoring Review Form (CN9408) and related documents.
|
|
DOC-01-031
|
|
Discharge date + 5 Year(s)
|
Disposition is 5 years from date of discharge of inmate about whom the victim is requesting notification, or until all related proceedings including litigation are concluded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents victim requests for notification services in accordance with DOC Administrative Directive 4.5, Victim Services. May include but not limited to: forms and attachments associated with AD 4.5 and any related documentation.
|
|
Agency Specific Schedules: Criminal Justice, Division of: Office of Chief of State's Attorney
|
|
DCJ-01-001
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal investigations that do not lead to an arrest. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-002
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents grand jury investigations that do not lead to an arrest. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence
|
|
DCJ-01-003
|
|
Expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents civil litigation proceedings. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-004
|
|
Permanent
|
Retain in Agency
|
This series documents criminal litigation proceedings for capitol felonies. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-005
|
|
Expiration date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal litigation proceedings for class A and B felonies. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-006
|
|
Expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal litigation proceedings for class C, D and E felonies. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-007
|
|
Expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal litigation proceedings for unclassified felonies. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-008
|
|
Case closed date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents juvenile litigation proceedings for Family with Service Needs and Youth in Crisis. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-009
|
|
Expiration date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal litigation proceedings for class A, B, C, D, and unclassified misdemeanors. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-010
|
|
Expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal litigation proceedings for violations and infractions. Including but not limited to: motions; pleadings; decisions; grievances; and related correspondence.
|
|
DCJ-01-011
|
|
Receipt date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents regulatory action information that is associated with an identifiable healthcare entity.
|
|
Agency Specific Schedules: Developmental Service, Department of: All DDS Agency Programs
|
|
DDS-01-001
|
|
Audit completion date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents audits and inspections of DDS facilities and operations. Including but not limited to: annual quality audits; group home audits; Independent Professional Reviews (IPR); Individual Compliance Audits (ICA); internal audits for resource allocations; medication administration audits; quality monitor reports; quality service reviews; quarterly audit of infection control; state fire marshal inspection reports; utilization reviews; and audits.
|
|
DDS-01-002
|
|
Application date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents resource allocation and eligibility for clients to participate in DDS program. Including but not limited to: eligible, inactive, and ineligible determinations; and related correspondence.
|
|
DDS-01-003
|
|
3 Year(s)
|
Disposition is 3 years, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents financial records of clients in DDS programs. Including but not limited to: bank statements; check registers; old checks; daily transaction records; monthly account balance forms; cash receipts and disbursements journals; tax records; and related correspondence.
|
|
DDS-01-004
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of client’s death. Destroy after receipt of signed Form RC-108
|
This series documents investigation into abuse and/or neglect of clients. Including but not limited to: Intake Reports; Investigation Reports; Recommendation Reports; Abuse and Neglect Form M5; and related correspondence.
|
|
DDS-01-005
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of client’s death. Destroy after receipt of signed Form RC-108
|
This series documents service provided to clients aka "Individual Plan Files." Including but not limited to: Individual Plans; Follow Along Plans; Program reviews; Interdisciplinary Team Meeting minutes I notes I etc.; Monthly data summaries; Monthly reviews; Over-all plan of service or Individual Plan invitations; quarterly or six month reviews; Transition plan checklist; Daily living notes and activity schedules; and End Books (aka Group Books, Individual Books, Residential Books). Includes competency cards; likes I dislikes I preferred activities; active treatment schedules; positioning documentation; levels of supervision; communication overview packet; teaching strategies; guidelines I procedures; Recreation - Leisure Interest I Time Surveys; Recreation - Participation I progress notes; and related correspondence.
|
|
DDS-01-006
|
|
Review date + 10 Year(s)
|
Disposition is 10 years from date review completed. Destroy after receipt of signed Form RC-108
|
This series documents reviews of deaths of clients. Including but not limited to: Mortality Review Packet (includes Mortality Review Committee form aka Face Sheet); Letters to Families and Notices of Review; Independent Mortality Review Board (IMRB) Corrective Actions and Plans; Mortality Review Records Tracking (including the Mortality Review Tracking Report and the Request for Information - Mortality Review); Post-Mortem Review Files; Weekly Death Reports; and related correspondence.
|
|
DDS-01-007
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from end of license, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents licensure of public and private residential facilities which provide care, treatment or lodging for people with developmental disabilities. Including, but not limited to: Licenses /Certificates; Licensing letter of renewals; Vacate / Relocation Reports; and Licensing Files, including Licensing Application Packet, Initial Licensure Checklists, Requests for Licensure, Summary of Citations, Statement of Deficiencies (SOD), Plan of Corrections, (POC), and Summary Application for Renewal (SAR).
|
|
DDS-01-008
|
|
Contract end date + 6 Year(s)
|
Disposition is 6 years from end of contract or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the review and administration of community residential facility loans to organizations for construction or purchase and renovation of community-based residential facilities pursuant to CGS Sec17a-223. Including but not limited to: applications; approval letters; promissory notes; mortgage documents; and related correspondence.
|
|
DDS-01-009
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of client’s death. Destroy after receipt of signed Form RC-108
|
This series documents client records kept at each day program site. Including but not limited to: participant profiles and information sheets; participant contact sheets; assessments and evaluations; goals and objectives; and medical services.
|
|
DDS-01-010
|
|
Contract end date + 10 Year(s)
|
Disposition is 10 years from end of contract, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the application, issuance, management, and administration of Grant in Aid. Including but not limited to: Grant in Aid Applications; Grant in Aid Contracts; Lien Documentations; and related correspondence.
|
|
DDS-01-011
|
|
Contract end date + 6 Year(s)
|
Disposition is 6 years from end of contract or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the application, issuance, management, and administration of house and community bond waivers from the federal government. Including but not limited to: waiver applications; waiver amendments; quality monitoring reports; and related correspondence.
|
|
DDS-01-012
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of client’s death. Destroy after receipt of signed Form RC-108
|
This series documents client advocacy to ensure client rights were not taken away. Including but not limited to: case files; HRC packet (includes HRC face sheet and approval form); referrals and recommendations; quarterly and annual reports; and related correspondence.
|
|
DDS-01-013
|
|
Contract end date + 6 Year(s)
|
Disposition is 6 years from end of contract or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the application, issuance, management, and administration of individual and family support grants designed to support home care for clients. Includes approved applications. Including but not limited to: Grant Request/Authorization Forms and supporting documentation; Individual and Family Grant Agreements; and Loan Compliance Documents (includes documentation of all expenditures).
|
|
DDS-01-014
|
|
Denied or withdrawn date + 1 Year(s)
|
Disposition is 1 year from date application withdrawn/denied. Destroy after receipt of signed Form RC-108
|
This series documents the application, issuance, management, and administration of individual and family support grants designed to support home care for clients. Includes withdrawn and denied applications. Including but not limited to: Grant Request/Authorization Forms and supporting documentation; Individual and Family Grant Agreements; and Loan Compliance Documents (includes documentation of all expenditures).
|
|
DDS-01-015
|
|
Final expenditure report submission + 3 Year(s)
|
Disposition is 3 years from date of submission of final expenditure report, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series document the billing process for individuals who receive Medicaid services from DDS. Including but not limited to: billing reports; attendance forms; provider enrollment forms; federal financial reimbursement records; fiscal intermediary (IFS) waiver service documentation forms; Medicaid claims; TANF (Temporary Aid to Needy Families) billing; and Medicaid waiver (title XIX) redeterminations.
|
|
DDS-01-016
|
|
Approved date + 6 Year(s)
|
Disposition is 6 years from date rate approved by DSS. Destroy after receipt of signed Form RC-108
|
This series documents the rate setting process for individuals who receive Medicaid services from DDS. Including but not limited to: provider utilization forms; rate calculations; and DSS rate correspondence.
|
|
DDS-01-017
|
|
Waiver Determination date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the waiver enrollment process for individuals who receive Medicaid services from DDS. Including but not limited to: individual consumer files; form 1576 - change/discharge; service documentation (service note documentation, time logs, environmental modification proposals, vehicle maintenance proposals, etc.); waiver application; enrollment and eligibility forms (includes DDS forms 219, 222, 223, DSS form W-1518, and the Waiting List Assessment Tool, form 225 PRAT HCBS Waiver Recommendation Form).
|
|
DDS-01-018
|
|
Audit completion date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the auditing process for individuals who receive Medicaid services from DDS. Including, but not limited to: service utilization billing documentation and waiver quality monitoring reports.
|
|
DDS-01-019
|
|
Decision date + 10 Year(s)
|
Disposition is 10 years from date of review, or date of decision, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the management of PRAT, whereby DDS identifies available resources, identifies individual consumer needs, assigns priority, implements waiting list policies and procedures, makes recommendations regarding applicants for waivers, and processes allocation of resources and referrals to available out-of-home residential group living settings and provider agency-based day services. Including but not limited to: planning lists; priority checklists waiting lists and allocation tracking records.
|
|
DDS-01-020
|
|
Contract end date + 10 Year(s)
|
Disposition is 10 years from end of contract, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents contracts with private provider residential facilities and day programs. Including but not limited to: Annual Report of Residential And Day Services (formerly ACORE and CORE); master contracts and amendments; cost settlement letters; operations plans; rate letters for CLA's; room and board rates from DSS; Regional Transfer forms; Forensic Fiscal Planning forms; and related correspondence.
|
|
DDS-01-021
|
|
Expiration date + 6 Year(s)
|
Disposition is 6 years from end of license, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents private providers who were licensed but vacated facility. Including but not limited to: review files (requests to vacate licensed residential facility, intra-agency correspondence, reviews of the Statewide Master Inventory of homes needing replacement, Facility assessment reports, and Relocation Plan); and related correspondence.
|
|
DDS-01-022
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of client’s death. Destroy after receipt of signed Form RC-108
|
This series documents administration of the program review committee. Including but not limited to: Program Review Committee (PRC) / Human Rights Committee (HRC) Review of Pre-Sedation for Medical/Dental Care packets (face sheets, documentation of review, Considerations for Pre-Sedation for Medical/Dental Care, Signed Consent forms that includes documentation of medication side effects, Use of Pre-Sedation Medication for Medical/Dental Care Tracking form, etc.); PRC Approval/Signature Sheets; PRC Case Files; PRC Information Packets (PRC Fact Sheets, Requests for Medication/Program Review, etc.) and related correspondence.
|
|
DDS-01-023
|
|
Last entry date + 3 Year(s)
|
Disposition is 3 years from last entry date in log book. Destroy after receipt of signed Form RC-108
|
This series documents information pertaining to general daily communications and occurrences in residential facilities. Including but not limited to: daily log books.
|
|
DDS-01-024
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of client’s death. Destroy after receipt of signed Form RC-108
|
This series documents service provided to clients in respite facilities, including basic information on needs, medication, contacts, etc. May include copies of medical records supplied by case manager or family.
|
|
DDS-01-025
|
|
Contract end date + 6 Year(s)
|
Disposition is 6 years from end of contract or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents contracts with respite providers to provide services to DDS clients. Including but not limited to: respite agreements and respite evaluations.
|
|
Agency Specific Schedules: Early Childhood, Office of: Entire Agency
|
|
OEC-01-001
|
|
Participation end date + 6 Year(s)
|
Disposition is 6 years from date child exits the Birth to Three System. Destroy after receipt of signed Form RC-108.
|
This series documents early intervention supports provided to families of children referred to the Birth to Three System. Including but not limited to; demographic data; evaluations; assessments; individualized family service plans; early intervention treatment service notes; medical information; and related correspondence.
|
|
Agency Specific Schedules: Economic & Community Development, Department of: Entire Agency
|
|
DECD-01-001
|
|
Contract end date + 7 Year(s)
|
Disposition is 7 years after term of contract, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents loan and grant programs managed by the Department of Economic and Community Development including the Economic & Manufacturing Assistance Act, Small Business Express Program, Special Contaminated Property Remediation & Insurance Fund, and the Targeted Brownfield Development Loan Program. Including but not limited to: approved applications, proposals, budgets, and assistance agreements.
|
|
DECD-01-002
|
|
Denied date + 3 Year(s)
|
Disposition is 3 years from date application declined. Destroy after receipt of signed Form RC-108
|
This series documents loan and grant programs managed by the Department of Economic and Community Development including the Economic & Manufacturing Assistance Act, Small Business Express Program, Special Contaminated Property Remediation & Insurance Fund, and the Targeted Brownfield Development Loan Program. Including but not limited to: denied applications and supporting documentation.
|
|
DECD-01-003
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years after term of tax credit, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the Urban Reinvestment Act Tax Credit Program, which supports projects that create jobs and capital investment in underserved areas. Including but not limited to: approved applications, tax credit allocation summary, and EIA worksheets.
|
|
DECD-01-004
|
|
Denied or withdrawn date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the Urban Reinvestment Act Tax Credit Program, which supports projects that create jobs and capital investment in underserved areas. Including but not limited to: withdrawn/denied applications and supporting documentation.
|
|
DECD-01-005
|
|
Acquisition date + 12 Year(s)
|
Disposion is 12 years after recipient acquires property or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents liability relief programs to encourage Brownfield cleanup, including the Abandoned Brownfield Cleanup Program and the Brownfield Remediation & Revitalization Program. Including but not limited to: approved applications, environmental reports, and title searches.
|
|
DECD-01-006
|
|
Denied date + 3 Year(s)
|
Disposition is 3 years from date application denied, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents liability relief programs to encourage Brownfield cleanup, including the Abandoned Brownfield Cleanup Program and the Brownfield Remediation & Revitalization Program. Including but not limited to: denied applications and supporting documentation.
|
|
DECD-01-007
|
|
Certification date + 10 Year(s)
|
Disposition is 10 years from certification date or until eligibility expires, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents certification of Enterprise Zones pursuant to CGS Sec. 32-70. Including but not limited to: approved applications, certification files and Enterprise Zone maps.
|
|
DECD-01-008
|
|
Denied date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents certification of Enterprise Zones pursuant to CGS Sec. 32-70. Including but not limited to: denied applications and supporting documentation.
|
|
DECD-01-009
|
|
Certification date + 10 Year(s)
|
Disposition is 10 years from certification date or until eligibility expires, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents certification of Urban Jobs program. Including but not limited to approved applications, certification files and maps.
|
|
DECD-01-010
|
|
Denied date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents certification of Urban Jobs program. Including but not limited to: denied application and supporting documentation.
|
|
DECD-01-011
|
|
Released date + 15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents lien releases against organizations participating in one of DECD's financing programs. Including but not limited to: lien releases for a charge against property making it security for the payment of a debt, judgment, mortgage, or taxes.
|
|
DECD-01-012
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date of certificate of termination. Destroy after receipt of signed Form RC-108
|
This series documents close-out audits. Including but not limited to close-out audits, Examiner’s work papers and correspondence.
|
|
DECD-01-013
|
|
Audit completion date + 3 Year(s)
|
Disposition is 3 years after audit period end date. Destroy after receipt of signed Form RC-108
|
This series documents audits for non-cognizance agency, nonprofit and municipality.
|
|
DECD-01-014
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents job retention and creation audits of companies receiving financial assistance from DECD. Including but not limited to: job evaluation forms, DOL forms, and desk reviews.
|
|
DECD-01-015
|
|
Certification date + 3 Year(s)
|
Disposition is 3 years after final tax credit certification issuance. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the Job Expansion Tax Credit program, which encourages the creation of new jobs by granting a tax credit to qualified businesses. Including but not limited to: approved applications, certification files and DRS forms.
|
|
DECD-01-016
|
|
Denied date + 3 Year(s)
|
Disposition is 3 years from date application denied, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the Job Expansion Tax Credit program, which encourages the creation of new jobs by granting a tax credit to qualified businesses. Including but not limited to: Denied applications and supporting documentation.
|
|
DECD-01-017
|
|
Active
|
Disposition is until resource described in the directory listing becomes inactive, no longer available, or out of business. Destroy after receipt of signed Form RC-108
|
This series documents the Connecticut Production Resource Directory and Location Gallery databases. Including but not limited to: film production information, such as production crew, equipment rental and sales, art department and wardrobe, transportation, support services, talent and casting agencies, and facilities in Connecticut.
|
|
DECD-01-018
|
|
Issue date + 5 Year(s)
|
Disposition is 5 years from date tax credit issued, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the Digital Media & Motion Picture Tax Credit Program that encourages the production of digital media and motion pictures in Connecticut by offering a tax credit to qualified productions. Includes files of approved projects. Including but not limited to approved applications, required forms and documents, issued certificates, and vouchers.
|
|
DECD-01-019
|
|
Application date + 3 Year(s)
|
Disposition is 3 years from date of application or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the Digital Media & Motion Picture Tax Credit Program that encourages the production of digital media and motion pictures in Connecticut by offering a tax credit to qualified productions. Includes files of withdrawn or rejected applications. Including but not limited to denied, rejected, revoked, or withdrawn applications, required forms and documents, and letters of denial.
|
|
Agency Specific Schedules: Economic & Community Development, Department of: Offices of Arts, Historic Preservation and Museums, and Tourism
|
|
DECD-02-001
|
|
Life of Artwork
|
Destroy after receipt of signed Form RC-108
|
This series documents the state-funded Art in Public Spaces Program. Includes the Art in Public Spaces Slide Bank, the Connecticut Visual Arts Slide Bank, the Connecticut Artists Collection and Maintenance and Conservation. Including but not limited to: contracts, artist proposals, correspondence, descriptions of art, photographic documentation, budget documentation of funds transferred, bond allocations, and construction and conservation information.
|
|
DECD-02-002
|
|
Report date + 3 Year(s)
|
Disposition is 3 years from date of final report or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the state-funded honorary position of State Poet Laureate, who functions as an advocate for poetry. Including but not limited to: applications (nomination form, narrative, resume, and letters of support), guidelines, related correspondence, evaluations, and annual stipend.
|
|
DECD-02-003
|
|
Application date + 3 Year(s)
|
Disposition is 3 years from date of application or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the state-funded honorary position of State Poet Laureate, who functions as an advocate for poetry. Includes denied, returned, revoked, or withdrawn applications. Including but not limited to: applications (nomination form, narrative, resume, and letters of support), related correspondence, and evaluations.
|
|
DECD-02-004
|
|
Report date + 3 Year(s)
|
Disposition is 3 years from date of final report or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of files for the state-funded honorary position of State Troubadour, who functions as an ambassador of music and song and to promote the State through song during public performances. Including but not limited to: applications, guidelines, related correspondence, evaluations, and annual stipend.
|
|
DECD-02-005
|
|
Application date + 3 Year(s)
|
Disposition is 3 years from date of application, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
Consists of files for the state-funded honorary position of State Troubadour, who functions as an ambassador of music and song and to promote the State through song during public performances. Includes denied, returned, revoked, or withdrawn applications. Including but not limited to: applications, related correspondence, and evaluations.
|
|
DECD-02-006
|
|
Active + 2 Year(s)
|
Disposition is 2 years from date of last activity. Destroy after receipt of signed Form RC-108
|
This series consists of files related to the creation of the Directory of Teaching Artists. Including but not limited to: applications, evaluations, correspondence, and the directory.
|
|
DECD-02-007
|
|
Active + 2 Year(s)
|
Disposition is 2 years from date of last activity. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series consists of files related to the creation of the Directory of Performing Artists. Including but not limited to: applications, evaluations, correspondence, and the directory.
|
|
DECD-02-008
|
|
Review date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of files of the Directory of Performing Artists and Directory of Teaching Artists. Includes denied, returned, revoked, or withdrawn applications. Including but not limited to: evaluations and related correspondence.
|
|
DECD-02-009
|
|
Active + 2 Year(s)
|
Disposition is 2 years from date of last activity. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the Connecticut Volunteer Lawyers for the Arts, which provides free legal services to eligible non-profit arts organizations and artists. Including but not limited to: applications, correspondence, and lawyer listings.
|
|
DECD-02-010
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the state-funded State Archaeological Preserves program, which is used to identify, evaluate, and designate prehistoric, historic, industrial, and underwater sites. Including but not limited to: inventory forms, final assessments, intensive survey reports and data recovery documents generated through federal and state cultural resource management studies, final reports, approved permits, authorizations, and related correspondence.
|
|
DECD-02-011
|
|
Review date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents reviews and comments of state-sponsored undertakings under the Connecticut Environmental Policy Act, which entails consideration of environmental significance concerning the disruption or alteration of a historic, architectural, or archaeological resources or its setting. Including but not limited to: comments, evaluations, and reviews.
|
|
DECD-02-012
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents litigation case files pursuant to the Connecticut Environmental Protection Act, which permits legal recourse for the unreasonable destruction of the state's natural resources, such as air, water, and soil (also applicable to historic structures and landmarks). Including but not limited to: court pleadings and rulings.
|
|
DECD-02-013
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the administration of the Connecticut Freedom Trail, which includes buildings reported to have been used on the Underground Railroad, sites associated with the Amistad case of 1839-1842, and gravesites, monuments, homes, and other structures in Connecticut. Including but not limited to: research, reports, event files, clippings, letters, articles, brochures, and information on existing and potential sites.
|
|
DECD-02-014
|
|
Project end date + 5 Year(s)
|
Disposition is 5 years from date of project completion. Destroy after receipt of signed Form RC-108
|
This series documents the federally-funded Historic Preservation Tax Incentive Program, which provides a 20 percent tax credit for rehabilitating historic buildings. Including but not limited to: approved applications, correspondence, forms, plans, photographs, and issued certificates.
|
|
DECD-02-015
|
|
Application date + 3 Year(s)
|
Disposition is 3 years from date of application or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the federally-funded l Historic Preservation Tax Incentive Program, which provides a 20 percent tax credit for rehabilitating historic buildings. Includes denied, returned, revoked, or withdrawn applications. Including but not limited to: applications, correspondence, forms, plans, and photographs.
|
|
DECD-02-016
|
|
Correspondence date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the protection of the state's ancient burial grounds, the preservation of historic grave markers, and the respectful renovation and maintenance of historic cemeteries. Including but not limited to: correspondence from sextons, cemetery associations, and/or municipal governments.
|
|
DECD-02-017
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
Consists of files maintained for the study of minority and women's history, which identify and document historic buildings, sites, and districts important to the heritage of women and minority (including African Americans, Hispanic Americans, Asian Pacific Americans, and Pacific Islanders) communities. Including but not limited to: research, reports, event files, clippings, letters, articles, brochures, and information on existing and potential sites.
|
|
DECD-02-018
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
Consists of the National Register of Historic Places and the State Register of Historic Places, which provides an official list of buildings, structures, districts, sites, and objects that merit preservation because of their significance in American culture.
|
|
DECD-02-019
|
|
Life of historic place
|
Disposition is life of historic building, structure, district, site, or object. Retain in agency or transfer to State Archives
|
Consists of files for the National Register of Historic Places and State Register of Historic Places, which provides an official list of buildings, structures, districts, sites, and objects that merit preservation because of their significance in American culture. Including but not limited to: research and photos.
|
|
DECD-02-020
|
|
Review date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of files for the Cultural Resource Review under the National Historic Preservation Act, which involves providing technical guidance and professional advice on the potential impact of publicly funded, assisted, licensed, or permitted projects on the state's historic, architectural, and archaeological resources; these are “no effect” (non-substantive) files in which advisory comments are provided for federally-funded, assisted, licensed, or permitted undertakings. Including but not limited to: brief project descriptions, location maps, and agency comment letters.
|
|
DECD-02-021
|
|
Project end date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of files for the Cultural Resource Review under the National Historic Preservation Act (see 54 U.S.C. Sec 306108), which involves providing technical guidance and professional advice on the potential impact of publicly funded, assisted, licensed, or permitted projects on the state's historic, architectural, and archaeological resources; these are substantive files in which advisory comments are provided for federally-funded, assisted, licensed, or permitted undertakings. Including but not limited to: detailed project descriptions, location maps, agency comment letters, and final regulatory agreements.
|
|
DECD-02-022
|
|
Expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents preservation restrictions placed on historic properties as a result of previous rehabilitation/restoration grants provided by the agency to properties owned by municipalities or non-profit organizations. Including but not limited to: brochures, covenants, notifications, plans, and specifications.
|
|
DECD-02-023
|
|
Issue date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of files documenting tax credits granted for the state-funded Historic Homes Rehabilitation Tax Credit program, the state-funded Historic Preservation Tax Credit program, the state-funded Historic Rehabilitation and the Historic Structures Rehabilitation Tax Credit program. Including but not limited to: applications, correspondence, forms, plans, photographs, and vouchers.
|
|
DECD-02-024
|
|
Application date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of files documenting applications for tax credits from the state-funded Historic Homes Rehabilitation Tax Credit program, the state-funded Historic Preservation Tax Credit program, the state-funded Historic Rehabilitation and the Historic Structures Rehabilitation Tax Credit program that were denied, returned, revoked, or withdrawn. Including but not limited to: tax credit applications, correspondence, forms, plans, and photographs.
|
|
DECD-02-025
|
|
Permanent
|
Transfer paper copies to the Thomas J. Dodd Research Center after reformatting to microfiche. Retain microfiche in agency or transfer to State Archives
|
Consists of files of the Statewide Historic Resource Inventory (SHRI) program, which provides a comprehensive survey of the state’s buildings and structures built before 1950. Including but not limited to: inventories, photographs, maps, and information about outdoor artwork.
|
|
DECD-02-026
|
|
Report date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of research studies for tourism and tourism-related entities. Including but not limited to: conversion studies, visitors intercept studies, perception studies, and focus group studies.
|
|
DECD-02-027
|
|
Not Applicable
|
Destroy after receipt of signed Form RC-108
|
Consists of files related to advertisement campaigns and marketing collateral for the State of Connecticut by various media such as the Literature Distribution Service Program, Direct Delivery Program, Direct Sales Program, Travel Trade Program and Marketing Generator Program. Includes, but not limited to, brochures and other printed information, visual aids used in presentations, web content, scripts, data sheets, white papers, and promotional pictures.
|
|
DECD-02-028
|
|
Current cycle plus previous cycle + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of plans to develop, annually update, and implement a strategic marketing plan for the national and international promotion of Connecticut as a tourism destination and to develop a Connecticut strategic plan for new tourism products and attractions.
|
|
DECD-02-029
|
|
Last entry date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] Consists of statistical information collected from the visitor welcome centers, which are used to provide travel-related information needed by visitors, to promote attractions and accommodations, and to draw travelers to visit Connecticut’s attractions. Includes the Hospitality and Information Service Program and Property of Month Program.
|
|
Agency Specific Schedules: Education, State Department of: Entire Agency
|
|
SDE-01-001
|
|
Term of office + 5 Year(s)
|
Disposition is 5 years from date term ends. Destroy after receipt of signed Form RC-108
|
This series documents non-voting Grade 12 student members selected to serve on the State Board of Education. Including but not limited to: applications; letters of reference; and lists submitted to the Governor.
|
|
SDE-01-002
|
|
Position filled or closed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents non-voting Grade 12 student members not selected to serve on the State Board of Education. Including but not limited to: applications; letters of reference; and lists submitted to the Governor.
|
|
SDE-01-003
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents State Board of Education positions regarding educational interests of the State, such as but not limited to, equal student opportunity; school district funding; and diversity. Including but not limited to: position statements and related documentation.
|
|
SDE-01-004
|
|
Award date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the State Board of Education selection process for the Teacher of the Year Award. Including but not limited to: nominations; applications; references; and related correspondence.
|
|
SDE-01-005
|
|
Final payment date + 3 Year(s)
|
Disposition is 3 years after final payment; or until audited; whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents school construction grants administered by SDE. Including but not limited to: applications; project proposals; narratives; preliminary plans and specifications; grants contracts; related correspondence, evaluations, award letters; and reports.
|
|
SDE-01-006
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents State Board of Education investigations and administrative hearings for non-special education complaints against local or regional boards of education. Including but not limited to: investigative material; transcripts; complaints; and related correspondence.
|
|
SDE-01-007
|
|
Decision date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents State Board of Education investigations and administrative hearings for special education complaints against local or regional boards of education. Including but not limited to: transcripts; complaints; exhibits; and related correspondence.
|
|
SDE-01-008
|
|
Resolution date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations and the complaint resolution process regarding allegations a school district is not providing services consistent with the Individuals with Disabilities Education Act (IDEA). Including but not limited to: letters of complaint; investigative materials; and final letter of finding.
|
|
SDE-01-009
|
|
Case closed date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents complaints against local or regional boards of education that were withdrawn by the complainant. Including but not limited to: investigative material; exhibits; transcripts; complaints; and related correspondence.
|
|
SDE-01-010
|
|
Contract end date + 1 Year(s)
|
Disposition is duration of contract plus 1 year. Destroy after receipt of signed Form RC-108
|
This series documents independent contractors hired as special education due process hearing officers. Including but not limited to: contracts; resumes; writing samples; references; reviews; and related correspondence.
|
|
SDE-01-011
|
|
Position filled or closed + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents independent contractors not hired as special education due process hearing officers. Including but not limited to: resumes; writing samples; references; and related correspondence.
|
|
SDE-01-012
|
|
Permanent
|
Retain in agency
|
This series documenting dates of service of hired hearing officers. Including but not limited to: lists.
|
|
SDE-01-013
|
|
Publication date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration and development of curriculum materials and guides to assist local and regional boards of education in developing instructional programs. Including but not limited to: curriculum guides; surveys; and related documentation.
|
|
SDE-01-014
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents SDE compliance with IDEA monitoring by the U.S. Department of Education’s Office of Special Education Programs (OSEP). Including but not limited to: State Performance Plans (SPP); Annual Performance Reports (APR); Continuous Improvement Plans (CIP); and OSEP determination letters.
|
|
SDE-01-015
|
|
Receipt date
|
Discard upon receipt of OSEP response. Destroy after receipt of signed Form RC-108
|
This series consists of all other documentation not mentioned in #14 above. Including but not limited to: individual district and student files; staff and parent surveys; and district specific data collected on each IDEA indicator.
|
|
SDE-01-016
|
|
Permanent
|
Retain in agency
|
This series documents SDE monitoring of school districts IDEA compliance. Including but not limited to: district reports and District Improvement Plan (DIP) letters.
|
|
SDE-01-017
|
|
Issue date
|
Discard upon issuance of DIP letter. Destroy after receipt of signed Form RC-108
|
This series consists of all supporting documentation and data not mentioned in #16 above. Including but not limited to: district developed plans to correct areas of noncompliance and district data to show improvement in the areas of noncompliance.
|
|
SDE-01-018
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of District Annual Performance Reports (DARP) documenting school district performance on IDEA indicators of success over a 1 to 5 year cycle.
|
|
SDE-01-019
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series consists of District Annual Performance Reports (DARP) documenting school district performance on IDEA indicators of success over a 6 year cycle.
|
|
SDE-01-020
|
|
Issue date
|
Discard upon issuance of DARP. Destroy after receipt of signed Form RC-108
|
This series consists of all supporting documentation and data not mentioned in #18-19 above. Including but not limited to: district correspondence and self-assessments; parent surveys; staff and parent interviews; individual student and district files reviews; and onsite reviews.
|
|
SDE-01-021
|
|
Contract end date + 1 Year(s)
|
Disposition is duration of contract plus 1 year. Destroy after receipt of signed Form RC-108
|
This series documents individuals appointed to serve as a child’s advocate in the educational decision-making process in place of the child’s parents or guardians. Including but not limited to: applications; resumes; letters of reference; contracts; and correspondence.
|
|
SDE-01-022
|
|
Denial or revocation date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the denial or revocation of individual surrogate parent appointments. Including but not limited to: applications; resumes; letters of reference; and related correspondence.
|
|
SDE-01-023
|
|
Activity end date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents compensation of surrogate parents for routine duty obligations, such as meeting attendance and observation of student in an educational setting. Including but not limited to: notes; correspondence; and Individualized Education Programs (IEP).
|
|
SDE-01-024
|
|
Case closed date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents student education records submitted to surrogate parents. Including but not limited to: transcripts; report cards; and health, disciplinary, cumulative education, and special education records.
|
|
SDE-01-025
|
|
Superseded date
|
Disposition is upon completion of next approval cycle. Destroy after receipt of signed Form RC-108
|
This series documents State Board of Education accreditation of private facility special education programs. Including but not limited to: applications; evaluation reports; program and facilities’ policies; and related correspondence.
|
|
SDE-01-026
|
|
Decision date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents private facility special education programs denied accreditation by the State Board of Education. Including but not limited to: applications; evaluation reports; program and facilities’ policies; and related correspondence.
|
|
SDE-01-027
|
|
Superseded date
|
Disposition is upon completion of next approval cycle. Destroy after receipt of signed Form RC-108
|
This series documents State Board of Education accreditation of nonpublic schools. Including but not limited to: applications; visiting committee reports; fire and health inspections; accrediting agency reviews; and related correspondence.
|
|
SDE-01-028
|
|
Decision date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents nonpublic schools denied accreditation by the State Board of Education. Including but not limited to: applications; visiting committee reports; fire and health inspections; accrediting agency reviews; and related correspondence.
|
|
SDE-01-029
|
|
Superseded date
|
Disposition is upon completion of next approval cycle. Destroy after receipt of signed Form RC-108
|
This series documents nonpublic school accreditation agencies approved by SDE. Including but not limited to: applications; accreditation standards; agency policies and procedures; and related correspondence.
|
|
SDE-01-030
|
|
Decision date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents nonpublic school accreditation agencies denied recognition by SDE. Including but not limited to: applications; accreditation standards; agency policies and procedures; and related correspondence.
|
|
SDE-01-031
|
|
Issued, denied or revoked date + 2 Year(s)
|
Disposition is 2 years from date charter issued, denied, or revoked. Destroy after receipt of signed Form RC-108
|
This series documents the issuance of charters for local and state schools. Including but not limited to: applications and related correspondence.
|
|
SDE-01-032
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the development and administration of statewide student mastery examinations, such as, but not limited to, Connecticut Mastery Test (CMT) and Connecticut Academic Performance Test (CAPT). Including but not limited to: test blueprints; field test forms; manuals; practice tests; and test booklets.
|
|
SDE-01-033
|
|
Test date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the results of statewide student mastery examinations, such as, but not limited to, Connecticut Mastery Test (CMT) and Connecticut Academic Performance Test (CAPT). Including but not limited to: test answer documents; sample student test booklets; test results; and accompanying manuals.
|
|
SDE-01-034
|
|
Test date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of exam attendance rosters and administered GED exams.
|
|
SDE-01-035
|
|
Test date + 3 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of completed GED exams and test forms.
|
|
SDE-01-036
|
|
Permanent
|
Retain in agency
|
This series consists of GED examination transcripts.
|
|
SDE-01-037
|
|
Request date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for GED transcripts. Including but not limited to: requests, authorizations, and related correspondence.
|
|
SDE-01-038
|
|
Age of majority
|
Disposition is when applicant reaches the age of majority. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents petitions from guardians/custodians for persons 16 years of age for permission to take the GED prior to standard age of 17 years old. Including but not limited to: approval waivers.
|
|
SDE-01-039
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series documents the administration and development of SDE teacher certification exams, such as, but not limited to, the Connecticut Competency Examination for Prospective Teachers (CONNCEPT) and Connecticut Elementary Certification Test (CONNECT). Including but not limited to: test blueprints; field test forms; manuals; practice tests; and completed test booklets.
|
|
SDE-01-040
|
|
Permanent
|
Retain in agency
|
This series documents approved and revoked teacher certifications. Including but not limited to: correspondence; applications; transcripts; verification requests; test results; certificates and licenses.
|
|
SDE-01-041
|
|
Last contact + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents denied teacher certifications. Including but not limited to: correspondence; applications; transcripts; verification requests; and test results.
|
|
SDE-01-042
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents approved teacher preparation programs at regionally accredited colleges and universities. Including but not limited to: reports; rejoinder documents; and review committee decisions.
|
|
SDE-01-043
|
|
Approved date + 7 Year(s)
|
Disposition is 7 years from date of submission or program approval, whichever is later. Destroy after receipt of signed Form RC-108
|
This series consists of supporting documentation for the approval of teacher preparation programs not included in #42 above. Including but not limited to: program curriculum; resumes; notification of candidates; and program candidate outcomes/data.
|
|
SDE-01-044
|
|
Permanent
|
Retain in agency
|
This series documents individual participation and successful / unsuccessful completion of beginning educator programs, such as but not limited to, Beginning Educator Support and Training (BEST) and Teacher Education and Mentoring (TEAM) Program. Including, but not limited to: scoring documentation; registration forms; and unsuccessful teacher portfolios.
|
|
SDE-01-045
|
|
Permanent
|
Retain in agency
|
This series consist of lists of assessors approved to score beginning teacher assessments. Lists include name of assessor; employing district; assessor’s content area; location that scoring occurred; and scorer’s number assigned by the SDE.
|
|
SDE-01-046
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents training materials created to assist teachers in successful completion of the beginning educator portfolios. Including but not limited to: program guides; handbooks; applications; manuals; and exemplar portfolios.
|
|
SDE-01-047
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series documents negotiated, mediated, or arbitrated contracts between local boards of education and teacher/administrator collective bargaining units. Including but not limited to: contracts and related correspondence.
|
|
SDE-01-048
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents arbitration awards. Including but not limited to: arbitration awards and supporting documentation.
|
|
SDE-01-049
|
|
Termination date
|
Disposition is upon appointment of new agent. Destroy after receipt of signed Form RC-108
|
This series documents the designation of administrators’ and teachers’ unit statutory agents for service of process. Including but not limited to: forms and supporting documentation.
|
|
SDE-01-050
|
|
Filing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the selection and designation of representative organizations for administrator and teacher units contract negotiations. Including but not limited to: petitions; signature pages for certified employees; notice of requests for recognition; formal recognition of such organization; and related correspondence.
|
|
SDE-01-051
|
|
Decision date + 2 Year(s)
|
Disposition is 2 years from date selected or rejected. Destroy after receipt of signed Form RC-108
|
This series documents the selection of mediators and arbitrators. Including but not limited to: resumes; interview questions; acceptance and rejection letters; and related correspondence.
|
|
SDE-01-052
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is first. Destroy after receipt of signed Form RC-108
|
This series documents federally funded child nutrition programs, such as but not limited to, Child and Adult Care Food Program (CACFP), National School Lunch Program (NSLP), and Summer Food Service Program (SFSP). Including but not limited to: claims; transmittals; Food and Nutrition Service (FNS) reports; audits; agreements; and related correspondence.
|
|
SDE-01-053
|
|
Receipt date + 5 Year(s)
|
Disposition is 5 years from receipt of report. Destroy after receipt of signed Form RC-108
|
This series documents annual audits of local or regional boards of education, state charter school, and regional education service center programs submitted to SDE. Including but not limited to: audit reports and related correspondence.
|
|
Agency Specific Schedules: Elections Enforcement Commission, State: Entire Agency
|
|
SEEC-01-001
|
|
Hearing completion date + 10 Tear(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administrative hearings conducted pursuant to C.G.S. Sec 4-176e and C.G.S. Sec 4-177. Including but not limited to: documents related to hearings held on a particular day; notices of hearings; appearance forms; decision letters; and related hearing officer notes.
|
|
SEEC-01-002
|
|
Response date + 10 Year(s)
|
Disposition is 10 years from response to petition, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents petitions for reconsideration of administrative hearings. Including but not limited to: petitions for reconsideration; and the agency’s response.
|
|
SEEC-01-003
|
|
Decision date + 14 Month(s)
|
Disposition is 14 months from date of hearing decision. Destroy after receipt of signed Form RC-108
|
This series documents audio recordings of administrative hearings conducted pursuant to C.G.S. Sec 4-176e and C.G.S. Sec 4-177.
|
|
SEEC-01-004
|
|
Permanent
|
Retain in agency or transfer to archives
|
This series documents advisory opinions issued by the State Elections Enforcement Commission pursuant to C.G.S. Sec 9-7b(7). Including but not limited to: requests for advisory opinions, informal staff letters, and advisory opinions.
|
|
SEEC-01-005
|
|
Permanent
|
Retain in agency
|
This series consists of synopses of audits reports and findings from audits conducted by the State Elections Enforcement Commission.
|
|
SEEC-01-006
|
|
Receipt date + 5 Year(s)
|
Disposition is 5 years from date of receipt or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents audits conducted by SEEC that resulted in findings. Including but not limited to: preliminary reviews, advisory letters, field examinations; audit reports, conclusion, and recommendations documentation received from committees or Citizens’ Election Program (CEP) applicants; financial statements; donation records; consultant contracts; receipts; and supporting documentation.
|
|
SEEC-01-007
|
|
Receipt date + 2 Year(s)
|
Disposition is 2 years from date of receipt or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents audits conducted by SEEC that did not result in major findings. Including but not limited to: preliminary reviews, advisory letters, field examinations; audit reports, conclusion, and recommendations (if any); documentation received from committees or Citizens’ Election Program (CEP) applicants; financial statements; donation records; consultant contracts; receipts; and supporting documentation.
|
|
SEEC-01-008
|
|
Case closed date + 2 Year(s)
|
Disposition is 2 years from date claim settled or until audited, whichever is later.Destroy after receipt of signed Form RC-108
|
This series documents legal claims filed with the Office of the Claims Commissioner requesting permission to file suit against the State Elections Enforcement Commission. Including but not limited to: accident/incident reports; claim letters; investigative reports; legal pleadings; settlement agreements; and other legal documents incidental to said claims.
|
|
SEEC-01-009
|
|
Receipt date + 10 Year(s)
|
Disposition is 10 years from date of receipt or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents final decisions made by the Commission and resolved by consent agreement when election law violations are found.
|
|
SEEC-01-010
|
|
Permanent
|
Retain in agency or transfer to archives
|
This series documents appointments to and resignations from the State Elections Enforcement Commission.
|
|
SEEC-01-011
|
|
Permanent
|
Retain in agency
|
This series documents resignation statements submitted to the State Elections Enforcement Commission by committee chairpersons, treasurers, and deputy treasurers.
|
|
SEEC-01-012
|
|
Permanent
|
Retain in agency
|
This series documents termination statements submitted to the State Elections Enforcement Commission by committee chairpersons, treasurers, and deputy treasurers to terminate a committee.
|
|
SEEC-01-013
|
|
Receipt date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of confidential and non-confidential records that document complaints of potential election law violations that may or may not lead to the issuance of formal complaints or docketing. Including but not limited to: informal interviews, subpoenas for documents, complaints, amended complaints, drafts, legal memos, notes, case files, testimony under oath, recommendations of counsel, and consent orders.
|
|
SEEC-01-014
|
|
Receipt date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of confidential records that document investigations authorized by SEEC into complaints of potential election law violations. Investigations may or may not lead to the issuance of formal complaints or docketing. Including but not limited to: informal interviews, drafts, legal memos, case files, reports, and notes.
|
|
SEEC-01-015
|
|
Permanent
|
Retain in agency or transfer to archives
|
This series documents petitions for declaratory rulings, rendered by the State Elections Enforcement Commission to petitioners presenting an actual fact or applying elections law to a specific matter and requesting the Commission’s interpretation of statutes to a given situation. Including but not limited to: original petitions or request for declaratory rulings, informal staff letters, responses to petitions, notice of hearing and hearing transcripts, if applicable; final decisions; and appeals.
|
|
SEEC-01-016
|
|
Receipt date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This record series documents financial disclosures from political committees received by SEEC from the Clerk of the U.S. House of Representatives.
|
|
SEEC-01-017
|
|
Receipt date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This record series documents financial disclosures from presidential candidates received by SEEC from the Clerk of the U.S. House of Representatives.
|
|
SEEC-01-018
|
|
Receipt date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This record series documents financial disclosures from U.S. Senate and House candidates received by SEEC from the Clerk of the U.S. House of Representatives.
|
|
SEEC-01-019
|
|
Filing date + 5 Year(s)
|
Disposition is 5 years from date filed or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents financial disclosures filed by individuals, entities, or committees, excluding candidates for federal office. Including but not limited to: financial disclosure forms; related correspondence; and documentation.
|
|
SEEC-01-020
|
|
Permanent
|
Retain in agency or transfer to archives
|
This series documents lawsuits brought against the Commission or the agency, including but not limited to: federal and state court cases. This is the agency file; Office of the Attorney General represents agency and maintains separate file. Including but not limited to: motions, pleadings, decisions, grievances, and related correspondence.
|
|
SEEC-01-021
|
|
Permanent
|
Retain in agency or transfer to archives
|
This series documents non-binding opinions by State Elections Enforcement Commission staff counsel. Including but not limited to: requests for opinion of counsel, informal staff letters, and opinions of counsel.
|
|
SEEC-01-022
|
|
Permanent
|
Retain in agency
|
This record series documents registration for candidates and committees. Including, but not limited to: registration forms; correspondence; and related documentation.
|
|
Agency Specific Schedules: Emergency Services & Public Protection, Department of: All DESPP Divisions
|
|
DESPP-01-001
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents State Police troop activities, community policing, inspections, and reporting. Including but not limited to: weekly summary reports.
|
|
DESPP-01-002
|
|
Last entry date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents arrests at each troop or specialized unit, including the name, date of birth, and charges of persons arrested.
|
|
DESPP-01-003
|
|
Last entry date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents maintenance of the log of arrests relative to DUI.
|
|
DESPP-01-004
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
OBSOLETE: This series documents records related to the volunteer police auxiliary force pursuant to CGS Sec29-22. Including but not limited to: routine reports; activity reports; and expense reports.
|
|
DESPP-01-005
|
|
Last entry date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents flights of the Aviation Unit program. Including but not limited to: client contacts; flight logs; and Aerial Speed Enforcement Program (ASEP) records.
|
|
DESPP-01-006
|
|
Expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the licensing of sponsors and the participants of boxing and mixed martial arts along with the registration of entities hosting matches in the State of Connecticut pursuant to CGS Sec29-143i et seq. Licenses apply to referees, matchmakers and assistant matchmakers, timekeepers, professional boxers, amateur boxers, managers, trainers, announcers, and promoters. Includes active, expired, denied, and revoked licenses. Including but not limited to: applications for licensure and registration; contracts between boxers, managers, matchmakers, and/or promoters.
|
|
DESPP-01-007
|
|
Permanent
|
Retain in Agency or transfer to State Archives
|
This series documents the event of a boxing or MMA match. Including but not limited to reports of results and any records of the appeal or challenges of match results,
|
|
DESPP-01-008
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents personnel activities of canine officers. Including but not limited to: canine histories; training records; and incident evaluations.
|
|
DESPP-01-009
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the monitoring, recording, and classification of all crimes committed in the state which are motivated by bigotry or bias pursuant to and Family Violence Reports. Including but not limited to: reportable profiles regarding incidents of bias crimes; and published reports.
|
|
DESPP-01-010
|
|
Report date + 5 Year(s)
|
Transfer to State Archives
|
This series documents the monitoring, recording, and classification of all crimes committed in the state which are gang-related. Including but not limited to: reportable profiles regarding incidents of gang-related crimes; and published reports.
|
|
DESPP-01-011
|
|
Termination date + 5 Year(s)
|
Transfer to State Archives
|
This series documents administration of the Connecticut Motor Vehicle Fraud Task Force (MVFTF). Including but not limited to: historical material that may be referenced in ongoing and future investigative files.
|
|
DESPP-01-012
|
|
Termination date + 5 Year(s)
|
Transfer to State Archives
|
This series documents administration of the Connecticut Regional Auto Theft Task Force (CRATTF). Including but not limited to: unit orders; and program development documents.
|
|
DESPP-01-013
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administration of the Connecticut State Police Trooper Memorial Scholarship Fund. Including but not limited to: applications; and related correspondence.
|
|
DESPP-01-014
|
|
Termination date + 5 Year(s)
|
Transfer to State Archives
|
This series documents records related to the Connecticut State Urban Violence and Cooperative Crime Control program. Including but not limited to: mutual assistance and cooperation agreements; and petitions by municipalities.
|
|
DESPP-01-015
|
|
Termination date + 5 Year(s)
|
Transfer to State Archives
|
This series documents records related to the Statewide Firearms Trafficking Task Force (SFTTF). Including but not limited to: mutual assistance and cooperation agreements; and petitions by municipalities.
|
|
DESPP-01-016
|
|
Termination date + 5 Year(s)
|
Transfer to State Archives
|
This series documents records related to the Connecticut Statewide Narcotics Task Force program. Including but not limited to: mutual assistance and cooperation agreements; and petitions by municipalities.
|
|
DESPP-01-017
|
|
Reported date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations of the Statewide Organized Crime Investigative Task Force (SOCITF). Including but not limited to: all records of wiretaps; unit reports; and surveillance logs.
|
|
DESPP-01-018
|
|
Birth date + 110 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the central repository of complete criminal conviction history record disposition information for the State of Connecticut pursuant to CGS Sec29-11 and CGS Chapter 961a.
|
|
DESPP-01-019
|
|
Expiration date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the registration and compliance of Dangerous Weapons Offenders pursuant to Public Act 13-3. To include, but not limited to new registrations and compliance updates.
|
|
DESPP-01-020
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents D.A.R.E. (Drug Abuse Resistance Education) program activities of resident state troopers. Including but not limited to: certification records; applications; evaluations; officer code of conduct; training requests; and personal interviews.
|
|
DESPP-01-021
|
|
Report date + 20 Year(s)
|
Transfer to State Archives
|
This series documents statistical reports related to the D.A.R.E. program.
|
|
DESPP-01-022
|
|
Life of case file or expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents referrals to Department of Motor Vehicles (DMV) for operator license reviews.
|
|
DESPP-01-023
|
|
Warrant signed date + 5 Year(s)
|
Transfer to State Archives
|
This series documents extradition orders for suspected or convicted criminals. Includes copies of background investigations generated by Governor’s warrants.
|
|
DESPP-01-024
|
|
Review date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review of recruits by Field Training Officers (FTO) as part of training after academy. Including but not limited to: observation reports.
|
|
DESPP-01-025
|
|
Reported date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents case records related to Financial Crimes Enforcement Network (FinCEN) inquiries.
|
|
DESPP-01-026
|
|
Birth date + 110 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the maintenance of fingerprints, photographs, and physical descriptions of all persons arrested for crime in Connecticut and submitted to DESPP. Includes ink rolled (hard copy) and Automated Fingerprint Identification System [AFIS] (electronic) fingerprints.
|
|
DESPP-01-027
|
|
Completion date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for return of fingerprints pursuant to CGS Sec 29-15. Including but not limited to: requests; and acknowledgement for return of fingerprints.
|
|
DESPP-01-028
|
|
Permanent
|
Retain in agency
|
This series documents the administration of the statewide firearms database of whether a permit to carry a pistol or revolver, to sell at retail a pistol or revolver, or an eligibility certificate for a pistol or revolver, is valid and has not been revoked or suspended pursuant to CGS Sec29-36l. Including, but not limited to electronic data regarding assault weapon registration, long gun eligibility certifications, ammunition certificates and weapon destructions pursuant to PA13-3 and as amended by PA13-220.
|
|
DESPP-01-029
|
|
Destruction date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the physical destruction of firearms by DESPP. Including but not limited to: destruction documentation.
|
|
DESPP-01-030
|
|
Data entry date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents permits to carry or sell firearms that were issued. Including but not limited to: applications and renewals.
|
|
DESPP-01-031
|
|
Final determination date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents denied or revoked weapons permit applications process as determined by CGSSec29-32 or CGSSec29-28. Including but not limited to: revoked or denied applications.
|
|
DESPP-01-032
|
|
Purchase or transfer date + 50 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the purchase or transfer of firearms. Including but not limited to: purchase records, transfer records and voluntary registration.
|
|
DESPP-01-033
|
|
Expiration date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents licensure of businesses to engage in the business of manufacturer, wholesaler, dealer or jobber of fireworks within the State of Connecticut. Includes active, expired, denied, suspended, and revoked certificates of registration. Including but not limited to: applications; and permits.
|
|
DESPP-01-034
|
|
Certificate expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents licensure of individuals to store, transport or use explosives including fireworks and special effects within the State of Connecticut. Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: applications; and certifications.
|
|
DESPP-01-035
|
|
Gubernatorial term end date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the protection of the Governor and Lieutenant Governor. Including but not limited to: logs; and records of security premise checks and daily movement of Governor and Lieutenant Governor.
|
|
DESPP-01-036
|
|
Last action date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the identity of confidential informants. Including but not limited to: data relative to persons registered as informants under the Administration and Operations (A&O) guidelines and/or Bureau of Criminal Investigations (BCI) orders.
|
|
DESPP-01-037
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents inspections of equipment, firearms, vehicles, and troops. Including but not limited to: staff inspection reports.
|
|
DESPP-01-038
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents troop/unit inspections, including accountability for facilities and equipment. Including but not limited to: troop/unit self-appraisal forms.
|
|
DESPP-01-039
|
|
Data entry date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series contains hard copies of documents identifying information of individuals who possess large capacity magazines, to include type, size, capacity and manufacturer. Including but not limited to: proof of purchase and registration of previously purchased.
|
|
DESPP-01-040
|
|
Review date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application and review process for qualified retired law enforcement officers to carry concealed weapons pursuant to the Law Enforcement Officers Safety Federal Act of 2004 (8 USC Sec926C). Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: applications and supporting documentation (affidavit or letter from HR, fingerprint card, release and indemnification form, and valid pistol permit); and approvals/denials.
|
|
DESPP-01-041
|
|
Final determination date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents hearing proceedings for DESPP conducted in accordance with Conn. Agencies Regs. Sec29-2-1 through Sec29-2-10. Including but not limited to: notifications; dispositions; formal decisions; and hearing transcripts and recordings.
|
|
DESPP-01-042
|
|
Resolution date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings and pending legal action related to emergency services and public protection in Connecticut. Including but not limited to: motions; pleadings; decisions; grievances; research notes; attorney notes; and related correspondence.
|
|
DESPP-01-043
|
|
Completion date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents motor vehicle pursuit statistical information maintained in accordance with the Uniform Statewide Pursuit Policy.
|
|
DESPP-01-044
|
|
Report date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents statistical information submitted by law enforcement agencies to DESPP in accordance with the Alvin W. Penn Racial Profiling Prohibition Act.
|
|
DESPP-01-045
|
|
Request date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for employment of State Police personnel for outside assignments. Including but not limited to: forms; notifications; and related correspondence.
|
|
DESPP-01-046
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
This series documents all training materials used for police training. Including but not limited to: videos; workshop handouts; web based materials for agency employees; and lesson plans.
|
|
DESPP-01-047
|
|
Test date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of polygraph tests for criminal investigations for local law enforcement agencies and State Police. Including but not limited to: data sheets; permission forms; and questionnaires.
|
|
DESPP-01-048
|
|
Hire date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of polygraph tests for employment investigations of State Police applicants. Including but not limited to: data sheets; permission forms; and questionnaires.
|
|
DESPP-01-049
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
This series documents the annual list of all licensed private detectives and private detective agencies and security services and security agencies provided to chiefs of police and clerks' offices of the Superior Court. Including but not limited to: annual lists.
|
|
DESPP-01-050
|
|
Expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the licensure of corporations and limited liability companies (LLC) and individuals who engage/solicit business as a private detective and/or private security service. Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: initial applications and supporting documentation (release waivers and bond certificates); renewal application and supporting documentation (verification of performance bond, list of all registered employees, and applicant fingerprint card); and branch or sub office notifications.
|
|
DESPP-01-051
|
|
Termination date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the registration of employees of private detective and security service companies. Including but not limited to: applications for employee registration; and supporting documentation (applicant fingerprint card, passport-style photograph).
|
|
DESPP-01-052
|
|
Expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the licensure of corporations and limited liability companies (LLC) and individuals who engage/solicit business as a private fire detective or investigator. Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: initial applications and supporting documentation (release waivers and bond certificates); renewal applications and supporting documentation (verification of performance bond, list of all registered employees, and applicant fingerprint card); and branch or sub office notification.
|
|
DESPP-01-053
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
This series documents the notification of the courts, town, city and borough governments or police departments through a list or other document of all professional bail bondsmen and bail enforcement agents licensed by DESPP as mandated by statute. Including but not limited to: notifications.
|
|
DESPP-01-054
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents annual activity reports submitted by licensed professional bail bondsman to keep an accounting of the bondsman’s activity and financial status and monthly activity reports submitted by licensed professional bail bondsman to keep an accounting of the bondsman’s commitments and unexpended bond limit. Including but not limited to: ledger sheets; and cover sheets.
|
|
DESPP-01-055
|
|
Expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents licensure of individuals to engage in the business as a professional bail bondsman. Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: applications and supporting documentation (passport style photograph, fingerprint card, driving record, current operator’s license, DD-214 or other letter of discharge, letters of character reference, credit bureau report, proof of legal residency for non-citizens, statement of financial responsibility, and supplemental firearms permit).
|
|
DESPP-01-056
|
|
Expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents licensure of individuals to contract independently with Bondsmen to pick up any individual who has failed to go to court and collect a percentage of that bond of the individual once he has been apprehended (bounty hunter). Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: initial applications and supporting documentation (applicant fingerprint card, authorization for release of personal information, supplemental firearms permit); qualifications for licensure; and renewal applications.
|
|
DESPP-01-057
|
|
Expiration date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents agreements between DESPP and municipalities for police services. Including but not limited to: agreements; and Attorney General reviews/approvals.
|
|
DESPP-01-058
|
|
Term completion date + 20 Year(s)
|
Disposition is 20 years from date term completed or death of offender. Destroy after receipt of signed Form RC-108
|
This series documents Sex Offender Registration. Including, but not limited to: initial registration, compliance notices and other documentation used for evidentiary purposes, regarding non-compliance.
|
|
DESPP-01-059
|
|
Termination date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the granting of special police powers. Including but not limited to: applications; and nomination forms.
|
|
DESPP-01-060
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
This series documents the publication of Crime In Connecticut, the annual publication of the Connecticut Uniform Crime Reporting (UCR) Program.
|
|
DESPP-01-061
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administration of the Connecticut Uniform Crime Reporting (UCR) Program, which includes the traditional Summary reporting system and the National Incident-Based Reporting System (NIBRS) reported to the Federal Bureau of Investigation (FBI). Including but not limited to: monthly reports; six month summary reports; and correction and edit reports for: Index Crime Offenses (UCR-0001), Property Values (UCR-0002), Time & Location (UCR-0003), Adult Arrests (UCR-0004), Juvenile Arrests (UCR-0005), Law Officers Assaulted (UCR-0006), Homicide (UCR-0007), Negligent Manslaughter (UCR-0008), and Arson (UCR-0009).
|
|
DESPP-01-062
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents use of force (use of tasers, capstun, canine and physical force) by DESPP officers. Including but not limited to: narratives; photographs; statements; and supporting documentation of a use of force incident.
|
|
DESPP-01-063
|
|
Last entry date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records for administering the rotational system of wrecker operators. Including but not limited to: rotation logs; call logs; and wrecker inspection reports.
|
|
DESPP-01-064
|
|
Calendar year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of the emergency medical dispatch training course and emergency medical dispatch continuing education course. Including but not limited to: program applications; and training documents.
|
|
DESPP-01-065
|
|
Superseded + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the development and maintenance of the state-wide emergency service telecommunications plan and the administration and coordination of the implementation of enhanced 9-1-1 service in the State. Including but not limited to: Municipal Plans for E911; Municipal Reroute Plans; service utilization plans; changes of designation; and documentation verifying purpose of all manually performed reverse phone number look-ups on E911 system.
|
|
DESPP-01-066
|
|
Report date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents quarterly reports submitted by Public Safety Answering Points (PSAPs) to DESPP. Including but not limited to: PSAP reports of all calls for services received through the 911 system; and DESPP summary reports that show 911 call activity expressed in time ranges or fractile response times.
|
|
DESPP-01-067
|
|
Service date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the maintenance of emergency telephone service systems. Including but not limited to: E911 database (used to warn citizens of significant events which would impact their safety); Database Management System (continuously updates the E9-1-1 Selective Routing and Automatic Location Information databases); “Opt-In” database (allows communication pathways that are not included in the E911 database, such as mobile phones, VoIP landlines, and smart phones, to be included in order to receive alerts from the system); and the CT Alert ENS (Emergency Notification System) (allows public safety officials to help protect lives and property by providing critical information to residents during emergencies and dangerous situations).
|
|
DESPP-01-068
|
|
Request date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the activation of trunked radio subscriber units, either mobile or portable. Including but not limited to: documents of requested activation by the Network Control Center (NCC).
|
|
DESPP-01-069
|
|
Expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents DESPP reviews of applications for public safety licensing on Connecticut State Police frequencies. Including but not limited to: applications; and related correspondence.
|
|
DESPP-01-070
|
|
Completion date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents repair and maintenance of trunked radio units. Including but not limited to: annual maintenance records; and repair services.
|
|
DESPP-01-071
|
|
Certificate expiration date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review and certification process of telecommunicators and instructors. Includes initial and renewal certifications, as well as revocations, suspensions or refusals to renew certification. Including but not limited to: applications and supporting documentation; certificates of completion; certificates of recognition; written acknowledgments of achievement; and related correspondence.
|
|
DESPP-01-072
|
|
Permanent
|
Retain in Agency
|
This series documents administration of the Connecticut DNA Databank, which is used to compare DNA (deoxyribonucleic acid) profiles generated from evidence recovered from crime scenes to the DNA profiles generated from convicted offenders. Including but not limited to: DNA profiles (electronic); identifying information (paper); biological samples; and written requests for expungement and certified copy of court orders for expungement of DNA databank records.
|
|
DESPP-01-073
|
|
Termination date
|
Destroy after receipt of signed Form RC-108
|
This series documents the registration of all DNA registrants and sex offender registrants for the Connecticut DNA Databank. Including but not limited to: report of the results of a DNA analysis, including profile and identifying information.
|
|
DESPP-01-074
|
|
Permanent
|
Retain in Agency
|
This series documents the forensic analysis of firearms testing and disposition. Including but not limited to: test fires, receipts reflecting the number of test fires; requests; and results.
|
|
DESPP-01-075
|
|
Report date + 10 Year(s)
|
Disposition is 10 years from date final report submitted to the requesting agency. Destroy after receipt of signed Form RC-108
|
This series documents requests for the forensic analysis of evidentiary material (e.g., biological specimen, tire, footwear, prints, impressions, and electronic storage media). Including but not limited to: forensic requests; results; analysis reports; and related electronic data.
|
|
DESPP-01-076
|
|
Inspection date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents quality control and quality assurance of scientific examination and analysis within all forensic laboratory disciplines including, but not limited to: proficiency testing files, instrument files, calibration records, audit documents, correspondence with accreditation bodies, batch files, control test results, and calibration records for certified reference materials.
|
|
DESPP-01-077
|
|
Report date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the scientific examination and analysis of evidentiary material of toxicology and controlled substances for State Police cases. Including but not limited to: toxicology requests; and results.
|
|
DESPP-01-078
|
|
Permanent
|
Retain in Agency
|
This series documents the scientific examination and analysis of evidentiary material of toxicology and controlled substances for municipalities for cases involving death. Includes DESPP expert court testimony. Including but not limited to: toxicology requests; toxicology results; and court records of case files, notes, worksheets and other related case information.
|
|
DESPP-01-079
|
|
Report date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the scientific examination and analysis of evidentiary material of toxicology and controlled substances for municipalities for cases not involving death. Including but not limited to: toxicology requests; and results.
|
|
DESPP-01-080
|
|
Graduation date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents basic police recruit training of all non-State Police division police officers in the State of Connecticut. Including but not limited to: registration forms; copies of medical forms; profiles; assumption of risk forms; permission slips; attendance records; exams; exit surveys; course attendance rosters; course evaluations; course announcements; course sign-in sheets; course curriculum/handouts; and in-service calendars.
|
|
DESPP-01-081
|
|
Graduation date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series includes transcripts documenting basic training course attendance, grades, and topics; graduation; class standing; and Academy performance.
|
|
DESPP-01-082
|
|
Certification date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for certification or recertification of training instructors. Applies to granted General, Provisional, Standard, Master, or Firearms certification. Including but not limited to: applications and supporting documentation (e.g., written statements from department of record and chief executive officer); certifications; and related correspondence.
|
|
DESPP-01-083
|
|
Certification denied, cancelled or revoked + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for certification of training instructors. Applies to denied, cancelled, or revoked General, Provisional, Standard, Master, or Firearms certification. Including but not limited to: applications and supporting documentation (e.g., written statements from department of record and written statements from chief executive officer); requests for cancellation or revocation forms; preliminary inquiries; notices to holder of certificate; written reports; notifications of hearings; written decisions; and related correspondence.
|
|
DESPP-01-084
|
|
Certification date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents lists of certified law enforcement instructors by subject area. Including but not limited to: course title, date, and name of instructor.
|
|
DESPP-01-085
|
|
Effective date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the development and revision of the comprehensive training plan for municipal police including satellite training academies. Including but not limited to: applications to conduct a Satellite Academy; Council approvals; lesson plans; list of instructors; audit reports; and inspection reports.
|
|
DESPP-01-086
|
|
Approved or revoked date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the screening and selection of participants in the Connecticut Police Corps program. Applies to approved and revoked participation. Including but not limited to: applications, leaves of absence, and related correspondence.
|
|
DESPP-01-087
|
|
Certification date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the uniform minimum educational and training standards for employment as a police officer in full-time positions, temporary or probationary positions, and part-time or voluntary positions in Connecticut. Including but not limited to: application forms; background investigations; criminal records checks; polygraph examinations; psychological examinations; and verification of information documents.
|
|
DESPP-01-088
|
|
Certification date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for certification of police officers in Connecticut pursuant to CGS Sec7-294d(a)(7), (8), and (9). Applies to granted original certification, lateral certification, and comparative certification. Including but not limited to: applications for initial (original) certification and applications for recertification, supporting documentation, full or partial waivers, and related correspondence
|
|
DESPP-01-089
|
|
Certification date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series includes transcripts documenting academy attendance, grades, and topics; graduation; class standing; and Academy performance.
|
|
DESPP-01-090
|
|
Final determination date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for certification of police officers in Connecticut. Applies to denied, cancelled, or revoked original certification, lateral certification, and comparative certification. Including but not limited to: applications for initial (original) certification and recertification; supporting documentation, full or partial waivers; requests for cancellation or revocation forms; preliminary inquiries; notices to holder of certificate; written reports; notifications of hearings; written decisions; and related correspondence.
|
|
DESPP-01-091
|
|
Decertification date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the maintenance of lists of decertified police officers in Connecticut. Decertification may have occurred for non-disciplinary reasons.
|
|
DESPP-01-092
|
|
Certification date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for certification of municipal satellite police training schools in Connecticut. Includes approved and denied/withdrawn/revoked certification. Including but not limited to: applications; feasibility studies and reports; evaluations; annual inspection reports; certifications; and related correspondence.
|
|
DESPP-01-093
|
|
Inspection date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the annual visit and inspection of police training schools in Connecticut. Including but not limited to: inspections, reports, and related correspondence.
|
|
DESPP-01-094
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the appointment of council training instructors to act as special police officers throughout the State. Including but not limited to: records of appointment.
|
|
DESPP-01-095
|
|
Termination date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the training of security personnel employed in the public schools by a local or regional board of education including drug detection and gang identification.
|
|
DESPP-01-096
|
|
Test date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of the Candidate Physical Ability Tests (CPAT), which is used for the selection of firefighters by participating fire agencies throughout the State of Connecticut. Including but not limited to: applications; correspondence; sign-in sheets; evaluator observation documents; waivers (injury); and rehabilitation documents.
|
|
DESPP-01-097
|
|
Training date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the use of the state Training Grounds by municipal fire departments for training purposes. Including but not limited to: accounting of the activities conducted; instructor lists and assignments; participant lists; documentation of unusual conditions encountered; any injuries incurred and treatment rendered; any changes or deterioration of the structure; and the condition of the premises and adjacent area at the conclusion of the training exercise.
|
|
DESPP-01-098
|
|
Certification date + 50 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the certification of Connecticut Fire Services by CFPC. Including but not limited to: certification candidate information, such as name and address, fire service affiliations, sponsoring training agency, and training programs attended; applications for certification; examination scores; certifications awarded; and related correspondence.
|
|
DESPP-01-099
|
|
Denied or withdrawn date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the certification of Connecticut Fire Services by CFPC. Consists of applications that are denied or withdrawn. Including but not limited to: certification candidate information such as name and address, fire service affiliations, sponsoring training agency, and training programs attended; applications for certification; examination score; certifications awarded; and related correspondence.
|
|
DESPP-01-100
|
|
Test date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of the certification process of Connecticut Fire Services by CFPC. Including but not limited to: exam schedules; exam score results; test materials such as test booklets, answer sheets, and inventory of copies; certification system administrative manuals; requests for record review and public disclosure forms; and related documentation.
|
|
DESPP-01-101
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents all training materials used for fire training. Including but not limited to: lesson plans, student workbooks, handouts and power point presentations.
|
|
DESPP-01-102
|
|
Test date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of testing and fitting of respirators by CFPC for Connecticut Fire Services. Including but not limited to: type of fit test performed; specific make, model, style, size of the respirator tested; date of the test; test results; name of individual administering the test; and equipment calibration documentation.
|
|
DESPP-01-103
|
|
Training date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents training conducted by CFPC for Connecticut Fire Services. Including but not limited to: applications for training; student applications; in-service training requests; flashover permission forms; and related documents.
|
|
DESPP-01-104
|
|
Superseded, obsolete or expired + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the development and administration of the statewide fire and emergency response plan, used for the systematic mobilization, deployment, organization, and management of fire rescue resources in assisting local agencies in remediation of the effects of a disaster. Including but not limited to: statewide fire organization charts; mutual aid agreements; the Plan; and related documents.
|
|
DESPP-01-105
|
|
Last day at camp + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the development, staffing and administration of a youth camp program. Including, but not limited to program licensing, facility inspections, staff licensing and certifications.
|
|
DESPP-01-106
|
|
Last day of enrollment + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the collection of all required documents for youth participation. Including, but not limited to, waiver eligibility determinations, permissions slips and medical certifications.
|
|
DESPP-01-107
|
|
Final determination date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents complaints or allegations filed against a youth camp facility or staff. Including, but not limited to program records, inspections, participant files and staffing records.
|
|
DESPP-01-108
|
|
Issue date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the dissemination of DEMHS alerts and notifications to inform the public of various incidents, such as but not limited to, early release/late opening for State offices and severe weather related warnings and updates. Including but not limited to: press releases; Everbridge messages; emails; WebEOC (web-based real-time information sharing system); and correspondence.
|
|
DESPP-01-109
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents DEMHS advisory bulletins issued to state agencies and municipalities to provide operational policy and procedure guidance.
|
|
DESPP-01-110
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents records that are created in the course of preparation for, response to, or recovery from an event which is determined to be historic, including but not limited to, those for which the President of the United States declares an emergency or major disaster; disaster declarations; situation reports; disaster assistance requests; applications; administrative plans; value assessments; pre-disaster assessments; damage assessments; and video, photographic, and/or audio records.
|
|
DESPP-01-111
|
|
Activation approved or denied + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review and activation process of civil preparedness forces pursuant to CGS Sec. 28-7(f). Including but not limited to: notifications; activation forms; approvals/denials; rosters of participants, and related correspondence.
|
|
DESPP-01-112
|
|
Closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the activation of the State Emergency Operations Center (EOC) during any major emergency affecting Connecticut. Including but not limited to: declarations of emergency; Incident Command System (ICS) Forms, Incident Action Plans, Situational Reports; WebEOC (web-based real-time information sharing system); and sign-in sheets.
|
|
DESPP-01-113
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the administration of the emergency management and homeland security program. Including, but not limited to: records associated with the preparation of the comprehensive plan and program for civil preparedness of the state; agreements; strategic plans; Memorandum of Understanding (MOUs); and assessments.
|
|
DESPP-01-114
|
|
Fiscal year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the activation of Emergency Management Assistance Compact (EMAC) and International Emergency Management Assistance Compact (IEMAC) agreements. Including but not limited to: requests and responses for assistance; correspondence; requisition forms; contracts; and memorandum of agreement.
|
|
DESPP-01-115
|
|
Request date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Emergency Management Assistance Compact (EMAC) and International Emergency Management Assistance Compact (IEMAC) agreements that are not activated. Including but not limited to: requests and responses for assistance and related correspondence.
|
|
DESPP-01-116
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the administration of the Intrastate Mutual Aid Compact pursuant to CGS Sec. 28-22a. Including but not limited to: intrastate mutual aid compacts; resolutions withdrawing from compact; notifications of local civil preparedness emergencies; and related correspondence.
|
|
DESPP-01-117
|
|
Superseded, obsolete or expired + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the DEMHS review of local emergency operations plans annually submitted pursuant to CGS Sec. 28-7(a). Including but not limited to: emergency plan of operations; notices; approvals/denials; and related correspondence.
|
|
DESPP-01-118
|
|
Superseded, obsolete or expired + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents DEMHS review of security plans from public school districts, institutions of higher education, and private occupational schools submitted annually. Including but not limited to: plans, notifications, and correspondence.
|
|
DESPP-01-119
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the results and findings on State of Connecticut and local emergency response organizations performance during a simulated radiological emergency. Including but not limited to: after action reports and supporting documentation.
|
|
DESPP-01-120
|
|
Permanent
|
Retain in agency
|
This series documents State of Connecticut compliance with requirements for the Radiological Emergency Preparedness and Response (REP) program pursuant to 44 CFR Sec350. Including but not limited to: annual letters of certification submitted to the Federal Emergency Management Agency (FEMA).
|
|
DESPP-01-121
|
|
Permanent
|
Retain in agency or transfer to State Library, State Documents Depository Program
|
This series documents response plans; traffic management plans; local plans; state agency procedures; and public information products created by the Radiological Emergency Preparedness (REP) program pursuant to 44 CFR Sec350 and CGS Sec. 28-31. Including but not limited to: State Radiological Emergency Response Plans and supporting documentation.
|
|
DESPP-01-122
|
|
FEMA evaluation cycle end date + 16 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of Radiological Emergency Preparedness (REP) Program pursuant to 44 CFR Sec350 and CGS Sec. 28-31, including the development of nuclear emergency response plans for areas surrounding nuclear electrical generation facilities and each away-from-reactor fuel storage facility; annual training of state and local emergency response personnel; and development of exercise scenarios and exercising of fixed facility nuclear emergency response plans. Including but not limited to: plans; training attendance sheets; meeting agendas; and exercise plans.
|
|
DESPP-01-123
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the collection, analysis, and dissemination of criminal and terrorism-related information from the Connecticut Intelligence Center (CTIC) to state law enforcement agencies in accordance with Department of Homeland Security policies. Including but not limited to: threat assessments; Suspicious Activity Reports (SAR); bulletins; officer safety messages; and documentation indicating who has been given information, the reason for release of the information, and the date of each dissemination outside the project.
|
|
DESPP-01-124
|
|
Assessment date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents physical security and vulnerability assessments of private and public facilities by the Critical Infrastructure Protection Unit (CIPU). Including but not limited to: floor plans, security features, and surveys.
|
|
DESPP-01-125
|
|
Permanent
|
Retain in agency
|
This series documents confirmation of National Incident Management System (NIMS) training by DESPP or other agencies per State Agency Training and Exercise Plan (SATEP) – Implementing Executive Order No. 34 Governor Dannel P. Malloy. Including but not limited to: rosters.
|
|
DESPP-01-126
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents emergency preparedness training and exercises delivered by DESPP/DEMHS to internal and external participants pursuant to CGS Sec. 28-5(d). Including but not limited to: needs assessment surveys; long-term training and exercise plans; curriculum; course materials; and action reports.
|
|
DESPP-01-127
|
|
Exam date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the administration of polygraph tests for employment investigations of municipal police officer applicants conducted by the DESPP/CT State Police Polygraph Unit. Copies retained by the DESPP Polygraph Unit include but are not limited to: data sheets; permission forms; and questionnaires.
|
|
DESPP-01-128
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the validation of methods used within the Division of Scientific Services (DSS) forensic laboratory as part of the quality control and quality assurance process. Series includes but is not limited to: procedure validation summaries and supporting data.
|
|
DESPP-01-129
|
|
Final determination date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents criminal history hearing proceedings conducted by the Department of Emergency Services and Public Protection in accordance with the Clean Slate Act, Public Act 23-134. Series including, but not limited to: notifications; dispositions; correspondence; hearing transcripts and recordings.
|
|
Agency Specific Schedules: Energy & Environmental Protection, Department of: Materials Management and Compliance Assurance, Bureau of
|
|
DEEP-01-001
|
|
Report date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series documents the causes of Underground Storage Tank system releases. Reports generated by program staff are submitted to the U.S. Environmental Protection Agency to meet grant commitments. Includes but is not limited to: Leaking Underground Storage Tank Site Release Reports and supporting documentation.
|
|
DEEP-01-002
|
|
Reported date + 30 Year(s)
|
Disposition is 30 years from date incident was reported. Destroy after receipt of signed Form RC-108.
|
This series documents the reporting, response and cleanup of emergency incidents, typically involving an oil or chemical spill. Spill notifications or complaints are filed with DEEP and assessed in the field by DEEP Emergency Response Coordinators. Includes but is not limited to: emergency incident reports, emergency incident field reports, evidence checklists, photographs, videos, and related correspondence.
|
|
DEEP-01-003
|
|
Superseded date + 5 Year(s)
|
Disposition is 5 years after superseded. If a company closes, DEEP maintains the last plan submitted. Destroy after receipt of signed Form RC-108.
|
This series consists of Contingency Plans developed by companies to address hazardous waste and chemical spill incidents. Contingency Plans are submitted to DEEP and local emergency response commissions as regulated under the Emergency Planning and Community Right to Know Act (EPCRA) and Resource Conservation and Recovery Act (RCRA). Includes but is not limited to: Contingency Plans and supporting documentation.
|
|
DEEP-01-004
|
|
Data entry date + 3 Month(s)
|
Disposition is 3 months after date reporting forms entered into U.S. EPA database. Destroy after receipt of signed Form RC-108.
|
This series documents hazardous chemical and toxic chemical reporting. TIER II forms list the amounts, hazards, storage conditions and types of containers, as well as the onsite locations of hazardous chemicals utilized by the reporting facility which exceed minimum threshold quantities, as per the regulations. Toxic Chemical Release Inventory Report forms contain the amounts of toxic chemicals released by the reporting facility to the air, land, and water as well as information relative to the offsite transfer by the reporting facility of recovery, recycling and source reduction. Includes but is not limited to: TIER II Emergency and Hazardous Chemical Inventory Reporting Forms and Toxic Chemical Release Inventory Reporting Forms.
|
|
DEEP-01-005
|
|
Permit expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series documents notifications of emergency incidents submitted by permit holders to DEEP as required in hazardous waste permits, solid waste permits, pesticide permits, and water permits. Includes but is not limited to: Emergency Incident Notifications and supporting documentation.
|
|
DEEP-01-006
|
|
Shipment date + 30 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
[OBSOLETE] Shipping papers that track the shipment of wastes from generator to transporter(s) to Treatment, Storage or Disposal Facility (TSDF). Contains names and addresses of aforementioned facilities, type(s) of waste(s), quantities and waste codes.
|
|
Agency Specific Schedules: Energy & Environmental Protection, Department of: Remediation Division
|
|
DEEP-02-001
|
|
Receipt date + 99 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigation of contaminated sites, potentially contaminated sites, and releases to the environment. This series includes but is not limited to: submitted Environmental Condition Assessment Forms (ECAFs) and determination letters, site or release investigation plans, site characterization reports, remedial action plans, remedial action reports, completion of investigation, ecological risk assessments, and related correspondence and commissioner approval letters for plans and reports.
|
|
DEEP-02-002
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series consists of superseded plans and reports and related correspondence associated with investigation of contaminated sites, potentially contaminated sites, and releases to the environment. This series includes but is not limited to: site or release investigation plans; site characterization reports; remedial action plans; remedial action reports; and related correspondence and commissioner approval letters for plans and reports.
|
|
DEEP-02-003
|
|
Receipt date + 99 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of quarterly or annual (or other increment) reports of long-term operation and maintenance activity or groundwater monitoring results at remediation sites with nonpermanent remedies. This series includes but is not limited to: reports and related correspondence for remediation sites and landfill monitoring.
|
|
DEEP-02-004
|
|
Superseded date
|
Disposition is Until superseded or from date which financial assurance is no longer required. Destroy after receipt of signed Form RC-108
|
This series consists of financial assurance documents to provide funding for DEEP to maintain long-term nonpermanent remedies if a responsible party does not perform the required maintenance. This series includes but is not limited to: the financial assurance instrument and related correspondence.
|
|
DEEP-02-005
|
|
Receipt date + 99 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series documents site remediation actions implementing alternative clean-up provisions in the Remediation Standard Regulation (RSRs). This series includes but is not limited to: requests; approval or variance letters; memoranda of decision; records of adoption of alternative or additional criteria; and supporting technical documentation, such as reports and plans for engineered controls, technical impracticability demonstrations, and long-term care plans.
|
|
DEEP-02-006
|
|
Denied or withdrawn date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents site remediation actions not compliant with Remediation Standard Regulation (RSRs). This series includes but is not limited to: requests; memorandum of decisions; technical documentation such as reports and plans for engineered controls, and technical impracticability demonstrations; and related correspondence.
|
|
DEEP-02-007
|
|
Permanent
|
Retain in agency
|
This series documents Licensed Environmental Professional (LEP) determinations that site investigation and remediation meet the applicable requirements. This series includes but is not limited to: submitted verification forms and reports.
|
|
DEEP-02-008
|
|
Permanent
|
Retain in agency
|
This series documents DEEP audits of verifications of remedial actions by Licensed Environmental Professionals (LEP). This series includes but is not limited to: the substantive record associated with documenting site conditions, notice of audit, audit findings, audit reports, and supplemental technical submittals.
|
|
DEEP-02-009
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years after expiration of LEP license. Destroy after receipt of signed Form RC-108
|
This series consists of the supporting documents associated with a DEEP audit of a Licensed Environmental Professional (LEP) verification and documents the audit process. This series includes but is not limited to: review notes, meeting notes, and related correspondence.
|
|
DEEP-02-010
|
|
Permanent
|
Retain in agency
|
This series documents approved environmental use restrictions (EUR), which are easements or deed notices placed on the municipal land records to provide notice to current and potential property owners of such restriction. This series includes but is not limited to: EURs, permanent releases of land use restrictions and associated plans, approvals and reports.
|
|
DEEP-02-011
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series consists of superseded plans and reports and related correspondence associated with environmental use restrictions (EUR) which are easements or deed notices placed on the municipal land records to provide notice to current and potential property owners of such restriction. This series includes but is not limited to: superseded plans, reports and related correspondence associated with the EURs.
|
|
DEEP-02-012
|
|
Decision date + 10 Year(s)
|
Disposition is 10 years from date of issuance of decision document or end of temporary release. Destroy after receipt of signed Form RC-108
|
This series consists of supporting documentation for environmental use restriction (EUR), which are easements or deed notices placed on the municipal land records to provide notice to current and potential property owners of such restriction. This series includes but is not limited to: notices of intent; draft declarations; public comments; and documents related to temporary releases of EURs.
|
|
DEEP-02-013
|
|
Denied date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents denied environmental use restrictions (EUR), which are easements or deed notices placed on the municipal land records to provide notice to current and potential property owners of such restriction. This series includes but is not limited to: applications and related correspondence.
|
|
DEEP-02-014
|
|
Receipt date + 99 Year(s)
|
Disposition is 99 years from receipt of filing. Destroy after receipt of signed Form RC-108
|
This series documents filings under the Property Transfer Program, which triggers disclosure of environmental conditions for establishments upon sale. This series includes but is not limited to: assumption of legal responsibility for site remediation on proscribed forms and acknowledgement letters issued by DEEP, petitions for withdrawal, and similar documents affecting the administrative status of a site.
|
|
DEEP-02-015
|
|
Acknowledgement date + 10 Year(s)
|
Disposition is 10 years after amended filing is acknowledged. Destroy after receipt of signed Form RC-108
|
This series consists of supporting documentation relating to DEEP review of form filings under the Property Transfer Program, which triggers disclosure of environmental conditions for establishments upon sale. This series includes but is not limited to: correspondence prior to acknowledged filing or rejection, and related documents.
|
|
DEEP-02-016
|
|
Rejected date + 10 Year(s)
|
Disposition is 10 years after rejection of filing. Destroy after receipt of signed Form RC-108
|
This series consists of documents filed under the Property Transfer Program which triggers disclosure of environmental conditions for establishments upon sale. This series includes but is not limited to: filings that were not eligible for acknowledgement letters issued by DEEP.
|
|
DEEP-02-017
|
|
Approved date + 10 Year(s)
|
Disposition is 10 years after remediation was verified by LEP (Licensed Environmental Professional) or approved by DEEP. Destroy after receipt of signed Form RC-108
|
This series consists of documents filed under the Property Transfer Program which triggers review of a site potentially requiring remediation. This series includes but is not limited to: schedules, schedule approvals, and modifications that establish the schedule for remediation of a site and periodic reports of progress on schedule compliance.
|
|
DEEP-02-018
|
|
Permanent
|
Retain in agency
|
This series documents DEEP approval of Covenants Not to Sue prospective purchasers of contaminated property. This series includes but is not limited to: applications, covenants, and supporting documentation.
|
|
DEEP-02-019
|
|
Approved date + 10 Year(s)
|
Disposition is 10 years after final covenant approved. Destroy after receipt of signed Form RC-108
|
This series consists of correspondence relating to DEEP review of Covenants Not to Sue. This series includes but is not limited to: draft covenants, correspondence and related documents.
|
|
DEEP-02-020
|
|
Denied or withdrawn date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents denied Covenants Not to Sue prospective purchasers of contaminated property, and includes, but is not limited to: applications and supporting documentation.
|
|
DEEP-02-021
|
|
Certification date + 99 Year(s)
|
Disposition is 99 years after certification of abatement. Destroy after receipt of signed Form RC-108
|
This series documents significant environmental hazard conditions reported to DEEP. This series includes but is not limited to: submitted notification forms, certificates of abatement, resolution memos, abatement work plans and reports, periodic status reports, and related correspondence.
|
|
DEEP-02-022
|
|
Submitted date + 99 Year(s)
|
Disposition is 99 years following submission of the final financial status report as approved by US EPA. Destroy after receipt of signed Form RC-108
|
This series documents the State’s participation in the use of Federal Superfund Program funds for clean- up of inactive hazardous waste sites. This series includes but is not limited to: cooperative agreements, quarterly reports to EPA (Environmental Protection Agency), hazard ranking system scores, and supporting information related to work performed under the State match for each site and correspondence with EPA and responsible parties concerning remediation and applicable requirements.
|
|
DEEP-02-023
|
|
Final payment date + 10 Year(s)
|
Disposition is 10 years from the final payment or after completion of state audit, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the use of State Superfund Program funds for remediation of contaminated sites. This series includes but is not limited to: all documentation relating to the state funding associated with the investigation, characterization, and remediation of hazardous substances, including water main extensions.
|
|
DEEP-02-024
|
|
Permanent
|
Retain in agency
|
This series documents remediation violations resulting in orders and referrals to the Attorney General, State’s Attorney, or EPA. This series includes but is not limited to: administrative or consent orders and supporting documentation, referrals and supporting documentation, certificate of compliance, judgments and stipulated judgments, enforcement action summaries, penalty calculations, consent order data sheets, letters to chief elected official, and letters and vouchers requesting town clerk to record a certified copy of a document on the land records, and related correspondence.
|
|
DEEP-02-025
|
|
Disposition date + 10 Year(s)
|
Disposition is 10 years after final disposition of the enforcement action, if closed no further action required. Destroy after receipt of signed Form RC-108
|
This series documents violation and warning notices issued by the Remediation Division following an investigation, inspection, complaint, or file review. This series includes but is not limited to: violation notices, warning notices, DEEP issued approvals and denials of reports and plans submitted by violators as required by enforcement action, letter of final compliance, and related correspondence.
|
|
DEEP-02-026
|
|
Inspection date + 99 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents DEEP staff compliance inspections, complaint investigations, environmental site assessments, and related activities. This series includes but is not limited to: field reports, site inspection reports, investigation reports, assessment reports, compliance inspection report, field notes, sample result, photographs, and videos.
|
|
DEEP-02-027
|
|
Permit date + 99 Year(s)
|
Disposition is 99 years from permit issuance. Destroy after receipt of signed Form RC-108
|
This series documents the permitting process for discharge into groundwater of waters associated with site remediation. This series includes but is not limited to: applications for permits, modifications and renewals; permits; and supporting technical documents for the purposes of remediating a property.
|
|
DEEP-02-028
|
|
Permit date + 10 Year(s)
|
Disposition is 10 years from permit issuance. Destroy after receipt of signed Form RC-108
|
This series documents the permitting process for discharge into groundwater of waters associated with site remediation This series includes but is not limited to: tentative determination, public notice, certificate of publication, record of public comments and hearings, report of hearing, final determination memo recommending action (remediation related); related correspondence and documents.
|
|
DEEP-02-029
|
|
Denied or withdrawn date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application review process for discharge into groundwater of waters associated with site remediation when a permit is denied or the application is withdrawn. This series includes but is not limited to: submitted applications for permits, tentative determination, public notice, certificate of publication, record of public comments and hearings, report of hearing, final determination memo recommending action (remediation related); related correspondence and documents.
|
|
DEEP-02-030
|
|
Receipt date + 99 Year(s)
|
Disposition is 99 years from receipt of report. Destroy after receipt of signed Form RC-108
|
This series consists of reports submitted following the issuance of a permit for discharge into groundwater of waters associated with site remediation. This series includes but is not limited to: 5 year review reports of permitted activity (remediation related), and related correspondence.
|
|
DEEP-02-031
|
|
Receipt date + 99 Year(s)
|
Disposition is 99 years from receipt of report. Destroy after receipt of signed Form RC-108
|
This series consists of reports submitted following the issuance of a permit for discharge into groundwater of waters associated with site remediation. This series includes but is not limited to: quarterly or annual reports of long-term operation and maintenance activity or groundwater monitoring results at sites with permitted discharges (remediation related), and related correspondence.
|
|
DEEP-02-032
|
|
Permit date + 99 Year(s)
|
Disposition is 99 years from permit issuance. Destroy after receipt of signed Form RC-108
|
This series documents the permitting issuance process for a general permit available for multiple sites that utilize in situ remediation. This series includes but is not limited to: final issued permit, tentative determination, public notice, certificate of publication, record of public comments and hearings, report of hearing, final determination memo recommending action.
|
|
DEEP-02-033
|
|
Permit expiration date + 10 Year(s)
|
Disposition is 10 years after expiration of permit, or 3 years after final verification of remediation at site, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the registration process under a general permit available for multiple sites that utilize in situ remediation. This series includes but is not limited to: registration forms, supporting documents, decision memos, approvals or certificates of coverage, periodic monitoring reports, additional discharge requests, final reports, and related correspondence.
|
|
DEEP-02-034
|
|
Denied or withdrawn date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the denial of registration under a general permit available for multiple sites that utilize in situ remediation. This series includes but is not limited to the: registration forms, supporting documents, decision memos, disapprovals, denials, or rejections, and related correspondence.
|
|
DEEP-02-035
|
|
Permit expiration date + 10 Year(s)
|
Disposition is 10 years after expiration of permit, or 3 years after final verification of remediation at site, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the issuance of temporary or emergency authorizations for discharge of groundwater associated with site remediation to a sanitary sewer or surface water. This series includes but is not limited to: application forms, supporting documents, decision memos, authorization document, periodic monitoring reports, final reports, and related correspondence.
|
|
DEEP-02-036
|
|
Denied or withdrawn date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents emergency or temporary authorization requests to discharge of groundwater associated with site remediation to a sanitary sewer or surface water that have been denied or withdrawn. This series includes but is not limited to: application forms, supporting documents, decision memos, denials or rejections, and related correspondence.
|
|
DEEP-02-037
|
|
Deadline date + 10 Year(s)
|
Disposition is 10 years after date of appeal deadline. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the application process for the request of reimbursement of costs associated with remediation of UST (Underground Storage Tank) releases. This series includes but is not limited to: UST Clean Up Account Program records, including but not limited to, submitted applications, supporting documentation, and correspondence.
|
|
DEEP-02-038
|
|
Program end date + 99 Year(s)
|
Disposition is 99 years from sunset of the program, (December 31, 2001). Amnesty Letters are permanent. Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the application process for reimbursement for clean-up of releases from Residential Heating Oil Underground Storage Tanks. This series includes but is not limited to: application forms, and supporting documentation.
|
|
DEEP-02-039
|
|
Program end date + 20 Year(s)
|
Disposition is 20 years from sunset of the program, (December 31, 2001). Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents UST (Underground Storage Tank) removal contractor registrations under the Residential Amnesty Program. This series includes but is not limited to: registrations and supporting documentation.
|
|
DEEP-02-040
|
|
Connection date + 5 Year(s)
|
Disposition is 5 years from connection to public water system or when sampling is no longer required, whichever is longer. Destroy after receipt of signed Form RC-108
|
This series documents State assistance to individuals whose private or public drinking water supply wells may be at risk of contamination or have become contaminated as a result of human activity pursuant to CGS Sec. 22a-471. This series includes but is not limited to: correspondence with municipalities and residents, treatment system records, monitoring, lab analyses; contaminated well and bottled water lists; and all documentation of installation or potential installation of a water main and records of similar documents generated by parties responsible for contamination of private wells.
|
|
DEEP-02-041
|
|
Receipt date + 99 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Resource Conservation and Recovery Act (RCRA) Corrective Action (CA) environmental investigation and remediation, hazardous waste management unit-specific closure, and post-closure environmental obligations. This series includes but is not limited to: plans, reports, and supporting documentation.
|
|
DEEP-02-042
|
|
Permit date + 99 Year(s)
|
Disposition is 99 years from date of permit issued by DEEP. Destroy after receipt of signed Form RC-108
|
This series documents the issuance of Resource Conservation and Recovery Act (RCRA) Corrective Action (CA) specific stewardship permits regarding long term custodial requirements for remediation operation and maintenance of Federal RCRA sites overseen by DEEP. This series includes but is not limited to: applications, permits, and supporting documentation.
|
|
DEEP-02-043
|
|
Report date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents a consultant’s evaluation of management of risk in responding to releases to the environment. This series includes but is not limited to: The consultant’s Risk-Based Decision-Making related report, DEEP response to recommendations, and related public comments, earlier versions, and supporting documentation.
|
|
DEEP-02-044
|
|
Event date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of materials developed for education and outreach supporting the Remediation Division Programs. This series includes but is not limited to: public outreach, trainings, and presentations.
|
|
DEEP-02-045
|
|
Surrender date + 3 Year(s)
|
Disposition is 3 years from date license is surrendered, or 3 years from date of LEP death, whichever is first. Destroy after receipt of signed Form RC-108
|
This series documents licensing process for Licensed Environmental Professionals program where license is issued. This series includes but is not limited to: exam application forms, renewal applications, proof of educational qualifications, exam results, continuing education certifications, license issued, correspondence and related materials.
|
|
DEEP-02-046
|
|
Receipt date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of application materials for Licensed Environmental Professionals program where license is denied or application is deemed insufficient. This series includes but is not limited to: exam application forms, renewal application forms, proof of educational qualifications, exam results, continuing education certifications, correspondence and related materials.
|
|
DEEP-02-047
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series documents program reporting and statistics. This series includes but is not limited to: program reports and statistics, and supporting documentation.
|
|
DEEP-02-048
|
|
Approved or denied date + 3 Year(s)
|
Destroy after receipt of signed RC-108
|
This series documents the licensed environmental professionals (LEP) board’s review and approval/denial of continuing education courses submitted by providers for LEPs including, but not limited to; the application form, course outline/syllabus, sample course certificate, a resume of the instructor, and related correspondence.
|
|
Agency Specific Schedules: Environmental Quality, Council on: Entire Agency
|
|
CEQ-01-001
|
|
Permanent
|
Retain in agency
|
This series documents Council recommendations for legislation to identify deficiencies and recommend solutions regarding the environment. Including but not limited to: recommendations.
|
|
CEQ-01-003
|
|
Issue date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Council summaries and recommendations on topics of environmental importance based on information received from state agencies. Including but not limited to: reports and supporting documentation.
|
|
CEQ-01-004
|
|
Resolution date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents citizen complaints regarding potential violations of environmental laws pursuant to CGS Sec. 22a-13. Including but not limited to: complaints; preliminary investigations; findings; background material and responses.
|
|
CEQ-01-005
|
|
Receipt date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents emergency room admissions used in environmental impact research. Including but not limited to: copies of statistical data from the Department of Public Health (DPH).
|
|
CEQ-01-006
|
|
Application date + 2 Year(s)
|
Disposition is 2 years after date of application or petition. Destroy after receipt of signed Form RC-108
|
This series documents applications and petitions submitted to the Council on Environmental Quality (CEQ) as part of the regulatory process for CT Siting Council declaratory rulings. Series includes but is not limited to: reports, applications, petitions, and supporting documentation.
|
|
Agency Specific Schedules: Ethics, Office of State: Entire Agency
|
|
OSE-01-001
|
|
Permanent
|
|
Consists of records that document advisory opinions issued by the Office of State Ethics. Including but not limited to: requests for advisory opinions, informal staff letters, and advisory opinions.
|
|
OSE-01-002
|
|
Receipt date + 1 Year(s)
|
|
Consists of records that document allegations of misconduct outside the Office of State Ethics jurisdiction. Including but not limited to: allegations and related documents.
|
|
OSE-01-003
|
|
Receipt date + 10 Year(s)
|
|
Consists of records that document appointments to, and resignations from, the Citizen’s Ethics Advisory Board and the State Ethics Commission.
|
|
OSE-01-004
|
|
Hearing completion date + 5 Year(s)
|
|
Consists of records that document hearings of the Citizen’s Ethics Advisory Board and the State Ethics Commission.
|
|
OSE-01-005
|
|
Case closed date + 2 Year(s)
|
|
Consists of confidential records that document investigations of potential ethics violations that do not lead to the issuance of formal complaints. Including but not limited to: informal interviews, drafts, legal memos, notes, and consent orders.
|
|
OSE-01-006
|
|
Case closed date + 5 Year(s)
|
|
Consists of non-confidential records that document investigations of potential ethics violations that do not lead to the issuance of formal complaints. Including but not limited to: informal interviews, drafts, legal memos, notes, and consent orders.
|
|
OSE-01-007
|
|
Case closed date + 2 Year(s)
|
|
Consists of confidential records that document investigations of potential ethics violations that lead to the issuance of formal complaints. Including but not limited to: informal interviews, subpoenas for documents, complaints, amended complaints, drafts, legal memos, notes, testimony under oath, and consent orders.
|
|
OSE-01-008
|
|
Case closed date + 5 Year(s)
|
|
Consists of non-confidential records that document investigations of potential ethics violations that lead to the issuance of formal complaints. Including but not limited to: informal interviews, subpoenas for documents, complaints, amended complaints, drafts, legal memos, notes, testimony under oath, and consent orders.
|
|
OSE-01-009
|
|
Case closed date + 5 Year(s)
|
|
Consists of reports submitted by any public official or state employee who establishes a legal defense fund, or for whom a legal defense fund has been established, to the Office of State Ethics.
|
|
OSE-01-010
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document the registration and filings of lobbyists in Connecticut. Including but not limited to: lobbyist registrations, lists of lobbyists, financial reports of lobbyists, expert witness statements of intent, and notices to individuals in lobbyist reports.
|
|
OSE-01-011
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document audits of registration and filings of lobbyists in Connecticut. Including but not limited to: preliminary reviews, field examinations, post-audit reports, and corrective actions (if any).
|
|
OSE-01-012
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document probable cause hearings. Including but not limited to: record of probable cause hearings and memorandums of decision.
|
|
OSE-01-013
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document the filings of elected public officials and state employees. Including but not limited to: statements of financial information (SFI), confidential addenda for SFI, state marshal conflict of interest statements, ethics statements, reports of items of value, and public official necessary expense forms.
|
|
OSE-01-014
|
|
Receipt date + 5 Year(s)
|
|
Consists of statements and reports filed by, and with, the Office of State Ethics.
|
|
Agency Specific Schedules: Government Accountability, Office of: Firearms Permit Examiners, Board of
|
|
OGA-01-001
|
|
Case closed date + 5 Year(s)
|
|
This series documents the appeal and review process for citizens aggrieved by any denial to issue or renew a firearms permit under the provisions of CGS Sec 29-28 or Sec 29-36f, or revocation of a permit issued, or refusal or failure of any issuing authority to furnish an application. Including but not limited to: appeal letters; appellant questionnaires; supporting documentation (letter of denial or revocation); notices of hearing; documentation of necessity (proof why it is necessary to delay a hearing); letters of board decisions; and related correspondence.
|
|
Agency Specific Schedules: Government Accountability, Office of: Judicial Selection Commission
|
|
OGA-03-001
|
|
Mandatory retirement date + 1 Year(s)
|
Disposition is 1 year from date applicant reaches age of mandatory retirement or 1 year from date of applicant death, whichever is earlier. Destroy after receipt of signed Form RC-108
|
This series documents applications for judicial appointment; reappointment; and elevation to Appellate Court, Supreme Court, and Chief Justice. Including but not limited to: applications; resumes; transcripts; evaluations; assignments; financial documents; recommendation letters to the Office of the Governor; and related correspondence.
|
|
OGA-03-002
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
This series documents Judicial Branch notification of state judicial appointments to the Judicial Selection Commission. Includes but not limited to memorandum and lists of appointees.
|
|
Agency Specific Schedules: Government Accountability, Office of: Office of Victim Advocate
|
|
OGA-02-001
|
|
Request date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents complaints filed by crime victims that do not qualify for Victim Advocate assistance or do not rise to the level of a case investigation. Including but not limited to: correspondence; police reports; transcripts; court orders; and victim testimony.
|
|
OGA-02-002
|
|
Case closed date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents complaints filed by crime victims that rise to the level of case investigations in order to evaluate the delivery of services to crime victims; review procedures; recommend policy changes; or propose systematic reform. Including but not limited to: correspondence; police reports; transcripts; court orders; victim testimony; and information releases.
|
|
OGA-02-003
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series consists of reports addressing an issue or failure in the criminal justice process.
|
|
OGA-02-004
|
|
Case closed date + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents all supporting documentation not mentioned in #3 used to create investigative reports.
|
|
OGA-02-005
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents reports sent to the OVA by organizations and agencies that provide victim services. Including but not limited to: reports and correspondence.
|
|
Agency Specific Schedules: Government Accountability, Office of: Office of the Child Advocate
|
|
OGA-04-001
|
|
Expiration date + 6 Year(s)
|
Disposition is 6 years from date agreement no longer in force. Destroy after receipt of signed Form RC-108
|
This series documents confidentiality agreements signed by consultants working on a pro bono basis. Including but not limited to: confidentiality agreements.
|
|
OGA-04-002
|
|
Notification date + 3 Year(s)
|
Disposition is 3 years from date of initial contact. Destroy after receipt of signed Form RC-108
|
This series documents complaints against public or private agencies that do not result in a formal investigation. Including but not limited to: complaints, intake forms, and supporting documentation.
|
|
OGA-04-003
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the investigation of individual, child specific complaints. Including but not limited to: education, health, child welfare, law enforcement, and judicial records, and supporting documentation.
|
|
OGA-04-004
|
|
Case closed date + 5 Year(s)
|
Disposition is 5 years from date case closed or release of public report. Destroy after receipt of signed Form RC-108
|
This series documents the review of facilities where juveniles have been place by a state agency. Including but not limited to: education, health, child welfare, law enforcement, and judicial records, and supporting documentation.
|
|
OGA-04-005
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the investigation of the death of any child receiving services from a state department or agency addressing child welfare, social or human services or juvenile justice. Including but not limited to: education, health, child welfare, law enforcement, and judicial records, and supporting documentation.
|
|
OGA-04-006
|
|
Case closed date + 5 Year(s)
|
Disposition is 5 years from date case closed or release of public report. Destroy after receipt of signed Form RC-108
|
This series documents the review of state policies concerning children, including changes in the system of providing juvenile justice, child care, foster care, and treatment. Including but not limited to: education, health, child welfare, law enforcement, and judicial records, and supporting documentation.
|
|
OGA-04-007
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents investigative reports resulting from systemic or facility investigations. Reports address issues or failures in public or private agencies that are charged with the protection of children. Including but not limited to: OCA's methodology, findings, and recommendations.
|
|
OGA-04-008
|
|
Birth date + 23 Year(s)
|
Disposition is 5 years after child reaches age 18. Destroy after receipt of signed Form RC-108
|
This series documents Office of the Child Advocate cases that are litigated. Including but not limited to: affidavits, complaints, responses, orders of dismissals, notice and general appeal, orders, legal briefs, transcripts of proceedings, and court decisions.
|
|
OGA-04-009
|
|
Report date + 3 Year(s)
|
Disposition is 3 years from date compiled. Destroy after receipt of signed Form RC-108
|
This series documents data collected from surveys conducted by the Office of the Child Advocate on issues related to child welfare. Including but not limited to: survey forms and confidential responses.
|
|
Agency Specific Schedules: Governor, Office of the: All Agency Programs
|
|
GOV-01-001
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents constituent correspondence sent or received by the Office of the Governor. Including but not limited to: correspondence; related documents; and tracking database records.
|
|
GOV-01-002
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents official correspondence not filed with other records series that is sent, or received, by the Governor and the Governor’s executive level staff (e.g., Chief of Staff, General Counsel, and Senior Advisor). Official correspondence concerns coordination of programs and Governor’s policy and responsibilities of a non-routine nature. Including but not limited to: correspondence and related documents.
|
|
GOV-01-003
|
|
Term of office + 3 Year(s)
|
Disposition is 3 years from end of gubernatorial term. Destroy after receipt of signed Form RC-108
|
This series documents the review process for gubernatorial appointments of state appointive officers. Positions may be paid or unpaid and include agencies/departments and state boards, commissions, workgroups, taskforces, and other such groups created by legislation or executive order. Including but not limited: background checks/questionnaires; résumés; letters of recommendation; tax returns; judicial selection process records; public hearing records; reviews and related correspondence.
|
|
GOV-01-004
|
|
2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for gubernatorial appointments of state appointive officers pursuant to CGS Title 4, Chapter 46. Positions may be paid or unpaid and include agencies/departments and state boards, commissions, workgroups, taskforces, and other such groups created by legislation or executive order. Including but not limited: background checks/questionnaires; résumés; letters of recommendation; tax returns; judicial selection process records; public hearing records; reviews; and related correspondence.
|
|
GOV-01-005
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents gubernatorial appointments to positions for agencies/departments and state boards, commissions, workgroups, taskforces, and other such groups created by legislation or executive order. Includes letter of appointment only.
|
|
GOV-01-006
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents executive orders issued by the Governor to agencies of the Executive Branch of state government. Including but not limited to: executive orders and related correspondence.
|
|
GOV-01-007
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents extradition of suspected or convicted criminals. Including but not limited to: extradition orders; supporting documentation; and related correspondence.
|
|
GOV-01-008
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents activities and use of the Governor’s residence. Including but not limited to: state and non-profit event records; guided public tour records; fine arts loan agreements; records related to repair, remodeling, and the purchase of furniture and fixtures; and state and conservancy inventories.
|
|
GOV-01-009
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents activities of the Office of the Governor at any off-site facility, including but not limited to, the Washington D.C. office. Including but not limited to: agency, organization, and constituent files; correspondence; news clippings; and proclamations.
|
|
GOV-01-010
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents activities of the First Lady/Gentleman in his or her official capacity. Including but not limited to: materials on meetings that were attended, speaking engagements, and personal appearances.
|
|
GOV-01-011
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents the inauguration into office of a new or re-elected governor. Records may contain documentation on the political and social aspects of the inauguration activities.
|
|
GOV-01-012
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents official statements and letters issued by the Governor. Including but not limited to: drafts of official statements and letters; official statements and letters; correspondence; and related documentation.
|
|
GOV-01-013
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents official photographs and other related audio/video recordings of activities of the Governor.
|
|
GOV-01-014
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents press releases issued by the Governor.
|
|
GOV-01-015
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents proclamations issued by the Governor for noteworthy state or local events that deserve special recognition.
|
|
GOV-01-016
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents Public Acts passed by the General Assembly pending gubernatorial action. Including but not limited to: related correspondence; internal review documents and analysis; transmittal sheets; press releases; and veto messages, if applicable.
|
|
GOV-01-017
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents the final schedule of the Governor’s day-to-day meetings and activities.
|
|
GOV-01-018
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents requests from individuals or organizations for the Governor to attend an event or meeting. Including but not limited to: invitations, regretted invitations; requests from organizations and individuals; remarks; talking points; and related documents.
|
|
GOV-01-019
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents speeches given by the Governor. Including but not limited to: speeches (inaugural address, state of the budget, and state of the state) and related documentation.
|
|
GOV-01-020
|
|
Permanent
|
Transfer to the Department of Administrative Services (DAS)
|
This series documents annual reports submitted by state agencies to the Governor pursuant to CGS Sec4-60.
|
|
GOV-01-021
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
This series documents audits of state agencies submitted to the Governor. Including but not limited to: reports from the Auditors of Public Accounts; legal office letters; follow-up information; 4-33a forms (monthly loss reports); and letters sent to agencies for lost items valued over $1,000.
|
|
GOV-01-022
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents review of state agency proposed regulations in accordance with CGS Sec4-168b. Including but not limited to: copies of proposed regulations; notifications from the Office of Policy and Management (OPM) to approve or not approve; internal reviews; attorney’s notes; letters to approve or not approve; and related correspondence.
|
|
GOV-01-023
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents subjects/issues related to the Governor and the Governor’s executive level staff (e.g., Chief of Staff, General Counsel, and Senior Advisor). Files include, but are not limited to, cases, complaints, issues, or background information. Including but not limited to: reference material and related correspondence.
|
|
GOV-01-024
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents the transition from the incumbent Governor to the Governor-elect. Including but not limited to: policy reports; working group records; press releases; and related correspondence.
|
|
GOV-01-025
|
|
Permanent
|
Retain in office until the end of the gubernatorial term; then transfer to the State Archives
|
This series documents requests for issuance of writs of special elections in accordance with CGS Title 9. Including but not limited to: related correspondence; writs of special elections; transmittal memos; and certificates of election.
|
|
Agency Specific Schedules: Healthcare Advocate, Office of the: All Agency Programs
|
|
OHA-01-001
|
|
7 Year(s)
|
|
This series documents assistance provided to health insurance consumers with managed care plan selection, understanding rights and responsibilities under managed care plans, review of consumer health insurance records, and the filing of complaints and appeals related to managed care plans. Including but not limited to: referrals, correspondence, complaints, appeals, grievances, related documentation, notices concerning the services that the OHA provide (aka “posters”), and database.
|
|
OHA-01-002
|
|
3 Year(s)
|
|
This series documents OHA participation in legislative advocacy and testimony. Including but not limited to: comments on statutes and proposed changes, draft statutes, summaries of legislation, testimony, and related correspondence.
|
|
OHA-01-003
|
|
Expiration date + 6 Year(s)
|
Disposition is 6 years from expiration of appeal period.
|
This series documents OHA participation in litigation. Including but not limited to: briefs, memos, motions, pleadings, decisions, grievances, records of administrative hearings, and related correspondence.
|
|
OHA-01-004
|
|
7 Year(s)
|
|
This series documents investigation and referrals to the Insurance Department if OHA finds that a preferred provider network may have engaged in a pattern or practice that may be in violation of CGS Sec38a?226 to 38a-226d, 38a?479aa to 38a?479gg, or 38a?815 to 38a?819. Including but not limited to: records of investigations and related documentation.
|
|
OHA-01-005
|
|
7 Year(s)
|
|
This series documents the maintenance of the annual list of complaints received against managed care organizations and preferred provider networks pursuant to CGS Sec38a-1041(d).
|
|
OHA-01-006
|
|
3 Year(s)
|
|
This series documents the activities of the workgroup to monitor compliance with Connecticut mental health parity laws, including representation from managed care representatives, consumers, and OHA employees. Including but not limited to: correspondence, meeting notes, studies, memos outlining strategy, and related documentation.
|
|
OHA-01-007
|
|
3 Year(s)
|
|
This series documents the public education outreach program which educates health insurance consumers of the existence of the appeals procedure for denials of claims. Including but not limited to: press releases and periodic evaluations of the effectiveness of educational efforts.
|
|
Agency Specific Schedules: Housing Finance Authority, Connecticut: All Agency Programs
|
|
CHFA-01-001
|
|
Expiration date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108. Pursuant to 26 CFR 1.42-5(b)(2), records must be retained for “at least 6 years after the due date (with extensions) for filing the federal income tax return for that year.”
|
This series documents project compliance with tax credit requirements. Including but not limited to: audits, site reviews, and reports on compliance.
|
|
CHFA-01-002
|
|
Expiration date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108. Pursuant to 26 CFR 1.42-5(b)(2), records must be retained for “at least 6 years after the due date (with extensions) for filing the federal income tax return for that year.”
|
This series documents awarding and issuance of tax credits. Including but not limited to: commitments and IRS notifications.
|
|
CHFA-01-003
|
|
Maturity date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents multifamily loan transactions. Including but not limited to: loan documents, supporting information, and title verifications.
|
|
CHFA-01-004
|
|
Expiration date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents commitment of section 8 support, monitoring of issuance and compliance. Including but not limited to: voucher tracking, project reviews, and assessments.
|
|
CHFA-01-005
|
|
Maturity date + 3 Year(s)
|
Disposition is 3 years from loan maturity date or 6 years from date foreclosure process is completed, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents loan and borrower information for single family loans. Including but not limited to: mortgage documentation and application information.
|
|
CHFA-01-006
|
|
Maturity date + 3 Year(s)
|
Disposition is 3 years from loan maturity date or 6 years from date foreclosure process is completed, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents application and status requirements for single family loans. Including but not limited to: tax returns and settlement statements.
|
|
CHFA-01-007
|
|
Maturity date + 3 Year(s)
|
Disposition is 3 years from loan maturity date or 6 years from date foreclosure process is completed, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents defaults and refinancing for single family loans. Including but not limited to: claims, bankruptcy, and releases.
|
|
CHFA-01-008
|
|
2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents application and appraisals for single family loans. Including but not limited to: tax returns, employment verifications, and sales contracts.
|
|
CHFA-01-009
|
|
Maturity date + 3 Year(s)
|
Disposition is 3 years from loan maturity date or 6 years from date foreclosure process is completed, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents eligibility for single family loans. Including but not limited to: tax returns, sales contracts, and settlement statements.
|
|
CHFA-01-010
|
|
Deposit date + 14 Day(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the electronic deposit of paper checks for ACH Accounts Receivable (ARC) and Back Office Conversion (BOC) check conversion
|
|
Agency Specific Schedules: Human Rights and Opportunities, Commission on: Field Operations
|
|
CHRO-01-001
|
|
Disposition date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Intake Dispositions (aka Inquiry Dispositions) consisting of one-page records of initial inquiries that never became formal affidavit complaints
|
|
CHRO-01-002
|
|
Disposition date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Complaint Files (Housing) includes but is not limited to correspondence, notes, affidavit, HUD forms, investigative plan, status code history, stipulated agreements and any supporting documentation.
|
|
CHRO-01-003
|
|
Disposition date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Complaint Files (all others) includes but is not limited to correspondence, notes, affidavit, investigative plan, status code history, stipulated agreements and any supporting documentation.
|
|
CHRO-01-004
|
|
Permanent
|
Retain in Agency or Transfer to State Archives.
|
Hearing Files (Housing) consist of complaints that could not be resolved without a hearing. These files include but are not limited to notice of hearing, complaint, answer, written applications, correspondence, depositions, pre-hearing motions, post-hearing motions, exhibits, transcripts, briefs, interim rulings decisions, hearing decision, appeals, supplemental decision, stipulated agreements and court decisions.
|
|
CHRO-01-005
|
|
Permanent
|
Retain in Agency or Transfer to State Archives.
|
Hearing Files (all others) consist of complaints that could not be resolved without a hearing. These files include but are not limited to notice of hearing, complaint, answer, written applications, correspondence, depositions, pre-hearing motions, post-hearing motions, exhibits, transcripts, briefs, interim rulings decisions, hearing decision, appeals, supplemental decision, stipulated agreements and court decisions.
|
|
CHRO-01-006
|
|
Permanent
|
Permanent
|
Declaratory Rulings
|
|
CHRO-01-007
|
|
Permanent
|
Retain in Agency or Transfer to State Archives.
|
Fact Finding files consist of Commission initiated investigations of state agency practices. Includes but not limited to investigations, correspondence, and final report
|
|
CHRO-01-008
|
|
Action date + 3 Year(s)
|
Disposition is 3 years from date of Commission action. Destroy after receipt of signed Form RC-108. Connecticut Administrative Regulations Sec. 46a-68-55 require a 2 year retention.
|
State Agency Affirmative Action Plans Review files include but not limited to copy of agency plans, reviews summaries and correspondence
|
|
CHRO-01-009
|
|
Project end date + 3 Year(s)
|
Disposition is 3 years from conclusion of project. Destroy after receipt of signed Form RC-108.
|
Contract Compliance Monitoring Report Files covers vendors of goods and services having contracts to do business with state agencies. Includes affirmative action plans for contractors of public works projects required to file such plans.
|
|
CHRO-01-010
|
|
Superseded date
|
Continuously updated
|
Database for tracking complaint files
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Administration, Business and Personnel Office
|
|
CID-01-001
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108. Disposition is 3 years or audited, whichever is later.
|
Fee Assessments to insurers doing business in the state
|
|
CID-01-002
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Cease & Desist Correspondence (unlicensed insurance companies)
|
|
CID-01-003
|
|
15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Agency copy of lien placed by tax-exempt hospital on out-of-state insurers concerning expenses for treatment on insured patient in an accident not covered by Workers compensation.
|
|
CID-01-004
|
|
15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Process writs served on the Insurance Commissioner in his capacity as statutory agent for receipt of service legal process.
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Consumer Affairs Division
|
|
CID-02-001
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date complaint file closed. Destroy after receipt of signed Form RC-108
|
This series documents citizen general insurance inquiries and complaints, including claims disputes. Including but not limited to: correspondence to and from the Consumer Affairs division; the complainant; and the complained of insurer.
|
|
CID-02-002
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of reports documenting the number of consumer complaints received by the Consumer Affairs Division; the Connecticut premium volume of the line of insurance related to the complaints; and the number of complaints resolved by the Division on a quarterly basis pursuant to CGS Sec. 38a-9.
|
|
CID-02-003
|
|
Calendar year end + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the valuation of motor vehicle physical damage claims subject to arbitration pursuant to CGS Sec. 38a-9. Including but not limited to: notice of the claimant’s right to arbitrate; notice to insurers of arbitration demands and process; and correspondence with the dispute resolution organization using CID to conduct arbitration between the claimant and insurer.
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Financial Regulation
|
|
CID-03-001
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
National Association of Insurance Commissioners (NAIC) accreditation files including interim and on-site reviews
|
|
CID-03-002
|
|
Approved date
|
Retain until destruction approved by court. Destroy after receipt of signed Form RC-108
|
Field work papers (insolvent domestic insurers)
|
|
CID-03-003
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Financial examination reports (domestic insurer)
|
|
CID-03-004
|
|
Superseded
|
Retain until superseded by next exam. Destroy after receipt of signed Form RC-108
|
Field work papers (domestic insurers) for financial examination reports
|
|
CID-03-005
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Corporate papers include but are not limited to charters, by-laws, powers of attorney, changes of control, merger documentation, redomestications executed, unaffiliated agreements and license amendments
|
|
CID-03-006
|
|
Superseded + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Application files for licensure (domestic and foreign insurers)
|
|
CID-03-007
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
Financial Statements (Annual)
|
|
CID-03-008
|
|
Superseded
|
Retain until superseded by the same quarter of next year. Destroy after receipt of signed Form RC-108
|
Financial Statements (Quarterly)
|
|
CID-03-009
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Audit, correspondence and holding company files (domestic insurers)
|
|
CID-03-010
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
Certified Public Accountant [CPA] and Risk-Based Capital [RBC] reports (domestic insurers)
|
|
CID-03-011
|
|
Superseded + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Audit and correspondence files (foreign insurers)
|
|
CID-03-012
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
CPA and examination reports (foreign insurers)
|
|
CID-03-013
|
|
Superseded + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Deposit information (domestic and foreign insurer)
|
|
CID-03-014
|
|
Superseded + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Audit, correspondence and application files (unlicensed insurers) includes withdrawn or rejected
|
|
CID-03-015
|
|
Superseded + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Audit, correspondence and application files (surplus lines insurers) includes both active and inactive
|
|
CID-03-016
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
CPA and examination reports (surplus lines insurer)
|
|
CID-03-017
|
|
Certification expiration date + 4 Year(s)
|
Disposition is 4 years after no longer certified or application withdrawn. Destroy after receipt of signed Form RC-108
|
Audit, correspondence and application files (accredited/approved reinsurers)
|
|
CID-03-018
|
|
Certification expiration date + 4 Year(s)
|
Disposition is 4 years after no longer certified or application withdrawn. Destroy after receipt of signed Form RC-108
|
Audit, correspondence and application files (risk retention companies) for active, inactive and withdrawn applications
|
|
CID-03-019
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
CPA and examination reports (risk retention companies)
|
|
CID-03-020
|
|
Certification expiration date + 4 Year(s)
|
Disposition is 4 years after no longer certified or application withdrawn. Destroy after receipt of signed Form RC-108.
|
Application and correspondence files (risk purchasing groups) for active, inactive and withdrawn applications
|
|
CID-03-021
|
|
Superseded
|
Destroy after receipt of signed Form RC-108.
|
National Association of Insurance Commissioners (NAIC) publications and procedures manuals
|
|
CID-03-022
|
|
Active + 6 Year(s)
|
Disposition is 6 years after no longer active or application withdrawn. Destroy after receipt of signed Form RC-108.
|
Audit and Correspondence and Application Files (viatical settlement providers)
|
|
CID-03-023
|
|
Superseded
|
Destroy after receipt of signed Form RC-108.
|
CPA and examination reports (viatical settlement companies)
|
|
CID-03-024
|
|
Active + 4 Year(s)
|
Disposition is 4 years after no longer active or application withdrawn before becoming active. Destroy after receipt of signed Form RC-108.
|
Licensing materials and forms (preferred provider networks [PPNs])
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Fraud Unit
|
|
CID-04-001
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents investigations of insurance producers and agencies (including bail bondsmen). Including but not limited to: final reports, Stipulated Settlement agreements, and referral reports to law enforcement personnel.
|
|
CID-04-002
|
|
Released date + 2 Year(s)
|
Disposition is 2 years from date investigative report released to the public. Destroy after receipt of signed Form RC-108
|
This series documents investigations of insurance producers and agencies (including bail bondsmen) and serve as supporting documentation for the final investigative report. Including but not limited to: planning documents and third party information for targeted examinations of insurance producers, insurance agencies and bail bondsmen; referral information concerning market behavior that led to the targeted investigation; results of analytical review of alleged violations of insurance statutes; and responses from management and/or targeted individuals.
|
|
CID-04-003
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
This series documents the licensure and registration review process for entities other than insurers including, but not limited to, third party administrators (TPAs), medical discount plan organizations (MDPs) and pharmacy benefit manager (PBMs). Including but not limited to: applications and supporting documentation.
|
|
CID-04-004
|
|
Filing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents annual reports submitted by insurance companies detailing all information received or investigations conducted by such company during the past year concerning insurance fraud in any claim under a motor vehicle insurance policy.
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Legal Division
|
|
CID-05-001
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
Includes list of assigned docket numbers for hearings and related matters. Copy of the complaint, order, stipulations, hearing decisions and other related items. Arranged chronologically by year then by docket number.
|
|
CID-05-002
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Including but not limited to: hearing notices, correspondence, hearing transcripts, research notes and hearing officer's draft decision.
|
|
CID-05-003
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Formal opinions involving statutory or regulatory interpretations under the Uniform Administrative Procedures Act (UAPA).
|
|
CID-05-004
|
|
Superseded + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Correspondence and documentation supporting a policy or a directive involving internal policy matters that may take the form of an agency bulletin, guideline or notice.
|
|
CID-05-005
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Copies of reports and related documents submitted to the court by the Insurance Department. Files are arranged alphabetically by company
|
|
CID-05-006
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date receivership case closed. Destroy after receipt of signed Form RC-108
|
Including but not limited to: claims, ledgers, and related records. Files are arranged alphabetically by company.
|
|
CID-05-007
|
|
Permanent
|
Destroy after receipt of signed Form RC-108
|
Connecticut Guaranty Association Plan of Operation and Minutes
|
|
CID-05-008
|
|
Closed date + 2 Year(s)
|
Disposition is 2 years from date court or judicial proceeding closed. Destroy after receipt of signed Form RC-108
|
Connecticut Guaranty Association Plan - Correspondence
|
|
CID-05-009
|
|
Completion date + 4 Year(s)
|
Disposition is 4 years from date matter or proceeding completed. Destroy after receipt of signed Form RC-108
|
The three party agreements, correspondence and other related documentation for outside consultants hired to conduct statutory examinations, investigations, and Form A reviews and paid for by the insurance companies rather than the state.
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Licensing Division
|
|
CID-06-001
|
|
Filing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Affidavits pertaining to surplus lines insurance companies
|
|
CID-06-002
|
|
Superseded
|
Destroy after receipt of signed Form RC-108
|
Educational Training Programs (prelicensing) including Providers Training Manual produced by an outside vendor for insurance agents
|
|
CID-06-003
|
|
Image conversion date + 14 Day(s)
|
Destroy after receipt of signed Form RC-108
|
Letters of Certification (Hard copy) -- consists of incoming requests to verify a Connecticut issued license for another state
|
|
CID-06-004
|
|
Issue date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Letters of Certification (Imaged or Electronic copy) -- consists of incoming requests to verify a Connecticut issued license for another state
|
|
CID-06-005
|
|
Image conversion date + 14 Day(s)
|
Destroy after receipt of signed Form RC-108
|
License and renewal applications (Hard copy)
|
|
CID-06-006
|
|
Previous renewal date + 2 Year(s)
|
Disposition is 2 years from previous renewal. Destroy after receipt of signed Form RC-108
|
License and renewal applications (Imaged copy or electronically filed applications)
|
|
CID-06-007
|
|
Image conversion date + 14 Day(s)
|
Destroy after receipt of signed Form RC-108
|
License renewal cards (brokers, consultants, adjusters, appraisers & surplus lines brokers -- Hard copy)
|
|
CID-06-008
|
|
Previous renewal date + 2 Year(s)
|
Disposition is 2 years from previous renewal. Destroy after receipt of signed Form RC-108
|
License renewal cards (brokers, consultants, adjusters, appraisers & surplus lines brokers -- Imaged or electronic copy)
|
|
CID-06-009
|
|
Image conversion date + 14 Day(s)
|
Destroy after receipt of signed Form RC-108
|
License renewal forms (producers -- Hard copy)
|
|
CID-06-010
|
|
Previous renewal date + 2 Year(s)
|
Disposition is 2 years from previous renewal. Destroy after receipt of signed Form RC-108
|
License renewal forms (producers -- Imaged or electronic copy
|
|
CID-06-011
|
|
Image conversion date + 14 Day(s)
|
Destroy after receipt of signed Form RC-108
|
Licensure records (active licensees -- Hard copies) includes but not limited to application, tests results, pre-licensing certificates, letters of certification (if applicable), administrative actions or criminal actions, and fee information
|
|
CID-06-012
|
|
Superseded
|
|
Licensure records (active licensees -- Imaged or electronic copy) includes but not limited to application, tests results, pre-licensing certificates, letters of certification (if applicable), administrative actions or criminal actions, and fee information
|
|
CID-06-013
|
|
Image conversion date + 14 Day(s)
|
|
Licensure records (cancelled/nonrenewed licensees -- Hard copies) for agents, brokers, public and casualty adjusters, MVPD appraisers, consultants and surplus lines brokers. Documentation includes but not limited to cancel requests, activity log notes regarding reason license cancelled or not renewed (i.e. non payment of renewal fee or failed to satisfy continuing education requirements)
|
|
CID-06-014
|
|
Cancellation date + 2 Year(s)
|
Disposition is 2 years from date of cancellation / non-renewal. Destroy after receipt of signed Form RC-108.
|
Licensure records (cancelled/nonrenewed licensees -- Imaged copies) for agents, brokers, public and casualty adjusters, MVPD appraisers, consultants and surplus lines brokers. Documentation includes but not limited to cancel requests, activity log notes regarding reason license cancelled or not renewed (i.e. non payment of renewal fee or failed to satisfy continuing education requirements)
|
|
CID-06-015
|
|
Expiration/revoked date + 55 Year(s)
|
Disposition is 55 years from date of revocation. Destroy after receipt of signed Form RC-108.
|
Licensure records (former licensees ineligible for present or future licensing) includes but not limited to original application with test results, pre-licensing certificates, fee information, all administrative actions, stipulations, consent agreements, correspondence and mail receipts
|
|
CID-06-017
|
|
Data entry date + 3 Month(s)
|
|
Notices of Cancellation (company appointed agents)
|
|
CID-06-018
|
|
Image conversion date + 90 Day(s)
|
Disposition is 90 days after imaged or until audited if not imaged. Destroy after receipt of signed Form RC-108.
|
Tax returns (surplus lines brokers -- Hard copies)
|
|
CID-06-019
|
|
Audit completion date
|
Disposition is until audited for the period in which the return is filed. Destroy after receipt of signed Form RC-108.
|
Tax returns (surplus lines brokers -- Imaged copies)
|
|
CID-06-020
|
|
Active + 6 Year(s)
|
Disposition is 6 years after no longer active or application withdrawn. Destroy after receipt of signed Form RC-108.
|
Application files (premium finance companies) includes application, renewal applications, correspondence and premium finance agreements
|
|
CID-06-021
|
|
Superseded
|
Destroy after receipt of signed Form RC-108.
|
CPA reports (premium finance companies)
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Life and Health Division
|
|
CID-07-001
|
|
Permanent
|
|
Policy form tracking system approvals including both the former index card tracking system and all actions taken by the Department on policy form submissions tracked on the Department's "Connecticut Regulatory Information System" [CRIS] computer system
|
|
CID-07-002
|
|
Approved or denied date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Policy Forms, may include copy of cover letter.
|
|
CID-07-003
|
|
Approved date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Health Maintenance Organizations [HMO] approved contracts including policy and rate forms.
|
|
CID-07-004
|
|
Filing date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Annual Filings of Life Insurance Illustrations of Policy Benefits
|
|
CID-07-005
|
|
Filing date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Annual Filings by Managed Care Organizations including but not limited to complaints related to providers and quality of care; decisions on patient requests for coverage and prior authorization statistics
|
|
CID-07-006
|
|
Filing date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Contacts and Application Forms (viatical settlement providers)
|
|
CID-07-007
|
|
Filing date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Annual Licensing materials and forms (utilization review entities) for new or revised procedures to determine medical necessity of proposed treatments for payment purposes
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Market Conduct Division
|
|
CID-08-001
|
|
Permanent
|
|
Consists of final reports resulting from the comprehensive, target or survey examinations of insurance companies, healthcare centers, fraternal benefit societies and medical utilization review companies doing business in Connecticut that are scheduled on a periodic basis by the Market Conduct Division to ensure compliance with statutes and regulations. Includes Stipulated Settlement Agreement
|
|
CID-08-002
|
|
Issue date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consists of planning documents and market conduct audit programs, including internal control questionnaires; information about insurance underwriting and rating of insurance policies, claim settlements and the cancellation/non-renewal of insurance policies; analysis and review of solicitation and marketing practices; results of analytical review of original insurance applications, advertising materials and agent recruiting, training and supervision procedures; audit reports and management responses. These documents serve as back-up support for the final examination report issued by the Market Conduct Division.
|
|
CID-08-003
|
|
Permanent
|
|
Consists of the final reports resulting from the targeted examination of insurance companies, healthcare centers, fraternal benefit societies and medical utilization review companies. Includes Stipulated Settlement Agreements
|
|
CID-08-004
|
|
Released date + 2 Year(s)
|
Disposition is 2 years from date investigative report released to the public. Destroy after receipt of signed Form RC-108.
|
Consists of planning documents for targeted market conduct investigations, including results of analytical review of alleged violations of insurance statutes and responses from management and/or targeted individuals. These documents serve as back-up support for the final investigative report.
|
|
Agency Specific Schedules: Insurance Department, Connecticut: Property and Casualty Division
|
|
CID-09-001
|
|
Filing date + 5 Year(s)
|
Disposition is 5 years from effective date of filing, or current filing plus one previous filing, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consisting of Rate, Form, Loss Costs and Rule filings including automobile assigned risk plan filings and advisory organization filings (e.g. Insurance Services Organization, National Council on Compensation Insurance and the National Association of Independent Insurers).
|
|
CID-09-002
|
|
Filing date + 3 Year(s)
|
Disposition is 3 years from effective date of filing, or current filing plus one previous filing, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consisting of Automobile and Homeowners policies.
|
|
CID-09-003
|
|
Filing date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consisting of aggregate and/or required data from insurance companies or advisory organizations.
|
|
CID-09-004
|
|
Expiration date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Including amusement parks and firework productions.
|
|
CID-09-005
|
|
Filing date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consisting of an extended warranty contract, a contractual reimbursement insurance policy and supporting information.
|
|
CID-09-006
|
|
Filing date + 3 Year(s)
|
Disposition is 3 years from effective date of filing, or current filing plus one previous filing, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consisting of automobile and workers' compensation self-insurance programs. Including but not limited to explanatory memos, check lists, policy forms, rate information and supporting documentation for filings.
|
|
Agency Specific Schedules: Labor, Department of: Benefit Accuracy Measurement (BAM) Unit
|
|
DOL-01-001
|
|
Audit selection date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents randomly selected quality control audits and investigations of paid or denied unemployment insurance (UI) benefit claims. Including but not limited to: correspondence to claimants and employers; claimant social security cards, driver’s licenses, and birth certificates; fact finding reports ; claimant and employer questionnaires; monetary determinations; benefit payment history; adjudication and appeal non-monetary decisions; wage reports; and investigator summary reports.
|
|
DOL-01-002
|
|
Issue date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of weekly reports summarizing the outcome of the Benefit Accuracy Measurement randomly selected audits. Audits are identified by social security number and demographic information.
|
|
Agency Specific Schedules: Labor, Department of: Claims Exam Unit
|
|
DOL-02-001
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Connecticut unemployment benefit claims, excluding Federal and Military unemployment claims. Including but not limited to: claim forms; requests for monetary determination release or redetermination; investigative reports; notes; proof of wages; related documentation and correspondence.
|
|
DOL-02-002
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents claims filed under the Unemployment Compensation for Ex-servicemembers (UCX) program. Including but not limited to: Form DD-214; requests and responses for Federal Claims Control Center (FCCC) claims control records (Types 1 through 6); daily transmittal reports, and related correspondence.
|
|
DOL-02-003
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents claims filed under the Unemployment Compensation for Federal Employees (UCFE) program. Including but not limited to: claimant affidavit (Form ES-935); employer response for wage and separation information (Form ES-931, Form ES-934); requests and responses for Federal Claims Control Center (FCCC) claims control records (Types 1 through 6); and related correspondence.
|
|
DOL-02-004
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents monetary and non monetary disqualifications for unemployment benefit claims. Including but not limited to: correspondence; requests for a custom denial process (for non-monetary denials where a unique denial insert number is assigned); and supporting documentation.
|
|
DOL-02-005
|
|
Action date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents unemployment insurance claims appeals challenging a monetary determination pursuant to CGS Sec. 31-241. Including but not limited to: appeal requests; memorandum; monetary audit trail documents; and supporting documentation.
|
|
DOL-02-006
|
|
Case closed date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents unemployment benefit deductions to fulfill child support obligations pursuant to CGS Sec. 31-227(h). Including but not limited to: child support court orders and related correspondence.
|
|
DOL-02-007
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents claims deductions for individuals receiving pensions pursuant to CGS Sec. 31-227(g). Including but not limited to: questionnaires (Form UC-217; Form UC-952) and related correspondence.
|
|
DOL-02-008
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This record series documents requests for out-of-state wage information to be considered as a part of Connecticut benefit claims and requests from outside of the state for Connecticut wage information. Including but not limited to: requests; forms; proof of wages; request and response for out of state wage investigations; and related correspondence.
|
|
DOL-02-009
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests to invalidate or delete initial claims for benefits. Including but not limited to: benefit claim history and supporting documentation.
|
|
DOL-02-010
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents proof of legal alien status. Including but not limited to: claimant alien cards, proof of status and related correspondence from the Department of Homeland Security (DHS).
|
|
DOL-02-011
|
|
Action date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the allocation of claimant wage information such as severance and vacation. Including but not limited to: request forms (UC-1380) and supporting documentation.
|
|
DOL-02-012
|
|
Approved or denied date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents employer applications for the state Shared Work Program, pursuant to Sec. 31-250-9. Including but not limited to: approved and denied applications, related correspondence and documentation.
|
|
DOL-02-013
|
|
Claim week end date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the weekly reports received by the Claims Exams Unit from employers participating in the state Shared Work Program. Including but not limited to: employer weekly certification reports and related correspondence.
|
|
DOL-02-014
|
|
Claim week end date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents claimants’ work search efforts while filing for the state Extended Benefit program. Including but not limited to: claimant documentation of weekly work search efforts (Form EB230M) and related correspondence.
|
|
Agency Specific Schedules: Labor, Department of: Field Audit Offices
|
|
DOL-03-001
|
|
Review date + 40 Month(s)
|
Disposition is 40 months from the commencement of auditor’s annual evaluation period. Destroy after receipt of signed Form RC-108
|
This series documents the performance of the audit staff by compiling monthly statistics for each individual regarding the number and type of assignments completed, audit assessments, cash collections, and time on duty during the period. Sheets are the supporting documentation for each annual performance evaluation.
|
|
DOL-03-002
|
|
4 Year(s)
|
Disposition is 4 years if used to compute benefits or to determine amount or rate of contributions or 30 months if not used for purposes above [CGS Sec 31-254]. Destroy after receipt of signed Form RC-108
|
This series documents work assigned to the field audit staff, including but not limited to audit, status and delinquent account investigations and blocked claims for unemployment benefits. Assignments can originate in benefit claims offices, in Central Office, in a Field Office, or be the result of joint efforts of State agencies and are critical to the calculation of unemployment benefits due and employer liability for contributions, penalties and interest.
|
|
Agency Specific Schedules: Labor, Department of: Trade Adjustment Assistance Program
|
|
DOL-04-001
|
|
Participation end date + 7 Year(s)
|
Disposition is 7 years from date participant exits program. Destroy after receipt of signed Form RC-108
|
This series documents training, job search and relocation allowances for participants in the Trade Adjustment Assistance (TAA) Program that have completed training and have no pending appeals decisions. Including but not limited to: program application form; new training plan and extension request applications; eligibility determinations; income support projections; case notes; career development plans; waivers of training; completion documents (diplomas, transcripts, certificates); and related correspondence.
|
|
DOL-04-002
|
|
Participation end date + 55 Year(s)
|
Disposition is 55 years from date training suspended. Destroy after receipt of signed Form RC-108
|
This series documents training, job search and relocation allowances for participants in the Trade Adjustment Assistance Program (TAA) program that have ceased participation in training. Including but not limited to: program application form; new training plan and extension request applications; eligibility determinations; income support projections; case notes; career development plans; waivers of training; completion documents; and related correspondence.
|
|
DOL-04-003
|
|
Certification date + 3 Year(s)
|
Disposition is 3 years from date data validation file certified by U.S. DOL. Destroy after receipt of signed Form RC-108
|
This series documents validation of sample TAA participant data selected by the U.S. Department of Labor (U.S.DOL) to ensure program elements are accurately reported. Including but not limited to: wage records; eligibility determinations; training waivers; and participation dates.
|
|
DOL-04-004
|
|
Report date + 3 Year(s)
|
Disposition is 3 years from quarter report issued. Destroy after receipt of signed Form RC-108
|
This series documents quarterly reports filed with the U.S. DOL tracking TAA program activities and outcomes. Including but not limited to: Trade Activity Participant Reports.
|
|
DOL-04-005
|
|
Certification Issued/denied date + 55 Year(s)
|
Disposition is 55 years from date certification issued or denied. Destroy after receipt of signed Form RC-108
|
This series documents petitions for Trade Adjustment Assistance (TAA) eligibility. A petition may be filed by a group of three or more workers; an employer of a group of workers; a Union; a State Workforce Official; an American Job Center Operator/Partner; or another Duly Authorized Representative. Including but not limited to: petition applications; company-provided employee lists of affected workers and individual employee files; benefit application and determination letters; waiver of training forms; unemployment insurance benefit information; Health Credit Tax forms; and related correspondence.
|
|
DOL-04-006
|
|
Participation end date + 7 Year(s)
|
Disposition is 7 years from date of worker’s qualifying reemployment, or from date worker exhausts compensation, whichever occurs first. Destroy after receipt of signed Form RC-108
|
This series documents wage subsidies for participants in the Alternative Trade Adjustment Assistance (ATAA) and Reemployment Trade Adjustment Assistance (RTAA) programs. Including but not limited to: program application form; determination of benefits; proof of earnings; summary of benefits; balance ledgers; and related correspondence.
|
|
DOL-04-007
|
|
Filing date + 10 Year(s)
|
Disposition is 10 years from most recent date participant filed for benefits. Destroy after receipt of signed Form RC-108
|
This series documents wage subsidies for participants in the Alternative Trade Adjustment Assistance (ATAA) and Reemployment Trade Adjustment Assistance (RTAA) programs that have ceased participation (by opting not to file for subsidies), or have lost eligibility. Including but not limited to: new program application form; re-determination of benefits; proof of earnings; summary of benefits; balance ledgers; and related correspondence.
|
|
Agency Specific Schedules: Labor, Department of: Unemployment Insurance Tax Division – Merit Rating System
|
|
DOL-05-001
|
|
Calendar year end + 4 Year(s)
|
Disposition is 4 years after end of year to which record relates. Destroy after receipt of signed Form RC-108
|
This series documents incoming and outgoing correspondence regarding merit rating. Including but not limited to: employer letters and fax transmittal sheets.
|
|
DOL-05-002
|
|
4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents adjustments to employer accounts. Including but not limited to: adjustments and F sheets.
|
|
DOL-05-003
|
|
4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the issuance of annual/quarterly statements of employer charges. Including but not limited to: production runs generated by DOL Information Technology; Statement of Experience Account (Form UC-54A); Quarterly Statements of Charges (Form UC-54Q); Employer Contribution Return (Quarterly) (UC-2/5A); and copies of all Employer Tax Rates (Annual).
|
|
DOL-05-004
|
|
4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents employer protests of improper benefit filing or errors appearing on a benefit statement. Including but not limited to: Notices of Potential Liability (Form UC-280).
|
|
DOL-05-005
|
|
Case closed date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents employer protests of improper benefit filing or errors appearing on a benefit statement to appeal to another authority (i.e., Appeals Division, Board of Review, or the judicial system). Including but not limited to: copies of Notices of Potential Liability (Form UC-280), copies of correspondence copies of quarterly statements; and Notice to Employer of Approval of Claim for Benefits (Form UC-56KC).
|
|
Agency Specific Schedules: Labor, Department of: Wage and Workplace Standards
|
|
DOL-06-001
|
|
Case closed date + 5 Year(s)
|
Destroyed after receipt of signed Form RC-108
|
This series documents investigations of wage and hourly law violations, including issues of exempt / non-exempt status of employees. Including but not limited to: final reports; preliminary notes; wage transcriptions; correspondence payment letters; civil penalty assessment; and copies of employer payroll records.
|
|
DOL-06-002
|
|
Case closed date + 5 Year(s)
|
Disposition is 5 years from date case closed (3 years in office, 2 years offsite). Destroyed after receipt of signed Form RC-108
|
This series documents enforceable wage complaints and investigations pursuant to CGS Sec. 31-59 and Sec. 31-76a. Including but not limited to: Correspondence, Final Reports; Preliminary notes; wage transcriptions; stop work orders; and payment letters.
|
|
DOL-06-003
|
|
Case closed date + 3 Year(s)
|
Destroyed after receipt of signed Form RC-108
|
This series documents complaints and investigations of workplace conditions and standards. Including but not limited to: complaints, final notices; preliminary notes; and violation sheets.
|
|
DOL-06-004
|
|
Case closed date + 10 Year(s)
|
Destroyed after receipt of signed Form RC-108
|
This series documents Wage and Workplace Standards investigations resulting in an arrest or attorney general referral. Including but not limited to: administrative, unilateral or consent orders and supporting documentation; stipulated judgments; penalty calculations; related correspondence.
|
|
DOL-06-005
|
|
Life of business
|
Destroyed after receipt of signed Form RC-108
|
This series documents employer requests for permission to waive weekly payday requirements pursuant to CGS Sec. 31-71i and to withhold or divert any portion of an employee's wages pursuant to CGS Sec. 31-71e. Including but not limited to: sample forms and related correspondence.
|
|
DOL-06-006
|
|
Issue date + 5 Year(s)
|
Disposition is 5 years from date schedule issued. Destroyed after receipt of signed Form RC-108
|
This series documents issuance of prevailing wage schedules for each contract for construction, remodeling, refinishing, refurbishing, rehabilitation, alteration, or repair of any public works project by the state or its agents, or by any political subdivision of the State pursuant to CGS Sec. 31-53 and service contracts under CGS Sec. 31-57f. Including but not limited to: wage schedules; contractor and contracting agent certifications.
|
|
DOL-06-007
|
|
Report date + 3 Year(s)
|
Destroyed after receipt of signed Form RC-108
|
This series documents weekly work activities of field staff conducting site visits. Including but not limited to: reporting forms.
|
|
DOL-06-008
|
|
Issue date + 5 Year(s)
|
Disposition is 5 years from date permission letter is issued. Destroyed after receipt of signed Form RC-108
|
This series documents employer requests for permission to drug test employees in high risk or safety-sensitive occupations. Including but not limited to: employer requests and letters of permission to drug test.
|
|
DOL-06-009
|
|
Request date + 2 Year(s)
|
Disposition is 2 years from date of last request. Destroyed after receipt of signed Form RC-108
|
This series documents the licensing of employment agencies to conduct business in Connecticut pursuant to CGS Sec. 31-130. Including but not limited to: requests and related correspondence.
|
|
Agency Specific Schedules: Lieutenant Governor, Office of the: All Agency Programs
|
|
OLG-01-001
|
|
Permanent
|
|
This series documents official correspondence sent, or received, by the Lieutenant Governor. Including but not limited to: correspondence and related documents.
|
|
OLG-01-002
|
|
Permanent
|
|
This series documents press releases issued by the Lieutenant Governor.
|
|
OLG-01-003
|
|
Permanent
|
|
This series documents activities of the Lieutenant Governor. Including but not limited to: materials on meetings that were attended; speaking engagements; and personal appearances by the Lieutenant Governor.
|
|
OLG-01-004
|
|
Permanent
|
|
This series documents speeches given by the Lieutenant Governor. Including but not limited to: speeches and related documentation.
|
|
OLG-01-005
|
|
Permanent
|
|
This series documents subjects / issues, or background information. Including but not limited to: reference material and related correspondence.
|
|
Agency Specific Schedules: Lottery Corporation, Connecticut: Entire Agency
|
|
CLC-01-001
|
|
Drawing date + 6 Year(s)
|
Disposition is 6 years from date of last Second Chance drawing for each applicable game [CGS Sec 52-576]. Destroy after receipt of signed Form RC-108
|
This series documents the non-winning second chance ticket entries submitted to the Connecticut Lottery Corporation for Instant Scratch-Off Games that offer a second chance entry game. May include but not limited to: ticket and envelope (for paper entries); electronic files (for internet-generated entries).
|
|
Agency Specific Schedules: Medical Examiner, Office of the Chief: Entire Agency
|
|
OCME-01-001
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the investigation of sudden, unexpected, or violent deaths in Connecticut. Including but not limited to: notice of death; report of investigation; hospital report of death; receipt of body form; identification form; autopsy report; receipt of evidence; removal authorization; toxicology specimen receipt; toxicology report; police notification; investigative and identification data; death certificates (original and amended); photographs; and suicide notes.
|
|
OCME-01-002
|
|
Verification date + 6 Month(s)
|
Disposition is 6 months from date recording transcribed and verified. Destroy after receipt of signed Form RC-108
|
This series documents audio recordings, regardless of format, of medical examiner investigations.
|
|
OCME-01-003
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series documents logs of autopsies conducted by medical examiners. Including but not limited to: log books.
|
|
OCME-01-004
|
|
Test date + 3 Month(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents Toxicology Laboratory test results. Including but not limited to: computer instrumentation data.
|
|
OCME-01-005
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series documents indexes of case files and autopsies from September 1970 through December 1989. Including but not limited to: index cards.
|
|
OCME-01-006
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[OBSOLETE] This series documents suicide notes from September 1970 through December 1998. Including but not limited to: correspondence.
|
|
OCME-01-007
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the activities of the Commission on Medicolegal Investigation Records. Including but not limited to: meeting minutes, meeting agendas, and related documents; commission member appointments and correspondence (including Assistant Medical Examiners); historical data including formation of the Commission.
|
|
Agency Specific Schedules: Mental Health and Addiction Services, Department of: Capitol Region Mental Health Center
|
|
DMHAS-01-001
|
|
Discharge date + 10 Year(s)
|
Disposition is 10 years after client is discharged from the rental assistance program. Destroy after receipt of signed Form RC-108
|
This series documents Capitol Region Mental Health Center [CRMHC]'s administration of the U.S. Housing and Urban Development (HUD) and Housing Assistance Fund (HAF) for CRMHC clients in the Utilization Management Program. Includes but not limited to: applications, leases, landlord agreements, payments made.
|
|
Agency Specific Schedules: Motor Vehicles, Department of: All DMV Agency Programs
|
|
DMV-01-001
|
|
Expiration date + 10 Year(s)
|
Disposition is 10 years from date contract expires. Destroy after receipt of signed Form RC-108
|
(Obsolete) This series documents records associated with the centralization program emissions testing. Including but not limited to: applications for accreditation of non-dispersive infra-red analyzers.
|
|
DMV-01-002
|
|
Closed date + 10 Year(s)
|
Disposition is 10 years from date technician or certified facility is no longer performing emissions tests. Destroy after receipt of signed Form RC-108
|
This series documents Certified Emissions Repair Technicians who have successfully passed a State of Connecticut required training program devoted specifically to the repair of emission problems and identifies the repair facilities that employs a Certified Emission Repair Technician and designated a Certified Emission Repair Facility. Including but not limited to: listings maintained in database.
|
|
DMV-01-003
|
|
Expiration date + 10 Year(s)
|
Disposition is 10 years from expiration of compliance date. Destroy after receipt of signed Form RC-108
|
This series documents vehicle compliance to emissions inspection requirements. Including but not limited to: vehicle official scheduled test date; date of test; pass / fail results; testing location; and compliance expiration / retest date.
|
|
DMV-01-004
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents field audits of fleet emissions inspection stations for emissions program compliance. Including but not limited to: fleet audit reports (Form AE-31).
|
|
DMV-01-005
|
|
Resolution date + 3 Year(s)
|
Disposition is 3 years from date complaint resolved. Destroy after receipt of signed Form RC-108
|
This series documents complaints received from a motorist concerning an emissions test, emissions facility, or an emissions agent. Including but not limited to: emissions motorist complaint forms (Form AE-77); inspections reports; and related correspondence.
|
|
DMV-01-006
|
|
Test date + 5 Year(s)
|
Disposition is 5 years from date of retest. Destroy after receipt of signed Form RC-108
|
This series documents a vehicles initial failure of the emissions test and the repairs made to attempt to pass test. Including but not limited to: vehicle inspection reports (VIR); and copies of repair receipts.
|
|
DMV-01-007
|
|
Test date + 3 Year(s)
|
Disposition is 5 years from date of retest. Destroy after receipt of signed Form RC-108
|
This series documents calibration of emissions testing equipment by emission station analyzers. Includes initial audits and reinspections. Including but not limited to: 2 point analyzer calibration surveillance worksheets (Form AE-73B); and 5 point calibration surveillance worksheets (Form AE-73).
|
|
DMV-01-008
|
|
Closed date + 10 Year(s)
|
Disposition is 10 years from date testing station is no longer performing emissions tests. Destroy after receipt of signed Form RC-108
|
This series documents licensing of emissions testing facilities. Including but not limited to: acceptance test procedures files; and records related to revocation of authorization to conduct emissions inspections.
|
|
DMV-01-009
|
|
Report date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents field agent audits of emissions testing stations. Including but not limited to: emissions test monitoring reports (ETMR).
|
|
DMV-01-010
|
|
Response date + 3 Year(s)
|
Disposition is 3 years from date of DMV response. Destroy after receipt of signed Form RC-108
|
This series documents requests, and responses, to time extensions due to various exigent circumstances. Including but not limited to: emissions hardship waiver applications (Form AE-69); supporting documentation; and related correspondence.
|
|
DMV-01-011
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents requests, and responses, to waive late fees associated with emissions testing. Including but not limited to: waivers from emissions late fee (Form AE-60).
|
|
DMV-01-012
|
|
Response date + 3 Year(s)
|
Disposition is 3 years from date of DMV response. Destroy after receipt of signed Form RC-108
|
This series documents requests, and responses, to waive emissions tests. Including but not limited to: emissions test waivers; waiver reports (Form AE-79); and related correspondence.
|
|
DMV-01-013
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the inspection of composite motor vehicles in Connecticut. Including but not limited to: applications; Form R-95; photographs; receipts; titles; and/or Certificates of Origin.
|
|
DMV-01-014
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents annual safety inspections of equipment required for registration of ambulance, school bus, student transportation vehicles (STV), and public service (taxi). Including but not limited to: Form R-195 inspection reports.
|
|
DMV-01-015
|
|
Calendar year end + 1 Year(s)
|
Disposition is 1 year from close of current calendar year. Destroy after receipt of signed Form RC-108
|
This series documents the inspection of commercial motor vehicle equipment and operators. Including but not limited to: Form R-302; and computer generated commercial vehicle inspection reports noting violations cited to the operator.
|
|
DMV-01-016
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents inspections of interstate service buses or passenger coaches operated on an interstate basis. Including but not limited to: inspection reports; and receipts.
|
|
DMV-01-017
|
|
Report date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the inspection of vehicles that have been declared salvage by an insurance company for title and registration in Connecticut. Including but not limited to: Form K-186; photograph; and Inflatable Restraint System/Air Bag Certification Statements (Form B-303).
|
|
DMV-01-018
|
|
Cancellation date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents proof of financial responsibility submitted by registrants. Applies to van pools, transporters, self insured / financial responsibility entities, taxis, liveries, school buses, and service buses. Including but not limited to: proof of financial responsibility; and supporting documentation.
|
|
DMV-01-019
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations of licensed dealers and repairers. Including but not limited to: written complaints by consumers; Form K-35; written explanations of a complaint; and supporting documentation relevant to the complaint (e.g., stipulated agreements, hearing decisions, photos, and invoices).
|
|
DMV-01-020
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigation of driver licenses or IDs issued fraudulently. Including but not limited to: case reports; and supporting documentation.
|
|
DMV-01-021
|
|
Case closed date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the violation of insurance requirements related to active vehicle registrations. Including but not limited to: daily transaction details; restoration/rescind notices; case receipts; cancelled plate receipts; and dismissed cases.
|
|
DMV-01-022
|
|
Report date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations related to the Motor Carrier Safety Assistance Program and the Student Transportation Vehicle Program. Including but not limited to: carrier audits; safety inspections; and driver qualification issues.
|
|
DMV-01-023
|
|
Transfer date + 1 Year(s)
|
Disposition is 1 year from date case transferred to municipal or state police. Destroy after receipt of signed Form RC-108
|
This series documents investigation of complaint referrals concerning violations of CGS Sec 14-12a, Sec 14-12b and Sec 14-15a. Including but not limited to: citizen complaints; related registration and license records; and resident status.
|
|
DMV-01-024
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations related to abandoned vehicles or Title Division referrals of vehicles with active stolen alarms attempting to be registered. Including but not limited to: title and registration record; citizen complaints; and internal reference documents.
|
|
DMV-01-025
|
|
Case closed date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations related to vehicles with questionable Vehicle Identification Numbers. Including but not limited to: case reports; and witness statements.
|
|
DMV-01-026
|
|
Resolution date + 6 Year(s)
|
Disposition is case resolved or ownership verified or 6 years, whichever is earlier. Destroy after receipt of signed Form RC-108
|
This series documents the application for vessel registration that was not issued due to incomplete information. Including but not limited to: registration application; and supporting documentation.
|
|
DMV-01-027
|
|
Hearing completion date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administrative hearings conducted pursuant to CGS Sec 4-176e and Sec 4-177. Including but not limited to: daily hearing folder of all documentation related to hearings held on a particular day; notices of hearing; appearance forms; decision letters; and related Hearing Officers notes.
|
|
DMV-01-028
|
|
Response date + 10 Year(s)
|
Disposition is 10 years from date of response to petition. Destroy after receipt of signed Form RC-108
|
This series documents petitions for reconsideration of administrative hearings. Including but not limited to: petitions for reconsideration; and the agency’s response.
|
|
DMV-01-029
|
|
Decision date + 14 Month(s)
|
Disposition is 14 months from date of hearing decision. Destroy after receipt of signed Form RC-108
|
This series documents audio recordings of administrative hearings conducted pursuant to CGS Sec 4-176e.
|
|
DMV-01-030
|
|
Hearing completion date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents Administrative Per Se hearings conducted pursuant to CGS Sec 14-227b. Including but not limited to: notices of hearing; continuance cards; appearance forms; decision letters, and related Hearing Officers notes.
|
|
DMV-01-031
|
|
Hearing completion date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents suspension hearings conducted pursuant to CGS Sec 14-227b for cases in which arrest reports contain deficiencies that do not allow a suspension to be produced.
|
|
DMV-01-032
|
|
Issue date + 10 Year(s)
|
Disposition is 10 years from month of mailing. Destroy after receipt of signed Form RC-108
|
This series documents the issuance of bulk certified mail. Including but not limited to: suspension notices; hearing notices; decision letters; affirmation letters; and microloads (record of daily OUI [operating under influence] suspensions added to the Administrative Per Se midrange computer system).
|
|
DMV-01-033
|
|
Case closed date + 2 Year(s)
|
Disposition is 2 years from date claim settled. Destroy after receipt of signed Form RC-108
|
This series documents legal claims brought against agency requesting permission from Claims Commissioner Office to file suit against agency. Including but not limited to: accident / incident reports from DMV branch offices; claim letters; investigative reports; legal pleadings; settlement agreements; and other legal documents incidental to said claims.
|
|
DMV-01-034
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents petitions for declaratory rulings, which are interpretations rendered by DMV to petitioners presenting an actual fact or applying our law to a specific matter and requesting DMV’s interpretation of our statutes and regulations to said situation. Declaratory rulings become an administrative decision and can be appealed. Including but not limited to: original petitions; responses to petitions; notices of hearing and hearing transcripts, if applicable; final decisions; and appeals.
|
|
DMV-01-035
|
|
Case closed date + 15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents lawsuits brought against the commissioner or the agency, including but not limited to, federal and state court cases. This is the agency file; Office of the Attorney General represents agency and maintains separate file. Including but not limited to: motions, pleadings, decisions, grievances, and related correspondence.
|
|
DMV-01-036
|
|
Hearing completion date + 15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents case files that go to a compliance conference or formal hearing, decision, or stipulated agreement. Includes audio/video recordings.
|
|
DMV-01-037
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents requests for hearing transcripts. Including but not limited to: request and receipts of fees for transcripts.
|
|
DMV-01-038
|
|
Cancellation date + 10 Year(s)
|
Disposition is 10 years from date license cancelled. Destroy after receipt of signed Form RC-108
|
This series documents issuance of licenses to do business for dealers, repairers, motor vehicle recycler’s businesses (aka junkyards), manufacturers, leasing companies, and auto clubs in Connecticut. Including but not limited to: applications for licenses; and related documents (e.g., bonds, insurance filings, renewal notices, and inspection cases).
|
|
DMV-01-039
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents lost or stolen business license plates. Including but not limited to: lost or stolen plate receipts (Form K-13); and related police reports, if available.
|
|
DMV-01-040
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years after expired license year. Destroy after receipt of signed Form RC-108
|
This series documents issuance of license plates to dealers, dealers, repairers, motor vehicle recycler’s business (aka junkyards), manufacturers, leasing companies, auto clubs and marine dealers in Connecticut. Including but not limited to: registration applications (Form K-74); and supporting documentation.
|
|
DMV-01-041
|
|
Received date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents issuance and maintenance of pre-numbered certificate booklets/stubs for drivers’ education certificates. Including but not limited to: certificate stubs returned to DMV.
|
|
DMV-01-042
|
|
Active + 3 Year(s)
|
Disposition is 3 years from date license is no longer active. Destroy after receipt of signed Form RC-108
|
This series documents the licensing of drivers’ schools instructors in Connecticut. Including but not limited to: approved and denied/withdrawn applications for Driving School Instructor (R-7A); and supporting documentation, including examinations to determine physical condition of driver (R-323); diplomas; driving school instructor training schedules (R-280); certificates of behind-the–wheel (R-230); commercial driving school instructor’s proficiency (R-250); and Department of Children and Families searches.
|
|
DMV-01-043
|
|
Program end date + 3 Year(s)
|
Disposition is 3 years after program participation ends. Destroy after receipt of signed Form RC-108
|
This series documents the administration of the Operator’s Retraining Program for the licensing of schools pursuant to CGS Sec 14-111g. Including but not limited to: agreements; bonds; insurance verifications; inspections; locations of programs; and lists of instructors.
|
|
DMV-01-044
|
|
Expiration date + 3 Year(s)
|
Disposition is 3 years from date license is no longer active. Destroy after receipt of signed Form RC-108
|
This series documents the licensing of drivers’ schools in Connecticut. Including but not limited to: approved and denied/withdrawn applications for drivers’ schools (R-94); and supporting documentation, including, survey maps; fire marshal reports; bonds; insurance; school/ building safety code requirements; trade name papers; zoning information; driver education vehicle inspection reports (R-138); rate schedules (R-100); classroom schedules; and Department of Public Safety fingerprint applications.
|
|
DMV-01-045
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents inspection and enforcement, and administrative hearing proceedings for violations of insurance and bond requirements. Including but not limited to: inspection reports; supporting documentation; hearing decisions; cancellation notices; and final resolutions or stipulated agreements.
|
|
DMV-01-046
|
|
Expiration date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents registration and issuance of license plates for transporters. Including but not limited to: supporting documentation: applications for registration (E211/H13), proof of financial responsibility, insurance certificates, trade name certificates, Secretary of the State filings, agent for service forms, owner information(K26), and CT sales tax permits.
|
|
DMV-01-047
|
|
Filing date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the activity of Branch Offices for auditing/quality control purposes. Including but not limited to: journal tapes; voided and unvalidated forms (B-268); bookkeeping reconciliation reports (F-70/F-74); and related documents.
|
|
DMV-01-048
|
|
Data entry date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents address changes for driver's licenses, identification cards, vehicle registrations, and organ and tissue donor status. Including but not limited to: change of address forms; and donor status forms (B-58).
|
|
DMV-01-049
|
|
Restored date + 10 Year(s)
|
Disposition is 10 years from date license restored. Destroy after receipt of signed Form RC-108
|
This series documents driving histories for suspended and revoked operators licenses (individual and commercial drivers) resulting from any violation leading to a suspension of the operator license. Including but not limited to: medical review records; restorations; documentation submitted by operator; suspension notices; restoration notices; and any relational correspondence.
|
|
DMV-01-050
|
|
Notification date + 10 Year(s)
|
Disposition is 10 years from date of notice. Destroy after receipt of signed Form RC-108
|
This series documents driver sanctions (e.g., license suspension). Including but not limited to: violations issued to in-state and out-of-state operators (prior to mailing notice to the licensee and/or license issuing state); suspension notices; disqualification notices; retraining warning letters; Driver License Agreement convictions for other jurisdictions; failure to appear notices; USPS Certificate of bulk mailing of license suspension notices; and other supporting documentation.
|
|
DMV-01-051
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents operator training on vehicles with special equipment and eligible candidates with limited licenses without special equipment. Including but not limited to: intake sheets; medical reports; rehab facility evaluation reports; training dates/results; on-the-road skills test date/results; detailed reports (if trainee not a candidate for a license); and dates/results of limited license retests administered to applicants with impairments but who do not need special adaptive equipment.
|
|
DMV-01-052
|
|
Issued or denied date + 7 Year(s)
|
Disposition is 7 years from date permit issued/denied. Destroy after receipt of signed Form RC-108
|
This series documents application and issuance of parking permits for individuals with a temporary or permanent disability. Including but not limited to: special permit application and impairment certificate (Form B-225); supporting documentation; and related correspondence.
|
|
DMV-01-053
|
|
Approved or denied date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents application and issuance of permits, licenses, and identification cards. Including but not limited to: applications to obtain a Learner's permit (B-307); Non-Commercial Drivers License (R-229); Commercial Drivers License (R-229A); endorsements; and Non-driver Photo Identification (B-230), including any supporting documentation as required; and new driver road test results.
|
|
DMV-01-054
|
|
Approved or denied date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application and issuance of permits, licenses, and identification cards. Including but not limited to: applications to obtain a Learner's permit (B-307); Non-Commercial Drivers License (R-229); Commercial Drivers License (R229A); endorsements; Non-driver Photo Identification (B-230), including any supporting documentation as required; and new driver road test results.
|
|
DMV-01-055
|
|
Approved or denied date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the issuance of permits, licenses, and identification cards after driver's license information is entered into the system to create the physical license or ID. Including but not limited to: applications (B-268 and BC-1).
|
|
DMV-01-056
|
|
Issue date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents quality control and information verification of operators. Including but not limited to: branch daily work copies (R-229 and R-229A); license appointment forms (LA-1); non-driver ID applications (B-230); and learner permit applications (B-307).
|
|
DMV-01-057
|
|
Approved or denied date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents public passenger endorsement approvals and denials for taxis, livery, public service, school bus or any other special license to operate a vehicle to carry passengers. Including but not limited to: applications (R-7); physical exam forms; copies of DPS and FBI background checks (CHRC); Driver History Records (DHR); supporting documentation; and hearing files, if any, pertaining to such applications.
|
|
DMV-01-058
|
|
Test date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the evaluation and licensing proficiency of school bus drivers. Including but not limited to: evaluation checklists for new and renewed applicants; evaluation reports; and forms (Y-6).
|
|
DMV-01-059
|
|
Validation date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the removal of abandoned vehicles from private property. Including but not limited to: motor vehicle notice of tow; notice of intent to sell; affidavit of compliance; artificer’s lien (Form H-100); and supporting documentation (e.g., repair/tow invoices and photographs).
|
|
DMV-01-060
|
|
Data entry date + 4 Year(s)
|
Disposition is 4 years from date entered into DMV system. Destroy after receipt of signed Form RC-108
|
This series documents the removal of abandoned vehicles by local police departments. Including but not limited to: municipality reports of abandoned motor vehicle (Form H-109).
|
|
DMV-01-061
|
|
Cancellation date + 10 Year(s)
|
Disposition is 10 years from date title cancelled. Destroy after receipt of signed Form RC-108
|
This series documents the issuance of certificates of title for ownership of vehicles in Connecticut.
|
|
DMV-01-062
|
|
Issue date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application, and issuance, of certificates of title of vehicles (automobiles, all-terrain vehicles, camp trailers, motorcycles, and snowmobiles) in Connecticut. Includes suspended or revoked certificates of title. Including but not limited to: application for original certificates of title (Form H-13); dealer online registration form (blue card); and supporting documentation (e.g., ownership documents, bills of sale, federal odometer statements, parental registration consent forms, and proof of insurance).
|
|
DMV-01-063
|
|
Issue date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the reissuance of certificates of title due to loss, theft, mutilation, destruction, or illegibility. Including but not limited to: application for duplicate certificate of title (Form H-6B) and supporting documentation (used for verification of lien release, signatures, and address confirmation).
|
|
DMV-01-064
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the branding of “JUNK” on certificates of title for vehicles that have been declared a total loss by recyclers / junkyards in Connecticut. Including but not limited to: copy of stamped titles submitted by recyclers / junkyards.
|
|
DMV-01-065
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the branding of “MANUFACTURER BUYBACK” on certificates of title for vehicles that have been bought back by manufacturers (pursuant to Lemon Laws). Including but not limited to: listing of buyback vehicles (lists of VINs [Vehicle Identification Number]) submitted by manufacturers.
|
|
DMV-01-066
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the branding of “SALVAGE” “SALVAGE PARTS ONLY,” or “FLOOD” on certificates of title for vehicles that have been declared a total loss by insurance companies in Connecticut. Including but not limited to: copy of stamped titles submitted by insurance companies.
|
|
DMV-01-067
|
|
Resolution date
|
Disposition is title suspense case resolved or ownership verified through submission of additional information or documentation. Destroy after receipt of signed Form RC-108
|
This series documents the application for certificates of title that were not issued due to incomplete information. Including but not limited to: registration application (Form H-13); and supporting documentation.
|
|
DMV-01-068
|
|
Validation date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests and responses for title searches by members of the public or title search companies. Including but not limited to: title copy records requests (Form J-23T); and related correspondence.
|
|
DMV-01-069
|
|
Issue date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application and issuance of permits to display lights other than those provided as standard on motor vehicles for emergency or maintenance vehicles. Including but not limited to: applications; and supporting documentation.
|
|
DMV-01-070
|
|
Issue date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application, and issuance, of permits for exemptions from tinted window requirements. Including but not limited to: requests for application and special permit for exemption from tinted window requirements (Form E-220); and supporting documentation (e.g., written authorization from a medical professional).
|
|
DMV-01-071
|
|
Calendar year end + 5 Year(s)
|
Disposition is 5 years after the close of the registration year. Destroy after receipt of signed Form RC-108
|
This series documents the International Registration Plan (IRP) for reciprocity of registration in Connecticut. Including but not limited to: registration application or renewal; supplemental form C/E and supporting documentation; insurance verification; F-2290; and Secretary of the State filings.
|
|
DMV-01-072
|
|
Calendar year end + 5 Year(s)
|
Disposition is 5 years after the close of the registration year. Destroy after receipt of signed Form RC-108
|
This series documents the International Registration Plan (IRP) for reciprocity of registration for foreign jurisdictions. Including but not limited to: apportionable fees and member jurisdiction collected and transmitted to member jurisdictions (e.g., registrant account number, registrant name, registration year, batch number or date range, amount of payment, original or supplement number, distance and apportionment percentage, payment date, number of months for which apportionable fees are calculated, vehicle types, vehicle weights [both old and new weights in the case of weight increases] or axles).
|
|
DMV-01-073
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application, and issuance, of certificates of registration and permits of motor vehicles (automobiles, all-terrain vehicles, camp trailers, fire apparatus, motorcycles, motor vehicles engaged in seasonal operations, and snowmobiles) in Connecticut. Includes handicap plates. Including but not limited to: pink registration application (Form H-13); copy records request (Form J-23); M-I21 document; application for duplicate certificate of title (Form H-6B); copy of special permit application and impairment certification (Form B-225); no fee replacement affidavit (Form E-22); inspection form; and flashing light permits.
|
|
DMV-01-074
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the loss or theft of motor vehicle license plates. Including but not limited to: lost or stolen marker plate form (E-159).
|
|
DMV-01-075
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the application, and issuance, of certificates of registration of motor vehicles in Connecticut for special plates (e.g., vanity, veteran, themed commemorative plates). Including but not limited to: special order plate application (Form M-22).
|
|
DMV-01-076
|
|
Expiration or cancellation date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the issuance of vehicle registrations in Connecticut, including vehicle description and registration expiration date.
|
|
DMV-01-077
|
|
Issue date + 10 Year(s)
|
Disposition is 10 years from registration issue date. Destroy after receipt of signed Form RC-108
|
This series documents the application, and issuance, of certificates of registration of vessels (boats and personal watercraft) in Connecticut. Including but not limited to: application for vessel registration (Form B-148); vessel renewal (Form OCR-3A); supporting documentation (e.g., bills of sale); and vessel registration records contained in the vessel registration system.
|
|
DMV-01-078
|
|
Issue date + 4 Year(s)
|
Disposition is 4 years from date of assignment. Destroy after receipt of signed Form RC-108
|
This series documents the assignment of registration numbers and issuance of temporary certificates of number upon the sale or transfer of a vessel for marine dealers. Including but not limited to: insurance bonds.
|
|
DMV-01-079
|
|
Issue date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of copies of warning tickets issued by state and municipal police to operators/registrants for defective equipment or other CGS Title 14 violations.
|
|
Agency Specific Schedules: Pardons & Paroles, Connecticut Board of: Pardons Unit
|
|
BPP-01-001
|
|
Pardon granted date + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the petition and review process for granting pardons for criminal convictions pursuant to CGS Sec 54-124, et seq. Including but not limited to: Full Pardon, Provisional Pardon, or clemency by current offender applications and supporting documentation (criminal history printout provided by Connecticut State Police Bureau of Identification, police report(s),letter from the Office of Adult Probation showing the date when probation was completed or terminated, reference questionnaires, supervising officer questionnaire, photocopy of your driver’s license or State I.D, and any other supporting documentation); initial pardon checklists; pardons summary; victim referral forms; criminal history reports; State’s Attorney letters; PSI (pre-sentence investigation) and warrant information; police reports; and related correspondence.
|
|
BPP-01-002
|
|
Denial or revocation date + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the petition and review process for granting pardons for criminal convictions pursuant to CGS Sec 54-124, et seq. Including but not limited to: Full Pardon, Provisional Pardon, or clemency by current offender applications and supporting documentation (criminal history printout provided by Connecticut State Police Bureau of Identification, police report(s),letter from the Office of Adult Probation showing the date when probation was completed or terminated, reference questionnaires, supervising officer questionnaire, photocopy of your driver’s license or State I.D, and any other supporting documentation); initial pardon checklists; pardons summary; victim referral forms; criminal history reports; State’s Attorney letters; PSI (pre-sentence investigation) and warrant information; police reports; and related correspondence.
|
|
BPP-01-003
|
|
Database retired + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series electronically documents the petition, review process and application status (grant/deny) of an individual applying for a pardon or commutation for criminal convictions pursuant to CGS Sec 54-124, et seq. Including but not limited to: applicant’s vital/demographic information, docket information, investigator’s summary, case dispositions, Certificate generating forms, Absolute Pardon, Provisional Pardon (Certificate of Employability) and commutation of a current offender.
|
|
BPP-01-004
|
|
Clemency granted date + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the application and review process for granting commutation for criminal convictions pursuant to CGS Sec. 54-124, et seq. Including but not limited to: commutation applications and supporting documentation (criminal history printout provided by the Connecticut State Police Bureau of Identification, police reports, letters from the Office of Audit Probation showing the date when probation was completed or terminated, reference questionnaires, supervising officer questionnaire, photocopy of driver’s license or State I.D., and any other supporting documentation); victim referral forms; criminal history reports; State’s Attorney letters; PSI (presentence investigation) and warrant information; police reports; and related correspondence.
|
|
BPP-01-005
|
|
Review date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents the application and review process for denying commutation hearing for criminal convictions pursuant to CGS Sec. 54-124, et seq. Including but not limited to: commutation applications and supporting documentation (criminal history printout provided by the Connecticut State Police Bureau of Identification, police reports, letters from the Office of Audit Probation showing the date when probation was completed or terminated, reference questionnaires, supervising officer questionnaire, photocopy of driver’s license or State I.D., and any other supporting documentation); victim referral forms; criminal history reports; State’s Attorney letters; PSI (presentence investigation) and warrant information; police reports; and related correspondence.
|
|
BPP-01-006
|
|
Not Applicable
|
|
VOIDED
|
|
BPP-01-007
|
|
Superseded
|
Continuously updated database. Disposition of individual pardon files is 25 years after pardon granted, denial or revocation. Disposition of individual commutation files is 25 years after granted date, or 1 year after review date for denied hearings. Destroy files after receipt of signed RC-108
|
This series documents the petition, review process and application status (grant/deny) of an individual applying for a pardon or commutation for criminal convictions pursuant to CGS Sec 54-124, et seq. including but not limited to: Absolute Pardon, Provisional Pardon (Certificate of Employability) and commutation of a current offender. Contains applicant’s vital/demographic information, docket information, investigator’s summary, case dispositions, and Certificate generating forms, along with supporting documentation (criminal history printout provided by Connecticut State Police Bureau of Identification, police report(s),letter from the Office of Adult Probation showing the date when probation was completed or terminated, reference questionnaires, supervising officer questionnaire, photocopy of driver’s license or State I.D, and any other supporting documentation); initial pardon and/or commutation checklists; pardons and/or commutation summary; victim referral forms; criminal history reports; State’s Attorney letters; PSI (pre-sentence investigation) and warrant information; police reports; and related correspondence.
|
|
Agency Specific Schedules: Pardons & Paroles, Connecticut Board of: Paroles Unit
|
|
BPP-02-001
|
|
Hearing completion date + 3 Year(s)
|
|
Consists of audio recordings of weekly meetings of the Parole Board.
|
|
BPP-02-002
|
|
Superseded
|
Continuously updated database. Disposition of individual parolee files is 8 years after date of discharge. Destroy files after receipt of signed RC-108
|
Consists of records that document status, parole eligibility, and parole hearing history of offenders. Including but not limited to: pre-sentencing investigations, court sentencing transcripts, court trial transcripts, hearing disposition forms, written decision forms, parole agreements, parole and Decision Information Summaries, criminal histories, warrants for reimprisonment, remand to custody orders, notices of parole violation, certificates of discharge, notices to appear, requests for counsel, police reports, parole violation reports, parole violation addendums, violation of probation warrants, correspondence, risk assessments, offender accountability plans, and victim outreach forms.
|
|
BPP-02-003
|
|
Not Applicable
|
|
VOIDED
|
|
BPP-02-004
|
|
Not Applicable
|
|
VOIDED
|
|
BPP-02-005
|
|
Not Applicable
|
|
VOIDED
|
|
Agency Specific Schedules: Policy & Management, Office of: Adriaen's Landing Project and the Stadium at Rentschler Field Project
|
|
OPM-01-001
|
|
Permanent
|
Retain in agency
|
This series documents the acquisition of real property related to the Adriaen's Landing Project and the Stadium at Rentschler Field Project. Including but not limited to: deeds; donation agreements; easements; and air / space lease agreements.
|
|
OPM-01-002
|
|
Issue date + 8 Year(s)
|
Disposition is 8 years from date certificate of occupancy issued. Destroy after receipt of signed Form RC-108
|
This series documents improvements to real property related to the Adriaen's Landing Project and the Stadium at Rentschler Field Project. Including but not limited to: correspondence; cost estimates; construction manager (CM) contracts; construction documents; specification manuals; and tracings and master drawings that lead to final construction (includes revised and superseded materials).
|
|
OPM-01-003
|
|
Life of structure
|
Destroy after receipt of signed Form RC-108
|
This series documents the final construction of real property related to the Adriaen's Landing Project and the Stadium at Rentschler Field Project. Including but not limited to: “as built” drawings.
|
|
OPM-01-004
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years from date permit expires. Destroy after receipt of signed Form RC-108.
|
This series documents State and Federal environmental impact statements / evaluations, as well as State and Federal environmental permit applications and approval relative to the Adriaen's Landing Project and the Stadium at Rentschler Field Project. Including but not limited to: backup documentation used to generate reports / applications; geotechnical and environmental data; and public hearing transcripts, notice documents, and public comments.
|
|
OPM-01-005
|
|
Expiration date + 5 Year(s)
|
Disposition is 5 years from date insurance policy expires. Destroy after receipt of signed Form RC-108.
|
This series documents the purchase of Owner-Controlled Insurance Program (OCIP) for the Adriaen's Landing Project and the Stadium at Rentschler Field Project. Including but not limited to: copies of meeting minutes; correspondence; and copies of various insurance policies purchased under the OCIP.
|
|
Agency Specific Schedules: Policy & Management, Office of: Intergovernmental Policy Division
|
|
OPM-02-001
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from end of state fiscal year, or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series consists of municipal and special district tax collection reports submitted annually to OPM.
|
|
OPM-02-002
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from end of state fiscal year, or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
[OBSOLETE] This series consists of municipal assessor’s reports submitted annually to OPM.
|
|
OPM-02-003
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from end of state fiscal year, or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
[OBSOLETE] This series consists of municipal Board of Tax Review reports submitted to OPM.
|
|
OPM-02-004
|
|
Fiscal year end + 3 Year(s)
|
Disposition is 3 years from end of state fiscal year, or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents tax exempt property and (full) assessed value estimates of all taxable property within Connecticut municipalities. Including but not limited to: lists of tax exempt property and lists of total taxable property.
|
|
OPM-02-005
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series consists of lists of personal property declarations.
|
|
OPM-02-006
|
|
Fiscal year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state reimbursement to distressed municipalities, targeted community investments, and enterprise corridors zones for revenue loss sustained as a result of property tax exemptions pursuant to CGS Sec. 12-81(59), (60) and (70). Including but not limited to: correspondence; claims forms; annual renewal certificates; and payment lists.
|
|
OPM-02-007
|
|
Fiscal year end + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state reimbursement to municipalities for capital projects pursuant to CGS Sec. 7-535 through Sec. 7-538. Including but not limited to: correspondence; claims forms; certificate of expenditure; and payments lists.
|
|
OPM-02-008
|
|
Fiscal year end + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents state reimbursement to municipalities for revenue loss incurred from tax exemptions for companies acquiring new machinery, equipment, and commercial motor vehicles. Including but not limited to: correspondence; claims forms; certificate of expenditure; and payments lists.
|
|
OPM-02-009
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state reimbursement to municipalities for revenue loss incurred from tax exemptions for private colleges and general/ free standing chronic disease hospitals pursuant to CGS Sec. 12-20a and 12-20b. Including but not limited to: correspondence; claims forms; payment lists; and assessed value reports.
|
|
OPM-02-010
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state reimbursement to municipalities for revenue loss incurred from real or personal property tax credits or exemptions granted to elderly, veteran, and disabled homeowners. Including but not limited to: correspondence; claims forms; and payment lists.
|
|
OPM-02-011
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state reimbursement for rent and utility bills paid by elderly and disabled renters. Including but not limited to: correspondence; claims forms; and payment lists.
|
|
OPM-02-012
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents state reimbursement to municipalities for property tax losses on state-owned real property pursuant to CGS Sec. 12-19a through Sec, 12-19c. Including but not limited to: correspondence; claims forms; payment lists, and assessed value reports.
|
|
OPM-02-013
|
|
Fiscal year end + 12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[OBSOLETE] This series documents state grants to municipalities for the modification or purchase of computer systems for real property appraisal, assessment administration, and tax collection pursuant to CGS Sec. 12-62f. Including but not limited to: applications and payment lists.
|
|
OPM-02-014
|
|
Fiscal year end + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents annual distribution of Mashantucket Pequot/Mohegan Fund grants to municipalities pursuant to CGS Sec. 3-55i through 3-55k. Including but not limited to: certification letters and payment lists.
|
|
OPM-02-015
|
|
6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of annual lists of all real estate sales with a sales price of $2,000 or greater. Lists include town, property address, date of sale, property type, sales price, and property assessment.
|
|
OPM-02-016
|
|
Review date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the annual submission by CT municipalities of their adopted budgets to OPM pursuant to CGS Sec. 7-406b. Including but not limited to: approved budget documents and related correspondence.
|
|
OPM-02-017
|
|
Review date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of municipal audits submitted to OPM pursuant to CGS Sec. 7-393 and Sec. 4-231. Including but not limited to: audit reports; audit questionnaires; summaries; management letters; corrective action plans; audit report reviews; and correspondence.
|
|
OPM-02-018
|
|
Issued or denied date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents certification of revaluation companies and employees. Including but not limited to: continuing education credits; waivers; applications; renewal requests; certification applications; forms; and related correspondence.
|
|
OPM-02-019
|
|
Exam date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administered revaluation certification exams. Including but not limited to: exam applications and completed exam sheets.
|
|
OPM-02-020
|
|
Issued or denied date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the certification of municipal tax collectors pursuant to CGS Sec. 12-130a. Including but not limited to: continuing education credits; waivers; applications; renewal requests; certification applications; forms; and related correspondence.
|
|
OPM-02-021
|
|
Exam date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents administered municipal tax collector certification exams. Including but not limited to: exam applications and completed exam sheets.
|
|
OPM-02-022
|
|
Review date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of Nonprofit State Single Audits submitted to OPM pursuant to CGS Sec. 4-231. Including but not limited to: State Single Audit reports; management letters; corrective action plans; State Single Audit report reviews; and correspondence.
|
|
OPM-02-023
|
|
Review date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of audited agency and district audits submitted to OPM pursuant to CGS Sec. 7-393 and Sec. 4-231. Including but not limited to: audit reports; audit questionnaires; management letters; corrective action plans; audit report reviews; and related correspondence
|
|
OPM-02-024
|
|
Receipt date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of housing authority audits submitted to OPM pursuant to CGS Sec. 7-392(d). Including but not limited to audit reports submitted to OPM from the Department of Housing.
|
|
Agency Specific Schedules: Policy & Management, Office of: Policy Development and Planning Division/Health and Human Services Unit
|
|
OPM-03-001
|
|
Data entry date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents survey data collected from policy holders for the Connecticut Partnership for Long-Term Care. Including but not limited: to data input forms and other documentation.
|
|
OPM-03-002
|
|
Permanent
|
Retain in agency
|
This series documents the database for the Connecticut Partnership for Long-Term Care program, which contains data collected from policy holders.
|
|
OPM-03-003
|
|
Publication date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information collected for the Connecticut Annual Nursing Facility Census, which provides aggregate information on the status of nursing facilities and their residents. Including but not limited to data input forms and other documentation.
|
|
OPM-03-004
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the database for the Connecticut Annual Nursing Facility Census, which provides aggregate information on the status of nursing facilities and their residents.
|
|
OPM-03-005
|
|
Data entry date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents data collected on private pay rates for home and community-based long-term care services. Including but not limited to data input forms and other documentation.
|
|
OPM-03-006
|
|
Permanent
|
Retain in agency
|
This series documents the database for the Home and Community-Based Services Private Pay Charge Survey, which contains data on private pay rates for home and community-based long-term care services.
|
|
OPM-03-007
|
|
Data entry date + 6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents data collected annually from insurers on the sale of long-term care insurance policies. Including but not limited to data input forms and other documentation.
|
|
OPM-03-008
|
|
Permanent
|
Retain in agency
|
This series documents the database for the Long-Term Care Sales Data Report, which contains data collected annually from insurers on the sale of long-term care insurance policies.
|
|
Agency Specific Schedules: Protection and Advocacy for Persons with Disabilities, Office of: All Agency Programs
|
|
OPA-01-001
|
|
Decision date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review of accessibility (for the elderly and physically handicapped) in public spaces for exemptions to State Building Code (CGS Sec29-269), requests for approval to install wheelchair lifts (CGS Sec29-200), and exemptions from polling place accessibility requirements (CGS Sec9-168d). Including but not limited to: applications / waivers for exemptions; reviews; decisions; and related documents.
|
|
OPA-01-002
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date closing letter issued, or 5 years from age of 18, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents initial intake and referral for persons with disabilities. Including but not limited to: intake forms; formal and informal advice; correspondence; and related documents.
|
|
OPA-01-003
|
|
Case closed date + 5 Year(s)
|
Disposition is 5 years from date case closed, or 5 years from age of 18, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents advocacy on behalf of persons with disabilities. Including but not limited to: authorizations; release forms; correspondence; related educational, employment, and medical records; and litigation documents.
|
|
OPA-01-004
|
|
Case closed date + 5 Year(s)
|
Disposition is 5 years from date case closed, or 5 years from age of 18, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the investigation of suspected abuse or neglect of persons with disabilities reported pursuant to CGS Sec46a-11a, et. seq. Including but not limited to: authorizations; release forms; correspondence; related educational, employment, and medical records; notifications of death; written findings; statewide registry; referrals to Attorney General’s Office; and litigation documents.
|
|
OPA-01-005
|
|
End of year to which record relates + 1 Year(s)
|
Disposition is 1 year from end of legislative session. Destroy after receipt of signed Form RC-108
|
This series documents legislative affairs related to the Office of Protection and Advocacy for Persons with Disabilities. Including but not limited to: correspondence; reports; and weekly legislative updates.
|
|
OPA-01-006
|
|
Completion date + 6 Month(s)
|
Disposition is 6 months from completion of investigation or 6 months from termination of investigation prior to completion. Destroy after receipt of signed Form RC-108
|
This series documents the review of financial information of Social Security Representative Payees. Including but not limited to: correspondence; financial reports; employment records; monitoring review SSA-637 Forms; and all documentation that contains Personally Identifiable Information (PII) of the Social Security Representative Payees.
|
|
OPA-01-007
|
|
Completion date + 7 Year(s)
|
Disposition is 7 years from completion of investigation and/or review of each death. Destroy after receipt of signed Form RC-108
|
This series documents Fatality Review Board (FRB) investigation and/or review of the death of individuals with intellectual disabilities. Including but not limited to: death notices; medical records; abuse/neglect investigations; correspondence; Office of the Chief Medical Examiner (OCME) reports; summaries of investigations; notes; and witness interview reports.
|
|
Agency Specific Schedules: Public Health Department of: Healthcare Quality and Safety Branch - Practitioner Licensing & Investigation
|
|
DPH-01-001
|
|
Resolution date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents complaints made against license applicants that do not result in an investigation. Including, but not limited to: complaints.
|
|
DPH-01-002
|
|
Completion date + 3 Year(s)
|
Disposition is 3 years from date terms of discipline completed. Destroy after receipt of signed Form RC-108
|
This series documents the monitoring of practitioners conducted under the terms of disciplinary orders. Including but not limited to: therapy reports, practice monitor reports, and urine drug test results.
|
|
DPH-01-003
|
|
Test date + 1 Year(s)
|
Disposition is 1 year from date of exam. Destroy after receipt of signed Form RC-108
|
This series documents the administration of a licensure examination. Including but not limited to: exam content and test results.
|
|
DPH-01-004
|
|
Inspection date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the routine inspections of funeral homes. Including but not limited to: inspection reports.
|
|
DPH-01-005
|
|
Notification date + 3 Year(s)
|
Disposition is 3 years from date of final notice in local paper or written notice sent to patients, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents patient medical records transferred to the Department of Public Health (DPH) custody from abandoned practices. Including but not limited to: patient medical records.
|
|
DPH-01-006
|
|
Case closed date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations of health care practitioners where no disciplinary action was taken. Including but not limited to: medical records, x-rays, molds and related correspondence.
|
|
DPH-01-007
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents reports summarizing the results of investigations of health care practitioners where no disciplinary action was taken.
|
|
DPH-01-008
|
|
Permanent
|
|
This series documents index cards containing licensure data for licenses granted prior to 1990.
|
|
DPH-01-009
|
|
Denied or withdrawn date + 1 Year(s)
|
Disposition is 1 year from date denied, withdrawn, or of last contact. Includes optical shops and apprentices.Destroy after receipt of signed Form RC-108
|
This series documents the licensing of healthcare practitioners. Including but not limited to: applications, supporting documentation.
|
|
DPH-01-010
|
|
Issue date + 55 Year(s)
|
Disposition is 55 years from date license granted. Includes optical shops and apprentices. Destroy after receipt of signed Form RC-108
|
This series documents the licensing of health care practitioners. Including but not limited to: applications for temporary and regular licenses, supporting documentation, individual exam results, and inspections reports.
|
|
DPH-01-011
|
|
Application date + 3 Year(s)
|
Disposition is 3 years from date of application, or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the renewal of practitioner licenses. Including but not limited to: applications and related documents.
|
|
Agency Specific Schedules: Public Health Department of: Infectious Disease Unit - Healthcare Associated Infections (HAI) Program
|
|
DPH-03-001
|
|
Permanent
|
Retain in Agency or transfer to State Archives
|
This series documents infectious disease Permanent statistics from 1895 to present. Data are arranged by town and disease and by year. The report includes, but is not limited to: Epidemiology, Sexually Transmitted Diseases [STD] and Tuberculosis.
|
|
DPH-03-002
|
|
Permanent
|
Retain in Agency or transfer to State Archives
|
This series summarizes infectious disease statistics by disease and by year from 1895 to present. This report is inclusive, but not limited to: Epidemiology, Sexually Transmitted Diseases [STD] and Tuberculosis
|
|
DPH-03-003
|
|
Notification date + 10 Year(s)
|
Disposition is 10 years from the date DPH is informed of an outbreak. Destroy after receipt of signed Form RC-108
|
This series documents the investigation of reportable diseases and outbreaks pursuant to Conn. Agencies Regs. Sec 19a-36-A6. Including but not limited to: written reports, surveys including prevalence studies, background materials, questionnaires, databases and previous studies.
|
|
DPH-03-004
|
|
Reported date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents diseases reported by persons or laboratories required to report or where laboratory evidence suggests a Reportable Disease found on the current Reportable Diseases List pursuant to CGS Sec 19a-2a. Including but not limited to: Reportable Disease Confidential Case Report Form (PD-23} and Laboratory Report of Significant findings and Laboratory Report of Significant findings form (OL-15C} and DPH summaries.
|
|
DPH-03-005
|
|
Notification date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the investigation of reportable diseases and outbreaks pursuant to Connecticut Agencies Regs. Sections 19a-36-A6. Including, but not limited to supporting documentation including surveys, background materials, questionnaires, databases and previous studies.
|
|
DPH-03-006
|
|
Notification date + 3 Year(s)
|
Disposition is 3 years after DPH notification of outbreak. Destroy after receipt of signed Form RC-108
|
This series documents special research projects (e.g. Lyme disease, emerging infections}, either federally or outside funded, including, but not limited to Yale Emerging Infections Program. Including, but not limited to surveys, background materials, questionnaires, databases and previous studies.
|
|
DPH-03-007
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents data collected during chart audits of health facility patients who may be eligible to be reported to DPH as a case of healthcare associated infection. These records are distinct from standard reportable disease forms. They are used to determine the accuracy and completeness of healthcare facility reporting of publicly reportable HAis
|
|
DPH-03-008
|
|
Permanent
|
Retain in Agency
|
This series documents legislatively mandated annual reports to the chairs of the Public Health Committee summarizing data on publicly reportable HAis in healthcare facilities in Connecticut.
|
|
DPH-03-009
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents sexually transmitted diseases reported by persons or laboratories required to report or where laboratory evidence suggests an STD. lncludes but is not limited to STD Case Report (STD-23} and Laboratory Report of Significant Findings (OL-lSC} that are specific for STDs
|
|
DPH-03-010
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents reports to the federal 3 years Center for Disease Control [CDC] of individual cases of STDs including Syphilis. Includes but is not limited to field and interview records used to gather information on individual patients.
|
|
DPH-03-011
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[Obsolete] This series documents internal program monthly and annual summaries of syphilis cases reported in the state, 2000-2010
|
|
DPH-03-012
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
[Obsolete] This series documents summaries of STD cases diagnosed in the state as well as quarterly and annual reports made to CDC. This includes but is not limited to STD Quarterly/Annual Morbidity Report, Annual Report, Civilian Cases of Primary, Secondary and Early Latent Syphilis and Gonorrhea and Quarterly Epidemiological Activity for Venereal Disease Report.
|
|
DPH-03-013
|
|
70 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information for patients diagnosed with tuberculosis disease. This includes but is not limited to physician and laboratory report forms, clinical information, contact investigation forms and master index card with medication information.
|
|
DPH-03-014
|
|
70 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information for patients diagnosed with latent tuberculosis infection. This includes but is not limited to physician and laboratory report forms, clinical information, contact investigation forms and master index cards with medication information.
|
|
DPH-03-015
|
|
70 Year(s)
|
Destroy after receipt of signed Form RC-108
|
[Obsolete] This series documents a variety of finding aids for access to files of patients with diagnosed tuberculosis disease.
|
|
DPH-03-016
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents reports to the federal Center for Disease Control [CDC] of individual tuberculosis cases
|
|
DPH-03-017
|
|
Report date + 3 Year(s)
|
Disposition is 3 years from the date of the last expenditure report submitted for the funding period. Destroy after receipt of signed Form RC-108
|
This series documents federal program and grant management. This includes but is not limited to grant and program activity reports made to CDC.
|
|
DPH-03-018
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents medical follow-up for persons entering Connecticut as refugees. This includes but is not limited to health care provider forms and test results.
|
|
DPH-03-019
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information received informing the state of refugees and immigrants arriving in Connecticut with overseas TB classifications that require medical and public health follow-up. This includes but is not limited to notification forms and support documents from CDC and other organizations.
|
|
Agency Specific Schedules: Public Health Department of: Local Health Administration Branch (LHAB)
|
|
DPH-04-001
|
|
Case closed date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the investigation of complaints received from Connecticut residents stating local health departments / districts have failed to uphold the Public Health Code. Including but not limited to: correspondence.
|
|
DPH-04-002
|
|
Event date + 3 Year(s)
|
Disposition is 3 years from date of conference. Destroy after receipt of signed Form RC-108
|
This series documents LHAB sponsored conferences / workshops conducted pursuant to CGS Sec19a-208. Including but not limited to: planning files, handouts, and lists of attendees.
|
|
DPH-04-003
|
|
Correspondence date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents technical assistance and consultation to local health departments/districts for improving the provision of local public health services pursuant to CGS Sec19a-2a. Including but not limited to: technical assistance, consultation requests, and narratives.
|
|
DPH-04-004
|
|
Not Applicable
|
Continuously Updated
|
This series documents the database directory of local health departments / districts in Connecticut.
|
|
DPH-04-005
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the administration of the per capita grants-in-aid program for local health departments/districts pursuant to CGS Sec19a-202, Sec19a-202a, Sec19a –241, and Sec19a-245. Including but not limited to: applications, public hearing meeting minutes, records of vote, transition documents, and supporting documentation.
|
|
DPH-04-006
|
|
Permanent
|
Permanent
|
This series documents annual reports submitted by local directors of health pursuant to CGS Sec19a-200. Reports include director expense, revenue, personnel, and program information.
|
|
DPH-04-007
|
|
Appointment date + 8 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process for appointments of local directors of health pursuant to CGS Sec19a-200 and Sec19a-242. Including but not limited to: appointments, credential review, contact information, and related correspondence.
|
|
Agency Specific Schedules: Public Health Department of: Office of Legal Compliance
|
|
DPH-11-001
|
|
Effective date + 5 Year(s)
|
Disposition is 5 years from effective date of Consent Order/Memorandum of Decision/Voluntary Surrender or agreement not to renew license. Destroy after receipt of signed Form RC-108
|
This series documents the legal and investigative files of practitioner licensing disciplinary actions. Including but not limited to: investigative reports, exhibits, and related correspondence.
|
|
DPH-11-002
|
|
Audit completion date
|
Destroy after receipt of signed Form RC-108
|
This series documents the Long-Term Care Background Search Program as a part of the National Background check program, pursuant to CGS Sec. 19a-491c and the Affordable Care Act Public Law 111-148. Including but not limited to: applicant information, Connecticut state criminal history record reports received from the Department of Emergency Services and Public Protection, and federal criminal history records received from the FBI.
|
|
DPH-11-003
|
|
Effective date + 55 Year(s)
|
Disposition is 55 years from effective date of voluntary surrender or agreement not to renew. Destroy after receipt of signed Form RC-108
|
This series documents the voluntary surrender of or the agreement not to renew a practitioner's license and the associated allegations. Including but not limited to: voluntary surrenders, agreements not to renew, summaries of allegations or investigative reports (without attachments).
|
|
Agency Specific Schedules: Public Health Department of: Office of Public Health Preparedness and Response
|
|
DPH-12-001
|
|
Activity date + 10 Year(s)
|
Disposition is 10 years from date of exercise. Destroy after receipt of signed Form RC-108
|
This series documents the results and findings of the DPH and its partners' performance during a simulated emergency as contained in the final AAR. Including but not limited to: report of exercise findings, improvement plans, and records of improvements.
|
|
DPH-12-002
|
|
Record date + 5 Year(s)
|
Disposition is 5 years from date of exercise.Destroy after receipt of signed Form RC-108
|
This series documents the results and findings of LHDs or Acute Care Hospitals' performance during a simulated emergency as contained in the final AAR and Cities Readiness Initiative (CRI) metric sheet submitted to the DPH. Including but not limited to: DPH approved CRI metric sheets, and final reports received by CT DPH from hospitals and LHDs reflecting outcomes of exercises and drills.
|
|
DPH-12-003
|
|
Event date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the results and findings of LHDs or Acute Care Hospitals' performance during an actual emergency or real event as contained in the final AAR. Including but not limited to: DPH approved CRI metric sheets, and final reports received by CT DPH from hospitals and LHDs reflecting outcomes of exercises and drills.
|
|
DPH-12-004
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents the results and findings of the DPH performance during a state declared emergency as contained in the final AAR. Including but not limited to: files reflecting internal evaluation and review findings after state declared emergencies.
|
|
DPH-12-005
|
|
Drill date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the call down drills conducted by OPHPR via the Medical Satellite (MedSat) radio and Everbridge to local health departments/districts, acute care hospitals, and/or DPH staff. Including but not limited to: notice of drills; response times; and final reports.
|
|
DPH-12-006
|
|
Activation date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the activation of the ECC during any major emergency affecting CT. Including but not limited to: reason for activation; Incident Command System (ICS) Forms, Incident Action Plans, Situational Reports; WebEOC; and sign-in sheets.
|
|
DPH-12-007
|
|
Review date + 2 Year(s)
|
Disposition is 2 years from date of review or until forms/assessment updated.Destroy after receipt of signed Form RC-108
|
This series documents the DPH review of activities conducted by health care coalitions, hospitals, and other organizations funded by the Hospital Preparedness Program. Including but not limited to: hospital profile forms, health care coalition minutes, health care coalition governance, regional hazard and vulnerability assessments.
|
|
DPH-12-008
|
|
Superseded
|
Disposition is until superseded or asset no longer owned by DPH. Destroy after receipt of signed Form RC-108
|
This series documents the listing of DPH assets such as Mass Casualty Trailers, Medical Supplies, Mobile Field Hospital components, and other DPH assets utilized for emergencies and CT DPH responsibilities associated with managing the CDC assets under the CHEMPACK program. Including but not limited to: files listing out location of assets, quantities, maintenance records, transfer of assets records, disposal records, and associated agreements.
|
|
DPH-12-009
|
|
Activation date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review and activation process of the Medical Reserve Corps (MRC). Including but not limited to: notifications; activation forms; approvals/denials; and participant rosters.
|
|
DPH-12-010
|
|
Submission date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the DPH plans submitted to the Centers of Disease Control and Prevention (CDC) pursuant to grant requirements. Including but not limited to: MCM ORR review document; DPH supporting documentation; final reports provided to DPH; and technical assistance (TA) plans.
|
|
DPH-12-011
|
|
Review date + 3 Year(s)
|
Disposition is 3 years from date of review or until superseded; whichever is sooner. Destroy after receipt of signed Form RC-108
|
This series documents the DPH OPHPR review of LHD plans for MCM activities. Including but not limited to: MCM ORR review document; LHD supporting documentation; final reports provided to LHDs; and technical assistance (TA) plans.
|
|
DPH-12-012
|
|
Activity date + 10 Year(s)
|
Disposition is 10 years from date of exercise. Destroy after receipt of signed Form RC-108
|
This series documents final materials for DPH OPHPR exercises. Including but not limited to: Multi-year Training and Exercise Plan (MYTEPs); specific exercise plans; player handbooks; master scenario events lists (MSELs); exercise evaluation guides (EEGs); and participant debrief surveys.
|
|
DPH-12-013
|
|
Report date + 5 Year(s)
|
Disposition is 5 years from date plan finalized or until superseded, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents the emergency preparedness plans specific to the Emergency Support Function (ESF) 8 (Public Health). Including but not limited to: Public health emergency response plan; plans specific to diseases and other disasters and hazards where public health has a designated role under the state response framework (annexes).
|
|
DPH-12-014
|
|
Activity date + 2 Year(s)
|
Disposition is 2 years from date of exercise. Destroy after receipt of signed Form RC-108
|
This series documents the administration of DPH volunteers for OPHPR statewide exercises. Including but not limited to: recruitment; orientation and training documentation; and sign-in/out sheets.
|
|
DPH-12-015
|
|
Approved date + 1 Year(s)
|
Disposition is 1 year from date of signed copy or until updated; whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents local health department/district and hospital users for the Web-based Emergency Operations Center (WebEOC) system. Includes the completed registration form.
|
|
Agency Specific Schedules: Public Health Department of: Planning Branch: Health Information Systems and Reporting; Tumor Registry; and Workforce, Professional Development, and State Health Planning
|
|
DPH-10-001
|
|
Receipt date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document the statistical analysis of legal induced abortions in Connecticut. Including but not limited to: forms (MCH 155) submitted to DPH by licensed clinics and statistical summaries of legal induced abortions.
|
|
DPH-10-002
|
|
Not Applicable
|
Continuously Updated
|
Consists of database of records related to the statistical analysis of legal induced abortions in Connecticut.
|
|
DPH-10-003
|
|
Permanent
|
Permanent
|
Consists of records that document cancers diagnosed in Connecticut residents from 1935 to 2002. Including but not limited to: cancer report forms, occupational history forms, cancer patient follow-up forms, death certificates, and autopsy reports, registry, and tumor registry data system.
|
|
DPH-10-004
|
|
Record date + 5 Year(s)
|
Disposition is 5 years from date of estimate. Destroy after receipt of signed Form RC-108
|
Consists of records that document annual demographic and socioeconomic census population estimates.
|
|
DPH-10-005
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records that document surveys and studies conducted by DPH (e.g., Behavioral Risk Factor Surveillance Survey and CT School Health Survey). Including but not limited to: survey results, data, correspondence, anonymous medical case histories, and related documents.
|
|
DPH-10-006
|
|
Permanent
|
Permanent
|
Consists of records that document the twin registry study conducted from 1897 to the 1970s. Including but not limited to: correspondence, forms, and twin registry controls.
|
|
DPH-10-007
|
|
Permanent
|
Permanent
|
Consists of vital records and statewide registries of births, deaths, marriages, and adoptions. Including but not limited to: certificates of birth, marriage, civil union, death and fetal death, amendment files related to parentage and gender change, and all vital records indeces.
|
|
DPH-10-008
|
|
Event date + 5 Year(s)
|
Disposition is 5 years following vital event. Destroy after receipt of signed Form RC-108
|
Consists of transcripts of birth and death records of persons who were born or died in other states but were residents of Connecticut.
|
|
Agency Specific Schedules: Public Health Department of: Public Health Initiatives Branch - AIDS and Chronic Diseases Section
|
|
DPH-06-001
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the report of cases of HIV infection by faculties or providers to DPH. Including but not limited to: Adult HIV/AIDS Confidential Case Report (Form OMB No. 0920-0009) [also known as “AIDS Case Report”] and Pediatric HIV/AIDS Confidential Case Report Form (Form CDC 50.42B).
|
|
DPH-06-002
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the report of cases of HIV infection by laboratories to DPH. Including but not limited to: Laboratory Report of Significant Findings, Diseases Relating to Public Health (Form OL-15C).
|
|
DPH-06-003
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the report of cases of reportable diseases (including HIV infection) by physicians to DPH. Including but not limited to: Reportable Disease Confidential Case Report (Form PD-23).
|
|
DPH-06-004
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents demographic information on clients who receive an HIV test. This information is subsequently entered into XPems, a CDC reporting system.
|
|
DPH-06-005
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents information included in quarterly reports from HIV Prevention contractors and provides more HIV testing information than what is captured in XPems.
|
|
DPH-06-006
|
|
Creation date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents site specific demographic profiles of HIV counseling and testing sites and is updated in quarterly and monthly reports from HIV Prevention contractors and used to update site information in XPems.
|
|
DPH-06-007
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the training and certification of HIV Prevention Counselors by DPH. Including but not limited to: waivers; applications; performance appraisals; records of certificate actions; and recertification actions.
|
|
DPH-06-008
|
|
Record date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the training and certification of AIDS Educators by DPH. Including but not limited to: records of certificate actions and recertification actions.
|
|
Agency Specific Schedules: Public Health Department of: Public Health Initiatives Branch: Health Education, Management, and Surveillance Section – Cancer Program
|
|
DPH-05-001
|
|
Permanent
|
Retain permanently
|
Consists of ongoing electronic, web-based database of participants who have been and may be rescreened if continue to meet program eligibility criteria for the Connecticut Breast and Cervical Cancer Early Detection Program (CBCCEDP) [CGS Sec19a-266(c)(3)], WISEWOMAN (Well-Integrated Screening and Evaluation for Women Across the Nation), and the Connecticut Colorectal Cancer Control Program (CCRCP). Information includes enrollment, screening, diagnostic follow-up, case management, and treatment referral data entered by contracted health care providers.
|
|
DPH-05-002
|
|
6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of enrollment, screening, diagnostic follow-up, case management, and treatment referral forms for women screened for breast and cervical cancer at contracted health providers.
|
|
DPH-05-003
|
|
6 Month(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of enrollment, screening, diagnostic follow-up, case management, and treatment referral forms for women screened for cardiovascular disease at contracted health providers.
|
|
Agency Specific Schedules: Public Health Department of: Public Health Initiatives Branch: Infectious Disease Section - Immunization Program
|
|
DPH-02-001
|
|
Superseded date
|
|
Consists of ongoing web-based registry of patients and their complete immunization history.
|
|
DPH-02-002
|
|
Received date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of opt-out letters for CT WiZ.
|
|
DPH-02-003
|
|
Received date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of immunization histories for CT Wiz.
|
|
DPH-02-004
|
|
Survey date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of annual surveys of day care facilities.
|
|
DPH-02-005
|
|
Survey date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of annual surveys of schools.
|
|
DPH-02-006
|
|
Submission date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of order and usage forms for vaccines. The Central Office (yellow copy) is the record copy.
|
|
Agency Specific Schedules: Public Health Department of: Regulatory Services Branch - Drinking Water Section
|
|
DPH-07-001
|
|
Received date + 9 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the review process of public water systems (PWS) water supply plans submitted by water companies to DPH pursuant to CGS Sec25-32d. Including but not limited to: plans; DPH comments/reviews; and related correspondence.
|
|
DPH-07-002
|
|
Certification Issued/denied date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents examination and certification of PWS certified operators pursuant to CGS Sec25-32(n)(1). Including but not limited to: applications; exam results; fees; certifications; and related correspondence.
|
|
DPH-07-003
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series documents the land permit application process of sale, lease, transfer, or assignment and changes in use of Class I or Class II water company land pursuant to CGS Sec25-32. Including but not limited to: applications and supporting documentation; summary rulings; related correspondence; public hearing records; decisions; land permits; and certificates.
|
|
DPH-07-004
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents microbiological analyses, turbidity measurements, and disinfectant residual measurements of PWSs as listed on 40 Code of Federal Regulations (CFR) Sec142.14(a)(1), (2), (3), and (4)(i). Includes, but is not limited to, records of repeat or special samples; turbidity measurements; and disinfectant residual measurements and other parameters necessary to document disinfection effectiveness.
|
|
DPH-07-005
|
|
Decision date + 40 Year(s)
|
Disposition is 40 years or until 1 year after the decision is reversed or revised. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions under Conn. Agencies Regs. Sec19-13-B102(j) regarding filtration and disinfection of surface water and ground water under the direct influence of surface water (GUIDI) systems made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(A)(1) through (9). For example, conventional filtration treatment or direct filtration to substitute a turbidity limit greater than 0.5 NTU (nephelometric turbidity units).
|
|
DPH-07-006
|
|
Decision date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(B)(1) through (4). Includes determination that violation of monthly CT compliance requirements caused by circumstances unusual/unpredictable; disinfection effectiveness criteria not caused by deficiency in treatment of source water (SW); violation of total coliform MCL (maximum contaminant level) not caused by deficiency in treatment of SW; and total coliform monitoring required because turbidity of SW >1 NTU not feasible.
|
|
DPH-07-007
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions regarding source water turbidity made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(1). Includes any decision that an event in which the source water turbidity which exceeded 5 NTU for an unfiltered PWS was unusual and unpredictable.
|
|
DPH-07-008
|
|
Decision date + 40 Year(s)
|
Disposition is unless filtration is installed or 40 years, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions regarding disinfectant residual concentration requirements made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(2). Includes any decision by the Department that failure to meet the disinfectant residual concentration requirements of Conn. Agencies Regs. Sec19-13-B102(j)(3)(B)(ii) was caused by circumstances that were unusual and unpredictable.
|
|
DPH-07-009
|
|
Withdrawn date
|
Disposition is until the qualification is withdrawn or 40 years, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions regarding PWS operators as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(4). Includes any decision that an individual is a qualified operator for a PWS using a surface water source or a ground water source under the direct influence of surface water.
|
|
DPH-07-010
|
|
Withdrawn date
|
Disposition is until withdrawn, or 40 years, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made regarding the performance of on-site inspections as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(5). Includes any decision that a party other than the Department is approved by the Department to conduct on-site inspections.
|
|
DPH-07-011
|
|
Decision date + 40 Year(s)
|
Disposition is until filtration treatment is installed or 40 years, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(6) and (7). Includes any decision that an unfiltered PWS has been identified as the source of a waterborne disease outbreak, and, if applicable, that it has been modified sufficiently to prevent another such occurrence and any decision that certain interim disinfection requirements are necessary for an unfiltered PWS for which the Department has determined that filtration is necessary, and a list of those requirements.
|
|
DPH-07-012
|
|
Decision date + 40 Year(s)
|
Disposition is until decision is reversed or revised or 40 years, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(11). Includes any decision that a PWS, having demonstrated to the Department that an alternative filtration technology, in combination with disinfection treatment, consistently achieves 99.9 percent removal and/or inactivation of Giardia lamblia cysts and 99.99 percent removal and/or inactivation of viruses, may use such alternative filtration technology.
|
|
DPH-07-013
|
|
Decision date + 40 Year(s)
|
Disposition is until decision is reversed or revised or 40 years, whichever is less. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(12). Includes any decision that a system using either preformed chloramines or chloramines formed by the addition of ammonia prior to the addition of chlorine has demonstrated that 99.99 percent removal and/or inactivation of viruses has been achieved at particular CT values, and a list of those values.
|
|
DPH-07-014
|
|
40 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions that a system using a ground water source is under the direct influence of surface water as listed on 40 CFR Sec142.14(a)(4)(ii)(C)(14).
|
|
DPH-07-015
|
|
Decision date + 40 Year(s)
|
Disposition is 40 years or until withdrawn, whichever is earlier. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made on a system-by-system and case-by-case basis as listed on 40 CFR Sec142.14(a)(4)(iii). Includes any determination that a PWS supplied by a surface water source or a ground water source under the direct influence of surface water is not required to provide filtration treatment.
|
|
DPH-07-016
|
|
Decision date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made pursuant to the total coliform provisions of Conn. Agencies Regs. Sec 19-13-B102(x) as listed on 40 CFR Sec 142.14(a)(5)(i)(A) and Sec 142.14(a)(10)(i)(A), through (D). Includes any decisions regarding waivers, extensions, or invalidations, of repeat sample collections, including all of the items listed in Conn. Agencies Regs. Sec 19-13-B102(x)(4)(G) and (x)(5)(F); and Conn. Agencies Regs Sec 19-13-B102(x)(3)(E); and completed and department approved level 1 and 2 assessment forms, including reports from the system that corrective action has been completed as required by Conn. Agencies Regs. Sec 19-13-B102(x)(11)(A)(iii).
|
|
DPH-07-017
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made pursuant to the total coliform provisions of Conn. Agencies Regs. Sec19-13-B102 as listed on 40 CFR Sec142.14(a)(5)(i)(C). Includes any decision to invalidate a total coliform-positive sample.
|
|
DPH-07-018
|
|
Decision date + 5 Year(s)
|
Disposition is 5 years after date of decision, or after decision is revised or replaced, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made pursuant to the total coliform provisions of Conn. Agencies Regs. Sec19-13-B102(x) as listed on 40 CFR Sec142.14(a)(5)(ii)(A) and (B) Sec 142.14(a)(10)(ii)(B), (C) and (D). Includes any decisions to reduce the total coliform monitoring frequency as provided in Conn. Agencies Regs. Sec 19-13-B102(x)(5)(D) and Sec 19-13-B102(x)(7)(D) and any decision to allow a system to forgo E. Coli testing of a total coliform-positive sample if that system assumes that the total coliform-positive sample is E. coli-positive.
|
|
DPH-07-019
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made pursuant to the total coliform provisions of Conn. Agencies Regs. Sec19-13-B102 as listed on 40 CFR Sec142.14(a)(5)(ii)(D). Includes any decision to waive the 24-hour limit for taking a total coliform sample for a PWS which uses surface water, or ground water under the direct influence of surface water, and which does not practice filtration in accordance with Conn. Agencies Regs. Sec19-13-B102(j)(4) and which measures a source water turbidity level exceeding 1 NTU near the first service connection as provided in Conn. Agencies Regs. Sec19-13-B102(e)(7)(H)(i).
|
|
DPH-07-020
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made pursuant to the total coliform provisions of Conn. Agencies Regs. Sec19-13-B102 as listed on 40 CFR Sec142.14(a)(5)(ii)(E). Includes any decision that a non-CWS is using only protected and disinfected ground water and therefore may reduce the frequency of its sanitary survey to less than once every five years, as provided in Conn. Agencies Regs. Sec19-13-B102(e)(7)(E)(i), and what that frequency is.
|
|
DPH-07-021
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of decisions made pursuant to the total coliform provisions of Conn. Agencies Regs. Sec19-13-B102 as listed on 40 CFR Sec142.14(a)(5)(ii)(F). Includes a list of agents other than the Department, if any, approved by the Department to conduct sanitary surveys.
|
|
DPH-07-022
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of analysis for other than microbiological contaminants (total coliform, fecal coliform and heterotrophic plate count); residual disinfectant concentration; other parameters necessary to determine disinfection effectiveness (including temperature and pH measurements); and turbidity of a PWS as listed on 40 CFR Sec142.14(a)(6).
|
|
DPH-07-023
|
|
Superseded date
|
Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(j) as listed on 40 CFR Sec142.14(a)(7)(i). Includes records of systems consulting with the Department concerning a modification to disinfection practice under Conn. Agencies Regs. Sec19-13-B102(e)(7)(T)(vii) and Conn. Agencies Regs. Sec19-13-B102(h)(9)(D), including the status of the consultation.
|
|
DPH-07-024
|
|
Superseded date
|
Disposition is until the decision is reversed or revised. Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(j) as listed on 40 CFR Sec142.14(a)(7)(ii). Includes records of decisions that a system using alternative filtration technologies, as allowed under Conn. Agencies Regs. SecSec19-13-B102(j)(4)(D), can consistently achieve a 99.9 percent removal and/or inactivation of Giardia lamblia cysts, 99.99 percent removal and/or inactivation of viruses, and 99 percent removal of Cryptosporidium oocysts. The decisions must include Department-set enforceable turbidity limits for each system.
|
|
DPH-07-025
|
|
Superseded date
|
Disposition is until the decision is reversed or revised. Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(j) as listed on 40 CFR Sec142.14(a)(7)(iii). Includes records of systems required to do filter self-assessment, a comprehensive performance evaluation (CPE), or a composite correction program (CCP) under the requirements of Conn. Agencies Regs. Sec19-13-B102(h)(6)(B)(i).
|
|
DPH-07-026
|
|
Decision date + 40 Year(s)
|
Disposition is until replaced by approved IDSE reports. Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(e)(11)(B) and (C) as listed on 40 CFR Sec142.14(a)(8)(i). Includes Initial Distribution System Evaluations (IDSE) monitoring plans, plus any modifications required by the Department.
|
|
DPH-07-027
|
|
Decision date + 40 Year(s)
|
Disposition is until replaced or revised in their entirety. Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(e)(11)(B) and (C) as listed on 40 CFR Sec142.14(a)(8)(ii). Includes IDSE reports and 40/30 certifications, plus any modifications required by the Department.
|
|
DPH-07-028
|
|
Submission date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(e)(11)(B) and (C) as listed on 40 CFR Sec142.14(a)(8)(iii). Includes operational evaluations submitted to the Department by a system.
|
|
DPH-07-029
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents any decisions made pursuant to Conn. Agencies Regs. Sec19-13-B102(e)(7)(T), Sec19-13-B102(h)(9), and Sec19-13-B102(j)(12) as listed on 40 CFR Sec142.14(a)(9)(i), (ii), (iii), and (v). Includes results of source water E. coli and Cryptosporidium monitoring; the bin classification after the initial and after the second round of source water monitoring for each filtered system, as described in Conn. Agencies Regs. Sec19-13-B102(j)(12)(A); any change in treatment requirements for filtered systems due to watershed assessment during sanitary surveys, as described in Conn. Agencies Regs. Sec19-13-B102(j)(12)(B)(v); and the treatment processes or control measures that systems use to meet their Cryptosporidium treatment requirements under Conn. Agencies Regs. Sec19-13-B102(j)(12)(B).
|
|
DPH-07-030
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents current inventory information for every PWS in the State as listed on 40 CFR Sec142.14(c) and certain reports and records for every PWS in the State as listed on 40 CFR Sec142.14(d)(1), (2), and (3). Includes reports of sanitary surveys; records of any Department approvals; and records of any enforcement actions.
|
|
DPH-07-031
|
|
Permanent
|
Disposition is in perpetuity, or until a more current repeat monitoring determination has been issued. Destroy after receipt of signed Form RC-108
|
This series documents the current monitoring requirements and the most recent monitoring frequency decision pertaining to each contaminant as listed on 40 CFR Sec142.14(d)(5). Includes the monitoring results and other data supporting the decision; the Department's findings based on the supporting data; and any additional bases for such decision.
|
|
DPH-07-032
|
|
Permanent
|
Disposition is in perpetuity or until a more current repeat monitoring determination has been issued. Destroy after receipt of signed Form RC-108
|
This series documents records of asbestos monitoring of PWS as listed on 40 CFR Sec142.14(d)(6). Includes a record of the most recent asbestos repeat monitoring determination, including the monitoring results and other data supporting the determination; the Department’s findings based on the supporting data and any additional bases for the determination; and the repeat monitoring frequency.
|
|
DPH-07-033
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of annual certifications received from PWSs pursuant to Conn. Agencies Regs. Sec19-13-B102(j)(5) as listed on 40 CFR Sec142.14(d)(7). Includes records of annual certifications received from systems pursuant to Conn. Agencies Regs. Sec19-13-B102(j)(5) demonstrating the system’s compliance with the treatment techniques for acrylamide and/or epichlorohydrin in 40 CFR Sec14.111.
|
|
DPH-07-034
|
|
12 Year(s)
|
Disposition is 12 years unless no change is made to Department determinations, then until a new decision, determination, or designation has been issued. Destroy after receipt of signed Form RC-108
|
This series documents records of the currently applicable or most recent Department determinations, including all supporting information and an explanation of the technical basis for each decision, made for the control of lead and copper as listed on 40 CFR Sec142.14(d)(8). Includes for any water system deemed to be optimized, any conditions imposed by the Department regarding corrosion control treatment; decisions to require a system to conduct corrosion control treatment studies; designations of optimal corrosion control treatment and optimal water quality parameters; decisions to modify a PWS's optimal corrosion control treatment or water quality parameters; determinations of source water treatment; designations of maximum permissible concentrations of lead and copper in source water; determinations establishing shorter lead service line service line replacement schedules and of additional monitoring requirements and/or other actions required to maintain optimal corrosion control by systems monitoring for lead and copper at the tap less frequently than once every six months that change treatment or add a new source of water; system-specific decisions regarding the content of written public education materials and/or the distribution of these materials and regarding use of non-first-draw samples at non-transient non-CWSs, and CWSs meeting the required criteria, that operate 24 hours a day; system-specific designations of sampling locations for systems subject to reduced monitoring; system-specific determinations pertaining to alternative sample collection periods for systems subject to reduced monitoring; determinations regarding representative entry point locations; system-specific determinations regarding the submission of information to demonstrate compliance with partial lead service line replacement requirements; and system-specific decisions regarding the resubmission of detailed documentation demonstrating completion of public education requirements.
|
|
DPH-07-035
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of reports and any other information submitted by PWSs under Conn. Agencies Regs. Sec19-13-B102(i)(5), including records of any 90th percentile values calculated by the Department, as listed on 40 CFR 142.14(d)(9).
|
|
DPH-07-036
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of Department activities, and the results thereof, as listed on 40 CFR Sec142.14(d)(10). Includes verification of compliance with Department determinations issued under Conn. Agencies Regs. Sec19-13-B102(j)(8)(F), 19-13-B102(j)(8)(H), Sec19-13-B102(j)(9)(B)(ii), and Sec19-13-B102(j)(9)(B)(iv); verification of compliance with the requirements related to partial lead service line replacement under Conn. Agencies Regs. Sec19-13-B102(j)(10)(D) and compliance with lead service line replacement schedules under Conn. Agencies Regs. Sec19-13-B102(j)(10)(E); and invalidation of tap water lead and copper sampling under Conn. Agencies Regs. Sec19-13-B102(e)(8)(F).
|
|
DPH-07-037
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of the current applicable or most recent Department determinations, including all supporting information and an explanation of the technical basis for each decision, made under Conn. Agencies Regs. Sec19-13-B102(e)(11)(A) for the control of disinfectants and disinfection byproducts as listed on 40 CFR Sec142.14(d)(12). Including but not limited to: records of systems that are installing GAC (granular activated carbon) or membrane technology in accordance with Conn. Agencies Regs. Sec19-13-B102(e)(11)(C)(i)(VI); records of systems that are required, by the Department, to meet alternative minimum TOC (total organic carbon) removal requirements or for whom the Department has determined that the source water is not amenable to enhanced coagulation in accordance with Conn. Agencies Regs. Sec19-13-B102(j)(11)(B)(ii) and 40 CFR Sec141.135(b)(4), respectively; records of surface water and ground water under the direct influence of surface water systems using conventional treatment meeting any of the alternative compliance criteria in Conn. Agencies Regs. Sec19-13-B102(j)(11)(A); and registers of qualified operators that have met the Department requirements under Conn. Agencies Regs. Sec25-32-7 through Sec25-32-14.
|
|
DPH-07-038
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of systems with multiple wells considered to be one treatment plant in accordance with Conn. Agencies Regs. Sec19-13-B102(e)(11)(A)(iii)(II)(1)(A), Table 11-A2, as listed on 40 CFR Sec142.14(d)(13).
|
|
DPH-07-039
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents monitoring plans for surface water and ground water under the direct influence of surface water systems serving more than 3,300 persons in accordance with Conn. Agencies Regs. Sec19-13-B102(e)(11)(A)(iii)(VI) as listed on 40 CFR Sec142.14(d)(14).
|
|
DPH-07-040
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the list of laboratories approved for analyses in accordance with Conn. Agencies Regs. Sec19-13-B102(e)(11)(A)(iii)(I)(3) as listed on 40 CFR Sec142.14(d)(15).
|
|
DPH-07-041
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the list of systems required to monitor for disinfectants and disinfection byproducts (DBPs) in accordance with Conn. Agencies Regs. Sec 19-13-B102(e)(11)(A) as listed on 40 CFR 142.14(d)(16).
|
|
DPH-07-042
|
|
12 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents records of the currently applicable or most recent Department determination, including all supporting information and an explanation of the technical basis of each decision, made under Conn. Agencies Regs. Sec19-13-B102(e)(7)(E), Sec19-13-B102(e)(12), and Sec19-13-B102(j)(14) as listed on 40 CFR Sec142.14(d)(17). Includes records of written notices of significant deficiencies; records of corrective action plans, schedule approvals, and Department-specified interim measures; records of confirmations that a significant deficiency has been corrected or the fecal contamination has been addressed; records of Department determinations and records of system's documentation for not conducting triggered source water monitoring; records of invalidations of fecal indicator-positive source samples; records of Department approvals of source water monitoring plans; records of notices of the minimum residual disinfection concentration or minimum residual disinfection concentration and minimum CT Value; records of notices of the Department-approved monitoring and compliance requirements needed to achieve at least 4-log treatment of viruses; records of applications from the system regarding system’s provision of 4-log treatment of viruses; records of written determinations regarding system’s discontinuance of 4-log treatment of viruses.
|
|
DPH-07-043
|
|
Expiration date + 40 Year(s)
|
Disposition is 5 years following expiration of such variance or exemption. Destroy after receipt of signed Form RC-108
|
This series documents records pertaining to each variance and exemption granted by the department as listed on 40 CFR Sec142.14(e).
|
|
DPH-07-044
|
|
3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents public notification records under Conn. Agencies Regs. Sec19-13-B102(i) received from PWSs (including certifications of compliance and copies of public notices) and any Department determinations establishing alternative public notification requirements for the water systems as listed on 40 CFR Sec142.14(f).
|
|
DPH-07-045
|
|
Calendar year end + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents consumer confidence reports received from CWSs under Conn. Agencies Regs. Sec19-13-B102(i)(10)(F) as listed on 40 CFR Sec142.16(f)(3).
|
|
DPH-07-046
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents consumer confidence certifications received from CWSs under Conn. Agencies Regs. Sec19-13-B102(i)(10)(G) as listed on 40 CFR Sec142.16(f)(3).
|
|
Agency Specific Schedules: Public Health Department of: Regulatory Services Branch - Environmental Health Section
|
|
DPH-08-001
|
|
Review date + 2 Year(s)
|
|
Consists of records that document alternative work practices (AWP) procedures (e.g., exceptions to regulations for the removal of asbestos made by program staff). Including but not limited to: applications, reviews, approvals, waivers, and variances to set aside or deny requests.
|
|
DPH-08-002
|
|
Inspection date + 3 Year(s)
|
Disposition is 3 years from date of next re-inspection.
|
Consists of records that document the inspection, abatement, and re-inspection of asbestos for elementary and secondary public and private schools and residential facilities. Including but not limited to: hazard assessments, inventories of samples, inspection reports, air quality surveys, and abatement and management plans.
|
|
DPH-08-003
|
|
Notification date + 5 Year(s)
|
|
Consists of records that document asbestos removal projects and demolitions of buildings when notification of asbestos abatement is not required. Including but not limited to: notification forms.
|
|
DPH-08-004
|
|
Permanent
|
|
Consists of records that document inspection and certification of crematories, mausoleums, columbariums, and private burial grounds. Including but not limited to: plans, inspections, certificates, and complaints and investigations.
|
|
DPH-08-005
|
|
Review date + 5 Year(s)
|
|
Consists of records that document review of small subsurface sewage disposal systems (less than 2,000 gallons/day in size). Including but not limited to: plans and approvals.
|
|
DPH-08-006
|
|
Review date + 10 Year(s)
|
|
Consists of records that document review of large subsurface sewage disposal systems (2,000-5,000 gallons/day in size). Including but not limited to: plans and approvals.
|
|
DPH-08-007
|
|
Report date + 7 Year(s)
|
|
Consists of records that document exposure to chemical and radiologic contamination in the environment and workplace. Including but not limited to: disease reports submitted by health care practitioners, health risk assessments, toxicology reports, and complaints and investigations.
|
|
DPH-08-008
|
|
Received date + 2 Year(s)
|
|
Consists of records that document chemical and radiologic contamination in the environment and workplace. Including but not limited to: reports, complaints, and investigations.
|
|
DPH-08-009
|
|
Certification date + 10 Year(s)
|
|
Consists of records that document the certification of commercial environmental laboratories that perform testing on environmental samples (e.g., drinking water, recreational waters, wastewater, soil and solid waste). Including but not limited to: environmental laboratory applications, approvals (laboratory certifications), decertification letters, and audit results.
|
|
DPH-08-010
|
|
Certification date + 50 Year(s)
|
|
Consists of records that document the certification of directors of commercial environmental laboratories that perform testing on environmental samples (e.g., drinking water, recreational waters, wastewater, soil and solid waste). Including but not limited to: applications, approvals (laboratory certifications), decertification letters, and audit results.
|
|
DPH-08-011
|
|
Expiration date + 10 Year(s)
|
Disposition is 10 years from date license expired or revoked.
|
Consists of records that document the licensure and review process for approved environmental practitioners (asbestos, lead, registered sanitarian, septic system disciplines). Including but not limited to: applications, training course certificates, proof of employment experience and educational requirements, and related correspondence.
|
|
DPH-08-012
|
|
Rejected date + 5 Year(s)
|
Disposition is 5 years from date not approved.
|
Consists of records that document the licensure and review process for unapproved environmental practitioners (asbestos, lead, registered sanitarian, septic system disciplines). Including but not limited to: applications, training course certificates, proof of employment experience and educational requirements, and related correspondence.
|
|
DPH-08-013
|
|
Test date + 10 Year(s)
|
|
Consists of records that document the results of licensure examinations (score, name of person, certificate, address on file). Including but not limited to: scores, names of persons, certificates, addresses on file, and blank copies of examinations.
|
|
DPH-08-014
|
|
Approved date + 3 Year(s)
|
|
Consists of records that document the review process for approved training providers of lead and asbestos courses. Including but not limited to: applications, training manuals, materials, evaluations, approvals, related correspondence, enforcement (complaints and investigations), and revocations.
|
|
DPH-08-015
|
|
Rejected date + 1 Year(s)
|
Disposition is 1 year from date not approved.
|
Consists of records that document the review process for training providers of lead and asbestos courses that are not approved. Including but not limited to: applications, training manuals, materials, evaluations, denials, and related correspondence.
|
|
DPH-08-016
|
|
Expiration/revoked date + 6 Year(s)
|
|
Consists of records that document certification of food service inspectors. Including but not limited to: applications, evaluations, certificates, proof of continuing education courses attended, and related documentation.
|
|
DPH-08-017
|
|
Received date + 10 Year(s)
|
|
Consists of blood lead analysis reports received by DPH from laboratories as required pursuant to CGS Sec 19a-110.
|
|
DPH-08-018
|
|
Report date + 5 Year(s)
|
|
Consists of records that document the inspection of lead hazards at residential facilities reported to DPH. Including but not limited to: lead inspection reports, testing results, and letters of compliance.
|
|
DPH-08-019
|
|
Event date + 20 Year(s)
|
Disposition is 20 years from date product is no longer available.
|
Consists of records that document the review and inspection of approved lead paint liquid encapsulant products. Including but not limited to: product information, authorization letters, and related correspondence.
|
|
DPH-08-020
|
|
Rejected date + 1 Year(s)
|
Disposition is 1 year from date not approved.
|
Consists of records that document the review and inspection of unapproved lead paint liquid encapsulant products. Including but not limited to: product information, denial letters, and related correspondence.
|
|
DPH-08-021
|
|
Certification date + 3 Year(s)
|
|
Consists of records that document examination and training by DPH of code enforcement officials in the following: lead inspector refresher training, lead inspector risk assessor refresher training, food service inspector certification and recertification (classroom and field-based training records), and subsurface sewage disposal system phase I and phase II training. Including but not limited to: attendance lists, examination scores, field training (inspections), proof of training and employment, and certificates issued.
|
|
DPH-08-022
|
|
Life of structure
|
|
Consists of records that document the review of the construction, alteration, or reconstruction of public swimming pools. Including but not limited to: applications, plans and blueprints, statements of conformance, certificates of approval of use, conformance inspection reports of new pool constructions, equipment replacement approval letters, and related correspondence.
|
|
DPH-08-023
|
|
Superseded date
|
|
Consists of records that document the radon mitigators and diagnosticians compiled from National Radon Safety Board and National Environmental Health Association.
|
|
DPH-08-024
|
|
Received date + 10 Year(s)
|
|
Consists of records that document radon test results reported by radon mitigation contractors, and child daycare providers; mitigation results reported by radon mitigation contractors, and summary measures of radon testing/mitigation performed in public schools as reported on DPH Reporting Forms.
|
|
Agency Specific Schedules: Public Health Department of: Regulatory Services: Community Based Regulation
|
|
DPH-09-001
|
|
Expiration date
|
|
Consists of approved applications and supporting documentation to obtain a license to operate a child day care center, family day care home, or group day care home. Including, but not limited to: applications/renewals; change of address forms; background screenings, copies of licenses issued; any conditions, violations, or plans of correction; inspection reports; and related correspondence. Files are arranged alphabetically by town and then alphabetically by facility.
|
|
DPH-09-002
|
|
Superseded date
|
|
Consists of program policies, consultant agreements, and staff lists submitted by child day care centers and group day care homes.
|
|
DPH-09-003
|
|
Denied date + 3 Year(s)
|
|
Consists of denied applications and supporting documentation to obtain a license to operate a child day care center, family day care home, or group day care home. Files are arranged chronologically by year and then alphabetically by facility.
|
|
DPH-09-004
|
|
Withdrawn date + 1 Year(s)
|
|
Consists of voluntarily withdrawn applications and supporting documentation to obtain a license to operate a child day care center, family day care home, or group day care home. Files are arranged chronologically by year and then alphabetically by facility.
|
|
DPH-09-005
|
|
Case closed date + 5 Year(s)
|
|
Consists of complaint/enforcement files for licensed child day care centers, family day care homes, or group day care homes. Files are arranged chronologically by year and then alphabetically by facility.
|
|
DPH-09-006
|
|
Case closed date + 5 Year(s)
|
|
Consists of complaint/enforcement files for unlicensed child day care centers, family day care homes, or group day care homes. Files are arranged chronologically by year and then alphabetically by facility.
|
|
DPH-09-007
|
|
Expiration date
|
|
Consists of applications and supporting documentation (course outline, course materail) for programs to teach First Aid/CPR to staff at child day care centers, family day care homes, group day care homes, or youth camps. Files are arranged alphabetically by provider.
|
|
DPH-09-008
|
|
Denied or withdrawn date + 1 Year(s)
|
|
Consists of applications and supporting documentation (course outline, course materail) for programs to teach First Aid/CPR to staff at child day care centers, family day care homes, group day care homes, or youth camps. Files are arranged alphabetically by provider.
|
|
DPH-09-009
|
|
Approved date + 2 Year(s)
|
|
Consists of approved applications and supporting documentation to obtain an approval for an individual to work as a head teacher or early childhood education/school age consultant in a licensed child day care center or group day care home. Files are arranged alphabetically by approved individual.
|
|
DPH-09-010
|
|
Denied or withdrawn date + 1 Year(s)
|
|
Consists of denied or voluntarily withdrawn applications and supporting documentation to obtain an approval for an individual to work as a head teacher or early childhood education/school age consultant in a licensed child day care center or group day care home. Files are arranged alphabetically by applicant.
|
|
DPH-09-011
|
|
Not Applicable
|
|
Consists of database of head teachers or early childhood education/school age consultants approved to teach at a licensed child day care center or group day care home.
|
|
DPH-09-012
|
|
Expiration date
|
|
Consists of approved requests and supporting documentation to obtain an approval to administer medicine to children in a licensed child day care center, family day care home, or group day care home. Files are arranged alphabetically by town and then by facility.
|
|
DPH-09-013
|
|
Denied or withdrawn date + 1 Year(s)
|
|
Consists of denied or voluntarily withdrawn requests and supporting documentation to obtain an approval to administer medicine to children in a licensed child day care center, family day care home, or group day care home. Files are arranged alphabetically by town and then by facility.
|
|
DPH-09-014
|
|
Expiration date
|
|
Consists of approved applications and supporting documentation to obtain an approval for an individual to work as an assistant or substitute for a provider in a licensed family day care home. Files are arranged alphabetically by approved individual.
|
|
DPH-09-015
|
|
Denied or withdrawn date + 1 Year(s)
|
|
Consists of denied/withdrawn applications and supporting documentation to obtain an approval for an individual to work as an assistant or substitute for a provider in a licensed family day care home. Files are arranged alphabetically by approved individual.
|
|
DPH-09-016
|
|
Report date + 5 Year(s)
|
|
Consists of statistical reports related to child day care centers, group day care homes, and family day care homes.
|
|
DPH-09-017
|
|
Expiration date
|
|
Consists of approved applications and supporting documentation to obtain a license to operate a youth camp. Including, but not limited to: licensure applications/renewals, supporting documentation, inspection reports, violations, plans of correction, and related correspondence. Files are arranged alphabetically by town and then by facility.
|
|
DPH-09-018
|
|
Denied date + 3 Year(s)
|
|
Consists of denied applications and supporting documentation to obtain a license to operate a youth camp. Files are arranged alphabetically by town and then by facility.
|
|
DPH-09-019
|
|
Withdrawn date + 1 Year(s)
|
|
Consists of voluntarily withdrawn applications and supporting documentation to obtain a license to operate a youth camp. Files are arranged alphabetically by town and then by facility.
|
|
DPH-09-020
|
|
Case closed date + 5 Year(s)
|
|
Consists of complaint/enforcement files for licensed youth camps. Files are arranged chronologically by year and then alphabetically by facility.
|
|
DPH-09-021
|
|
Case closed date + 5 Year(s)
|
|
Consists of complaint/enforcement files for unlicensed youth camps. Including, but not limited to: camp inspection forms, day of insection checklists, and licensing corrective action reports. Files are arranged chronologically by year and then alphabetically by facility.
|
|
DPH-09-022
|
|
Report date + 5 Year(s)
|
|
Consists of accident/illness reports involving youth camps. Including, but not limited to: documentation of verbal and written reports.
|
|
DPH-09-023
|
|
Report date + 5 Year(s)
|
|
Consists of statistical reports related to youth camps.
|
|
Agency Specific Schedules: Revenue Services, Department of: Administrative Division / Records
|
|
DRS-01-001
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax of admissions charge to events, such as motion picture shows and dues or initiation fees to any social, athletic, or sporting club organization. Including but not limited to: Form O-372.
|
|
DRS-01-002
|
|
Filing date + 3 Year(s)
|
Disposition is 3 years from date filed or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on all distributors of alcoholic beverages on the sale of alcoholic beverages. Including but not limited to: Form O-255.
|
|
DRS-01-003
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on any person that has been admitted as an attorney by the judges of the superior court and who is engaged in the practice of law in Connecticut. Including but not limited to: Form 472.
|
|
DRS-01-004
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents annual tax for businesses formed under Connecticut law or foreign entities that transact business in Connecticut and are required to register with or obtain a certificate of authority from the Secretary of the State. Including but not limited to: Form OP-424.
|
|
DRS-01-005
|
|
Filing date + 42 Month(s)
|
Disposition is upon completion of all Master Settlement Agreement (MSA) Diligent Enforcement Hearings or 3.5 years from date filed, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents excise tax on all cigarettes sold in Connecticut. Including but not limited to: Forms O-252, CT-15 and CT-15A; meter records; and related material.
|
|
DRS-01-006
|
|
Filing date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on the transfer of a controlling interest in a corporation, partnership, association, trust or other entity, where an entity owns an interest, directly or indirectly, in Connecticut real property. Including but not limited to: Form AU-330.
|
|
DRS-01-007
|
|
Filing date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax credits and tax imposed on corporations conducting business in Connecticut. Including but not limited to: Forms 1120; 1120U; 1120X; 1120A,B,C,D; and 1120EXT.
|
|
DRS-01-008
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the dry cleaning surcharge to provide grants to dry cleaning establishments for the containment, removal, or mitigation of environmental pollution resulting from dry cleaning activity. Including but not limited to: Form OP-374.
|
|
DRS-01-009
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax credits and tax imposed on insurance companies (not based in Connecticut but licensed to operate in Connecticut) for the total net direct premiums received from policies written on property or risks within the State. Including but not limited to: Form 207F.
|
|
DRS-01-010
|
|
Filing date + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents taxable gifts and estates exceeding $2 million, including the Connecticut Succession Tax, which was repealed January 1, 2005. Including but not limited to: Form CT-706/709.
|
|
DRS-01-011
|
|
Filing date + 72 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents individual income tax. Including but not limited to: Form 1040; 1040NR/PY; 1040EZ; 1041; 1041ES; CT-945; CT-W3; and CT-1065/CT-1120SIs.
|
|
DRS-01-012
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax credits and tax imposed on insurance companies for the total net direct premiums received from policies written on property or risks within the State. Including but not limited to: Form 207.
|
|
DRS-01-013
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents sales tax for businesses that are not authorized to sell insurance in Connecticut. Including but not limited to: Forms 115A, 115NIN, and 115RRG.
|
|
DRS-01-014
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on fuel use by interstate motor carriers according to the International Fuel Tax Agreement (IFTA).
|
|
DRS-01-015
|
|
Audit completion date + 42 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on motor fuel used or sold in Connecticut, including gasoline, diesel, gasohol, propane, or any combustible gas or liquid that generates the power needed to propel a motor vehicle. Including but not limited to: Forms OP-216, O-MF, and O-MF-1.
|
|
DRS-01-016
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the fee imposed on each chronic and convalescent nursing home or rest home with nursing supervision that is licensed as a nursing home by the Connecticut Department of Public Health.
|
|
DRS-01-017
|
|
Audit completion date + 42 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on the gross earnings of companies distributing petroleum products in Connecticut. Petroleum products include gasoline, aviation fuel, kerosene, diesel fuel, benzoil, distillate fuels, residual fuels, crude oil and derivatives of petroleum, such as paint, detergents, antiseptics, fertilizers, nylon, asphalt, plastics and other similar products. Including but not limited to: Form OP-161.
|
|
DRS-01-018
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on public service companies, including community antenna TV; certified competitive video service provider; satellite TV; railroad; gas, electric and power; gas and electric sales to residential customers; and electric distribution companies.
|
|
DRS-01-019
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on the conveyance of real estate property (seller of property is responsible for tax). Including but not limited to: Form OP-236.
|
|
DRS-01-020
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the surcharge imposed on the rental of each private passenger motor vehicle or rental truck in Connecticut by a rental company for a period of less than 31 days. Including but not limited to: Form OP-383.
|
|
DRS-01-021
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents sales and use taxes on the gross receipts of retailers from the sale of tangible personal property at retail, from the rental or leasing of tangible personal property, and on the gross receipts from the rendering of certain business services. Including but not limited to: Form OS-114.
|
|
DRS-01-022
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on the owners of commercial resources recovery facilities that process municipal solid waste to reclaim energy.
|
|
DRS-01-023
|
|
Filing date + 3 Year(s)
|
Disposition is 3 years from date filed or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents excise tax imposed on all non-cigarette tobacco products such as cigars, stogies, snuff, pipe and chewing tobacco. The tax is imposed when the tobacco products are manufactured, imported, or purchased by distributors. Including but not limited to: Form OP-300.
|
|
DRS-01-024
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the surcharge imposed on the rental of each private passenger motor vehicle or rental truck in Connecticut by a rental company for a period of less than 31 days. Including but not limited to: Form OP-337 and Form OP-383.
|
|
DRS-01-025
|
|
Filing date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents tax imposed on any trade or business conducted by a tax-exempt organization that does not substantially relate to its tax-exempt purpose. Including but not limited to: Form CT-990T.
|
|
DRS-01-026
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of casual sales and business use tax audits, including Tax Clearance Certificates.
|
|
DRS-01-027
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of cigarette tax audits.
|
|
DRS-01-028
|
|
Filing date + 20 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of corporation tax audits.
|
|
DRS-01-029
|
|
Audit completion date + 3 Year(s)
|
|
This series consists of gasoline tax audits.
|
|
DRS-01-030
|
|
Filing date + 72 Month(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of income tax audits.
|
|
DRS-01-031
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of motor carrier tax audits.
|
|
DRS-01-032
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of room occupancy tax audits, including Tax Clearance Certificates.
|
|
DRS-01-033
|
|
Audit completion date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of sales and use tax audits.
|
|
DRS-01-034
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of special fuel tax audits.
|
|
DRS-01-035
|
|
Audit completion date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of withholding tax audits, including Tax Clearance Certificates.
|
|
DRS-01-036
|
|
Audit completion date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of audits performed in connection with any tax type not specifically identified above.
|
|
DRS-01-037
|
|
Filing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of forms advising of address change.
|
|
DRS-01-038
|
|
Filing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of forms advising of final business closure (going out of business).
|
|
DRS-01-039
|
|
Filing date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents annual tax for businesses formed under Connecticut law or foreign entities that transact business in Connecticut and are required to register with or obtain a certificate of authority from the Secretary of the State. Including but not limited to: Form OP-424.
|
|
DRS-01-040
|
|
Filing date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of applications to renew cigarette sales license (2 year renewals).
|
|
DRS-01-041
|
|
Filing date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of applications to renew cigarette sales license (2 year renewals).
|
|
DRS-01-042
|
|
Delinquency date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of letters filed with the Secretary of the State advising of dissolution of business, including Form AU-784.
|
|
DRS-01-043
|
|
Issue date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of letters filed with the Secretary of the State advising of dissolution of business, including Form AU-784.
|
|
DRS-01-044
|
|
Filing date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents penalties for failure to pay taxes or file tax returns in a timely manner. Including but not limited to: Penalty Waiver letters.
|
|
DRS-01-045
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents penalties for failure to pay taxes or file tax returns in a timely manner. Including but not limited to: Penalty Waiver letters.
|
|
DRS-01-046
|
|
Released date + 3 Year(s)
|
|
This series documents holds and requests to release holds, including Forms OAR-111 and AU-812.
|
|
DRS-01-047
|
|
Business ceases date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents refunds to taxpayers when an overpayment of tax liability has been made. The refund is charged to the fund to which such tax, penalty or interest was previously credited. Including, but not limited to: refunds and vouchers.
|
|
DRS-01-048
|
|
Filing date + 3 Year(s)
|
Disposition is 3 years from date filed or until audited, whichever is later. Destroy after receipt of signed Form RC-108
|
This series documents refunds to taxpayers when an overpayment of tax liability has been made. The refund is charged to the fund to which such tax, penalty or interest was previously credited. Including, but not limited to: refunds and vouchers.
|
|
DRS-01-049
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents excise tax on all cigarettes sold in Connecticut. Including but not limited to: Forms O-252, CT-15 and CT-15A; meter records; and related material.
|
|
DRS-01-050
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of commercial permits for purchases and leases that are exempt from sales and use taxes.
|
|
DRS-01-051
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of commercial permits for purchases and leases that are exempt from sales and use taxes.
|
|
DRS-01-053
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of exemptions from sales and use taxes for events and lodging sponsored by nonprofit organizations.
|
|
DRS-01-054
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents penalty for failure to pay taxes or file tax returns in a timely manner. Including but not limited to: Penalty Waiver letters.
|
|
DRS-01-055
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents penalty for failure to pay taxes or file tax returns in a timely manner. Including but not limited to: Penalty Waiver letters.
|
|
DRS-01-056
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents audit or collection complaints reviewed by the Appellate Division. Including, but not limited to: correspondence, briefs, opinions, and final orders.
|
|
DRS-01-057
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents bankruptcy litigation. Including, but not limited to: correspondence, briefs, opinions, and final orders.
|
|
DRS-01-058
|
|
Case closed date + 5 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents legal proceedings of DRS. Including, but not limited to: correspondence, briefs, opinions, and final orders.
|
|
DRS-01-059
|
|
Superseded
|
Continuously updated.
|
This series consists of delinquent state tax statistics, including the names, addresses, tax type, and amount due (tax, penalty and interest).
|
|
DRS-01-060
|
|
Last payment date + 3 Year(s)
|
|
This series consists of retail sales and tax receipts by town.
|
|
DRS-01-061
|
|
Superseded
|
Continuously updated.
|
This series consists of retail sales and tax receipts by town.
|
|
DRS-01-062
|
|
Case closed date + 10 Year(s)
|
|
This series documents tax investigations that lead to an arrest. Including but not limited to: correspondence and related documentation.
|
|
DRS-01-063
|
|
Case closed date + 7 Year(s)
|
|
This series documents tax investigations that do not lead to an arrest. Including but not limited to: correspondence and related documentation.
|
|
DRS-01052
|
|
Filing date + 4 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of exemptions from sales and use taxes for purchases of tangible personal property and services for low and moderate income housing facilities sponsored and owned or operated by nonprofit housing organizations.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Business Services Division - Service of Process Administration
|
|
SOTS-01-001
|
|
Submission date + 6 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of file copies of writs, summonses and complaints filed with the Secretary of the State as agent for service of process for corporations, other business entities and individuals.
|
|
SOTS-01-002
|
|
Calendar year end + 20 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records that document delivery, and return of undeliverable, legal process to defendant corporations, business entities and individuals.
|
|
SOTS-01-003
|
|
Calendar year end + 20 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of printed registers documenting receipt of legal process filings and related information, including but not limited to parties named, controlling statutes and filing fees.
|
|
SOTS-01-004
|
|
Calendar year end + 20 Year(s)
|
Erase data at end of retention period, or after migration to a replacement processing system, whichever comes first, and after receipt of signed RC-108.
|
Consists of an Internet-based system for tracking legal process filings and generating related reports and correspondence, including, but not limited to registers of process served.
|
|
SOTS-01-005
|
|
Calendar year end + 20 Year(s)
|
Erase after receipt of signed RC-108.
|
Database (Microsoft Access) index to legal process filings.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Commercial Recording Division (CRD) - Address Confidentiality Program (ACP)
|
|
SOTS-02-001
|
|
Cancellation date + 4 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records that document Address Confidentiality Program participation for individuals for whom the Office of the Secretary of the State has not acted as agent for service of process. Including but not limited to: applications and supporting documentation (if any) pursuant to CGS Sec54-240b; certifications; renewal applications and supporting documentation (e.g., participant's current certification card, certification renewal form, and new certification card form) pursuant to CGS Sec54-240j; name changes; written notices of cancellations pursuant to CGS Sec54-240k; and correspondence, review, evaluation, appeal, and grant / denial documentation (if any) related to requests for exemption from use of program address by agencies pursuant to CGS Sec 54-540i.
|
|
SOTS-02-002
|
|
Cancellation date + 10 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records that document Address Confidentiality Program participation for individuals for whom the Office of the Secretary of the State has acted as agent for service of process. Including but not limited to: applications and supporting documentation (if any) pursuant to CGS Sec54-240b; certifications; renewal applications and supporting documentation (e.g., participant's current certification card, certification renewal form, and new certification card form) pursuant to CGS Sec54-240j; name changes; copies of summons, writs, notices, demands or processes and a record of the date and hour of receipt pursuant to CGS Sec54-240l; and written notice of cancellations pursuant to CGS Sec54-240k; and correspondence, review, evaluation, appeal, and grant / denial documentation (if any) related to requests for exemption from use of program address by agencies pursuant to CGS Sec54-540i.
|
|
SOTS-02-003
|
|
Inactive status date + 4 Year(s)
|
Disposition is 4 years from date of inactive status. Destroy after receipt of signed RC-108.
|
Consists of records regarding entities authorized by the Office of the Secretary of the State to assist Address Confidentiality Program applicants in completing forms pursuant to CGS Sec54-240b. Including but not limited to: list of entities that employ application assistants; entity application for designation as an application assistance agency; and related correspondence.
|
|
SOTS-02-004
|
|
2 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records that document education and training provided to application assistants by Office of the Secretary of the State staff. Including but not limited to: informational materials; correspondence; and records related to applicant assistant training sessions.
|
|
SOTS-02-005
|
|
4 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records that document application to the Address Confidentiality Program for applicants that are rejected. Including but not limited to: correspondence; and related documents.
|
|
SOTS-02-006
|
|
4 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of information provided to the State Marshal Commission pursuant to CGS 54-240l(b). Including but not limited to: names of program participants; and related records.
|
|
SOTS-02-007
|
|
20 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records that document the legislative adoption and amendment of the Address Confidentiality Program statutes. Including but not limited to: copies of bills; reports; testimony; and related documentation.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Commercial Recording Division (CRD) - Authentication / Apostille Function
|
|
SOTS-03-001
|
|
Superseded date
|
Continuously updated.
|
Consists of name, capacity and term of officials who have signed public documents presented for authentication or apostille certificates.
|
|
SOTS-03-002
|
|
50 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of correspondence documenting appointment and term information for officials when the office of the Secretary of the State has no prior existing record of appointment for them.
|
|
SOTS-03-003
|
|
20 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of paper or computer-based records documenting the issuance and content of apostille certificates produced under international treaty. Includes name of public document signer, official capacity, date of certificate and certificate number.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Commercial Recording Division (CRD) - Uniform Commercial Code Function
|
|
SOTS-06-001
|
|
Lapse date + 1 Year(s)
|
Disposition is 1 year after lapse or termination for all filings imaged on reel. [CGS Sec 42a-9-522]. Destroy after receipt of signed RC-108.
|
Consists of camera original microfilm reels containing images of liens, financing statements, and other documents filed with the Secretary of the State under the provisions of CGS Title 42a, Uniform Commercial Code, and related statutes.
|
|
SOTS-06-002
|
|
Lapse date + 6 Year(s)
|
Disposition is 6 years after lapse or termination. Destroy after receipt of signed Form RC-108
|
Consists of liens, financing statements, and related documents and printed record copies of electronically filed liens, financing statements, and related documents.
|
|
SOTS-06-003
|
|
Superseded date
|
Continuously updated.
|
Consists of filing history and document indexing data for non-lapsed and non-terminated liens, financing statements, and related documents maintained in CONCORD, the online database for UCC filings.
|
|
SOTS-06-004
|
|
Lapse date + 6 Year(s)
|
Disposition is 6 years after lapse or termination of filings. Destroy after receipt of signed Form RC-108
|
Consists of filing history and document indexing data removed from active filings index for lapsed and terminated liens, financing statements, and related documents.
|
|
SOTS-06-005
|
|
15 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of information regarding documents submitted for processing through the UCC unit, including, but not limited to fees collected and name and address of filer.
|
|
SOTS-06-006
|
|
1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of electronic copy of correspondence indicating acceptance or rejection of filing by the UCC unit. Includes name of filer, address, filed document type, and fees collected. Duplicates data contained in series #05.
|
|
SOTS-06-007
|
|
6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of correspondence rejecting a UCC document for filing, including the document rejected, which are returned by the U.S. Postal Service as non-deliverable.
|
|
SOTS-06-008
|
|
Lapse date + 1 Year(s)
|
Disposition is 1 year after lapse or termination of filings. [CGS §42a-9-522] Destroy after receipt of signed Form RC-108
|
Consists of carbon copies of numbered financing statements, liens, and related documents used to create a numerical index to the filed documents (also called #2 copies).
|
|
SOTS-06-009
|
|
Lapse date + 1 Year(s)
|
Disposition is 1 year after lapse or termination of filings. [CGS Sec 42a-9-522] Destroy after receipt of signed Form RC-108
|
Consists of non-standard size pages of information submitted with, or in lieu of, standard size financing statement forms.
|
|
SOTS-06-010
|
|
Termination date + 1 Year(s)
|
Disposition is 1 year after discharge, dissolution or termination of filings. [CGS Sec 42a-9-522] Destroy after receipt of signed Form RC-108
|
Consists of original copies of liens, financing statements, and related documents arranged alphabetically by debtor name (also called #1 copies).
|
|
SOTS-06-011
|
|
Discharge date + 1 Year(s)
|
Disposition is 1 year after discharge or dissolution of lien. Destroy after receipt of signed Form RC-108
|
Consists of liens placed on aircraft for storage, care, maintenance, repair, service, and related fees and expenses.
|
|
SOTS-06-012
|
|
Release date + 1 Year(s)
|
Disposition is 1 year after dissolution, discharge, or release of lien. Destroy after receipt of signed Form RC-108
|
Consists of liens placed in connection with the building, repairing, mooring, dockage or storage of watercraft and related records.
|
|
SOTS-06-013
|
|
25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of property schedules, creditor lists, and related documents regarding bulk transfer and sale of materials, supplies, merchandise, inventory and equipment.
|
|
SOTS-06-014
|
|
Discharge date + 1 Year(s)
|
Disposition is 1 year after discharge of attachment. Destroy after receipt of signed Form RC-108
|
Consists of records documenting placement and removal of liens on non-movable goods and fixtures.
|
|
SOTS-06-015
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of documents notifying the Secretary of the State of the existence, or discharge, of bankruptcy proceedings for a named debtor.
|
|
SOTS-06-016
|
|
2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consists of records documenting requests from staff and members of the public to correct data entry errors on the CONCORD index to Uniform Commercial Code (UCC) filings.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Commercial Recording Division (CRD) – Foreign Investigations Function Records
|
|
SOTS-04-001
|
|
Case closed date + 8 Year(s)
|
Disposition is 8 years from date case closed and audited. Destroy after receipt of signed RC-108.
|
Consists of questionnaires, responses, correspondence, records of fines imposed and paid, and other documentation, regarding business entities that are, or may, be doing business in Connecticut without a certificate of authority.
|
|
SOTS-04-002
|
|
8 Year(s)
|
Destroy after receipt of signed RC-108.
|
Consists of records documenting the mailing of outgoing correspondence related to foreign investigations.
|
|
SOTS-04-003
|
|
Permanent
|
Permanent
|
Consists of index and phone log information for open and closed investigation files.
|
|
SOTS-04-004
|
|
8 Year(s)
|
Disposition is 8 years and audited. Destroy after receipt of signed RC-108.
|
Consists of weekly case status and fine statistics related to foreign investigations.
|
|
SOTS-04-005
|
|
Permanent
|
Permanent
|
Consists of request log, safeguard activity reports, employee lists, and written disclosure agreements for the use of Department of Revenue Services (DRS) tax return information.
|
|
SOTS-04-006
|
|
Active
|
Disposition is until completion of use. Agreement provides for return of records to DRS after completion of use by SOTS.
|
Consists of DRS prepared taxpayer return information reports used to identify foreign business entities not registered with SOTS.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Commercial Recording Division (CRD) – Trademark Records
|
|
SOTS-05-001
|
|
Permanent
|
Permanent
|
Consists of registration records for trade, service, collective and certification marks. Including but not limited to, new and renewal applications; certificates of registration, assignment, and cancellation; mark owner name and address changes.
|
|
SOTS-05-002
|
|
Superseded date
|
Continuously updated.
|
Consists of Microsoft Access-based index to registration filings containing information transcribed from registration filings used to locate indexing information for original documents and to prepare acceptance and rejection correspondence for trademark filings. Including owner name and address, mark description and date of first use.
|
|
SOTS-05-003
|
|
Permanent
|
Permanent
|
Consists of 5 x 7 paper index sheets containing information regarding inactive trade, service and collective marks. Includes owner name and address; mark class; and date of first use.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Election Officials Training and Examination Program
|
|
SOTS-07-001
|
|
Calendar year end + 6 Year(s)
|
Destroy after receipt of approved RC-108.
|
This series documents certification of voting machine mechanics. Includes, but is not limited to, applications, examinations, training materials, and routine related correspondence.
|
|
SOTS-07-002
|
|
Calendar year end + 8 Year(s)
|
Destroy after receipt of approved RC-108.
|
This series documents training and certification of polling place moderators. Includes, but is not limited to, applications, training materials, examinations, certified moderator lists, and routine related correspondence.
|
|
SOTS-07-003
|
|
Calendar year end + 8 Year(s)
|
Destroy after receipt of approved RC-108.
|
This series documents the administration and implementation of moderator training sessions. Includes but is not limited to: certified trainer lists, attendee lists, class evaluations, trainer manuals, and related correspondence.
|
|
SOTS-07-004
|
|
Calendar year end + 4 Year(s)
|
Destroy after receipt of approved RC-108.
|
This series documents the holding of election-law-related conferences for municipal clerks and for registrars of voters. Includes, but is not is not limited to: schedules, programs, participant lists, handouts, presentations and related correspondence.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Legislation and Elections Administration Division (LEAD) – Notary Public Function
|
|
SOTS-08-001
|
|
75 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of completed and approved applications for initial (or late renewal) five year term as a notary public. Beginning in 1984, includes documentation regarding resignations, deaths and revocations of appointment.
|
|
SOTS-08-002
|
|
75 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of applications for renewal of five year term as notary public, documenting current address and signature of notary.
|
|
SOTS-08-003
|
|
75 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of correspondence and other documentation indicating that a notary public has resigned his/her appointment, has died, has changed name, or had his/her seal lost or stolen.
|
|
SOTS-08-004
|
|
75 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of approved applications for initial appointment, renewal appointment applications, name change, resignation and death notices and related documentation regarding the appointment records and history of individual notaries public. Arrangement is generally chronologically.
|
|
SOTS-08-005
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of correspondence and documentation regarding complaints or investigations into the official conduct of individual notaries public.
|
|
SOTS-08-006
|
|
3 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of correspondence to/from notaries public advising them regarding proper notarial procedure, not issued in connection with a formal complaint or investigation of a notary’s official conduct.
|
|
SOTS-08-007
|
|
100 Year(s)
|
Destroy after receipt of approved RC-108.
|
Consists of records that document the name and appointment history of a given notary public. Including but not limited to: IBM type punch cards and other paper records (e.g., computer record printouts).
|
|
SOTS-08-008
|
|
Superseded date
|
Continuously updated.
|
Consists of records documenting the appointment, renewal and name change history for individual notaries public, and some disciplinary information. System used to generate appointment and renewal certificates after approval.
|
|
Agency Specific Schedules: Secretary of the State, Office of the: Legislative and Elections Administration Division (LEAD) – Ballot Access Administration (program)
|
|
SOTS-09-001
|
|
Calendar year end + 6 Year(s)
|
Disposition is 6 years from calendar year end in the year which the election or primary takes place. Destroy after receipt of signed Form RC-108
|
This series documents the process of petitioning for election or primary ballot access. Includes, but is not limited to: applications for nominating and primary petition pages; party designation applications; party endorsement statements; signature counts; ballot placement determinations; and routine process-related correspondence.
|
|
SOTS-09-002
|
|
Calendar year end + 3 Year(s)
|
Disposition is 3 years from calendar year end in the year which the election or primary takes place. [CGS Sec 9-404c(b)] Destroy after receipt of signed Form RC-108
|
This series documents the process of determining if a petitioning candidate has qualified for placement on the ballot. Includes, but is not limited to, originally-signed petition pages, signature tabulations, and informational copies of correspondence maintained in SOTS-09-001.
|
|
SOTS-09-003
|
|
Calendar year end + 6 Year(s)
|
Disposition is 6 years from calendar year end in the year which the election or primary takes place. Destroy after receipt of signed Form RC-108
|
This series documents the process used to determine if a candidate qualifies, under the provisions of CGS Sec. 9-465(a), for placement on a presidential preference primary ballot. Includes, but is not limited to, copies of news media coverage of, and correspondence with, candidates.
|
|
SOTS-09-004
|
|
Calendar year end + 6 Year(s)
|
Disposition is 6 years from calendar year end in the year which the election or primary takes place. Destroy after receipt of signed Form RC-108
|
This series documents the process of becoming a write-in candidate for elective office. Includes, but is not limited to completed registration forms and routine process-related correspondence.
|
|
SOTS-09-005
|
|
Calendar year end + 6 Year(s)
|
Disposition is 6 years from calendar year end in the year which the election or primary takes place. Destroy after receipt of signed Form RC-108
|
This series documents a political party’s choice of candidate(s) for elective office. Includes notices of candidate endorsements and related correspondence.
|
|
SOTS-09-006
|
|
Superseded date + 8 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of internal political party rules, amendments and revisions filed with the Secretary of the State pursuant to CGS Sec. 9-374, and routine-process related correspondence
|
|
SOTS-09-007
|
|
Calendar year end + 2 Year(s)
|
Disposition is 2 years from calendar year end in the year which the election or primary takes place. [52 USC 20701] Destroy after receipt of signed Form RC-108
|
This series documents party convention votes, including candidate selection votes, that were taken and reported by town delegation chairpersons. Consists of duplicate copies of reports filed with the Secretary of the State pursuant to CGS Sec. 9-385a.
|
|
Agency Specific Schedules: Siting Council, Connecticut: Entire Agency
|
|
CSC-01-001
|
|
Report date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of all other documentation incorporated into publications not mentioned in (S1-530) above. Including but not limited to: pre-hearing conference materials; questions and responses; state agency comments; hearing notices; subcommittee materials; agenda actions; hearing statements and programs; exhibits; testimony; transcripts; briefs; motions; service lists; and public statements and responses.
|
|
CSC-01-002
|
|
Permanent
|
Retain in agency or transfer to State Archives
|
This series documents final decisions of applications and petitions for jurisdictional facilities filed by energy, telecommunications, and hazardous waste facility owners and/or operators. Including but not limited to: applications; petitions; findings of fact; opinions; conclusions of law; decisions and orders; declaratory rulings; and development and management plans.
|
|
CSC-01-003
|
|
Final decision + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of all other application and petition documentation not mentioned in #2 above. Including but not limited to: withdrawn applications and petitions; pre-hearing conference materials; questions and responses; state agency comments; hearing notices; subcommittee materials; agenda actions; hearing statements and programs; exhibits; testimony; transcripts; briefs; motions; service lists; and public statements and responses.
|
|
CSC-01-004
|
|
Superseded
|
Disposition is superceded or tower is taken out of service, whichever is earlier.
|
This series documents final decisions on tower sharing and exempt modification requests. Including but not limited to: tower sharing and exempt modification requests and final decisions.
|
|
CSC-01-005
|
|
Decision date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series consists of all other tower sharing and exempt modification documentation not mentioned in #4 above. Including but not limited to: withdrawn tower share and exempt modification filings, town letters; interrogatories and responses; construction completion letters; and hearing documentation.
|
|
Agency Specific Schedules: Social Services, Department of: Administrative Hearings
|
|
DSS-01-001
|
|
Decision date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents hearings for DSS benefits applicants and recipients contesting actions, such as but not limited to, denial, discontinuation, or reduction of assistance; disqualification; benefit recoupment; and child support actions. Including but not limited to: requests; notices of hearing; hearing summaries; exhibits; and decisions.
|
|
DSS-01-002
|
|
Decision date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents DSS hearing decisions appealed to Superior Court pursuant to CGS Sec. 17b-61. Including but not limited to: appeal documents and decisions.
|
|
DSS-01-003
|
|
Dismissal date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents DSS hearing decisions appealed to and dismissed by Superior Court. Including but not limited to: appeal documents and decisions.
|
|
DSS-01-004
|
|
Withdrawn date + 30 Month(s)
|
Disposition is 2.5 years from date of withdrawal request. Destroy after receipt of signed Form RC-108
|
This series documents withdrawn requests for DSS hearings. Including but not limited to: withdrawn requests.
|
|
DSS-01-005
|
|
Report date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents data collected from administrative hearings and appeals, such as case number, case name, and decision date.
|
|
Agency Specific Schedules: Social Services, Department of: Bureau of Administration: Office of Quality Assurance
|
|
DSS-02-001
|
|
Report date + 8 Year(s)
|
Disposition is 8 years from date of final report. Destroy after receipt of signed Form RC-108
|
This series documents audits of assistance programs administered by DSS, such as but not limited to SNAP (Supplemental Nutrition Assistance Program), Medicaid, Child Care, Medical Providers, and Grants and Contracts programs. Including but not limited to: audit review files; audit reports; and related correspondence.
|
|
DSS-02-002
|
|
Death date
|
Disposition is Life of recipient or upon receipt of Food and Nutrition Service (FNS) notification [7 CFR 272.1(f)(2)]. Destroy after receipt of signed Form RC-108
|
This series documents SNAP client fraud investigations, Administrative Disqualification Hearings (ADH) and prosecution. Including but not limited to: investigation file and related correspondence.
|
|
DSS-02-003
|
|
Closed date + 8 Year(s)
|
Disposition is 8 years from date collection effort closed and no longer actively pursued. Destroy after receipt of signed Form RC-108
|
This series documents client fraud investigations for DSS administered assistance programs (excluding SNAP) pursuant to CGS Sec. 17b-97, Administrative Disqualification Hearings (ADH) and prosecution. Including but not limited to: Investigation file and related correspondence.
|
|
DSS-02-004
|
|
Released date + 10 Year(s)
|
Disposition is 10 years from date released for full reimbursement or strictly foreclosed on. Destroy after receipt of signed Form RC-108
|
This series documents liens, quit claims, and related documents placed and released on client’s property for recovery purposes.
|
|
DSS-02-005
|
|
Closure + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents transfers of assets involving attorney general actions. Including but not limited to: notices of billing and W-332s.
|
|
DSS-02-006
|
|
Final payment date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents burial reserve fund transactions. Including but not limited to: payment report; funeral home bills; death certificate; SAGA (State Administrative General Assistance) applications, if necessary; copy of approval / disapproval letter; copy of asset summary sheet; and estate summary sheet.
|
|
DSS-02-007
|
|
Completion date + 3 Year(s)
|
Disposition is 3 years from date investigation completed. Destroy after receipt of signed Form RC-108
|
This series documents the process of matching active recipient Social Security Numbers (SSN) with depositors at selected banks. Including but not limited to: bank statements.
|
|
DSS-02-008
|
|
Enrollment date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents enrollment of DSS assistance providers. Including but not limited to: agreements.
|
|
Agency Specific Schedules: Social Services, Department of: Division of Health Services - Pharmacy Unit
|
|
DSS-03-001
|
|
Application date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series consists of client applications and redeterminations for eligibility in the Connecticut AIDS Drug Assistance Program (CADAP) pursuant to CGS §17b-256(a) and 42 USC §300ff-21.
|
|
Agency Specific Schedules: Social Services, Department of: Managed Care/HUSKY/Dental
|
|
DSS-04-001
|
|
Filing date + 2 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Including but not limited to Notice of Action (NOA), correspondence and other supporting documentation concerning an appeal of a denied claim. Arranged by Managed Care Organization and then by year.
|
|
DSS-04-002
|
|
Resolution date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Includes correspondence and other supporting documentation concerning complaints by individual clients against providers.
|
|
DSS-04-003
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Includes internal reviews and EQA reports filed by outside auditor.
|
|
DSS-04-004
|
|
Termination date + 6 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consisting of copies of master contracts, copies of subcontractor contracts and information concerning contract renewals.
|
|
DSS-04-005
|
|
Sanction date + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Consisting of correspondence, directives and other related materials.
|
|
DSS-04-006
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Including but not limited to enrollment statistics and utilization of services submitted by program contractors and managed care organizations on contract with the state for quality control and quality improvement purposes. Maintained in electronic format.
|
|
DSS-04-007
|
|
Superseded date + 2 Year(s)
|
Disposition is Current version + 2 years. Destroy after receipt of signed Form RC-108
|
Including membership handbooks, flyers and brochures, plan summaries and other related materials.
|
|
DSS-04-008
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Reports produced using raw data submitted by contractors and managed care organizations o contract with the state. Reports include but not limited to enrollment statistics and utilization of service.
|
|
DSS-04-009
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
Service Provider Data for medical transportation of Medicaid Clients (does not include Managed Care)
|
|
DSS-04-010
|
|
Termination date + 8 Year(s)
|
Disposition is 8 years after program terminated. Destroy after receipt of signed Form RC-108
|
State Children's Health Insurance Plan (SCHIP) filed with Federal Government including authorizing documentation.
|
|
DSS-04-011
|
|
Superseded date
|
Disposition is current plan plus previously authorized plan. Destroy after receipt of signed Form RC-108
|
State Medicaid Health Plan Waivers filed with federal government.
|
|
Agency Specific Schedules: Social Services, Department of: Office of Child Support Services
|
|
DSS-06-001
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents child support actions including but not limited to: Client Information on Paternity Actions, Support order establishment and enforcement, asset and wage information, Support Payment information, and correspondence.
|
|
DSS-06-002
|
|
Receipt date + 25 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series represents Child Support Payment actions including but not limited to: returned/undeliverable checks, check remittances, correspondence and completed Direct Deposit forms.
|
|
Agency Specific Schedules: Social Services, Department of: Regional Offices
|
|
DSS-05-001
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents approved cases for DSS administered assistance programs, such as but not limited to: health coverage and nutrition; community; social; financial; energy; child care; and housing assistance. Including but not limited to: applications; redetermination forms; referrals; hearing requests and notices; notices of discontinuance; summaries; and notices of decision.
|
|
DSS-05-002
|
|
Death date + 10 Year(s)
|
Disposition is Life of client plus 10 years. Destroy after receipt of signed Form RC-108
|
This series documents primary verifications for approved cases for DSS administered assistance programs. Including but not limited to: birth certificates, copies of Social Security cards, marriage and divorce papers, and declaration of citizenship/alien status.
|
|
DSS-05-003
|
|
Death date + 10 Year(s)
|
Disposition is Life of client plus 10 years. Destroy after receipt of signed Form RC-108
|
This series documents non-primary verifications for approved cases for DSS administered assistance programs. Including but not limited to: income deductions, income and asset verification, school attendance, student aid, income deductions, employment, residence verifications, and computation worksheets.
|
|
DSS-05-004
|
|
Denied date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents denied cases for DSS administered assistance programs, such as but not limited to: health coverage and nutrition; community; social; financial; energy; child care; and housing assistance. Including but not limited to: primary and non-primary verifications; applications; referrals; hearing requests and notices; summaries; and notices of decision.
|
|
DSS-05-005
|
|
Case closed date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents active and discontinued cases with potential recoveries. Including but not limited to: referrals to Resources and Recoveries Division; primary and non-primary verifications; funeral bills and death certificates; legal counsel opinions; and related correspondence.
|
|
DSS-05-006
|
|
Resolution date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents active and discontinued overpayment assistance cases. Including but not limited to: referrals to Resources and Recoveries Division; notice of billings and findings; and related correspondence.
|
|
DSS-05-007
|
|
Resolution date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents investigations of potential client fraud prior to granting assistance benefits pursuant to CGS Sec. 17b-7a. Including but not limited to: client photographs and statements; information release requests; hearing notices; waivers; disqualification data; and eligibility management system (EMS), Cash Financial Eligibility (CAFI), and Food Stamp Financial Eligibility (FSFI) screen prints.
|
|
DSS-05-008
|
|
Death date
|
Disposition is Life of recipient or upon receipt of Food and Nutrition Service (FNS) notification [7 CFR 272.1(f)(2)]. Destroy after receipt of signed Form RC-108
|
This series documents Supplemental Nutrition Assistance Program (SNAP) client fraud investigations. Including but not limited to: primary and non-primary verifications; general statements; disqualification hearing waivers; repayment agreements; redetermination and application forms; arrest warrant applications and affidavits disclosure authorizations; reports; and referrals.
|
|
DSS-05-009
|
|
Resolution date + 10 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents client fraud investigations for DSS administered assistance programs (excluding SNAP) pursuant to CGS Sec. 17b-97. Including but not limited to: primary and non-primary verifications; general statements; disqualification hearing waivers; repayment agreements; redetermination and application forms; arrest warrant applications and affidavits disclosure authorizations; reports; and referrals.
|
|
Agency Specific Schedules: State Library, Connecticut: All Agency Programs
|
|
CSL-01-001
|
|
Not Applicable
|
Destroy at Will
|
Consists of notes taken by reference personnel regarding routine inquiries by the public by phone or in-person.
|
|
CSL-01-002
|
|
1 Month(s)
|
|
Consists of records that document registration of patrons to utilize library equipment. Including but not limited to: registers and sign-up sheets.
|
|
CSL-01-003
|
|
Completion date + 1 Year(s)
|
|
Consists of records that document special library projects (e.g., movement of library materials, space planning, and inventory projects).
|
|
CSL-01-004
|
|
Not Applicable
|
Continuously updated
|
Consists of research aides created by staff to facilitate research or access to library, archives, and museum materials. Including but not limited to: collection guides, databases, finding aids, indices, locators, pathfinders, research guides, and shelf lists.
|
|
CSL-01-005
|
|
Calendar year end + 1 Year(s)
|
|
Consists of data gathered for statistical purposes.
|
|
Agency Specific Schedules: State Library, Connecticut: Bibliographic Services
|
|
CSL-02-001
|
|
Not Applicable
|
Continuously updated.
|
Consists of the Integrated Library System (ILS), union catalog, Online Public Access Catalog (OPAC), and bibliographic information for CONSULS. Files are maintained electronically in a series of databases.
|
|
CSL-02-002
|
|
Superseded
|
|
Consists of active shelf lists (file of bibliographic records arranged in the same order as the corresponding materials on the shelves).
|
|
CSL-02-003
|
|
Permanent
|
|
Consists of inactive shelf lists (file of bibliographic records arranged in the same order as the corresponding materials on the shelves).
|
|
CSL-02-004
|
|
Active + 1 Year(s)
|
|
Consists of vendor records related to bibliographic services. Including, but not limited to: correspondence, requests for proposals and bids, and copies of invoices. Files are arranged by vendor.
|
|
Agency Specific Schedules: State Library, Connecticut: Blind and Physically Handicapped, Library for the
|
|
CSL-03-001
|
|
3 Year(s)
|
|
Consists of records related to item and monetary donations to the Library for the Blind and Physically Handicapped. Including, but not limited to: acknowledgment of gift forms and related correspondence. Files are arranged alphabetically by donor.
|
|
CSL-03-002
|
|
Not Applicable
|
Continuously updated
|
Consists of the Library for the Blind and Physically Handicapped collection management database system. Including, but not limited to: inventory information (books, magazines, playback equipment), machine lending records (acquisitions, loans of playback equipment), patron records (patron profile, reading history, record of equipment used), and title files (author, title, subject, annotation, book number of each book).
|
|
CSL-03-003
|
|
Creation date + 2 Year(s)
|
|
Consists of monthly backup tapes for the Library for the Blind and Physically Handicapped database system.
|
|
CSL-03-004
|
|
Last action date + 5 Year(s)
|
Disposition upon notification of patron death or 5 years from date of inactivity, whichever is earlier.
|
Consists of original certified applications to establish eligibility for free library service. Files are arranged alphabetically by last name of patron.
|
|
CSL-03-005
|
|
Fiscal year end + 2 Year(s)
|
|
Consists of narrative and statistical reports received from, or submitted to, the Library of Congress National Library Service for the Blind and Physically Handicapped.
|
|
CSL-03-006
|
|
Termination date + 1 Year(s)
|
|
Consists of records of volunteers. Including, but not limited to: contact information and work logs.
|
|
CSL-03-007
|
|
Superseded
|
|
Consists of biennial memorandums of agreement between the Library for the Blind and Physically Handicapped and the Connecticut Volunteer Services for the Blind and Handicapped, Inc.
|
|
CSL-03-008
|
|
Acquisition date + 25 Year(s)
|
|
Consists of records used in the production of books, pamphlets, or magazines for those who cannot hold or read printed material. Including, but not limited to: 7 inch master reels, digital masters, production notes, and catalog information for recordings.
|
|
Agency Specific Schedules: State Library, Connecticut: Business Services - Grants and Contracts
|
|
CSL-04-001
|
|
Approved date + 10 Year(s)
|
|
Consists of approved construction files for state-funded grant programs. Including, but not limited to: applications, schematics, fiscal information, applications for payment and back-up, proof of payments, final expenditure reports, audits, audit-related materials, contracts, notices of applicant funding, notices of contract award, and change orders.
|
|
CSL-04-002
|
|
Completion date + 6 Year(s)
|
|
Consists of approved construction files for state-funded grant programs. Including, but not limited to: final plans and specifications.
|
|
CSL-04-003
|
|
Denial or revocation date + 6 Year(s)
|
|
Consists of denied, returned, revoked, or withdrawn construction grant files for state-funded grant programs. Including, but not limited to: applications, project proposals, narratives, supporting documentation, related correspondence, and staff and/or outside reviewer evaluations.
|
|
CSL-04-004
|
|
3 Year(s)
|
|
Consists of applications and related correspondence to the federal Department of Education regarding construction grants for the Library Services and Technology Act (LSTA).
|
|
CSL-04-005
|
|
Completion date + 6 Year(s)
|
|
Consists of approved federally-funded grant files. Including, but not limited to: applications, contracts, correspondence, evaluations, expenditure reports, audits, and payment lists.
|
|
CSL-04-006
|
|
3 Year(s)
|
|
Consists of denied, returned, revoked, or withdrawn federally-funded grant files. Including, but not limited to: applications, project proposals, narratives, supporting documentation, and related correspondence.
|
|
CSL-04-007
|
|
3 Year(s)
|
|
Consists of records related to the fiscal operation of the Historic Documents Preservation Program. Including, but not limited to: copies of contracts, reports, and related correspondence.
|
|
CSL-04-008
|
|
Completion date + 3 Year(s)
|
|
Consists of approved state funded grant files. Including, but not limited to: applications, contracts, correspondence, evaluations, expenditure reports, audits, payment lists, public library annual reports, applications for state aid, and Connecticard reports.
|
|
CSL-04-009
|
|
3 Year(s)
|
|
Consists of denied, returned, revoked, or withdrawn state-funded grant files. Including, but not limited to: applications, project proposals, narratives, supporting documentation, related correspondence, public library annual reports, applications for state aid, and Connecticard reports.
|
|
Agency Specific Schedules: State Library, Connecticut: Business Services - Photoduplication
|
|
CSL-05-001
|
|
Completion date + 2 Year(s)
|
|
Request for Photocopy Services (In-house)
|
|
CSL-05-002
|
|
Completion date + 1 Year(s)
|
|
Consists of duplicate Invoice/Order Form (SL-115) kept for statistical purposes.
|
|
Agency Specific Schedules: State Library, Connecticut: Collection Management
|
|
CSL-06-001
|
|
Not Applicable
|
Continuously updated
|
Consists of records documenting the acquisition, description and holdings of all library materials (print and electronic, serials and monograph, municipal, state, and federal documents). Including, but not limited to: depository monographs, inactive serials, serial lists, and serials inventory worksheets. Includes active, sold, and discarded titles.
|
|
CSL-06-002
|
|
Permanent
|
|
Consists of records related to the removal of library materials from the collection. Including, but not limited to: buyer or recipient names, correspondence, and related documents. Files are arranged chronologically by deaccession.
|
|
CSL-06-003
|
|
Receipt date + 3 Year(s)
|
Disposition is 3 years from date of gift.
|
Consists of records related to gifts of library materials to the State Library from other institutions or individuals. Including, but not limited to: correspondence and related documents. Files are arranged chronologically.
|
|
CSL-06-004
|
|
Activity date + 3 Year(s)
|
Disposition is 3 years from date of gift/exchange.
|
Consists of records related to exchanges of library materials between other libraries and the State Library. Including, but not limited to: correspondence, survey letters, lists of libraries, and related documents. Files are arranged chronologically.
|
|
CSL-06-005
|
|
Fiscal year end + 1 Year(s)
|
|
Consists of periodic analysis of funds needed to renew serials and continuations. These are working papers and not subject to audit. Includes reviewing expenditure balances with fiscal services. Files are arranged chronologically.
|
|
CSL-06-006
|
|
Superseded, obsolete or expired
|
|
Consists of applications (hard copy and electronic record) to obtain a library card. Files are arranged alphabetically by last name of patron.
|
|
CSL-06-007
|
|
Returned date
|
Disposition is when item is returned.
|
Consists of records of library materials checked-out by borrowers. Includes loans to patrons and libraries via Interlibrary Loan (ILL).
|
|
CSL-06-008
|
|
Closed date
|
Disposition is until paid or closed
|
Consists of records related to billing for replacement for unreturned library materials. Fees have not been paid. Including, but not limited to: notification letters and invoices. Files are arranged chronologically.
|
|
CSL-06-009
|
|
3 Year(s)
|
|
Consists of records related to billing for replacement for unreturned library materials. Fees have been paid. Including, but not limited to: notification letters and invoices. Files are arranged chronologically.
|
|
CSL-06-010
|
|
Receipt date + 3 Year(s)
|
Disposition is 3 years from date request filled.
|
Consists of records related to Interlibrary Loan (ILL) requests and request for reproductions from other libraries. Including, but not limited to: requests and copies of invoices.
|
|
CSL-06-011
|
|
Correspondence date + 2 Year(s)
|
|
Consists of correspondence and shipping lists to/from state and federal depository libraries. Files are arranged chronologically by date.
|
|
CSL-06-012
|
|
Not Applicable
|
Continuously updated
|
Consists of database of library materials that were sent to bindery.
|
|
CSL-06-013
|
|
Not Applicable
|
Continuously updated
|
Consists of database for the Connecticut Newspaper Project, which lasted from 1991 to 2002.
|
|
CSL-06-014
|
|
Permanent
|
|
Consists of grant files for the Connecticut Newspaper Project. Including, but not limited to: National Endowment of the Humanities (NEH) applications, awards, and interim/final reports.
|
|
CSL-06-015
|
|
Permanent
|
|
Consists of surveys for the Connecticut Newspaper Project. Including, but not limited to: data input forms, updated surveys, and vendor quality control reports for microfilm inspections.
|
|
CSL-06-016
|
|
Permanent
|
|
Consists of records related to digital collections, e.g., 1934 aerial survey. Including, but not limited to: metadata (about scanned items; preservation of digital objects), inspection reports, and related documents.
|
|
CSL-06-017
|
|
Not Applicable
|
Continuously updated
|
Consists of database documenting conservation of library materials.
|
|
CSL-06-018
|
|
Creation date + 2 Year(s)
|
Disposition is 2 years from date of conservation treatment.
|
Consists of work slips documenting conservation of library materials. A new work slip is created for each conservation treatment and information related to conservation treatment is posted to the preservation database.
|
|
CSL-06-019
|
|
Renewal or final report + 1 Year(s)
|
|
Consists of lists of serial titles purchased for renewal.
|
|
CSL-06-020
|
|
Report date + 1 Year(s)
|
|
Consists of usage reports for electronic serials (e-journals and e-resources), e.g., patron access and use. Including, but not limited to: internal and external reports.
|
|
Agency Specific Schedules: State Library, Connecticut: Government Information and Reference Services
|
|
CSL-07-001
|
|
Not Applicable
|
Continuously updated
|
Consists of database of information regarding acquired electronic publications.
|
|
CSL-07-002
|
|
Not Applicable
|
|
Consists of lists of acquisitions of recently acquired electronic publications.
|
|
CSL-07-003
|
|
Permanent
|
|
Consists of records related to the Connecticut Digital Archive. Including, but not limited to: working papers, project plans, and reports.
|
|
CSL-07-004
|
|
Permanent
|
|
Consists of records related to the state depository libraries. Including, but not limited to: directories of depository libraries and notices to relinquish status as depository library.
|
|
CSL-07-005
|
|
Not Applicable
|
Continuously updated
|
Consists of database used to aid in acquisition of state reports mandated by Public or Special Act.
|
|
CSL-07-006
|
|
Approved date + 1 Year(s)
|
Disposition is 1 year from date of authorization.
|
Consists of records submitted by depository libraries to discard federal documents, as well as Connecticut State Library authorizations.
|
|
CSL-07-007
|
|
Permanent
|
|
Consists of records related to the federal depository libraries. Including, but not limited to: correspondence to/from the Government Printing Office (GPO), copies of inspection reports, and selective housing agreements.
|
|
CSL-07-008
|
|
Permanent
|
|
Consists of lists of federal documents arranged in the order in which they stand on the shelf.
|
|
CSL-07-009
|
|
Permanent
|
|
Consists of general program files for the Government Information and Reference Services Unit. Including, but not limited to: brochures, pamphlets, and history of program.
|
|
CSL-07-010
|
|
Completion date
|
|
Consists of special project files, such as space planning (building specifications, floor plans, and photographs) and task forces (notes and working papers).
|
|
Agency Specific Schedules: State Library, Connecticut: History and Genealogy Unit
|
|
CSL-08-001
|
|
Application date + 25 Year(s)
|
|
Consists of applications to obtain or renew an Archives Pass to access the Archives Research Area. Includes hard copy and electronic records. Files are arranged chronologically by date and then alphabetically by patron name.
|
|
CSL-08-002
|
|
Completion date + 25 Year(s)
|
Disposition is 25 years from date retrieved.
|
Consists of call slips used to retrieve archival materials, probate records, special collections records, and aerial photographic records. Files are arranged chronologically by date.
|
|
CSL-08-003
|
|
Activity date + 25 Year(s)
|
Disposition is 25 years from date of sign-in.
|
Consists of sign-in sheets for patrons to gain access to the Archives Research Area. Files are arranged chronologically by date.
|
|
Agency Specific Schedules: State Library, Connecticut: Law and Legislative Reference
|
|
CSL-09-001
|
|
Correspondence date + 2 Year(s)
|
|
Consists of written reference correspondence and related documents. Files are arranged chronologically by date.
|
|
CSL-09-002
|
|
Not Applicable
|
Continuously updated
|
Consists of log of all legislative records received from the General Assembly. Log is arranged by accession number.
|
|
CSL-09-003
|
|
Permanent
|
|
Consists of Senate and House bills and resolutions for the General Assembly. Including, but not limited to: bills, amendments, and related documents. Files are arranged chronologically by session.
|
|
CSL-09-004
|
|
Permanent
|
|
Consists of audio/video recordings of hearings and proceedings of the General Assembly. Files are arranged chronologically by session.
|
|
CSL-09-005
|
|
Permanent
|
|
Consists of transcripts of hearings and proceedings of the General Assembly. Files are arranged chronologically by session.
|
|
CSL-09-006
|
|
Appointment date + 5 Year(s)
|
|
Consists of letters and related documents appointing annual legislative interns to work for the State Library during the legislative session. Files are arranged chronologically by session and then alphabetically by last name.
|
|
Agency Specific Schedules: State Library, Connecticut: Library Development, Division of
|
|
CSL-10-001
|
|
3 Year(s)
|
|
Consists of records that document the administration of the Connecticar program, which provides delivery of library materials to Connecticut's public and academic libraries. Including but not limited to: driver route sheets, route schedules, vehicle inventories, weekly vendor invoices, evaluations, annual studies, and related correspondence.
|
|
CSL-10-002
|
|
Session date + 1 Year(s)
|
|
Consists of records that document continuing education for library and information professionals in Connecticut. Including but not limited to: registration, post training evaluations, and related correspondence.
|
|
CSL-10-003
|
|
Contract end date
|
|
Consists of records that document the administration of iCONN, which provides students, faculty, and residents with online access to essential library and information resources. Including but not limited to: requests for proposals, bids, contract awards, license agreements, purchase orders, and data input forms.
|
|
CSL-10-004
|
|
Service date + 5 Year(s)
|
|
Consists of records that document the review and approval of technology assessments and technology plans for public libraries under the Schools and Libraries Program of the Universal Service Fund (USF). Including but not limited to: plans, reviews, approvals, and related correspondence.
|
|
Agency Specific Schedules: State Library, Connecticut: Museum of Connecticut History
|
|
CSL-11-001
|
|
Permanent
|
|
Consists of records related to the museum collections. Including, but not limited to: donor information, gift forms, related correspondence, worksheets of physical descriptions, conservation information regarding objects, background research, accession ledger (arranged by accession number), and photographic inventory of collection.
|
|
CSL-11-002
|
|
Not Applicable
|
Continuously updated
|
Consists of searchable database of patents granted to Connecticut inventors.
|
|
CSL-11-003
|
|
Event date + 2 Year(s)
|
|
Consists of records related to outreach and education. Including, but not limited to: scheduling group tours and outreach education programs (e.g., Connecticut Invents! and A Connecticut Sampler).
|
|
CSL-11-004
|
|
Permanent
|
|
Consists of records related to the exhibition of museum collections.
|
|
Agency Specific Schedules: State Library, Connecticut: Public Records Administrator, Office of the
|
|
CSL-12-001
|
|
Permanent
|
|
Consists of advice and opinions issued by the Office of the Attorney General regarding public records. Files are arranged chronologically.
|
|
CSL-12-002
|
|
Review date + 2 Year(s)
|
|
Consists of municipal vault and building plans submitted to the Office of the Public Records Administrator for review and approval.
|
|
CSL-12-003
|
|
Superseded
|
|
Consists of copies of Certificates of Compliance for Data Processing Standards, Digital Imaging Standards, Microfilming Standards, and Microfilm Records Certification. Files are arranged by municipality or state agency.
|
|
CSL-12-004
|
|
Resolution date + 2 Year(s)
|
|
Consists of correspondence regarding records management activities, issues, and violations. Files are arranged alphabetically by complainant.
|
|
CSL-12-005
|
|
Not Applicable
|
|
Consists of databases and logs for the Office of the Public Records Administrator. Including but not limited to: attorney general opinions, grants, retention schedules, RMLOs, status of retention schedules, and town clerks databases, and certificates of compliance, land record certifications, and mail (disposal authorizations and retention schedules) logs.
|
|
CSL-12-006
|
|
Permanent
|
|
Consists of copies of Records Disposition Authorization: Connecticut Towns, Municipalities, and Boards of Education (Form RC-075) submitted by the municipality. Files are arranged by municipality.
|
|
CSL-12-007
|
|
Permanent
|
|
Consists of copies of Records Disposition Authorization: Connecticut Towns, Municipalities, and Boards of Education (Form RC-075) or Records Disposal Authorization: State Agencies (Form RC-108) submitted by the quasi-public agency. Files are arranged by quasi-public agency.
|
|
CSL-12-008
|
|
Permanent
|
|
Consists of copies of Records Disposition Authorization: State Agencies (Form RC-108) submitted by the state agency. Files are arranged by state agency; log is arranged chronologically.
|
|
CSL-12-009
|
|
Fiscal year end + 10 Year(s)
|
Disposition is 10 years from end of grant year.
|
Consists of targeted, competitive, and disaster recovery grant files for the preservation and management of historic local records. Including but not limited to: applications, consultant reports, correspondence, grant award letters, evaluation forms, project evaluation/expenditure reports, and related documents. Files are arranged by grant year, then municipality.
|
|
CSL-12-010
|
|
Calendar year end + 2 Year(s)
|
|
Consists of annual Examination of Indexes and Inspections of Land Records in the Towns and related documents. Files are arranged by year, then municipality.
|
|
CSL-12-011
|
|
Permanent
|
|
Including but not limited to: inspections, inventories, meeting notes, and related documents. Files are arranged by quasi-public agency.
|
|
CSL-12-012
|
|
Superseded
|
|
Consists of Records Management Liaison Officer Designation (Form RC-078), printed RMLO contact list, and related documents. Files are arranged by state agency.
|
|
CSL-12-013
|
|
Permanent
|
|
Consists of active general records retention schedules for municipalities and state agencies. Files are arranged by schedule number.
|
|
CSL-12-014
|
|
Permanent
|
|
Consists of void general records retention schedules for municipalities and state agencies. Files are arranged by schedule number.
|
|
CSL-12-015
|
|
Permanent
|
|
Consists of active agency Records Retention Schedules (Form RC-050). Files are arranged by state agency.
|
|
CSL-12-016
|
|
Permanent
|
|
Consists of void agency Records Retention Schedules (Form RC-050).
|
|
CSL-12-017
|
|
Approved or denied date + 1 Year(s)
|
|
Including but not limited to: Request for Removal of Public Records Personal Data Files from Towns and Municipalities (Form RC-076), Request for Removal of Public Records Personal Data Files from State Agencies (Form RC-077), and related documents. Files are arranged by municipality or state agency.
|
|
CSL-12-018
|
|
10 Year(s)
|
|
Consists of log used to track incoming shipments and accession numbers.
|
|
CSL-12-019
|
|
20 Year(s)
|
|
Consists of State Records Center Reference Requests (Form RC-200) used by state agencies to request records from the State Records Center.
|
|
CSL-12-020
|
|
Permanent
|
|
Consists of State Records Center Storage Lists (Form RC-100) used to indicate records currently stored at the State Records Center, as well as records destroyed or returned to agency control.
|
|
CSL-12-021
|
|
Permanent
|
|
Including but not limited to: inspections, inventories, meeting notes, and related documents. Files are arranged by state agency.
|
|
CSL-12-022
|
|
Permanent
|
|
Including but not limited to: inspections, inventories, meeting notes, and related documents. Files are arranged by municipality.
|
|
CSL-12-023
|
|
Active + 1 Year(s)
|
|
Including but not limited to: correspondence, inspections, approvals, and denials for commercial vendors. Files are arranged by vendor.
|
|
Agency Specific Schedules: State Library, Connecticut: State Archives
|
|
CSL-13-001
|
|
Not Applicable
|
Continuously updated
|
Consists of a database of accessions and collections information.
|
|
CSL-13-002
|
|
Permanent
|
|
Consists of records deaccessioned from the State Archives. Including, but not limited to: reappraisal reports, recommendations, approval memoranda, correspondence, agendas, and notes. Files are arranged alphabetically by archival repository.
|
|
CSL-13-003
|
|
Permanent
|
|
Including, but not limited to: correspondence, reports, and other materials related to installed exhibitions. Files are arranged alphabetically by exhibition name.
|
|
CSL-13-004
|
|
Last action date + 25 Year(s)
|
|
Including, but not limited to: correspondence, reports, and other materials related to exhibitions that were not installed. Files are arranged alphabetically by exhibition name.
|
|
CSL-13-005
|
|
Superseded
|
|
Including, but not limited to: container lists, descriptive registers, and Encoded Archival Descriptions (EAD) XML files. Files are arranged by record group number.
|
|
CSL-13-006
|
|
Permanent
|
|
Including, but not limited to: brochures, insurance certifications, loan forms, manuscript appraisals, and related correspondence. Files are arranged chronologically by date loan returned.
|
|
CSL-13-007
|
|
Permanent
|
|
Consists of special projects for the State Archivist, e.g., Archives Week poster, Public Records of the State of Connecticut publication, and WPA Art Inventory project.
|
|
CSL-13-008
|
|
Request date + 25 Year(s)
|
|
Including, but not limited to: applications, forms, and related correspondence. Files are arranged chronologically by date of request.
|
|
CSL-13-009
|
|
Permanent
|
|
Including, but not limited to: accession worksheet, appraisal reports, Attorney General rulings regarding access, background materials covering history and/or function of agency, memorandum of transfers, photographs of storage area and transfers, preservation reports, and related correspondence.
|
|
CSL-13-010
|
|
Decision date + 1 Year(s)
|
|
Consists of application forms used to gain access to restricted archival records. Files are arranged by date of request.
|
|
Agency Specific Schedules: Teachers' Retirement Board: All Agency Programs
|
|
TRB-01-001
|
|
Death date + 10 Year(s)
|
Disposition is 10 years from date of member's death.
|
Consists of records of individuals who contribute to the State Teacher's Retirement System, as well as those receiving contributions or benefits. Includes, but not limited to applications for membership, for disability, for purchase of additional service, for withdrawal of voluntary account, or for withdrawal of a member's deposits; beneficiary designation; address/name change; annual statement of benefits; and appeals to the board. Files are arranged alphabetically by member's last name. Upon death of member, file is renamed to co-participant (spouse or beneficiary) or money is paid-out in a lump-sum.
|
|
TRB-01-002
|
|
Abandoned date + 50 Year(s)
|
Disposition is 50 years from date contributions are deemed abandoned as outlined in CGS Sec 10-183ee. Dispose after receipt of signed RC-108.
|
Consists of records of individuals who contributed to the State Teachers' Retirement System, but have not claimed their contributions or other such benefits. Includes, but not limited to applications for membership, for disability, and for purchase of additional service; beneficiary designation; address/name change; annual statement of benefits; and appeals to the board. Files are arranged alphabetically by member's last name.
|
|
TRB-01-003
|
|
Permanent
|
|
Consists of data gathered about members who contribute to the State Teacher's Retirement System to provide a history of payroll, promotion, and discipline. Includes, but not limited to data about salary, date of birth, social security number, marital status, telephone numbers, addresses, educational and medical history, and bank account information. Files are arranged in hard copy binders.
|
|
TRB-01-004
|
|
Superseded
|
|
Consists of data gathered about members who contribute to the State Teacher's Retirement System to provide a history of payroll, promotion, and discipline. Includes, but not limited to data about salary, date of birth, social security number, marital status, telephone numbers, addresses, educational and medical history, and bank account information. Files are arranged alphabetically by member's last name in database.
|
|
Agency Specific Schedules: Transportation, Department of: Traffic Data Analysis/Classification
|
|
DOT-01-001
|
|
Permanent
|
|
Maps showing point specific monitored locations and average daily traffic (ADT) count for that location for the monitoring cycle. Maps are stored in hard copy format. Most recent maps also available on agency website. Files are arranged by cycle year then by town.
|
|
DOT-01-002
|
|
Permanent
|
|
Limited Access Highway maps showing mainline and ramp average daily traffic (ADT) volumes for each location for the monitoring cycle. Includes both federal and state highways. Map may or may not be to scale. Arranged by cycle year then by route number.
|
|
DOT-01-003
|
|
Issue date + 12 Year(s)
|
|
Consists of reports compiled for any federal, state, and/or local municipality. The reports may include hourly and/or average daily traffic (ADT) volumes, vehicle classification, speed, weight and turning movement data, functional classification information, location mileage point and description. Traffic studies are conducted on a request and availability basis. Files are arranged by year and type of study then by town or expressway.
|
|
DOT-01-004
|
|
15 Year(s)
|
|
Consists of traffic data collected using portable counting units or permanent counting unit/stations, such as Automated Traffic Recorders (ATRs), Continuous Counting Stations (CCS), and Weigh-In-Motion (WIM) Stations. Type of data collected includes hourly volumes, vehicle classification, speed, truck weight, and turning movement data. Most data collected on a three year cycle for each federal, state, and/or local road; ATR/CCS data collected annually. Files are arranged by type of count, then by year, then by town and/or station number. Older records are stored on paper data cards; newer records are stored using both hard copy format and electronic format.
|
|
Agency Specific Schedules: Treasurer, Office of the State: Debt Management Division
|
|
OTT-05-001
|
|
Issue date + 46 Year(s)
|
Disposition is date bond issued plus 46 years. Destroy after receipt of signed Form RC-108.
|
This series documents the issuance and management of State bonds. Including but not limited to: closing transcripts; correspondence; tax charts; IRS form 8038; bond counsel opinion; bond fund investment records; investment income; expenditures
|
|
Agency Specific Schedules: Treasurer, Office of the State: Executive Office
|
|
OTT-01-001
|
|
Closed date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series documents legal proceedings. Including but not limited to: depositions, motions, correspondence, pleadings, media/press releases, administration of proceeds, billings, settlements, judgments, and verdicts.
|
|
OTT-01-002
|
|
Permanent
|
|
This series documents State owned land and State property rights. Including but not limited to: contracts, title certificates, survey maps, and original deeds.
|
|
Agency Specific Schedules: Treasurer, Office of the State: Pension Funds Management
|
|
OTT-04-001
|
|
10 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Annual Report Preparation Files: Includes financial statements and other records used in the preparation of the Treasurer's Annual Report.
|
|
Agency Specific Schedules: Treasurer, Office of the State: Second Injury Fund
|
|
OTT-03-001
|
|
Closed date + 5 Year(s)
|
Disposition is 5 years from date claim closed or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents injured worker claims where the Second Injury Fund (FUND) has no liability or no further liability. Including but not limited to: memorandum to file from FUND personnel or Attorney General’s office; hearing notices; legal documents; medical reports; medical or other bills; correspondence; investigator reports; surveillance records; medical case management information; collection letters and memorandum; verification of collections or proof of uncollectible; write off letters from the Office of Policy and Management authorizing Office of State Treasurer to abandon collection efforts deemed uncollectible; Workers’ Compensation Commission orders; and agreements.
|
|
OTT-03-002
|
|
Closed date + 10 Year(s)
|
Disposition is 10 years from date claim closed or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents injured worker claims that have potential Second Injury Fund (FUND) liability. Including but not limited to: memorandum to file from FUND personnel or Attorney General’s office; hearing notices; legal documents; medical reports; medical or other bills; correspondence; investigator reports; surveillance records; medical case management information; collection letters and memorandums; Workers’ Compensation Commission orders; and agreements.
|
|
OTT-03-003
|
|
5 Year(s)
|
Disposition is 5 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents payments made to medical providers. Including but not limited to: medical bills; memorandum; correspondence; and reports.
|
|
OTT-03-004
|
|
1 Year(s)
|
Disposition is 1 year or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series consists of lists documenting IRS Form 1099 sent to individuals, providers, and attorneys after a claim has been paid during the last calendar year, and attempted delivery of forms (undeliverable).
|
|
OTT-03-005
|
|
5 Year(s)
|
Disposition is 5 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents payments made to injured workers, spouses, dependents, or legal representative for indemnity. Including but not limited to: copies of checks and/or disbursements, and registers.
|
|
OTT-03-006
|
|
5 Year(s)
|
Disposition is 5 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
This series documents assessments and paid losses filed by insurance companies and self-insured employers. Including but not limited to: remittance forms, correspondence and working papers related to filed assessments and paid losses.
|
|
OTT-03-007
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series documents working papers prepared by the Second Injury Fund Controller. Including but not limited to: reports; memorandum; financial statements; budgets; reconciliation documents; and trial balances.
|
|
OTT-03-008
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series documents audits of insurance companies and self-insured employers filing assessments and paid losses. Including but not limited to: examiner reports; correspondence; memorandum; and related working papers for audits of insurance.
|
|
OTT-03-009
|
|
Not Applicable
|
No retention requirement.
|
This series consists of notifications that a company has filed for bankruptcy in cases when no proof of claim is filed.
|
|
OTT-03-010
|
|
Discharge date + 3 Year(s)
|
Disposition is 3 years from date of notice of discharge of bankruptcy. Destroy after receipt of signed Form RC-108.
|
This series documents bankruptcy notifications for cases with a filed proof of claim. Including but not limited to: motions and notices, and proofs of claim.
|
|
OTT-03-011
|
|
Superseded date
|
Continuously updated
|
This series consists of data about injured workers’ claims.
|
|
OTT-03-012
|
|
5 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
This series consist of videos documenting activity levels of injured workers that are not associated with a claimant file.
|
|
Agency Specific Schedules: Treasurer, Office of the State: Unclaimed Property Division
|
|
OTT-02-001
|
|
Superseded date
|
|
Consists of lists of estates in excess of $500 paid by the Office of State Treasurer and sent annually to the Department of Revenue Services.
|
|
OTT-02-002
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consists of letters from finder organizations requesting a copy of lists of properties held by the Office of State Treasurer for the rightful owner.
|
|
OTT-02-003
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consists of lists of IRS Form 1099 sent to individuals whose claims have been paid in the last calendar year and records that document the attempted delivery of forms (undeliverable).
|
|
OTT-02-004
|
|
Event date + 3 Year(s)
|
Disposition is 3 years from date of auction. Destroy after receipt of signed Form RC-108.
|
Consists of inventory of property other than stocks or cash escheated to the Office of State Treasurer and sold at auction.
|
|
OTT-02-005
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consists of working papers related to the balancing (updating) of securities received by the Office of State Treasurer and held for rightful owners.
|
|
OTT-02-006
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Including but not limited to: lists of securities, lists of securities sold, and summary reports.
|
|
OTT-02-007
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consists of receipts of stock certificates registered in the name of the Office of State Treasurer and letters requesting deposit.
|
|
OTT-02-008
|
|
Paid date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consists of records of claims by owners of unclaimed property verified and paid. Including but not limited to: claim forms, older reimbursements, state reciprocals, and related documents (copies of driver’s licenses, copies of social security numbers, and original certificates).
|
|
OTT-02-009
|
|
Closed date + 5 Year(s)
|
Disposition is 5 years from date claim closed. Destroy after receipt of signed Form RC-108.
|
consists of records of claims by owners of unclaimed property that submitted no, or incomplete, documentation. Including, but not limited to: claim forms, older reimbursements, state reciprocals, and related documents (copies of driver’s licenses, copies of social security numbers, and original certificates).
|
|
OTT-02-010
|
|
Denied date + 5 Year(s)
|
Disposition is 5 years from date claim denied and dispute resolved. Destroy after receipt of signed Form RC-108.
|
Consists of records of claims by owners of unclaimed property that proved that the property does not belong to the claimant. Including, but not limited to: claim forms, older reimbursements, state reciprocals, and related documents (copies of driver’s licenses, copies of social security numbers, and original certificates) and hearing records (finding of fact and statement of reasons for decision).
|
|
OTT-02-011
|
|
Closed date + 3 Year(s)
|
Disposition is 3 years from date case closed or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consists of records of efforts to collect funds that should have been escheated to the State. Including, but not limited to copies of claims, certified receipts, correspondence, verifications of collections or proof uncollectable, and write off letters from the Office of Policy and Management authorizing Office of State Treasurer to abandon collection efforts deemed uncollectible.
|
|
OTT-02-012
|
|
Not Applicable
|
|
Consists of documents concerning shareholder votes on matters relating to a company in which the Office of State Treasurer owns shares of stock.
|
|
OTT-02-013
|
|
3 Year(s)
|
Disposition is 3 years or until audited, whichever is later. Destroy after receipt of signed Form RC-108.
|
Consists of documents sent by mutual fund companies to the Office of State Treasurer for reconciliation of securities.
|
|
OTT-02-014
|
|
Discharge date + 3 Year(s)
|
Disposition is 3 years from date of notice of discharge of bankruptcy. Destroy after receipt of signed Form RC-108.
|
Consists of bankruptcy notifications for cases with a filed proof of claim. Including, but not limited to: motions and notices, proof of claims-cases, and titled proof of claims.
|
|
OTT-02-015
|
|
Not Applicable
|
No retention requirement.
|
Consists of notifications that a company has filed for bankruptcy for cases when no proof of claim filed.
|
|
OTT-02-016
|
|
Filing date + 3 Year(s)
|
Disposition is 3 years from date holder report filed. Destroy after receipt of signed Form RC-108.
|
Consists of Examiners reports, correspondence, and related working papers for audits of holder companies.
|
|
OTT-02-017
|
|
Permanent
|
No retention requirement.
|
Consists of reports submitted by institutions holding unclaimed property in Connecticut.
|
|
OTT-02-018
|
|
Superseded date
|
Continuously updated
|
Consists of data submitted by institutions holding unclaimed property in Connecticut. Includes name and last known address of each person appearing to be the owner of such property.
|
|
OTT-02-019
|
|
Received date + 1 Year(s)
|
Disposition is 1 year from date holder report received. Destroy after receipt of signed Form RC-108.
|
Consists of requests from businesses for an extension of the annual reporting date and the Office of State Treasurer’s response.
|
|
OTT-02-020
|
|
Audit completion date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108.
|
Consists of correspondence authorizing audit vendor to audit holders.
|
|
OTT-02-021
|
|
Not Applicable
|
No retention requirement.
|
Consists of previously unpublished lists of unclaimed property (fifty dollars or more). Also known as “CT Big List,” “Name It and Claim It,” and the “Connecticut Big List.” Lists are published to the Web daily and in hard copy every two years.
|
|
Agency Specific Schedules: University of Connecticut Health Center: Graduate Medical Education (GME) Residency Programs
|
|
UCHC-01-001
|
|
Permanent
|
Retain in Agency
|
This series consists of the official record copy of the resident/fellow academic record. Including but not limited to: resident demographics (legal and preferred names; credentials; National Provider Identifier (NPI); social security number; race; gender; date of birth; birth place; citizenship country; email address); applications; prior training verification files; block schedules; biannual and annual summary evaluations; final residency/fellowship training verifications; procedure logs; national board scores; and disciplinary summaries.
|
|
UCHC-01-002
|
|
Completion date + 1 Year(s)
|
Disposition is 1 year upon separation from program. Destroy after receipt of signed Form RC-108
|
This series documents completion of resident / fellow program prerequisites, such as medical school or residency / fellowship; pre-employment screening, drug screening; criminal background check; and additional requirements specified in the Resident / Fellows Policies and Procedures Manual. Including but not limited to: reports, letters of recommendation, on-boarding documentation, and Institutional Curriculum (IC).
|
|
UCHC-01-003
|
|
Completion date + 5 Year(s)
|
Disposition is 5 years upon separation from program. Destroy after receipt of signed Form RC-108
|
This series documents resident / fellow training and evaluation. Including but not limited to: rotation evaluations; evaluations that do not result in an adverse action but lead to a Letter of Deficiency; duty hour reports.
|
|
UCHC-01-004
|
|
Permanent
|
Retain in Agency
|
This series documents resident/fellow service and compensation in the program. Including but not limited to: resident agreements (contracts); appointment letters; family and medical leave request forms; notices of leave of absence; return to work releases; applications; prior training verifications; Letters of Deficiency with Adverse Action; final residency/fellowship training verification; copy of graduating diploma; and disciplinary summaries.
|
|
UCHC-01-005
|
|
Request date + 1 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents requests for verification of resident / fellow training. Including but not limited to: requests and release forms.
|
|
UCHC-01-006
|
|
Application date + 3 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents applicants denied admission to the resident/fellow program. Including but not limited to: resident demographics (legal and preferred names; credentials; National Provider Identifier (NPI); social security number; race; gender; date of birth; birth place; citizenship country; email address); national board scores; and applications.
|
|
Agency Specific Schedules: University of Connecticut: Animal Research Administration
|
|
UCONN-01-001
|
|
Calendar year end + 7 Year(s)
|
Disposition is 7 years from end of the calendar year to which the record pertains. Destroy after receipt of signed Form RC-108
|
This series documents data collected to account for the population of animals within a facility or facilities.
|
|
UCONN-01-002
|
|
Last contact + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents the transfer of an animal to the University of Connecticut. Including but not limited to donation agreements and records documenting the transfer of animals.
|
|
UCONN-01-003
|
|
Calendar year end + 7 Year(s)
|
Disposition is 7 years from end of the calendar year to which the record pertains. Destroy after receipt of signed Form RC-108
|
This series documents the transfer of Non-USDA animal species to the University of Connecticut. Including but not limited to donation agreements and records documenting the transfer of animals.
|
|
UCONN-01-004
|
|
Last action date + 7 Year(s)
|
7 years after date of last treatment or 3 years following the death of the animal, whichever comes first. Destroy after receipt of signed Form RC-108
|
This series documents the medical history of individual animals. Including but not limited to: medical evaluations; diagnostic test results; final necropsy reports; euthanasia records; accident, illness or incident reports; vaccination certifications; breeding and foaling documentation including breed association registration papers; surgical records and other records documenting treatment by a veterinarian or authorized person. May include records transferred from previous handlers.
|
|
UCONN-01-005
|
|
Calendar year end + 7 Year(s)
|
Disposition is 7 years from end of the calendar year to which the record pertains. Destroy after receipt of signed Form RC-108
|
This series documents reports of animals generally cared for in a group where animals are not individually identifiable. Including but not limited to: medical evaluations; diagnostic test results; final necropsy reports; euthanasia records; accident, illness or incident reports; vaccination certifications; breeding documentation; surgical records and other records documenting the treatment or care by a veterinarian or authorized person. May include records transferred from previous handlers.
|
|
UCONN-01-006
|
|
Calendar year end + 7 Year(s)
|
Disposition is 7 years from end of the calendar year to which the record pertains. Destroy after receipt of signed Form RC-108
|
This series documents routine animal care included but not limited to daily animal check, feed/water check, temperature/humidity check, time of observations, cage changes, water bottle changes, filter changes, equipment sanitation.
|
|
UCONN-01-007
|
|
Calendar year end + 7 Year(s)
|
Disposition is 7 years from end of the calendar year to which the record pertains. Destroy after receipt of signed Form RC-108
|
This series includes laboratory records created when conducting diagnostic testing of animals or routine testing for infectious disease (e.g. Coggins Test). Also includes laboratory records created during necropsy.
|
|
UCONN-01-008
|
|
Last contact + 7 Year(s)
|
Destroy after receipt of signed Form RC-108
|
This series documents any research protocols the animal has been included in.
|
|
UCONN-01-009
|
|
Calendar year end + 7 Year(s)
|
Disposition is 7 years from end of the calendar year to which the record pertains. Destroy after receipt of signed Form RC-108
|
This series documents any research protocols a group of animals have been included in.
|
|
Agency Specific Schedules: University of Connecticut: Cooperative Extension System
|
|
UCONN-02-001
|
|
Participation end date + 5 Year(s)
|
Disposition is 5 years from date of last active participation. Destroy after receipt of signed Form RC-108
|
This series consists of member files (minors) for state 4-H clubs, programs, and events, including but not limited to: code of conduct; emergency notification forms; insurance and permission forms; sign-in/out sheets; activity participation records; media release forms.
|
|
UCONN-02-002
|
|
Participation end date + 5 Year(s)
|
Disposition is 5 years from date of last active participation. Destroy after receipt of signed Form RC-108
|
This series consists of (adult) volunteer, leader, intern, and community service files associated with state 4-H programs. Including, but not limited to: recruitment and selection records; volunteer agreements; background checks; code of conduct; emergency notification forms; insurance and permission forms; work schedules; sign-in/out sheets; time sheets; orientation and training documentation; work history; media release forms.
|
|
UCONN-02-003
|
|
Event date + 5 Year(s)
|
Disposition is 5 years from date of event or activity. Transfer to University Archives
|
This series documents 4-H programs and activities at the state, county, and club level. Including, but not limited to: flyers, brochures, participant lists, reports, studies, publications.
|
|
UCONN-02-004
|
|
Event date + 10 Year(s)
|
Disposition is 10 years from date of event or activity. Destroy after receipt of signed Form RC-108
|
This series documents the medical information collected from participants in 4-H sponsored events.
|
|
UCONN-02-005
|
|
Creation date + 5 Year(s)
|
Transfer to University Archives
|
This series documents activities and programs of Cooperative Extension in Connecticut for adults (i.e., Master Gardeners). Including, but not limited to: participant lists, flyers, reports, studies, publications.
|
