SGGRRS5 1

Washington State Archives
StateGovernmentGeneralRecordsRetentionSchedule(SGGRRS)
Office of the Secretary of State
Version5.1(August2011)
REVISIONHISTORY
Version
DateofApproval
1.0
November1991
GeneralUpdate
2.0
July1997
GeneralUpdate
3.0
Summer2001
GeneralUpdate
3.5
April2005
GeneralUpdate
4.0
November2005
GeneralUpdate
5.0
October6,2010
Changestoformat,GlossaryUpdated,IndexesAdded,StandardizedArchivalDesignationsandpropercitationofRCWs.
August3,2011
Allrecordsseriesreorganizedinto sixfunctionalareas:AgencyManagement,AssetManagement,FinancialManagement,HumanResource
Management,RecordsManagement,andRecordsWithMinimalRetentionValue.MajorrevisiontoInformationManagementfunction.New
activitiesaddedincludingBanking,CommunityRelations,LibraryServices,PublicDisclosure,Publishing,RecordsConversion,RiskManagement
andSecurity.PleasereferencetheRevisionGuidefordetailedinformation.
5.1
ExtentofRevision
Forassistanceandadviceinapplyingthisrecordsretentionschedule,
pleasecontactWashingtonStateArchivesat:
recordsmanagement@sos.wa.gov
Page2of118
TABLEOFCONTENTS
1.
AGENCYMANAGEMENT..............................................................................................................................................................................5
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
2.
ASSETMANAGEMENT...............................................................................................................................................................................27
2.1
2.2
2.3
2.4
2.5
2.6
3.
AUDITS,INVESTIGATIONSANDEXAMINATIONS...................................................................................................................................................................................46
BANKING................................................................................................................................................................................................................................................48
FISCALANDACCOUNTINGRECORDS.....................................................................................................................................................................................................49
GRANTSMANAGEMENT........................................................................................................................................................................................................................58
HUMANRESOURCEMANAGEMENT..........................................................................................................................................................60
4.1
4.2
4.3
4.4
4.5
4.6
FACILITIESMANAGEMENT.....................................................................................................................................................................................................................27
INFORMATIONSERVICES.......................................................................................................................................................................................................................30
REALPROPERTYMANAGEMENT............................................................................................................................................................................................................38
SECURITY................................................................................................................................................................................................................................................41
SUPPLY,EQUIPMENTANDVEHICLEMANAGEMENT.............................................................................................................................................................................42
TELECOMMUNICATIONS........................................................................................................................................................................................................................45
FINANCIALMANAGEMENT........................................................................................................................................................................46
3.1
3.2
3.3
3.4
4.
COMMUNITYRELATIONS.........................................................................................................................................................................................................................5
CONTRACTSANDPURCHASINGRECORDS...............................................................................................................................................................................................7
EXECUTIVELEVELRECORDS...................................................................................................................................................................................................................10
GENERALOFFICEOPERATIONS(NONEXECUTIVE)................................................................................................................................................................................16
LEGALFILES............................................................................................................................................................................................................................................21
LEGISLATIVERELATIONS........................................................................................................................................................................................................................23
RISKMANAGEMENT..............................................................................................................................................................................................................................24
TRAINING...............................................................................................................................................................................................................................................25
ATTENDANCEANDLEAVE......................................................................................................................................................................................................................60
BENEFITS................................................................................................................................................................................................................................................61
EQUITY...................................................................................................................................................................................................................................................63
INDUSTRIALINSURANCE........................................................................................................................................................................................................................64
LABORRELATIONS.................................................................................................................................................................................................................................65
MISCONDUCT/DISCIPLINE/GRIEVANCES...............................................................................................................................................................................................66
Page3of118
4.7
4.8
4.9
4.10
4.11
4.12
4.13
4.14
5.
INFORMATIONMANAGEMENT.................................................................................................................................................................81
5.1
5.2
5.3
5.4
5.5
5.6
5.7
6.
OCCUPATIONALHEALTHANDSAFETY...................................................................................................................................................................................................69
PAYROLL.................................................................................................................................................................................................................................................70
PERFORMANCEMANAGEMENT............................................................................................................................................................................................................73
PERSONNEL............................................................................................................................................................................................................................................74
POLICIESANDPROCEDURES..................................................................................................................................................................................................................77
POSITIONDEVELOPMENT/STAFFSTRUCTURE.......................................................................................................................................................................................78
RECRUITMENT/HIRING..........................................................................................................................................................................................................................79
STAFFDEVELOPMENT............................................................................................................................................................................................................................80
FORMSMANAGEMENT..........................................................................................................................................................................................................................81
LIBRARYSERVICES..................................................................................................................................................................................................................................82
MAILSERVICES.......................................................................................................................................................................................................................................84
PUBLICDISCLOSURE...............................................................................................................................................................................................................................85
PUBLISHING...........................................................................................................................................................................................................................................86
RECORDSCONVERSION.........................................................................................................................................................................................................................89
RECORDSMANAGEMENT......................................................................................................................................................................................................................92
RECORDSWITHMINIMALRETENTIONVALUE...........................................................................................................................................95
GLOSSARY.............................................................................................................................................................................................................98
INDEXES..............................................................................................................................................................................................................101
Page4of118
1.
AGENCYMANAGEMENT
Thefunctionrelatingtotheoverarchingmanagementofthestategovernmentagencyanditsgeneraladministration.Alsoincludesmanagingtheagencys
interactionwithitscommunity,andlegalmatters.
1.1
COMMUNITYRELATIONS
Theactivityofstateagenciesprovidingtrainingtooutsidepartiessuchasotherstateemployees,contractors,customers,orthepublic.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESCRIPTIONOFRECORDS
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
AdvertisingandPromotion
Recordsrelatingtotheplanningand/orexecutionofeducationalorpromotional
events,campaignsandcontestsconductedbytheagencytopromotetheagencys
missionorbusiness.
Excludesrecordsrelatingtopromotionalcampaignsconductedbycommodities
commissionstopromoteconsumptionofWashingtonStatecommodities.
GS05006
Rev.0
Retainfor6yearsafterendof
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
CharityFundraising
Recordsdocumentingtheagencyscoordination,participationandsupportof
fundraisingcampaignsandpromotingemployeepayrolldeductionsforcharities.
GS09021
Rev.1
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
Includes,butisnotlimitedto:
Decisionprocessforselectingcharitycampaignstosupport;
Communicationbetweentheagencyandcharities;
Disseminationofcharityinformation;
Arrangementsandpromotionofcampaignevents.
ExcludesauthorizationofpayrolldeductionscoveredbyGS01060andGS01061.
ExcludestheOfficeoftheSecretaryofStatesrecordsrelatedtothewholeofgovernment
coordinationoftheCombinedFundDrive.
1.AGENCY
MANAGEMENT
Page5of118
1.1
COMMUNITYRELATIONS
Theactivityofstateagenciesprovidingtrainingtooutsidepartiessuchasotherstateemployees,contractors,customers,orthepublic.
DISPOSITION
AUTHORITY
NUMBER(DAN)
PressReleases
Pressornewsreleasesissuedbyanagencytothemediatoinformthepublicabout
events,activitiesandaccomplishments.
GS05003
Rev.0
Retainfor2yearsafterdateof
issue
then
TransfertoWashingtonState
Archivesforappraisaland
selectiveretention.
PublicInformationOffice,ReferenceFiles
Recordsdocumentingactivitiesofanagency,generallyorganizedbysubject.Providesa
recordofevents,issuesandsubjectsrelatedtoanagencysprograms,missionsand
activities.Usedtoprovidebackgroundinformationinrespondingtopubicinformation
requests.
GS05005
Rev.0
document
then
selectiveretention.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page6of118
1.2
CONTRACTSANDPURCHASINGRECORDS
Theactivityofmanagingpurchasingrecordsgeneratedbystateagenciesinthecourseofprocuringservices,supplies,andequipment.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Bid,InvitationTo/RequestforProposal
Solicitationofbidsfromvendors.Mayincluderelatedworkingpapers,SFGENPUR008
orsimilaragencyspecificform,RequestforProposal(RFP),RequestforInformation
(RFI),andRequestforQualificationsandQuotations(RFQQ).
GS06004
Rev.0
Retainfor6yearsafterclosure
orcancellationdate
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Bids/Proposals,Unsuccessful
Documentationofthebidssubmittedtoprovidegoodsorserviceswhichwerenot
chosenorfailedtomeetrequirements.Mayincludelistsofrankingofunsuccessful
bidders,financialinformationaboutthebidders,resumes,proposals,pricingsheetsand
otherrelatedmaterials,inadditiontotheunsuccessfulbids.
GS06007
Rev.0
Retainfor3yearsafterbid
awardorcancellationdate
then
Destroy.
NONARCHIVAL
NONESSENTIAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
Page7of118
1.2
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
ContractsandAgreements
Instrumentssignedbytheagencyandoneormorepartiesthatsetouttermsand
conditionstowhichthesigningpartiesagreeorsubmit.
Interagency,intraagency,andintergovernmentalagreements;
Lease,escrow,andrentalagreements;
Lendingagreements(facility,equipment,vehicle);
Liabilitywaivers(holdharmless,insurance,etc.);
LoanAgreements(longtermdebt,etc.);
Masterdepositorycontract(banking);
Personalservice,clientservice,purchasingagreements;
Purchaseandsalesagreements(noncapitalassetpurchasesonly);
Vendorbonds;
Warranties.
ExcludespublicrecordstransferagreementswithWashingtonStateArchivescoveredby
GS11001.
ExcludesbondprojectloanagreementscoveredbyGS01069.
GS01050
Rev.1
Retainfor6yearsafter
terminationorexpirationof
instrument
then
Destroy.
NONARCHIVAL
PurchaseAuthority
Authorityforanagencytoaccomplishitsownpurchases.Maybestateform
GENPUR007orsimilaragencyspecificform.
GS06002
Rev.0
superseded
then
Destroy.
NONARCHIVAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
ESSENTIAL
OPR
ESSENTIAL
Page8of118
1.2
DISPOSITION
AUTHORITY
NUMBER(DAN)
SupplyandEquipmentRequests
Internalagencydocumentsusedtorequestthepurchaseofsuppliesandequipment.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS06001
Rev.0
Retainfor30daysafterdateof
receipt
then
Destroy.
DESIGNATION
NONARCHIVAL
NONESSENTIAL
Page9of118
1.3
EXECUTIVELEVELRECORDS
Theactivityrelatingtotheexecutivelevelofanagency,includingrecordswhichdocumentthepolicies,procedures,andadministrationofanagency.
RecordscreatedatthislevelaredesignatedArchivalandmustbetransferredtotheWashingtonStateArchivesaftertheirretentionhasbeensatisfied.
Thisactivitydoesnotincluderoutineofficerecordsorprogramlevelrecords.
DISPOSITION
AUTHORITY
NUMBER(DAN)
AppointmentRecords,Official
Arecordoftheprocedurebywhichmembersareaskedtoservebyappointmentor
recommendationonanycommittee,commission,council,boardortaskforce.May
includecorrespondence,officialappointmentletters,instructions,noticesof
terminationorreappointmentandotherrelateddocumentation.
GS10012
Rev.0
terminationofappointment
then
selectiveretention.
Calendars,Executive
Arecordofappointments,tasklists,andmeetingschedules.Providesadaybyday
recordofofficialactivities.
GS10008
Rev.0
document
then
selectiveretention.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page10of118
1.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
CorrespondenceExecutive/Official
Internalandexternalcommunicationstoorfromtheagencyselectedofficial(s)and/or
executivemanagementconcerningpolicyissues,concerns,actionsorissues,andthat
arenotcoveredbyamorespecificrecordsseries.
Includesallcommunicationtypes,regardlessofformat:
Correspondence,email;
Websites/forms/pages,socialnetworkingpostsandcomments,etc.
Requestsforandprovisionofinformation/advice;
Agency-initiatedinformation/advice.
ExcludespublicrecordsrequestscoveredbyGS05001.
ExcludestheprovisionofroutineinformationcoveredbyGS50002.
Note:Information/advicepublishedonlinebytheagencycontinuestobeprovided
untilthedateitisremoved/withdrawn.
GS10007
Rev.1
communicationreceivedor
provided,whicheverislater
then
selectiveretention.
HistoryFiles
Documentationofthehistoryanddevelopmentofanoffice,programorevent.May
includephotographs,videotapes,newsletters,scrapbooksorarticles.
GS10013
Rev.0
calendaryear
then
selectiveretention.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
OFM
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page11of118
1.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
InterpretiveandPolicyStatements
Officialstatementsofpolicyadoptedbyanagency,boardorcommission.Includesan
agency'sinterpretationofastatute,ruleorotherprovisionoflaw,ofacourtdecision,
orofanagencyorder.
GS10010
Rev.0
MinutesandFilesofPolicySettingMeetings
Minutes,agendas,andmeetingfilesofthegoverningbodyofanagencyorofmeetings
thatformulatepolicy,rulesorregulationsforanagencyoranumberofagencies.May
includemultimediarecordings.
GS10004
Rev.0
PapersofExecutiveDirection
Arecordofformalstatementsattheexecutivelevelofanagency,inregardtoagency
policy,actions,andmission.Mayincludeissuances,directives,recordsofbriefingsand
presentationsofpolicyinanyform.
GS10005
Rev.0
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
superseded
then
selectiveretention.
document
then
selectiveretention.
document
then
selectiveretention.
DESIGNATION
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
Page12of118
1.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
PoliciesandProcedures
Policiesandproceduresissuedattheexecutivelevelofanagencytoaddressagency
wideoperations,criticalagencyfunctions,orissuesofpublicvisibilityorconcern.May
includeformaldirectives,formalpolicystatements,printedorpublishedprocedures
manuals,bulletins,ordersandrulesornotices.
Note:Thisseriesdoesnotapplytopoliciesandproceduresthatregulateactivities
outsidetheagencyoronesthatareestablishedthroughstatuteorthroughWashington
AdministrativeCode(WAC)procedures.SeeGS10009RulesandRegulations
(WashingtonAdministrativeCode).
GS10002
Rev.0
QualityandPerformanceImprovementDocumentation
Documentationofplansandprocessesforimprovingagencyqualityandperformance.
Mayincludemeetingdocumentation,plans,reports,presentations,trainingmaterials,
correspondence,performancemeasures,statistics,andrecommendationsassociated
witheffortssuchasqualityimprovement,thePerformancePartnership,Balanced
Scorecard,PlainTalk,andtheGovernmentManagement,Accountabilityand
PerformanceProgram(GMAP).
GS10011
Rev.0
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
superseded
then
selectiveretention.
document
then
selectiveretention.
DESIGNATION
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
(policiesand
proceduresfor
essentialoperations)
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page13of118
1.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
RulesandRegulations(WashingtonAdministrativeCode)
Agencyrecordsoffilings,hearings,justificationstatements,meetingtapesandother
documentsrelatedtothedevelopmentandenactmentofofficialrulesandregulations
forinclusionintheWashingtonAdministrativeCode(WAC).
Note:ForWACsthatarenotsupersededwithin6yearsofimplementation,theagency
mustmakeacompletecopyofthefileforagencyuseanddelivertheoriginaldocuments
totheStateArchivesforhistoricalpreservation.
GS10009
Rev.0
superseded
then
selectiveretention.
SpeechesandWritings
Arecordofspeeches,includingtapes,videosandtranscripts,andwrittenpresentations
andotherwritingsbytheagencyheadorotherexecutivelevelofficial,concerning
agencypolicy,concerns,actionsorissues.
GS10006
Rev.0
document
then
selectiveretention.
StudiesandOperationalPlans
Majorstudiesandplansinitiatedattheexecutiveleveland/orconductedinresponseto
alegislativeorder,executiveorder,federalrequirementorcourtorder.Generally
addressesagencywideoperationsorissues,affectsthemostimportantormostcritical
agencyfunctions,oraddressesareasofpublicvisibilityorconcern.
ExcludesstrategicplanscoveredbyGS10001.
Note:Thisseriesdoesnotapplytoprogramspecificplans.
GS10001
Rev.0
supersededornolonger
applicable
then
selectiveretention.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
(plansforessential
operationsorservices)
Page14of118
1.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
SubjectFiles,ExecutiveLevel
Executiveleveldocumentationoftheadministrationofagencyactivities.Mayinclude
organizationalcharts,narrativereports,reportsfromagencydivisionsandsub
divisions,studies,newsreleases,newspaperclippings,correspondence,copiesof
minutesofmeetings,managementteammeetingminutes,agendasandother
materials.
Note:Thisseriesdoesnotapplytoprogramlevelrecords.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS10003
Rev.0
document
then
selectiveretention.
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page15of118
1.4
GENERALOFFICEOPERATIONS(NONEXECUTIVE)
Theactivityrelatingtotheexecutiveofroutineagency/officeadministrativetasks.Thissectionincludesroutinecorrespondence,subjectfiles,tracking
andcontrolrecords,andtransitoryrecords.Thisfunctionrelatestoroutineadministrativerecordsinpaper,electronic,orotherformats.Itdoesnotapply
toexecutivelevelrecordsoragencyprogramfiles.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AdministrativePlans,WorkingFiles,ReportsandSurveyResults
Plans,workingfilesandreportsresultingfromroutineadministrativeoperationsand
projects.Mayincludeworkplans,compiledsurveyresults,charts,diagrams,statistics,
reports,researchmaterials,drafts,andotherdocumentationrelatedtomanagement
studies,nonfiscalaudits,surveysandplanningstudies.
GS09006
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Brainstorm/TeamIncentiveProgram(TIP)Documentation
AgencycopiesofalldocumentationregardingBrainstormorTeamIncentiveProgram
(TIP)proposals.Mayincludeapplicationcopies,correspondence,awardceremony
documentation,evaluationsandotherrelateddocumentation.
Note:TheOfficeoftheSecretaryofStateretainstheprimaryrecordcopy.Foragency
administeredprograms,seeGS09013EmployeeSuggestionProgram.Forfiscal
documentationoftheBrainstorm/TeamIncentiveProgram(TIP)seeGS03031Payroll
Files.Thisseriesdoesnotincludefiscaldocumentationofprizemoney.
GS09012
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Calendars,NonExecutive
Arecordofappointments,meetingschedules,itinerariesandtasklistsfortheagencys
nonexecutiveemployees.Providesadaybydayrecordofactivities.
GS09023
Rev.0
Retainfor1yearafterendof
calendaryear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
Page16of118
1.4
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Complaints,PolicyorProcedural
Complaintsfiledbystateemployeesorthepublicrelatingtoapolicyand/orits
implementation,procedures,orbusinesspracticesthatarebeingfollowed.May
includedocumentation,filingforms,backupinformation,recommendations,
resolutionsandrelatedmemorandaandcorrespondence.
GS09016
Rev.0
resolutionofcomplaint
then
Destroy.
NONARCHIVAL
NONESSENTIAL
CorrespondenceGeneral
Routinecorrespondenceconcerningdaytodayofficeadministrationandactivities.
Mayincludecorrespondencebetweenotherofficeswithinanagency,routine
correspondencewithotheragencies,andcorrespondencewiththepubliconroutine
matters.
Note:Thisseriesdoesnotincludeprogramcorrespondence(whichiseitherscheduled
uniquelyorcoveredbyGS09022),orexecutivelevelcorrespondencecoveredbyGS
10007.
GS09005
Rev.1
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
Page17of118
1.4
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
CorrespondenceProgram
Internalandexternalcommunicationstoorfromemployees(includescontractorsand
volunteers),thataremadeorreceivedinconnectionwiththetransactionofpublic
business,andthatarenotcoveredbyamorespecificrecordsseries.
Includesallcommunicationtypes,regardlessofformat:
Correspondence,email,forms;
Websites,webforms,webpages,socialnetworkingpostsandcomments,etc.;
Requestsforandprovisionofinformation/advice;
Agency-initiatedinformation/advice.
Excludes:
ExecutivecorrespondencecoveredbyGS10007;
GeneralcorrespondencecoveredbyGS09005;
PublicrecordsrequestscoveredbyGS05001;
TheprovisionofroutineinformationcoveredbyGS50002.
Note:Information/advicepublishedonlinebytheagencycontinuestobeprovided
untilthedateitisremoved/withdrawn.
GS09022
Rev.0
communicationreceivedor
provided,whicheverislater
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
EmployeeSuggestionProgram
Alldocumentationregardinganagency'sEmployeeSuggestionProgram.Mayinclude
applications,correspondence,awardceremonydocumentation,evaluations,andfiscal
documentationofanyprizemoneyawarded.
GS09013
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
Page18of118
1.4
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
MaterialSafetyDataSheets(MSDS)orAllowedSubstituteRecord
Datasheetsorallowedsubstituterecordsidentifyinghazardouschemical(s)bythe
chemicalandcommonnames(s)andlistingallingredientswhichhavebeendetermined
tobehealthhazards.Mayincluderecordsofhazardouschemicaluseandanalyses
usingexposureormedicalrecords(WAC29680220010andWAC29680220015).
GS09017
Rev.1
superseded
or
30yearsafterchemicalsareno
longerused
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
OPR
MinutesandFilesofGeneralOfficeMeetings
Minutes,agendasandmeetingfilesfromagencystaffmeetings,internalcommittees,
taskforcecommitteesandotherinternalagencymeetingswhichmeettocoordinate
activities,workoutproblems,serveassoundingboards,orasvehiclesfor
communication.
GS09009
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Plans,Routine
Plansdevelopedtoguideroutineadministrativeoperations.Mayincludeworkplans
andplansforspecificadministrativeprojects.
Note:Thisseriesdoesnotapplytoagencylevelplanningwhichinvolvesmajorpolicy
issuesoragencywideadministrativematters.
GS09008
Rev.0
document
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
PoliciesandProcedures,GeneralOffice,Routine
Policiesandprocedurescoveringtheroutine,daytodayoperationsofanofficeorunit.
Note:Thisseriesdoesnotincludeagencymissionrelatedpoliciesandprocedures.See
GS10002AdministrativePoliciesandProcedures.
GS09001
Rev.0
Retainuntilsuperseded
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
(plansforessential
operationsorservices)
(policiesorprocedures
foressential
operations)
Page19of118
1.4
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
ProjectFiles
Documentationofstateprojectswhichhaveinnovativeorhistoricalsignificance.May
includeprojectmanagementdocumentssuchasprojectteamnotes,minutesand
agendas,studies,surveys,progressreports,correspondence,researchandbackground
files,presentationmaterials,costestimates,implementationplansandfinalreports
filedaspartoftheprojectsubject.
Note:Thisseriesdoesnotincludecapitalprojects,programfiles,federallyfundedor
grantfundedprojects.
GS09018
Rev.0
project
then
selectiveretention.
ReferenceFiles(ConvenienceCopies)
Filescontainingreferencecopiesofcorrespondence,reports,studies,articles,minutes,
and/orotherreferencematerialswhicharemaintainedsolelyforeaseofaccessand
reference,andwherenotcoveredbyamorespecificrecordsseries.
Note:Thisseriesdoesnotincludeexecutivelevelrecordsorprogramlevelfiles.
GS09002
Rev.1
Retainuntilnolongerneeded
foragencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
SubjectFiles
Filesarrangedalphabeticallybytopicforsubjectsofrelevancetotheworkofanoffice.
Mayincludecorrespondence,memosreportsandstatistics.
Note:Thisseriesdoesnotincludesecondarycopies.
GS09019
Rev.0
calendaryear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SurveyResponses,Individual
Individualresponsestosurveysorquestionnaires.
GS09020
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page20of118
1.5
LEGALFILES
LegalactionsinvolvingstateagenciesarehandledbytheOfficeoftheAttorneyGeneral,primarilybyanAssistantAttorneyGeneralassignedtoeach
agency.Therefore,mostrecordspertainingtolegalactionsarecentralizedundertheauspicesoftheAttorneyGeneral.However,manystateagencies
maintainseparatefilesofcorrespondencewiththeAttorneyGeneralsOffice,informationletteropinions,formalopinionsandtheissuefilesonlegal
matterspertainingtotheagency.
DISPOSITION
AUTHORITY
NUMBER(DAN)
AttorneyGeneralLetters,InformalOpinionsandCorrespondence
StateagencycopiesofcorrespondencewiththeOfficeoftheAttorneyGeneral.May
include"InformalAttorneyGeneralOpinions."
Note:ThisseriesdoesnotincludetheAttorneyGeneral'scopyofthiscorrespondence.
GS18002
Rev.0
document
then
selectiveretention.
AttorneyGeneralOpinions
Arecordofpublished,formalopinionsonlegalmattersdirectlyrelatingtotheactivities
ofastateagency.
Note:ThisseriesdoesnotincludetheAttorneyGeneral'scopy.
GS18001
Rev.0
document
then
selectiveretention.
AttorneyGeneralsCaseFilesAgencyCopy
AgencycopiesofcasefilesunderthejurisdictionoftheAttorneyGeneralsoffice,
collectedandmaintainedtodocumenttheagencysrolewithregardtoanylegalissue.
Mayincludecopiesofbackgroundinformation,lawsuitdocumentation,
correspondence,pleadings,appeals,courtorders,agencyworkingfilesandrelated
documentation.
GS18004
Rev.0
Retainuntilthecaseresolved
andappealperiodexpiredand
administrativepurposeserved
then
Destroy.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
NONARCHIVAL
NONESSENTIAL
Page21of118
1.5
LEGALFILES
LegalactionsinvolvingstateagenciesarehandledbytheOfficeoftheAttorneyGeneral,primarilybyanAssistantAttorneyGeneralassignedtoeach
agency.Therefore,mostrecordspertainingtolegalactionsarecentralizedundertheauspicesoftheAttorneyGeneral.However,manystateagencies
maintainseparatefilesofcorrespondencewiththeAttorneyGeneralsOffice,informationletteropinions,formalopinionsandtheissuefilesonlegal
matterspertainingtotheagency.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
LegalIssueFiles
Filesonlegalissuesofconcerntoastateagency.Interpretationsoflawsandpolicies,
studies,reports,correspondence,copiesoflegaldocumentsandothermaterials
pertainingtospecificissues.
Note:Thisseriesdoesnotincludelitigationfilesorotherlegalfiles.
GS18003
Rev.0
Retainfor6yearsafterissue
resolved
then
selectiveretention.
NonAttorneyGeneralLegalCaseFiles
LitigationandcasefileswithnoAttorneyGeneralinvolvement..
GS18005
Rev.0
Retainfor6yearsaftercase
resolved
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
CourtOrdersServedontheAgency(NotPartytoLitigation).
Recordsrelatingtosubpoenasandsummonsesservedontheagency,wheretheagency
isnotapartytothelitigation.
GS18006
Rev.0
foragencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
Personnel/staffsummonses;
Subpoenasforagencyrecords.
Excludesrecordswheretheagencyisapartytothelitigationorclaim,whicharecoveredby
GS18004orGS18005.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
Page22of118
1.6
LEGISLATIVERELATIONS
RecordsdocumentingtherelationsofastateagencywiththeLegislature.Seriesincludefilesonrequestedlegislation,legislationaffectingtheagency,
contactswithlegislators,andotherrelatedmaterial.Includesrecordsofcontactswithlegislativebodiesatboththestateandfederallevels.
DISPOSITION
AUTHORITY
NUMBER(DAN)
AgencyRequestLegislation
Documentationoflegislationrequestedbyanagency.Mayincludebilldrafts,
correspondence,fiscalnotes,memos,meetingminutes,billanalysisreports,legislative
committeereports,monitoringreports,andrelatedrecords.
GS19001
Rev.0
legislativesession
then
selectiveretention.
BillFiles,Legislative
CopiesofbillsunderconsiderationbytheLegislaturewithpossiblesignificantimpacton
theagency.Mayincludebilldrafts,amendments,fiscalnotes,memos,
correspondence,committeereports,monitoringreports,andrelatedrecords.
GS19002
Rev.0
legislativesession
then
selectiveretention.
PublicDisclosureReport,AgencyCopy
ReporttothePublicDisclosureCommissiononlobbyingbyagencypersonnel.May
includetheL5Reportorasimilardocumentservingthesamepurposeandinformation
gatheredtocreatethereport.
Note:ThePublicDisclosureCommissionretainstheprimarycopyofPublicDisclosure
Reportsfor10years.
GS19004
Rev.0
legislativesession
then
Destroy.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
NONARCHIVAL
NONESSENTIAL
Page23of118
1.7
RISKMANAGEMENT
Theactivityofidentifyingandmigratingriskstothestategovernmentagencyincludingdisasterpreparedness.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Accidents/IncidentsNoClaimFiled(UnderAge18)
Recordsrelatingtoaccidents/incidentsinvolvingindividual(s)youngerthanage18,and
whereclaimsfordamagesarenotfiled.Includes,butisnotlimitedto,reportsand
investigations.
Excludesaccidentsandincidentsinvolvinghazardousmaterials.
GS18007
Rev.0
individualreachesage18
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
Accidents/IncidentsNoClaimFiled(Age18andOlder)
Recordsrelatingtoaccidents/incidentsinvolvingindividual(s)age18andolder,and
whereclaimsfordamagesarenotfiled.Includes,butisnotlimitedto,reportsand
investigations.
Excludesaccidentsandincidentsinvolvinghazardousmaterials.
GS18008
Rev.0
incident
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
DisasterPreparednessandRecoveryPlans
Recordsrelatingtotheprotectionandreestablishmentoftheagencyinthecaseofa
disaster.
GS14010
Rev.1
then
Destroy.
NONARCHIVAL
ESSENTIAL
OFM
SafetyDrills/DisasterRecoveryExercise
Documentationofagencysafetydrillsanddisasterrecoveryexercises.
GS25002
Rev.0
drillorexercise
then
Destroy.
NONARCHIVAL
NONESSENTIAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
Page24of118
1.8
TRAINING
Theactivityofprovidingtrainingand/oreducationtooutsidepartiessuchasotherstateemployees,contractors,customers,orthepublic.
SeeHUMANRESOURCESMANAGEMENTStaffDevelopmentforadditionalrecordseriesrelatingtothetrainingofagencyemployees.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
ConferencesandSeminars,Agency
Arecordofinformationusedtoorganizeandconductconferences,seminarsand
similarevents.Mayincludepreparationmaterial,registrationandconfirmation
records,flyersand/orbrochures,presentationmaterialandotherrelated
documentation.
Note:Thisseriesisrelevanttoconferencesthattheagencypresents,notconferences
attendedbyemployeesoutsideoftheagency,nordoesitincludetrainingwherea
certificateisprovided.Thisseriesdoesnotincludefiscalrecordsorconferenceswhich
aregrantorcontractfunded.
GS22005
Rev.0
event
then
Destroy.
NONARCHIVAL
NONESSENTIAL
CourseInformationRecords
Memoranda,flyers,announcements,catalogs,andotherrecordsrelatedtospecific
trainingcoursesincludinginformationoncoursecontent,programregistration,
instructor,creditsandhours.
GS22001
Rev.0
Retainuntilsupersededor
obsolete
then
Destroy.
NONARCHIVAL
NONESSENTIAL
CourseRegistrationProcessingRecords
Applicationsandenrollmentrecords.Mayincludedataforms,courseapplications,
supervisorandtrainingofficerauthorizationsandrostersofregistrants.
GS22002
Rev.0
applicationforcourse
then
Destroy.
NONARCHIVAL
NONESSENTIAL
TrainingandDevelopmentFiles(StateEmployees,ContractorsandCustomers)
Arecordofpresentationorcoursematerialdevelopedandgatheredforuseintraining
forstateemployees,contractorsandcustomers.Mayincludereferencematerial,
outlines,handouts,notes,evaluations,overheads,videos,computerizedpresentations
andrelateddocumentation.
GS22004
Rev.0
Retainfor1yearafter
then
Destroy.
NONARCHIVAL
NONESSENTIAL
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
Page25of118
1.8
TRAINING
Theactivityofprovidingtrainingand/oreducationtooutsidepartiessuchasotherstateemployees,contractors,customers,orthepublic.
SeeHUMANRESOURCESMANAGEMENTStaffDevelopmentforadditionalrecordseriesrelatingtothetrainingofagencyemployees.
DISPOSITION
AUTHORITY
NUMBER(DAN)
TrainingFiles,GeneralPublic
Informationusedtoconducttrainingandorientationsessions,ortoprovide
informationtoanagency'spubliccustomers.Mayincludetrainingannouncements,
registrationinformation,referencematerial,outlines,handouts,notes,evaluations,
videos,presentationmaterialandtrainingsgiventospecialclientandstakeholder
groups.
Note:Thisseriesdoesnotcoveranytrainingthatmaintainsorresultsintheissuanceof
arequiredcertificateorlicense.
1.AGENCY
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS05007
Rev.0
obsolete
then
Destroy.
DESIGNATION
NONARCHIVAL
NONESSENTIAL
Page26of118
2.
ASSETMANAGEMENT
Thefunctionofmanagingthestategovernmentagencysphysicalassets(facilities,land,equipment,vehicles,supplies,etc.)Includesassetacquisition,
maintenance,inventory,anddisposal.
2.1
FACILITIESMANAGEMENT
TheactivityofmanagingtheoperationandmaintenanceofbuildingsandotherfacilitiesownedorleasedbyagenciesoftheStateofWashington.
Includesdocumentationrelatingtocapitalprojects,fixedassetmanagement,buildingsandgroundsmaintenance,andspaceplanningandallocation.
TheStateRecordsCommitteerecommendskeepingcampuswiderecordsinacentrallocationbecausebuildingsandfacilitiesoftenworkinconcertor
affectoneanother.
DISPOSITION
AUTHORITY
NUMBER(DAN)
ConstructionDocumentation,GeneralAdministrationCapitalProjects
Agencycopiesofdocumentsfornewconstructionoradditions/remodelstoexisting
facilitieswhentheworkiscompletedbytheDepartmentofGeneralAdministration.
Mayincludecorrespondence,projectmeetingminutes,approval,programreview
and/orcomments,plans,drawings,permits,EnvironmentalImpactStatements(EIS),
specifications,contracts,testresults,reports,modificationproposals,changeorders,
allotmentandpaymentrecordsandrelateddocumentation.
Note:GeneralAdministrationEngineeringandArchitectureServicesretainstheprimary
copyofthisseries.ForcircuitnetworksseeGS14031NetworkCircuitFiles.
GS21010
Rev.1
completedandaccepted
then
Destroy.
ConstructionDocumentation,NonGeneralAdministrationCapitalProjects
Agencycopiesofdocumentsfornewconstructionoradditions/remodelstoexisting
facilitieswhentheworkisnotcompletedbytheDepartmentofGeneralAdministration.
Mayincludecorrespondence,projectmeetingminutes,approval,programreview
and/orcomments,plans,drawings,permits,EnvironmentalImpactStatements(EIS),
specifications,contracts,testresults,reports,modificationproposals,changeorders,
allotmentandpaymentrecordsandsupportingdocumentation.
Note:ForcircuitnetworksseeGS14031NetworkCircuitFiles.
GS21011
Rev.0
dispositionofbuilding
then
selectiveretention.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
DESIGNATION
NONARCHIVAL
POSSIBLYESSENTIAL
OPR
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
OPR
Page27of118
2.1
affectoneanother.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
FacilityMaintenanceandRoutineRepairs
Agencyrecordsdocumentingmaintenanceandminorrepairwork,workrequests,and
recordsofworkcompleted.
GS21002
Rev.0
completionofwork
then
Destroy.
NONARCHIVAL
NONESSENTIAL
FixedAssetsFiles
Agencycopiesofrecordsdocumentingthepurchaseandownershipofmajoritemsof
equipment.Mayincludepurchaseordersforfixedassets,vouchers,inventory
documents,surpluspropertydispositionrecords,andotherrecordsrelatingtothe
purchase,ownershipanddispositionoffixedassets.
Note:Thisseriesdoesnotapplytolandownershiprecords.SeeGS24RealProperty
Management.
GS21001
Rev.0
dispositionofasset
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
MajorRepairandReplacementRecords,BuildingandEquipment
Recordsdocumentingrepairsand/orreplacementofstructuralormajorequipment
items.MayincludedocumentationontherepairorreplacementofHVACsystems,
electricalorplumbingsystems,roofs,walls,floorsandotherstructuralelements,
architecturalorengineeringdrawings,equipmentdocumentation,workorders,fiscal
documents,inspectionreports,finalacceptancedocuments,andrelatedrecords.
GS21008
Rev.0
dispositionofbuildingor
equipment
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
NONARCHIVAL
NONESSENTIAL
Page28of118
2.1
affectoneanother.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
OperationsandInspectionRecords,PhysicalPlantSystems
Recordsdocumentingoperationsandinspectionsforfacility,groundsandutility
systems.SystemsincludebutarenotlimitedtoHVAC,water,electricalandmechanical
systems,landscapingfeaturesandundergroundutilities.Recordsincludebutarenot
limitedtometerreadings,inspectionreportsandfuelconsumptionrecords.
GS21007
Rev.0
dispositionofasset
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ReferenceCopiesofDrawingsandFiles,MaintenanceandOperations,PhysicalPlant
Agencycopiesofarchitecturaldrawings,engineeringplansandfixedequipment
manualsusedforreferenceinbuildingmaintenanceandoperation.
Note:PrimarycopiesoftheserecordsshouldbekeptpursuanttoGS21010Construction
Documentation,GeneralAdministration,CapitalProjectsorGS21011Construction
Documentation,NonGeneralAdministrationCapitalProjects.
GS21003
Rev.0
superseded
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
SpaceAllocationPlanningFiles
Agencyspaceallocationplansandrelateddocumentationincludingcopiesofrequests,
spaceandcostestimates,justifications,specifications,buildingandfloorplanlayout
drawingsandsupportingdocumentation.
GS21006
Rev.0
completionofaction
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page29of118
2.2
INFORMATIONSERVICES
Documentationofcomputerservices,computersystemmanagement,andcomputernetworkmanagement.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AuditTrailFiles
Datageneratedduringthecreationofamasterfileordatabase,usedtovalidatea
masterfileordatabaseduringaprocessingcycle.
GS14020
Rev.0
Retainfor3backupcycles
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ComputerRunSchedulingRecords
Recordsusedtoschedulecomputerruns,includingdailyschedules,runreports,run
requests,andotherrecordsdocumentingthesuccessfulcompletionofarun.
GS14015
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ComputerUsageFiles
Electronicfilesorautomatedlogscreatedtomonitorcomputersystemusage.May
includeloginfieldsystemusagefiles,chargebackfiles,dataentrylogs,andrecordsof
individualcomputerprogramusage.
GS14013
Rev.0
Retainfor6monthsafterdate
ofdocument
then
Destroy.
NONARCHIVAL
NONESSENTIAL
DataDocumentation
Recordscreatedduringsystemdevelopmentormodificationandusedtoaccess,
retrieve,ormanipulatedata.Mayincludedataelementdictionaries,filelayouts,code
booksandotherrelatedmaterials.
GS14003
Rev.0
Retainfor1yearafter
dispositionofdata
then
Destroy.
DataorDatabaseDictionaryReports
Periodicprintoutsfromadataordatabasedictionarysystem,includingdataelement
attributereports,databaseschema,andrelatedrecordsusedforreferencepurposes.
GS14025
Rev.0
then
Destroy.
DataProcessingOperatingProcedures
Recordsofproceduresfordataentry,computerequipmentoperation,production
control,tapelibrary,systembackup,andotheraspectsofdataprocessingoperation.
GS14007
Rev.0
Retainfor1yearafter
supersededordiscontinued
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
NONARCHIVAL
POSSIBLYESSENTIAL
NONARCHIVAL
NONESSENTIAL
NONARCHIVAL
POSSIBLYESSENTIAL
Page30of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
DataProcessingUnit'sCopiesofOutputReports
Copiesofoutputreportsproducedforclients.
GS14021
Rev.0
Retainuntilacceptanceby
client
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Destruction(Scratch)Reports
Recordsdocumentingthedestructionofelectronicfilesstoredonatapelibrary.
GS14024
Rev.0
Retainfor1yearorwhen
superseded
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ExtractedDataFiles,Summary
Summaryoraggregatedatafromamasterfileordatabasecreatedsolelytodistribute
datatoindividualsorprogramunitsforreferenceanduse,butnotalteredor
augmentedtosupportprogramspecificneeds.
GS14022
Rev.0
Retainuntildataisdistributed
then
Destroy.
NONARCHIVAL
NONESSENTIAL
FindingAids,IndexesandTrackingSystems
Electronicindexes,lists,registersandotherfindingaidsusedtoprovideaccesstohard
copyorelectronicrecords.
Note:Findingaids,indexesortrackingsystemsdevelopedforarchivalrecordsmustbe
transferredtotheStateArchivesalongwiththehistoricalrecord.
GS14023
Rev.0
Retainuntilthedispositionof
indexeddata
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
InformationTechnologyAssistanceRequests
Documentationofallrequestsfortechnicalassistanceincludinghelpdeskrequests,and
theresponsestothoserequests,aswellasinformationontheuseofcomputer
equipmentforprogramdelivery,securityandotherpurposes.
GS14029
Rev.0
Retainfor1yearafterdateof
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page31of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
InputDocuments
Copiesofrecordsorcopiesofformsdesignedandusedsolelyfordatainputand
control,whenoriginalrecordshavebeenretained.
GS14016
Rev.0
Retainuntildatainputandany
necessaryverification
then
Destroy.
NONARCHIVAL
NONESSENTIAL
NetworkCircuitFiles
Automatedorpaperrecordscontaininginformationonnetworkcircuitsusedbyan
agency,includingcircuitnumber,vendor,costpermonth,typeofconnection,software,
contactperson,andotherrelevantinformation.Recordsusedtoplanandimplementa
networkanddocumentationofdatacommunicationservice,installationorrepair
includingworkorders,correspondence,memoranda,workschedules,andcopiesof
buildingandcircuitdiagramsandcopiesofrelatedfiscalrecords.
Note:ForConstructionRecordsseeGS21010ConstructionDocumentation,General
AdministrationCapitalProjectsorGS21011ConstructionDocumentation,NonGeneral
AdministrationCapitalProjects.
GS14031
Rev.0
Retainuntilcircuitisnolonger
inuse
then
Destroy.
NONARCHIVAL
NONESSENTIAL
NetworkUsageFiles
Electronicfilesorautomatedlogscreatedtomonitortheuseoftheagency'snetwork
byitscustomersornetwork/internetusagebyitsemployees,includingbutnotlimited
to,loginrecords,securitylogs,andsystemusagefiles.
GS14032
Rev.0
Retainuntilscheduled
review/audit
or
until3backupcycles
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page32of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
NetworkUsageSummary
Summaryreportsandotherrecordscreatedtodocumentcomputerusageforreporting
orotherpurposes.
GS14033
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OperatingSystem/HardwareConversionPlan
Recordsrelatingtothereplacementofequipmentorcomputeroperatingsystems.
GS14009
Rev.0
Retainfor6monthsafterplan
implementationcomplete
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
PortfolioManagementDocumentation,AgencyCopy
RequiredbyDepartmentofInformationServicesBoard,theDepartmentofInformation
ServicesandtheOfficeofFinancialManagement,theportfoliodetailsagency
investment,acquisitionanduseofinformationtechnology.Updatedannually,the
portfolioisusedinexecutivedecisionmakingandevaluationofrelationshipsbetween
informationtechnologyinvestments,agencystrategiesandprograms,andthebudget.
Note:TheprimaryrecordcopyisretainedbytheDepartmentofInformationServicesfor
alongerperiodoftime.
GS14036
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ProgramListingandSourceCode
Sourcecodethatiscompiledtogeneratethemachinelanguageinstructionsusedto
operateanautomatedinformationsystem.
GS14004
Rev.0
Retainfor1yearafter2update
cyclesaftercodeismodifiedor
replaced1yearafter
discontinuanceofsystem
then
Destroy.
NONARCHIVAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
ESSENTIAL
Page33of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
ProjectPlanningandDocumentation,InformationTechnology
Documentationofprojects.Mayincludeprogrammanagementplans,information
technologyproposaldocumentation,meetingdocumentation,projectplanning,
assessment,conversion,testplanningandresults,implementation,contingencyplans,
andcertificationrecords.
GS14037
Rev.0
terminationofproject
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SiteandEquipmentSupportFiles
Recordsdocumentingsupportandmaintenanceservicesprovidedtospecificdata
processingequipmentorinstallations,includingsitevisitreports,programand
equipmentservicereports,servicehistoriesandrelatedcorrespondenceandmemos.
GS14026
Rev.0
Retainfor1yearafter
dispositionofequipment
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SoftwareReviewFiles
Recordsrelatedtothereviewandrecommendationofsoftwareforagencyuse,
includingvendorinformation,manuals,softwarereviews,andrelatedmaterial.
GS14028
Rev.0
Retainuntilsoftwareisno
longerinuse
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SummaryComputerUsageReport
Summaryreportsandotherpaperrecordscreatedtodocumentcomputerusagefor
reportingorcostrecoverypurposes.
GS14014
Rev.0
Retainfor6monthsafterdate
ofdocument
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SystemandBackupFiles
Copiesofsystemfilesanddatabases,applicationsoftware,logs,directoriesandother
recordsneededtorestoreasystemanditsdataintheeventofsystemordataloss.
Mayincluderecordsofthelocationandstatusofbackupcopies.
GS14011
Rev.0
Retainuntilafter3backup
cycles
then
Destroy.
NONARCHIVAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
ESSENTIAL
Page34of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
NONARCHIVAL
POSSIBLYESSENTIAL
SystemDocumentation
Recordsdocumentingtheuse,operationandmaintenanceofanagency'sautomated
informationsystem,includingbutnotlimitedtousermanuals,systemrequirementsfor
software,hardwareandtheoperatingsystem,hardwareconfigurationsandequipment
controlsystems.
GS14008
Rev.0
Retainuntilhardwareor
softwareisdiscontinued
but,notbeforedatais
migratedtoanewsystem
then
Destroy.
SystemSpecifications
Manufacturerand/oruserandoperationaldocumentationdescribingsystem
operations,including,butnotlimitedto,systemdocumentationrecords,userguides,
systemflowcharts,andinput/outputspecifications.
GS14002
Rev.0
NONARCHIVAL
Retainfor1yearafter
POSSIBLYESSENTIAL
dispositionortransferofsystem
datatoanewsystem
then
Destroy.
SystemUsersAccessFiles
Electronicortextualrecordscreatedtocontrolormonitoranindividual'saccesstoa
systemanditsdata.Createdforsecuritypurposes,including,butnotlimitedto,user
accountrecordsandaccessauthorizationfiles.
GS14012
Rev.0
terminationofuseraccount
then
Destroy.
SystemsandApplicationsDevelopment
Recordscreatedandusedtodevelop,redesignormodifyanautomatedsystemor
application,including,butnotlimitedto,userrequirements,statusreportsand
correspondence.
GS14001
Rev.0
NONARCHIVAL
Retainfor1yearafter
POSSIBLYESSENTIAL
dispositionortransferofsystem
datatoanewoperating
environment
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
NONARCHIVAL
POSSIBLYESSENTIAL
Page35of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Retainfor1yearafter
authorizedretentionofthedata
then
Destroy.
NONARCHIVAL
GS14006
Rev.0
Retainuntilnolongerneeded,
butnotbeforeacceptanceof
testresults
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ValidTransactionFiles
Recordsusedtoupdateand/ordocumentatransactioninadatabaseormasterfile,
including,butnotlimitedto,validtransactionfiles,DBMSfilesandsimilarrecords.
Theserecordsarenotretainedtodocumentaprogramunitactionorforaudit
purposes.
GS14018
Rev.0
Retainuntilafter3backup
cycles
then
Destroy.
NONARCHIVAL
NONESSENTIAL
WorkorIntermediateFiles
Recordsusedtofacilitatetheprocessingofaspecificjoborrun,orusedtocreate,
update,modify,transfer,manipulateorsortdatawithinanautomatedsystemwhenall
transactionsarecapturedinamasterfile,validtransactionfileordatabase,incases
wherethefileisnotrequiredtoprovideanaudittrail.
GS14017
Rev.0
Retainuntilcompletionof
transaction
then
Destroy.
NONARCHIVAL
NONESSENTIAL
TechnicalProgramDocumentation
Documentationofprogramcode,flowchart,maintenancelog,systemchangenotices,
andotherrecordsdocumentingfunctionsofandmodificationtocomputerprograms.
GS14005
Rev.0
TestDataBaseFiles
Routineorbenchmarkdatasets,relateddocumentation,andtestresultsconstructedor
usedtotestordevelopasystem.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
ESSENTIAL
Page36of118
2.2
INFORMATIONSERVICES
DISPOSITION
AUTHORITY
NUMBER(DAN)
Year2000ProjectFiles
DocumentationofYear2000complianceprojects.Mayincludeprogrammanagement
plans,meetingdocumentation,projectplanning,assessment,conversion,testplanning
andresults,implementationcontingencyplans,andcertificationrecords.
2.ASSET
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS14035
Rev.0
terminationofprojectand/or
contract
then
selectiveretention.
DESIGNATION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page37of118
2.3
REALPROPERTYMANAGEMENT
Theactivityrelatingtotheacquisition,management,anddispositionofagencyownedrealproperty(land).Includesappraisals,contracts,deeds,title
reports,waterrights,andotherrelateddocuments.
Adurablecopy(microfilm,paper,orelectronicasapprovedbytheStateArchivist)ofanyrecordthatisstillactiveafterhavingbeeninexistencefor50
yearsmustbeprovidedtotheStateArchivesinordertopreservetheinformationforposterity.
DISPOSITION
AUTHORITY
NUMBER(DAN)
CondemnationsofLand
Documentationofcondemnationactionseitherbystateagenciesoraffectingstate
agencies.
GS24006
Rev.0
dispositionofparcel
then
selectiveretention.
LandAcquisitionDocumentation
Documentationoftheprocessforplanningandacquiringparticularparcelsofland.
Mayincludeplanningreports,boundarydescriptionsandadjustments,photographs,
studies,correspondence,andotherrelateddocumentation.
GS24004
Rev.0
dispositionofparcel
then
selectiveretention.
LandAppraisals
Contractsandreportsontheappraisaloflandformonetaryvalue.
GS24001
Rev.0
document
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
DESIGNATION
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
ARCHIVAL
(AppraisalRequired)
POSSIBLYESSENTIAL
NONARCHIVAL
ESSENTIAL
Page38of118
2.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
LandSalesandConveyanceDocumentation
Recordspertainingtothesaleofstateland.
GS24009
Rev.0
dispositionofparcel
then
selectiveretention.
LandTitleDocuments
Documentationoftheconveyanceoflandtitlestothestate.Mayincludetitlesearches,
deeds,patents,clearlistsandsupportingdocumentation.
GS24008
Rev.0
dispositionofparcel
then
selectiveretention.
LandsEscheatedtotheState
Recordspertainingtotheconveyanceoflandsescheatedtothestateformanagement
ordisposal.
GS24005
Rev.0
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
dispositionofparcel
then
selectiveretention.
DESIGNATION
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
Page39of118
2.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
LandsInventory
Inventoriesoflandownedbystateagencies.Mayincludesummaryinformationofeach
parcel.
GS24003
Rev.0
superseded
then
Destroy.
WaterRightsAcquiredbytheState
Recordsofactionsdocumentingtheacquisitionofwaterrightsonstateland.
GS24007
Rev.0
dispositionofparcel
then
selectiveretention.
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
DESIGNATION
NONARCHIVAL
ESSENTIAL
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
Page40of118
2.4
SECURITY
Theactivityofprotectingthestategovernmentagencysphysicalgoodsandresourcesagainstdanger,lossorthreat.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
BuildingAccessDocumentation
Documentationofindividualsecurityidentificationandbuildingaccessprivileges.May
includerequestsandauthorizationsfortheissuanceofidentificationbadgesandkey
cardstoemployees,contractors,andvolunteers.
GS25001
Rev.0
terminationofaccess
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SecurityRecordings
Securityrecordingsofagencyfacilitiesandgrounds.Mayincludebothvideoanddigital
recordings.
Note:Aswithallpublicrecords,securityrecordingsmustberetaineduntilfinal
resolutionofthecaseiftheyarerequestedorusedinlitigation.
GS25003
Rev.0
recording
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page41of118
2.5
SUPPLY,EQUIPMENTANDVEHICLEMANAGEMENT
Theactivityofmanagingstateownedorleasedequipment,supplies,andmotorvehicles.Doesnotincluderealproperty(land)records.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
CapitalAssetsManagementSystem,StatewideorAgency
Statewideoragencysystemstomaintainagencyinventoriesofland,buildings,
furniture,equipmentandothercapitalassets.Maybeusedforinputintothestatewide
reportingsystem.
Includes:
Assettrackinganddepreciationschedules;
Runninginventorycontroldocumentsthatdescribeeachpieceofagencyowned
orleasedequipmentandfurniture;
DataInputSheet,
Reports(Asset,Added,Changes,Purge,SummaryofMonthlyFileActivity).
GS16008
Rev.1
superseded
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
DispositionRecords,Asset
Agencycopiesofrecordsthattrackthedispositionofproperty.Mayincluderequestfor
disposalofproperty,receipts,copiesofdispositionreports,DisposedPropertyReport
andrecordsofpropertythathasbeensenttostatesurplus.
GS16003
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
EquipmentMaintenanceandRepairRecords
Recordsdocumentingservicesandrepairstoagencyequipment,excludingmotor
vehicles.Mayincludemaintenanceandrepairorders,copiesoffiscaldocumentssuch
asrequisitions,purchaseordersandvouchers,warranties,manualsandrelated
materials.
Note:Thisseriesdoesnotincludestructuralormajorequipmentitems.SeeGS21008,
MajorRepairandReplacementRecords,BuildingandEquipment.SeeGS16007Motor
VehicleMaintenance,RepairandDispositionRecordsformotorvehicles.
GS16006
Rev.0
dispositionofitem
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page42of118
2.5
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Inventories,Supplies,CommoditiesAndParts
Runninginventoriesusedtomanagestocksofexpendablematerialssuchasoffice
supplies,partsandotherexpendablesupplies,describingthematerialsandindicating
currentstockbalances.
GS16004
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
MotorVehicleMaintenance,RepairandDispositionRecords
Recordsdocumentingservice,repairsanddispositionofmotorvehiclesassignedtoor
ownedbyanagency.Mayincludemaintenanceordersandlogs,copiesoffiscal
documentssuchasrequisitions,purchaseorders,vouchers,warranties,manuals,and
relatedmaterials.
GS16007
Rev.0
dispositionofvehicle
then
Destroy.
NONARCHIVAL
NONESSENTIAL
MotorVehicleTitle
Recordoflegalownershipofstateownedvehicles.
Note:Atsale,titleistransferredtonewowner.Atdisposal,titleistransferredto
DepartmentofLicensing.
GS16009
Rev.0
Retainuntilaftersaleor
dispositionofvehicle
then
Transfertonewowneror
DepartmentofLicensing.
NONARCHIVAL
NONESSENTIAL
Supplies,CommoditiesandPartsDisbursementRecords
Recordsdocumentingthedisbursementofofficesupplies,commodities,partsand
otherexpendablematerials.
GS16005
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
VehicleAccidentReportForm,AgencyCopy
TheOfficeofFinancialManagementrequiresthatonecopyoftheVehicleAccident
ReportForm(StateForm137)besenttothereportingagency'sSafetyand/orRisk
ManagementOfficewithintwoworkingdaysfollowinganaccidentinvolvingastate
MotorPoolvehicle.
GS16010
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page43of118
2.5
DISPOSITION
AUTHORITY
NUMBER(DAN)
VehicleLogandUsageReport
Reportsandlogsofvehicleusagebystateagencies.
2.ASSET
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS07003
Rev.0
document
then
Destroy.
DESIGNATION
NONARCHIVAL
NONESSENTIAL
Page44of118
2.6
TELECOMMUNICATIONS
Theactivityofdocumentingtheadministrationoftelecommunicationsservicesprovidedtostateagencies.
SeealsoFINANCIALMANAGEMENTFiscalandAccountingRecordsforadditionalrecordseriesrelatingtofiscalandaccountingactivities.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
ReportsandInformation,Telecommunications
Telecommunicationsrelatedreportsandinformation.Mayincludetollfreereportsand
usageinformation,voicemailandtelephonecallinginformationreports,individual
telephonecallinginformationrequests,andautomatedcalldistribution(ACD)data.
GS08005
Rev.0
Retainfor1yearafterendof
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SCANAccountDetailReport
ListingsoftelephoneactivitybyeachSCANaccount.Showsnameofaccountholder,
numbercalled,distance,timespent,andSCANcharges.The"OfficialCopy"maybethe
agency'scopyofthebillingortheemployeesignedcopy.
GS08004
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
SCANSystemAuthorizationRequests
Requestsbystateagenciesforassignment,changesinassignment,changesin
authorizationlevels,orcancellationofSCANaccess.Mayincluderelated
correspondenceandmemoranduminadditiontotheSCANrequests.
GS08002
Rev.0
Retainfor6monthsafter
requestapprovedordenied
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ServicesandOrderRequests,Telecommunications
Requestsbystateagenciesfortelephoneservice,installationorrepairs,andresponses
totherequests.Mayincluderequestsforvoicemail,networkanddatacircuitservices
andothertelecommunicationsservices.
GS08001
Rev.0
Retainfor1yearafterrequest
approvedordenied
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
2.ASSET
MANAGEMENT
Page45of118
3.
FINANCIALMANAGEMENT
Thefunctionofmanagingthestategovernmentagencysfinancialresources,obligationsandmonetaryinfrastructure.
3.1
AUDITS,INVESTIGATIONSANDEXAMINATIONS
Theactivityofdocumentinginternalauditsandinvestigations,andStateAuditorexaminationsofstateagencyprogramsandfiscalactivities.
DISPOSITION
AUTHORITY
NUMBER(DAN)
AuditDocumentationandWorkingPapers
Auditdocumentation,includingsupportforfindings,conclusions,and
recommendations.Mayalsoincludecorrespondence,memos,drafts,preliminary
findings,notes,andothermaterialsusedinpreparinginternalorexternalaudits,
investigationsorexaminations.
Note:ThisseriesdoesnotapplytoStateAuditorsOfficeaudits.
GS04001
Rev.0
Retainfor6yearsafteraudit
reportdate
then
Destroy.
ExternalAudit,FinalAuditorExaminationReport
Finalreportsofcustomeraudits,complianceaudits,performanceaudits,externalaudits
orexaminationsperformedbyorforastateagency.
Note:Agencyretainsprimaryrecordcopy.ThisseriesdoesnotincludeStateAuditors
Officeaudits.
GS04005
Rev.0
reportdate
then
selectiveretention.
InternalAudit,FinalAuditorExaminationReport
Finalreportsofinternalaudits,investigationsorexaminations.
Note:Agencyretainsprimaryrecordcopy.
GS04002
Rev.0
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
reportdate
then
selectiveretention.
DESIGNATION
NONARCHIVAL
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
Page46of118
3.1
AUDITS,INVESTIGATIONSANDEXAMINATIONS
Theactivityofdocumentinginternalauditsandinvestigations,andStateAuditorexaminationsofstateagencyprogramsandfiscalactivities.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
StateAuditorsOfficeAuditResults,AgencyCopy
DocumentationofstateagencyauditsconductedbytheStateAuditorsOffice.May
includefinalreportsofauditsandexaminationsperformedbytheStateAuditors
Office,ManagementLetters,ExitItems,andotherdocumentationprovidedatthefinal
exitconference.
Note:StateAuditorsOfficeretainsprimaryrecordcopy.
GS04006
Rev.0
Retainfor3yearsafterexit
conferencedate
then
Destroy.
NONARCHIVAL
NONESSENTIAL
StateAuditorsOfficeWhistleblowerInvestigativeReports,AgencyCopy
AgencycopiesofStateAuditorsOfficereportsofallegationsoffraudorviolationsof
statelawsorregulationsasaresultofaWhistleblowercomplaintfiledunderChapter
42.40RCW.
Note:StateAuditorsOfficeretainsprimaryrecordcopy.
GS04004
Rev.0
report
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
Page47of118
3.2
BANKING
Theactivityoftransactingmonetaryexchangeswithafinancialinstitution.
DISPOSITION
AUTHORITY
NUMBER(DAN)
BankingAccountsandTransactions
Recordsrelatingtotheagencysbankingactivitiesanddocumentingitsbanking
transactions.
Depositsandwithdrawals(includingElectronicFundsTransfers(EFT),
InternationalMoneyTransfers(IMT),AutomatedClearingHouse(ACH),etc.);
Statements(bank,dividend,investment,etc.)andreconciliations;
Recordsdocumentingthestatusofandadjustmentstoaccounts;
Checksandwarrantsissuedbytheagency(ifreturnedbybank);
Checksreturnedbythebankduetononsufficientfunds(NSF).
ExcludesdepositeditemscoveredbyGS01068.
ExcludesmasterdepositorycontractscoveredbyGS01050.
BankingDepositedItems
Negotiableinstrumentsreceivedbytheagencyanddepositedtothebankinadifferent
format..
Originalpaperchecks/warrantsimagedusingRemoteDepositCapture(RDC)or
ImagedCashLetter(ICL),orreturnedbythebankafterredemption;
Imagesofchecks/warrantscreatedinlieuofdepositingtheoriginalitem(such
asImagedCashLetter(ICL)).
Excludeschecksreturnedtoagency(duetononsufficientfunds)coveredbyGS01013.
3.FINANCIAL
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS01013
Rev.1
GS01068
Rev.0
DESIGNATION
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
deposit
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
Page48of118
3.3
FISCALANDACCOUNTINGRECORDS
Thefunctionofmanagingtheprimaryrecordregardlessofmedia.Copiesusedforspecificlegal,fiscal,oradministrativepurposesmaybeeither
retainedusingtheretentionfortheprimarycopyorscheduledseparatelyifadifferentretentionisrequired.Copiesofthesedocumentspreservedonly
forreferenceorinformationalpurposesmaybediscardedwhennolongerneeded.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AccountsPayable
Documentsallinvoicesforitemsdisbursedduringeachmonthbygeneralaccountcode,
toprovidepostingdatatothegeneralledger(GS01009).Documentsadjustmentsto
accounts.Includessupportingdocuments.
GS01007
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
AccountsReceivable
Documentationofchargesandbillingprocessforgoodsand/orservicesrendered.
Documentsadjustmentstoaccounts.Mayincludedeterminationoffees
documentation,workordersorservicerequests(maybeintheformoffieldordersor
invoicevouchers)logsofgoodsand/orservicesprovided,receipts,billingstatements
andrelateddocuments.
GS01016
Rev.0
document
then
Destroy.
NONARCHIVAL
AllotmentRecords,RevenueandExpenditure
Recordsrevenueandexpenditureallotments.Includesallotmentsubmittalsandbackup
documentation.
GS01043
Rev.0
biennium
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
AssetDepreciationReports
Calculatedvalueofthedepreciationvalueofstateownedassets.Mayinclude
DepreciationLedger,GeneralLedgerInterface,DepreciationbyCostCenter,andrelated
documentation.
GS16002
Rev.0
superseded
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
ESSENTIAL
NONARCHIVAL
NONESSENTIAL
Page49of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
BudgetPreparationWorkingFiles
Documentationofagencydevelopmentofbiennialbudgetproposals.Mayinclude
correspondence,reports,memos,drafts,statistics,agencybudgetrequestand
supportingdocumentation.
GS01040
Rev.0
biennium
then
Destroy.
NONARCHIVAL
NONESSENTIAL
CashReceiptRecords
Arecordofagencycashreceipts.Mayincludedailycashlisting,electronicfunds
transfer(EFTs),transfers,creditcardpayments,andcashregistertape.
GS01010
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
CreditCardRecords
Includesalldocumentationoftheuseofcreditcardsissuedtoagenciesoremployees,
suchasreceipts,recordsrelatedtoonlineordering,purchasecardlogandactivitylog.
GS01017
Rev.0
document
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
DisbursementReportingSystemReportDRS
Automaticandagencyrequestedreports(forsubscribingagencies)ofvendorhistory
information,includingdisbursementsandtheOfficeofMinorityandWomensBusiness
Enterprisesinformation.
GS02009
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
Page50of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
FinancialReportingWorkingDocuments,FiscalYearEnd
Workingdocumentsusedforanalysisofcertainfinancialbalanceinterrelationshipsand
otherfinancialinformation.Mayinclude:
CAFFinancialBalancesandOtherInformation;
FEDFederalRevenuesandExpenditures;
RECReceivable/PayableRelationship;
PAYPayable/ReceivableRelationship.
GS02020
Rev.0
thefiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
FinancialReports,FiscalYearEnd,AgencyCopy
Reportssummarizingfiscalyearaccountingactivity.
Note:TheOfficeofFinancialManagementretainstheprimaryrecordcopyofreports
generatedbyAFRSandEnterpriseReporting
GS01067
Rev.0
Retainfor6yearsaftertheend
offiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
Page51of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
FinancialReports,Quarterly,Monthly&Daily,AgencyCopy
Detailandsummaryfinancialandstatisticalinformationreportscreatedonaquarterly,
monthly,daily,orinprocessbasis.
Mayinclude:
MonthlyApprovedAllotmentandRevenueReports;
MonthlyFinancialStatementReports;
MonthlyCombinedApprovedandAdjustedAllotmentReports;
MonthlyTreasurerAccountingSystemReports;
MonthlyWorkingPapersReports;
MonthlyGeneralLedgerTrialBalances;
QuarterlyPettyCashReport.
Note:theOfficeofFinancialManagementmaintainsdesignatedAFRSMonthlyReports
for6years.AgenciesusingnonAFRSsystemsshouldscheduletheirrecordsonagency
uniqueschedules.Copiesnotusedforreconciliationcanbedestroyedwhen
administrativepurposehasbeenserved.
GS02005
Rev.0
report
then
Destroy.
NONARCHIVAL
NONESSENTIAL
GeneralLedgerTrialBalance
Arecordofprescribedgeneralledgeraccountsdocumentingagencyreceipts,
expendituresandbalances,bysourceandfund.Mayincludereconciliationreports.
Note:AppliesonlytoGeneralLedgerTrialBalancesnotgeneratedbyEnterprise
Reporting.
GS01009
Rev.0
thedocument
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
Page52of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
InternalRevenueService(IRS)ReportingForms
AnyIRSrequireddocumentsusedbystateagenciestoreportvendorpaymentstothe
IRS.Mayincludeforms1098,1099,5498,W2G,orsimilaruseforms.
Note:ForIRSFormW9seeGS01066VendorPaymentInformation.
GS01019
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
JournalVouchers
Documentationforenteringjournalvouchertransactionsintoanaccountingsystem.
GS01006
Rev.0
document
then
Destroy.
NONARCHIVAL
POSSIBLYESSENTIAL
ManagementReportingSystemMRS
Supplemental,adhoc,analyticalinformationonthestatusofallotments,
disbursements,accruals,encumbrances,andvariancesatvaryinglevelsforvarioustime
frames.
GS02008
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Notes,Legislative
Summaryanddetailagencyreports,narrative,andgraphicsforfinalOmnibus,
Supplemental,Transportation,andCapitalbudgetsenactedbytheLegislature.
Note:TheLegislativeEvaluationandAccountabilityProgram(LEAP)Committeeholds
theprimaryandarchivalcopyoftheLegislativeBudgetNotes.
GS01065
Rev.0
Retainfor6yearsaftertheend
ofbiennium
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
Page53of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
NONARCHIVAL
GS01012
Rev.0
Retainfor6yearsafterwork
completed
then
Destroy.
NONARCHIVAL
NONESSENTIAL
GS01011
Rev.0
document
then
Destroy.
GS01014
Rev.0
PublicWorksRequisition
ArecordofallrequisitionsforpublicworksprojectsprocessedbytheEngineeringand
ArchitectureDivisionoftheDepartmentofGeneralAdministration.
Note:ThisseriesdoesnotapplytoGeneralAdministrationDepartmentcopy.
RevenueReports
Amonthlysummaryofrevenuerecordedfrominteragencyagreements,contracts,and
othersources.
3.FINANCIAL
MANAGEMENT
DESIGNATION
superseded
then
Destroy.
PoliciesandProcedures,Fiscal
Memoranda,rules,orders,directives,proceduralinstructions,regulations,bulletins,
notices,instructionsissuedbyOFMandtheStateAuditor,andanyother
documentationwhichisdirectiveinnatureorexplainspoliciesandproceduresrelating
tothefiscaladministrationofanagency.
RETENTIONAND
DISPOSITIONACTION
ESSENTIAL
NONARCHIVAL
POSSIBLYESSENTIAL
Page54of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
TaxExemptBonds
Recordsdocumentingallresourcesreceivedandexpendedbytheagencyforbond
fundedprojects.
Documentssupportingpurchase/acquisition/constructionpriceand
disposition/salesprice;
Ifcapitalassetconstructedbyagency,includescancelled(voided)checksand
creditcardslips,projectcostrecord,etc.;
Projectcost/expendituretrackingrecord(stafftime,etc.);
Registers(numericallistingofchecks/warrants,etc.);
Trustindenture,loanagreements,bondcounselopinions,etc.;
Transcriptsofbondissuancedocuments.
GS01069
Rev.0
Retainfor6yearsafterfinal
bondpayment
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
Travel
Recordsdocumentingtravelundertakenbyemployeesandnonemployees.Includes
travelauthorization,arrangement,travelreceiptdocumentation,andreimbursementof
expenses(includingadvancepayments).
GS07001
Rev.1
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
Page55of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
VendorPaymentsFiles
Documentationofagencydisbursements.Mayincludealldocumentationrelatedto
purchasesbyagencies,includingvoucherdistributionregisters,vendorremittance
advisories,documenttransmittalsandcertificationreports,encumbrancerequestsand
otherdocumentationwhichprovidesarecordofpaymentstovendorsandother
agenciesforgoodsandservices.
Mayinclude:
PurchaseOrderFiles;
FieldOrderFiles;
PurchaseRequisitionFiles;
InvoiceVoucherFiles;
PrintingRequisitionFiles;
CopyCenterRequestFiles;
TravelExpensePaymentFiles;
InterAgencyBillingFiles;
EncumbrancesandLiquidationRecords.
GS01004
Rev.0
document
then
Destroy.
VendorPaymentInformation
DocumentationmayincludeIRSFormW9,VendorRegistrationForm,andElectronic
FundsTransferAuthorizationForm.
GS01066
Rev.0
payment
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
DESIGNATION
NONARCHIVAL
POSSIBLYESSENTIAL
(Someitemsinthis
seriesmaybeEssential)
NONARCHIVAL
NONESSENTIAL
Page56of118
3.3
DISPOSITION
AUTHORITY
NUMBER(DAN)
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
WarrantRegister
Arecordoffiscaltransactionsconcerningdisbursementvouchersdrawnagainstthe
StateTreasurerandtheaccountclassificationofeachtransaction.Mayincludedetail
andsummaryrecords.
Note:ThisseriesdoesnotapplytoStateTreasurerscopies.
GS01001
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
WarrantRegister,Claims
Arecordofdisbursementsrelatingtoclaimsorrefundswhichrequirecaseorclaimdata
identification.
Note:Ifafederalrecordsretentionrequirementdiffersfromthatwhichisspecifiedby
thisseries,keeptherecordsforwhicheverretentionperiodislonger.
GS01003
Rev.0
Retainfor6yearsafterpayment
made
then
Destroy.
NONARCHIVAL
NONESSENTIAL
3.FINANCIAL
MANAGEMENT
Page57of118
3.4
GRANTSMANAGEMENT
Thefunctionrelatingtotheadministrationofgrantseitherissuesbythestateorreceivedbystateagencies.Recordsincludegrantapplications,grantor
andgranteecorrespondenceandofficialresponses,grantcontacts,fiscalrecords,reports,administrativecorrespondence,grantproducts,andother
relatedrecords.
DISPOSITION
AUTHORITY
NUMBER(DAN)
AgencyGrantProgramFiles
Documentationofgrantprogramsadministeredbygrantingagencies.Mayinclude
fiscalreports,correspondence,auditreportsandrelateddocumentation.
GS23003
Rev.0
then
Destroy.
Deliverables
Filecopies,includingbutnotlimitedtoreports,studies,surveys,educationalmaterials
andpromotionalmaterials,regardlessofmedia,thathavebeendevelopedorproduced
aspartofagrantorgrantagreement.
GS23005
Rev.0
terminationofgrantor
agreement
then
selectiveretention.
GrantsApplications,Denied
Documentationofgrantsinwhichtheapplicationhasbeendenied.Mayinclude
applications,grantevaluationsummaries,workingpapers,lettersofdenial,andother
relateddocumentation.
GS23002
Rev.0
Retainfor1yearaftergrant
applicationdenied
then
Destroy.
GrantsIssuedbytheState
Documentationmayincludegrantannouncementparameters,grantapplications,grant
evaluationsummaries,notificationofgrantawards,grantprojectstatus,fiscalreports,
correspondencerelatedtograntmonitoring,auditreports,progressandcompliance
reportspreparedandsubmittedbythegranteeandrelateddocumentation.
GS23001
Rev.0
grantperiod
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
3.FINANCIAL
MANAGEMENT
DESIGNATION
NONARCHIVAL
NONESSENTIAL
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
NONARCHIVAL
NONESSENTIAL
NONARCHIVAL
POSSIBLYESSENTIAL
Page58of118
3.4
GRANTSMANAGEMENT
Thefunctionrelatingtotheadministrationofgrantseitherissuesbythestateorreceivedbystateagencies.Recordsincludegrantapplications,grantor
andgranteecorrespondenceandofficialresponses,grantcontacts,fiscalrecords,reports,administrativecorrespondence,grantproducts,andother
relatedrecords.
DISPOSITION
AUTHORITY
NUMBER(DAN)
GrantsReceivedbyStateAgencies
Documentationofgrantprojectsandfundsreceivedandexpendedbystateagencies.
MayincludecopiesofRequestsforProposals(RFPs),applications,notificationsofgrant
awards,fiscalreportsandsupportingdocumentation,reportsandcorrespondence
relatedtograntmonitoring,auditreports,statusreports,compliancereports,grants
modificationsrequests,progressreportsandfinalreports.
3.FINANCIAL
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
GS23004
Rev.0
grantperiod
then
Destroy.
DESIGNATION
NONARCHIVAL
POSSIBLYESSENTIAL
Page59of118
4.
HUMANRESOURCEMANAGEMENT
Thefunctionofmanagingthestategovernmentagencysworkforce.
4.1
ATTENDANCEANDLEAVE
Theactivityofdocumentingandauthorizingemployeeattendanceandleave.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AttendanceandLeaveRecords
Arecordoftheattendanceofstateemployeesincluding:
Annualleave;
Sickleave;
Compensatorytime;
Exchangetime;
Overtime;
Personalholidays;
Otherrecordspertainingtoattendance.
GS03030
Rev.0
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
FamilyMedicalLeaveandSharedLeave
Documentationoftheuseoffamilymedicalleaveandthereceiptandreturnofshared
leave.Mayinclude:
Donationinfo;
Careersharedleave.
GS03034
Rev.0
terminationofemployment
then
Destroy.
NONARCHIVAL
NONESSENTIAL
TimeKeeping/TimeAndEffort
Documentationoffederalrequirementsforquarterly/semimonthlyreportsof
employeetimewhenfederaldollarsareexpended.
GS03035
Rev.0
then
Destroy.
NONARCHIVAL
ESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page60of118
4.2
BENEFITS
Theactivityofcompensatingemployeesviameansotherthansalariesandwages.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
CommuteTripReductionDocumentation
AgencyCommuteTripReductionprogramadministrationdocumentation,including:
Bonusvouchercertificationforms;
Registrationforms;
Incentives;
Parkingtrackingfiles;
Otherrecordspertainingtotheprogram.
GS03037
Rev.0
fiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
EmployeeRecognition/AppreciationCeremoniesorAwards
Arecordofagencyordivisionwideemployeerecognitioneffortsandeventsto
include:
Meetingminutes;
Plans;
Awards;
Location;
Detailsofevents;
Copiesofexpenditurerecords.
Note:ForBrainstormorTIPrecords,SeeGS09012Brainstorm/TeamIncentiveProgram
(TIP)Documentation.
GS03021
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
TuitionReimbursement
Providesarecordofcoursestakenbyemployeesforwhichtuitionreimbursementwas
requestedbytheemployee.MayincludeTuitionReimbursementRequestFormand
relateddocuments.
GS03013
Rev.0
completionofcourse
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page61of118
4.2
BENEFITS
Theactivityofcompensatingemployeesviameansotherthansalariesandwages.
DISPOSITION
AUTHORITY
NUMBER(DAN)
VoluntaryEmployeesBeneficiaryAssociation(VEBA)Documentation
DocumentationofanagencyparticipationinVEBA(medicalexpenseplan),whichmay
includelistsofeligibleemployees,ballotsandvotetallyofemployeeswhoareeligible
toretireinagivencalendaryearandcorrespondence.
4.HUMANRESOURCE
MANAGEMENT
GS03045
Rev.0
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
NONARCHIVAL
NONESSENTIAL
Retainfor6yearsuntil
superseded
then
Destroy.
Page62of118
4.3
EQUITY
Theactivityofensuringfairnessandequalopportunitiesforallemployees.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AffirmativeActionPlans,GoalsandReports
Agencyaffirmativeaction/equalopportunityplans,goalsandreportsincluding
workforcereportsandpersonnelutilizationanalysisreportsshowingprogresson
affirmativeactiongoals.
GS20002
Rev.0
calendaryear
then
selectiveretention.
ReasonableAccommodationFiles
Documentationofemployeerequestsforanagencysprovisionofreasonable
accommodationsforemployeeswithspecialneeds.
GS03011
Rev.0
then
Destroy.
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
NONARCHIVAL
NONESSENTIAL
Page63of118
4.4
INDUSTRIALINSURANCE
Theactivityrelatingtothecoverageofmedicalexpensesandsalarycompensationforworkrelatedinjuriesandillnesses.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
InjuryClaims
Claimsbyemployees(andvolunteers)injuredonthejob.
Mayinclude:
AgencycopyofL&Iclaimforms;
Accidentreport;
Reportsfromdoctors;
Agencyresponsibilityforms;
Relateddocumentation.
Note:ThisseriesdoesnotapplytotheL&Icopyofinjuryclaimsfiles.Thisseriesdoes
notincludecopiesofL&IclaimformskeptinGS03039EmployeeMedicalandSafety
Files.
GS03015
Rev.1
Retainfor7yearsafterclaim
settled
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
InjuryClaims,EyeInjuries
Claimsbyemployeeswitheyeinjuriesonthejob.
Mayinclude:
AgencycopyofL&Iclaimforms;
Accidentreport;
Reportsfromdoctors;
Agencyresponsibilityforms;
Relateddocumentation.
Note:ThisseriesdoesnotapplytotheL&Icopyofinjuryclaimsfiles.Thisseriesdoes
notincludecopiesofL&IclaimformskeptinGS03039EmployeeMedicalandSafety
Files.
GS03016
Rev.0
Retainfor10yearsafterclaim
settled
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page64of118
4.5
LABORRELATIONS
Theactivityofrespondingmanagingrelationshipsdealingwiththenegotiationoflabor.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
LaborUnionContracts
Recordsofcontractnegotiationproceedings,contracts,relatedcorrespondence,
amendments,etc.
GS09015
Rev.0
Retainfor6yearsaftercontract
supersededorterminated
then
Destroy.
NONARCHIVAL
LaborUnionRelationsFiles
Alldocumentationrelatedtolaborunionadministrativebusiness.Mayinclude
correspondence,meetingfilesandminutes,andrelateddocumentation.
Note:ForfilesregardinggrievancesseeGS03003GrievanceFiles.
GS09014
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
ESSENTIAL
Page65of118
4.6
MISCONDUCT/DISCIPLINE/GRIEVANCES
Theactivityofinvestigatingandrespondingtoemployeemisconduct,grievancesanddisciplinarymatters.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AffirmativeActionComplaintFiles
Agencycopiesofcomplaintssubmittedbyjobapplicantsandagencyemployees,and
theresolutionofcomplaintsrelatedtoaffirmativeaction/equalopportunityissues.
Mayinclude:
Complaints;
AgencyResponsesandDecisions;
RelatedCorrespondence;
Filings;
RecordsofAppeals.
GS20004
Rev.0
resolutionofcase
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Complaints,HarassmentandDiscrimination
Documentationofcomplaintsbystateemployeesregardingworkplacediscrimination
orharassment.
GS03038
Rev.0
resolutionofcase
then
Destroy.
NONARCHIVAL
NONESSENTIAL
GrievanceFiles
Arecordofcomplaintsandgrievancesbystateemployeesregardingworkplaceissues
butnotincludingdiscriminationorsexualharassment.
GS03003
Rev.1
resolutionofcase
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
PersonnelActionAppeals
Recordspertainingtoemployeeappealsagainsttheagencybystateemployees.May
includeappeals,responses,legalactions,correspondenceandrelateddocumentation.
Note:ThisseriesdoesnotapplytotherecordsofthePersonnelResourcesBoard.
GS03004
Rev.0
determination
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page66of118
4.6
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
PersonnelComplaints,Exonerated,NonRepresentedEmployees
Personnelcomplaintsfiledagainstorbynonrepresentedstateemployeesinwhichthe
complaintprovedtobeunsubstantiated.
Note:Inforegardingemployeemisconductthatisdeterminedtobefalseandinall
situationswheretheemployeehasbeenfullyexoneratedofwrongdoingshallbe
promptlydestroyedunlesstheemployeerequeststhattheinfoberetained,oritis
relatedtopendinglegalactionorlegalactionisexpectedtoresult.(SeeRCW
42.06.450)Thisseriesdoesnotincludecomplaintsrelatedtodiscriminationor
harassment.SeeGS03038Complaints,HarassmentandDiscrimination.
GS03006
Rev.0
Retainuntilexoneration
then
Destroy.
NONARCHIVAL
NONESSENTIAL
PersonnelComplaints,Exonerated,RepresentedEmployees
Personnelcomplaintsfiledagainstorbyrepresentedstateemployeesinwhichthe
complaintprovedtobeunsubstantiated.
Note:SomeCollectiveBargainingAgreementsrequirecomplaintstoberemovedfrom
anemployeesfileuponexoneration,althoughtheagencyisnotrequiredtodisposeof
therecordsatthattime.Thisretentionscheduleestablishestheretentionperiodfor
suchrecordsbytheagency.IftheCollectiveBargainingAgreementcoveringthe
agencysemployeesprovidesforadifferentretentionperiodthanthisschedule,the
agencyshouldrequestapprovalofauniquescheduleforthoserecords.
Inregardstoharassmentordiscriminationcomplaintsbyrepresentedemployees,use
thisrecordsseriesiftheCollectiveBargainingAgreementappliestothosetypesof
complaints.Ifharassmentordiscriminationcomplaintsarenotcoveredbythe
CollectiveBargainingAgreement,useGS03038.
GS03043
Rev.0
determination
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page67of118
4.6
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
PersonnelComplaints,Upheld,NonRepresentedEmployees
Personnelcomplaintsfiledagainstorbynonrepresentedstateemployees.May
includedocumentation,filingforms,backupinfo,recommendations,resolutions,and
relatedmemorandaandcorrespondence.
Note:Thisseriesdoesnotincludecomplaintsrelatedtodiscriminationorharassment.
SeeGS03038Complaints,HarassmentandDiscrimination.
GS03005
Rev.0
determination
then
Destroy.
NONARCHIVAL
NONESSENTIAL
PersonnelComplaints,Upheld,RepresentedEmployees
Personnelcomplaintsfiledagainstorbyrepresentedstateemployees.Mayinclude
documentation,filingforms,backupinformation,recommendations,resolutions,and
relatedmemorandaandcorrespondence.
Note:IftheCollectiveBargainingAgreementcoveringtheagencysemployeesprovides
foradifferentretentionperiodfortheserecords,theagencyshouldrequestapprovalof
auniquescheduleforthoserecords.
GS03044
Rev.0
determination
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page68of118
4.7
OCCUPATIONALHEALTHANDSAFETY
Theactivityofcreatingandmaintainingasafeandhealthyworkenvironmentforemployees.
DISPOSITION
AUTHORITY
NUMBER(DAN)
EmployeeMedicalandSafetyFiles
Documentationmayinclude:
Employeecopyofmedicaldocumentsofdiagnosis;
Prognosis,treatmentandaccommodationforemployeeinjuriesandillnesses;
Returntoworkplans;
Medicaltests,medicalexaminations,medicalprocedures/results,andreports
fromdoctors,includingagencycopyofL&Iclaimsformsandrelated
documentation.
ThisseriesincludesMedicalSurveillance,Exposure,andAudiologyhistoryrecord,
employee/supervisor/reviewerinvestigationofAccident/Incidentforms,andAccident
ReviewBoardCaseSummaries.
Note:Formoreinformationonrequirementsforretainingemployeemedicalrecords
seeWAC29680220005andRCW49.17.220.
4.HUMANRESOURCE
MANAGEMENT
GS03039
Rev.0
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Page69of118
4.8
PAYROLL
Theactivityrelatingtothemonetarycompensationofemployeesonaperiodicbasis.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
DistributionofPayrollandRelatedCosts
Adetaileddistributionaccountofthepayrollcostsforeachagencyemployee.
GS01062
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
PayrollFiles
Seriesmayinclude:
Documentationofemployeepaystatus;
Misc.,payrolldeductions;
Internalrevenueinfo,insuranceplans;
Otherdocumentationconcerningemployeepayroll.
Note:Intheeventofanemployeetransfer,currentmiscellaneousdeductionsandforms
forinsurance,etc.,areforwardedtothegainingagency.Theremainderofthefileis
keptbytheoriginatingoffice.
GS03031
Rev.0
then
Destroy.
NONARCHIVAL
PayrollFiles,RetirementVerification
Salaryandemploymentdatesretainedforthepurposeofretirementverification.
Recordsshouldshowmonthlysalaryearnedandhoursworked.
GS03032
Rev.0
then
Destroy.
NONARCHIVAL
PayrollRegister
Central,certifiedrecordofagencypayroll,payrolldeductions,andthenetpayofeach
agencyemployee.(Thisdocumentcanbeusedtoassistinprovidingretirement
verificationifadequatetimeworkeddataisonthepayrollregisters.)
GS01060
Rev.0
Retainfor60yearsafterthe
dateofdocument
then
Destroy.
NONARCHIVAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
ESSENTIAL
ESSENTIAL
ESSENTIAL
Page70of118
4.8
PAYROLL
DISPOSITION
AUTHORITY
NUMBER(DAN)
RETENTIONAND
DISPOSITIONACTION
PayrollRegister,Deductions
Centralrecordoftheaccountingoffundswithheldordeductedfromeachemployees
payrolltosatisfydeductions.Mayincludemisc.payrolldeductions.
GS01061
Rev.0
Retainfor6yearsafterthedate
ofdocument
then
Destroy.
NONARCHIVAL
NONESSENTIAL
PayrollRegister,YeartoDate
Accumulativesummaryofpayrollexpensesforeachagencyemployee.
GS01063
Rev.0
Retainfor6yearsfromthedate
ofdocument
then
Destroy.
NONARCHIVAL
NONESSENTIAL
PayrollReports
Variouspayrollreportsusedbythepersonnel/payrollofficestoverifyactions.May
include:
Payrollcertificationsignedbyagencyheadordesigneeandalldocumentsthat
reflectpersonnelactions;
Internalrevenuereports;
L&Iquarterlyreports;
Savingsbonds;
Signupsanddeposits;
Garnishments;
Warrantcancellations;
Electronicfundtransfers;
Yeartodatecostreports;
Variousmiscellaneousdeductions.
GS03033
Rev.0
Retainfor6yearsafterreport
receivedandverified
then
Destroy.
NONARCHIVAL
NONESSENTIAL
4.HUMANRESOURCE
MANAGEMENT
DESIGNATION
Page71of118
4.8
PAYROLL
DISPOSITION
AUTHORITY
NUMBER(DAN)
Wage,QuarterlyReportof
Areportofthetotalpersonnelcostsofeachagency,detailingthestatusofeach
employee,payrange,andtotalwagespaidtodate.
4.HUMANRESOURCE
MANAGEMENT
GS01064
Rev.0
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Page72of118
4.9
PERFORMANCEMANAGEMENT
Theactivityofassessinganddirectingemployeeprogresstowardperformancegoals.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
EmployeeInformationFileSupervisorsCopy
Documentationgatheredbyanemployeessupervisorinpreparationforeach
employeesperformanceevaluation.Mayinclude:
Notesregardingtrainingandemployeedevelopment;
Performancenotes;
Jobassignments;
Otherrelateddocumentation.
Note:Ifthisfilecontainsanysecondarycopiesofdocumentationfoundintheofficial
PersonnelRecordFolder,GS03001theymaybediscardedwhentheiradministrative
purposehasbeenserved.
GS03024
Rev.0
Retainuntilcompletionof
evaluation
then
Destroy.
NONARCHIVAL
NONESSENTIAL
EmployeePerformanceEvaluations
Evaluationsofstateemployeeworkperformance,preparedbyhisorhersupervisoron
aregularschedule.
GS03002
Rev.0
completionofnextevaluation
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page73of118
4.10 PERSONNEL
Theactivityofdocumentinganindividualsemploymentwiththestategovernmentagency.Includesvolunteers.
DISPOSITION
AUTHORITY
NUMBER(DAN)
PersonnelRecordFolders,NonRetiredEmployees
Documentationrelatedtoanemployeesstateemploymenthistoryincludingposition
held,PositionEligibilityWorksheet,RetirementStatusWorksheet,StudentWaiverof
RetirementPlanoranyagencydocumentationpertinenttotheeligibilityoftheposition
ortheindividualemployeeforaretirementplan.
Note:Thisseriesdoesnotincludecomplaints,reprimands,disciplinaryactionsor
evaluations.Agencieshavediscretiontodecidewhetherallpersonnelrecordsarekept
inonefileandsubjecttotheretentionrequiredbyGS03001,orkeptinseparatefilesto
facilitatedestructionofthoserecordsthatarenotrequiredtoberetainedaslong.See
GS03042forretentionofpersonnelrecordsthatdonotrelatetoretirement.
GS03001
Rev.0
PersonnelRecordFolders,RetiredEmployees
Documentationrelatedtoanemployeesstateemploymenthistoryincludingposition
held,PositionEligibilityWorksheet,RetirementStatusWorksheet,StudentWaiverof
RetirementPlanoranyagencydocumentationpertinenttotheeligibilityoftheposition
ortheindividualemployeeforaretirementplan.
Note:Thisseriesdoesnotincludecomplaints,reprimands,disciplinaryactionsor
evaluations.
GS03041
Rev.0
4.HUMANRESOURCE
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
then
Destroy.
NONARCHIVAL
retirement
then
Destroy.
NONARCHIVAL
ESSENTIAL
ESSENTIAL
Page74of118
4.10 PERSONNEL
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
PersonnelRecords
Documentationrelatedtoanemployeesstateemploymenthistory.Mayinclude
employeesapplication,resume,assignment(s),telecommunicatingagreements,
employeeprofiles,justificationdocumentation,promotions,reclassificationsandother
relatedemploymentinformation.
Note:Thisseriesdoesnotincludedocumentationpertinenttotheeligibilityofthe
positionortheindividualforaretirementplan,whichhasasignificantlylongerretention
period.Thisseriesrecognizesthatsomeagenciessegregatepersonnelrecordsinto
separatefoldersandallowsthoseagenciestoavoidretainingtheserecordsforthe
longerretentionperiodrequiredforretirementrelatedrecords.SeeGS03001and
03041.
GS03042
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Reports,Personnel
VariousreportsgeneratedbytheDepartmentofPersonnel(DOP)andmadeavailableto
stateagencies.Thereportsdocumentemployeeinfosuchaspositionchanges,activity
summary,affirmativeaction,positioncosts,senioritydates,underfill,overfill,
termination,employeepositionsandstatus,newhire,nonpermanenttracking,multi
fill,andsimilartopics.
Note:EffectiveJuly1,2006,allreportsgeneratedbytheDOPcannowbegenerated
throughtheHumanResourcesManagementSystem(HRMS)byeachagency,insteadof
beingprovidedbyDOP.AllreportspreviouslyprovidedbyDOPshouldbekeptunderGS
03009untiltheirretentionhasbeenmet.AllreportsgeneratedfromHRMScanbe
discardedunderGS50.Iftheagencydeterminesthatthereportsprintedhavean
administrative,legalorfiscalvaluetheagencyshouldthenrequestapprovalofaunique
scheduleforthoserecords.
GS03009
Rev.0
superseded
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page75of118
4.10 PERSONNEL
VolunteerFiles
Applications,agreements,andotherinformationpertainingtovolunteers.
ExcludesL&IclaimscoveredbyGS03015.
4.HUMANRESOURCE
MANAGEMENT
DISPOSITION
AUTHORITY
NUMBER(DAN)
RETENTIONAND
DISPOSITIONACTION
GS03017
Rev.1
Retainfor6yearsaftercalendar
year
then
Destroy.
DESIGNATION
NONARCHIVAL
ESSENTIAL
OPR
Page76of118
4.11 POLICIESANDPROCEDURES
Theactivityofcreatingsystematicapproachestooperationsandprocesses.
DISPOSITION
AUTHORITY
NUMBER(DAN)
Policy,RulesandRegulationsforEmployees,Agency
Policy,rulesandregulationsadoptedbystateagenciestogovernthebehavioroftheir
employees
4.HUMANRESOURCE
MANAGEMENT
GS03020
Rev.0
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
NONARCHIVAL
NONESSENTIAL
superseded
then
Destroy.
Page77of118
4.12 POSITIONDEVELOPMENT/STAFFSTRUCTURE
Theactivityofstructuringandorganizinghumanresources.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
JobSpecifications
Descriptionsofjobclassificationswhichapplytopositionsheldbytheemployeesofa
stateagency.
Note:ThisseriesdoesnotapplytoDOPmasterfiles.
GS03008
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
PositionFiles
Historyofeachpositionwithintheagency.Mayincludevacancies,reallocations,
trainingplan,selectivecertificationdocumentation,classificationquestionnaireand
relateddocumentation.
GS03010
Rev.0
Retainuntilpositionabolished
orrevised
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ReductionInForceFiles,Agency
Documentationofreductioninforceactionsbystateagencies.Mayinclude
documentationoftheprocessanditsimplementation,agencydecisions,reports,
correspondence,organizationalcharts,meetingminutes,administrativenotesand
otherdocumentationrelatedtoareductioninforceaction.
GS03019
Rev.0
Retainuntilafterconclusionof
anypendingaction
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page78of118
4.13 RECRUITMENT/HIRING
Theactivityofscreening,selectingandemployingindividuals.Includesvolunteers.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Applications/ResumesReceivedNotInterviewed
Anyrequestforjobconsideration,solicitedorunsolicited,notinterviewed.
GS03022
Rev.0
Retainfor6monthsafterdateof
document
then
Destroy.
NONESSENTIAL
NONARCHIVAL
EmploymentEligibilityVerificationDocuments/I9Forms
DocumentsusedtoverifyemploymenteligibilitywithintheUnitedStates.Mayinclude:
FederalI9forms;
Passportcopies;
Copiesofvaliddriverslicense;
Copiesofcertificateofnaturalizationandsupportingdocumentation.
See8CFR274a.2.
GS03036
Rev.0
Retainuntilafterdateofhire
plus3yearsorterminationof
employmentplus1year,
whicheverislater
then
Destroy.
NONARCHIVAL
NONESSENTIAL
ExitInterview,Personnel
Documentationofinfogainedduringanexitinterviewwithaterminatingemployee.
GS03040
Rev.0
Retainfor6yearsaftercalendar
year
then
Destroy.
NONARCHIVAL
NONESSENTIAL
Recruitment,Employee
Documentationoftheentireprocessusedinrecruitingandhiringnewemployees.May
includebackgroundchecksorcriminalhistoryrecordsrequests.
GS03012
Rev.0
Retainfor3yearsafterposition
filled
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
Page79of118
4.14 STAFFDEVELOPMENT
Theactivityofenhancingemployeescompetenciesandskillsthroughprogramsandtraining.
SeeAGENCYMANAGEMENTTrainingforrecordseriesrelatingtotrainingofnonagencystaff.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
OnTheJobTrainingFiles
Providesarecordofatraineesdatesofservice,trainingplan,evaluationreports,
correspondence,ADArequirements,andotherrelateddocumentation.
GS03023
Rev.0
Retainfor6yearsaftertraining
terminated
then
Destroy.
NONARCHIVAL
Training,Employee/ClockHourCredits
Variousforms,signupsheetsandreportsdocumentingcoursesattendedbystate
employees.
GS03007
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
TrainingHistoryFiles,Employee
Recordsofanemployeestraininghistory,includingemployeesnameandidentifying
info,coursesregisteredforandcompletedalongwithcompletiondates.Maybe
maintainedasaseparaterecordintheagencypersonnelofficeorwithintheindividual
employeepersonnelfiles.
Note:SeealsoGS03007Training,Employee/ClockHourCredits.
GS22003
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
4.HUMANRESOURCE
MANAGEMENT
ESSENTIAL
Page80of118
5.
INFORMATIONMANAGEMENT
Thefunctionofmanagingthestategovernmentagencysinformation,includingformsandpublishing,mailservices,publicdisclosure,andrecordsmanagement.
5.1
FORMSMANAGEMENT
Theactivityofdrafting,producing,andmanagingthestateagencysforms.
SeeFINANCIALMANAGEMENTforfinancialrecordsrelatingtoforms.
DISPOSITION
AUTHORITY
NUMBER(DAN)
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
FormsAccountable
Unused,prenumberedformssuchaschecks,receipts,invoices,mealticketsand
licenses.
GS12004
Rev.0
thefiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
FormsDevelopment
Recordsrelatingtothedesign,creation,andrevisionofagencycreatedforms.
Jobdescriptions/specifications/designrecords;
Samplejobproducts/proofs/samples.
GS12001
Rev.1
Retainuntilnolongerneededfor
agencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
FormInventoryFiles
Inventoriesofstocksofformsonhand.
GS12003
Rev.0
obsolete
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
FormsMasterSet
Mastersetofallformscreatedbytheagency.Alsoincludessourcematerials(.pdfs,
camerareadymasters,originalphotographs/images,etc.)
GS12005
Rev.0
Retainuntiluseofformceases
then
Destroy.
NONARCHIVAL
5.INFORMATION
MANAGEMENT
ESSENTIAL
OFM
Page81of118
5.2
LIBRARYSERVICES
Theactivityofcirculatingacollectionofmaterials.Includespublic,school,andinternalagencylibraries.
SeeFINANCIALMANAGEMENTAccountingforfinancialrecordsrelatingtolibraryservices.
Catalog
Recordsdescribingthelibraryinformationsourcesownedbytheagency.
RETENTIONAND
DISPOSITIONACTION
GS15021
Rev.0
agencybusiness
then
Destroy.
NONARCHIVAL
DESIGNATION
ESSENTIAL
OFM
Circulation
Recordsrelatingtotheborrowing,lending,andreturningofitemsinthelibrarys
collection.
Itemcirculationhistory;
User/patronrecords(applicationsformembership,borrowerregistration,
parent/guardianpermissions).
ExcludesinterlibraryloanscoveredbyGS15023orGS15025.
GS15022
Rev.0
agencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
CollectionControlGeneralRecordsdocumentingthephysicalcontrolofthelibrarys
collection.
Accessionanddeaccession(discard)ofitems;
Interlibraryloans;
Shelflist/inventoryofholdings.
ExcludesspecialcollectionscoveredbyGS15025.
Note:AgreementsrelatingtobequestsarecoveredbyGS01050.
GS15023
Rev.0
Retainfor6yearsafterendofthe
fiscalyear
then
Destroy.
NONARCHIVAL
DISPOSITION
AUTHORITY
NUMBER(DAN)
5.INFORMATION
MANAGEMENT
ESSENTIAL
OPR
Page82of118
5.2
LIBRARYSERVICES
Theactivityofcirculatingacollectionofmaterials.Includespublic,school,andinternalagencylibraries.
SeeFINANCIALMANAGEMENTAccountingforfinancialrecordsrelatingtolibraryservices.
DISPOSITION
AUTHORITY
NUMBER(DAN)
CollectionControlSpecialCollections
Recordsdocumentingthephysicalcontrolofthelibrarysspecialcollections(archival,
manuscript,rarebooks,etc.).
Accessionanddeaccession(discard)ofitems;
Interlibraryloans;
Shelflist/inventoryofholdings.
Note:AgreementsrelatingtobequestsarecoveredbyGS01050.
GS15024
Rev.0
SpecialCollections
Itemsinthelibrarysspecialcollections,including,butnotlimitedto:
Archivalcollections;
Manuscripts;
Rarebooks.
GS15025
Rev.0
5.INFORMATION
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
Retainuntilspecialcollection
itemsnolongerneededfor
agencybusiness
then
selectiveretention.
agencybusiness
then
selectiveretention.
ARCHIVAL
(AppraisalRequired)
ESSENTIAL
OPR
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
OPR
Page83of118
5.3
MAILSERVICES
Theactivityofmanagingthecirculationofprintedinformation.Includesincomingandoutgoing,internalandexternalmailprocesses.
DISPOSITION
AUTHORITY
NUMBER(DAN)
MailDeliveryandReceipt
Recordsdocumentingtheagencysincomingandoutgoingphysicalmail(letters,
packages,etc.).
Certified/registered/insuredmaillogsandreturnreceipts;
Postagemeterlogs/reports;
Privategrounddeliveryregisters/receipts(UPS,FederalExpress,etc.);
Signedpickupanddeliveryreceipts;
UnitedStatesPostalService(USPS)forms(certificateofbulkmailing,etc.).
Note:Contracts/agreements/permitsrelatingtomailingservicesandequipmentare
coveredbyGS01050.
GS13003
Rev.1
5.INFORMATION
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
thefiscalyear
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
Page84of118
5.4
PUBLICDISCLOSURE
Theactivityrelatingtotheagencyscontactwiththegeneralpublic,themedia,thelegalcommunity,andothersregardingstateagencypolicies,
activities,andactions.Includesinformationreleases,publicinformation,officefiles,requestsforinformation,andrequestsforrecordsunderthetermsof
thePublicRecordsAct.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
PublicDisclosure/RecordsRequests
Recordsrelatingtorequestsfromthegeneralpublicforaccesstotheagencyspublic
recordsinaccordancewithchapter42.56RCW.
Internalandexternalcorrespondencerelatingtotherequest;
Recordsdocumentingthepublicrecordsprovidedtotherequestor(copiesorlists
oftherecordsprovided,etc.);
Recordsdocumentingthepublicrecords(orportions)withheld(exemptionlogs,
copiesofportionsredacted,etc.);
Recordsdocumentingadministrativereviewsrelatingtotherequest;
Publicdisclosurerequestsandappeals.
Excludestherecordsthatarethesubjectofthepublicrecordsrequest(whichmustbe
retainedinaccordancewiththeapplicablerecordsseries).
GS05001
Rev.1
Retainfor6yearsafterpublic
recordsrequestfulfilled
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OPR
RequestsforInformation,General
Letters,memos,telephonelogs,copiesofresponses,andrelatedrecordsdocumenting
requestsforinformationfromthepublic,themedia,andotheragencies.
Note:Thisseriesdoesnotincluderequestsfiledundertheprovisionsofchapter42.56
RCW.
GS05002
Rev.0
Retainfor1yearafterresponse
torequestcompleted
then
Destroy.
NONARCHIVAL
NONESSENTIAL
RETENTIONAND
DISPOSITIONACTION
5.INFORMATION
MANAGEMENT
Page85of118
5.5
PUBLISHING
Theactivityofdrafting,producing,andmanagingthestateagencyspublications.Includeswebbasedpublishing.
SeeFINANCIALMANAGEMENTforfinancialrecordsrelatingtopublications.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
MasterPrintingJobDocumentation
Arecordofallworkdonebytheprintingandreproductiveoffice.
GS15001
Rev.0
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
OnlineContentManagement
Recordsdocumentingthepublishingoftheagencysonline(internetandintranet)
content.
Requests/approvalstoupload/update/removecontent;
Confirmationofcontentupload/update/removal;
Pointintimerecordofwebpage/site(screenshot,snapshot,sitemap).
Note:Allpublishedcontentconsistsofindividualrecordswhichhavetheirownseparate
retentionrequirements.Eachoftheserecordsmustberetainedforthecurrent
approvedminimumretentionperiod(s)accordingtotheirapplicablerecordsseries.
GS15010
Rev.0
Retainfor1yearafteronline
contentremoved
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
Photographs,GraphicsandVisualResources
Photographs,slides,andothergraphicmaterialsusedinpublications,storedinthe
formofprints,negatives,transparencies,digitalimages,orotherformats.Includes
camerareadymastersandallsourcematerials.
GS15007
Rev.1
Retainuntiladministrative
purposeserved
then
selectiveretention.
RETENTIONAND
DISPOSITIONACTION
5.INFORMATION
MANAGEMENT
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
OFM
Page86of118
5.5
PUBLISHING
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
PublicationandDuplicationServiceJobFiles
Recordsofpublicationandduplicationservicesprovidedbyoutsidevendorsorby
agencycopyservices.Mayincludecopyrequests,productionactivitylogs,copy
machineactivitylogs,orders,jobdescriptionsandspecifications,publicationsdesign
records,samplejobproducts,estimates,materialordersheet,proofs,samples,
completedjobreports,summaryofcosts,andrelatedrecords.
ExcludesprintingmasterandsourcematerialscoveredbyGS15007.
GS15005
Rev.1
document
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
PublicationsDevelopment
Recordsrelatingtothedesign,creation,andrevisionofagencycreatedpublications.
Jobdescriptions/specifications/designrecords;
Samplejobproducts/proofs/samples.
ExcludesprintingmasterandsourcematerialscoveredbyGS15007.
GS15009
Rev.1
agencybusiness
then
Destroy.
NON-ARCHIVAL
NON-ESSENTIAL
OFM
RETENTIONAND
DISPOSITIONACTION
5.INFORMATION
MANAGEMENT
Page87of118
5.5
PUBLISHING
DISPOSITION
AUTHORITY
NUMBER(DAN)
Publications
Publicationscreatedbythestateagencyandintendedfordistributiontostate
government,thepublic,orthelegislature.
Publicationsinclude,butarenotlimitedto:
Annualreportsandotherreports,manuals,brochures;
Newsletters,magazines,journals,periodicals;
Maps,plans,charts;
Audio/videorecordingsandfilms/presentations.
ExcludesallothercopiesofpublicationswhicharecoveredbyGS50005.
ExcludessourcematerialscoveredbyGS15007.
Note:AgenciesarerequiredtotransfercopiesofstatepublicationstotheWashington
StateLibraryinaccordancewithRCW40.06.030.
GS15008
Rev.1
5.INFORMATION
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
Uponpublication,transferone
copytoWashingtonState
Archivesforpermanent
retention.
ARCHIVAL
(PermanentRetention)
NONESSENTIAL
OFM
Page88of118
5.6
RECORDSCONVERSION
Theactivityofconvertingtheagencyspublicrecordsfromoneform(sourcerecords)toanother(convertedrecords)throughtheprocessesofimaging
(digitizationormicrofilmpreservation)ordatamigration(digitalormagnetic).
AsperWAC434-662-040,electronicrecordsmustberetainedinelectronicformat.Forinformationonmicrofilmstandardsorobtainingapprovalfor
earlydestructionofsourcedocumentsafterimaging,pleasecontactWashingtonStateArchives.
DISPOSITION
AUTHORITY
NUMBER(DAN)
ConversionProcessArchivalRecords
RecordsdocumentingtheprocessofconvertingtheagencysArchivalpublicrecords
fromoneformtoanotherwherenotcapturedinthemetadataoftheconverted
records.
Migrationofdigitalrecords(mappingschemas,testingreports,etc.);
Digitizationofpaper-basedrecords(tests,inspectionresults,etc.);
Microfilmingofdigitaland/orpaper-basedrecords(arrangementoforiginals,
guidesheets,etc.);
Transferofmagneticrecordings.
Note:ThesourcerecordsarecoveredbyGS11014orGS11011.
GS11011
Rev.1
5.INFORMATION
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
Retainuntiltheconverted
Archivalrecordsaretransferred
toWashingtonStateArchives
then
selectiveretention.
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
OFM
Page89of118
5.6
RECORDSCONVERSION
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
ConversionProcessNonArchivalRecords
RecordsdocumentingtheprocessofconvertingtheagencysNonArchivalpublic
recordsfromoneformtoanotherwherenotcapturedinthemetadataofthe
convertedrecords.
Migrationofdigitalrecords(mappingschemas,testingreports,etc.);
Digitizationofpaper-basedrecords(tests,inspectionresults,etc.);
Microfilmingofdigitaland/orpaper-basedrecords(arrangementoforiginals,
guidesheets,etc.);
Transferofmagneticrecordings.
Note:ThesourcerecordsarecoveredbyGS11014orGS11012.
GS11013
Rev.0
RetainuntiltheconvertedNonArchivalrecordshavebeen
destroyedinaccordancewitha
currentapprovedrecords
retentionschedule
then
Destroy.
SourceRecordsImaged(Archival)
Archivalsourcerecordswhichhavebeenimagedusingeitherofthefollowing
processes:
DigitizedinaccordancewithavalidapprovalbyWashingtonStateArchivesin
accordancewithWAC434-663;or,
MicrofilmedinaccordancewithWashingtonStateStandardsfortheProduction
andUseofMicrofilm.
And,providedthattheconvertedrecordsareretainedinaccordancewithacurrent
approvedrecordsretentionschedule.
GS11014
Rev.0
Retainuntilverificationof
successfulconversion
then
selectiveretention.
RETENTIONAND
DISPOSITIONACTION
5.INFORMATION
MANAGEMENT
NONARCHIVAL
NONESSENTIAL
OFM
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
OFM
Page90of118
5.6
RECORDSCONVERSION
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
SourceRecordsImaged(NonArchival)
NonArchivalsourcerecordswhichhavebeenimagedusingeitherofthefollowing
processes:
DigitizedinaccordancewithavalidapprovalbyWashingtonStateArchivesin
accordancewithWAC434-663;or,
MicrofilmedinaccordancewithWashingtonStateStandardsfortheProduction
andUseofMicrofilm
GS11012
Rev.1
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
SourceRecordsMigrated
Nonpaperbasedsourcerecordswhichhavebeenmigratedtoanothernonpaper
basedformatsuchas:
Digitalrecordswhicharemigratedtoanotherdigitalformat;
Magneticrecords(VHS,cassettetapes,reeltoreel,8-tracktapes,etc.)whichare
migratedtoanothermagneticoradigitalformat
Excludespaper-andfilm-basedsourcerecordscoveredbyGS11014orGS11012.
GS11015
Rev.0
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
RETENTIONAND
DISPOSITIONACTION
5.INFORMATION
MANAGEMENT
Page91of118
5.7
RECORDSMANAGEMENT
Theactivityofsystematicallycontrollingthelifecycleofthestategovernmentagencyspublicrecords(creationorreceipt,use,maintenance,and
disposition).
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
Conservation(Archival)
Conservationtreatmentrecordsdocumentingrepairtopublicrecordsdesignatedas
Archival.
GS11016
Rev.0
RetainuntiltheArchivalrecords
aretransferredtoWashington
StateArchives
then
selectiveretention.
Conservation(NonArchival)
Conservationtreatmentrecordsdocumentingrepairtopublicrecordsdesignatedas
NonArchival.
GS11017
Rev.0
RetainuntiltheNon-Archival
recordshavebeendestroyedin
accordancewithacurrent
approvedrecordsretention
schedule
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
DestructionofPublicRecords
Recordsrelatingtothedestructionoftheagencyspublicrecords.
Destructionlogs;
Affidavits;
Agencyauthorizations;
Certificates/Noticesofdestruction.
GS11005
Rev.1
Retainforthelifeoftheagency.
NONARCHIVAL
RETENTIONAND
DISPOSITIONACTION
ARCHIVAL
(AppraisalRequired)
NONESSENTIAL
OFM
ESSENTIAL
OFM
5.INFORMATION
MANAGEMENT
Page92of118
5.7
RECORDSMANAGEMENT
disposition).
DISPOSITION
AUTHORITY
NUMBER(DAN)
RecordsControl
Recordsrelatingtothephysicalandintellectualcontroloftheagencysrecords,
including,butnotlimitedto:
Essentialrecordslists;
Filesclassificationschemes/guidelines;
Inventories;
Recordscentertransmittals/retrievals;
Masterindexes,lists,registers,trackingsystems,databases,andotherfinding
aidsusedtoaccesspublicrecordsdesignatedasNonArchival.
ExcludesrecordsdocumentingthetransferoflegalcustodycoveredbyGS11001.
ExcludesrecordsdocumentingthedestructionofpublicrecordscoveredbyGS11005.
Note:Masterindexes,lists,registers,trackingsystems,databasesandotherfindingaids
forpublicrecordsdesignatedasArchivalshouldberetainedwiththerecordsand
transferredtoWashingtonStateArchives.
GS11009
Rev.1
5.INFORMATION
MANAGEMENT
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
agencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
Page93of118
5.7
RECORDSMANAGEMENT
disposition).
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
RetentionandDispositionAuthorization
Recordsrelatingtotheretentionoftheagencysrecordsinaccordancewithchapter
40.14RCW,including,butnotlimitedto:
Internalworkingguidesabstractedfromapprovedrecordsretentionschedules;
ApplicationforEarlyDestructionofSourceDocumentsafterDigitization(DAD)or
ElectronicImagingSystems(EIS)application,providedthattheoriginalisretained
bytheWashingtonStateArchives;
AgencyscopiesofrecordsretentionschedulesapprovedbytheStateRecords
CommitteeinaccordancewithChapter40.14RCW,providedthattheoriginalis
retainedbytheStateRecordsCommittee.
GS11003
Rev.1
agencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
TransferofLegalCustody
Recordsrelatingtothetransferoftheagencyslegalcustodyofitspublicrecordsunder
oneofthefollowingcircumstances:
TransferofArchivalrecordstoWashingtonStateArchives;
Lawfultransfertoanothergovernmententity(otherstateagency,local
governmentagency,etc.).
GS11001
Rev.1
Retainforthelifeoftheagency.
NONARCHIVAL
RETENTIONAND
DISPOSITIONACTION
5.INFORMATION
MANAGEMENT
ESSENTIAL
OFM
Page94of118
6.
RECORDSWITHMINIMALRETENTIONVALUE
Thissectioncoversrecordscreatedorreceivedbytheagencywhicharetypicallyofshort-term,temporaryinformationaluse.
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
AgencyInformationRoutine
Internalandexternalrequestsfor,andprovisionof,routineinformationaboutthe
operationsoftheagency,suchas:
Businesshours,locations/directions,web/emailaddresses;
Meetingdates/times.
GS50002
Rev.0
foragencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
AgencyGeneratedFormsandPublicationsCopies
Blankformsandduplicatecopiesofpublications,providedthattheagencyretainsthe
primaryrecordinaccordancewiththecurrentapprovedminimumretentionperiod.
Reports,catalogs,brochures,calendars,posters;
Multimediapresentations(videos,CDs,etc.).
Excludes:
PublicationmasterscoveredbyGS15008;
FormmasterscoveredbyGS12005;
Accountableforms(unused,pre-numberedchecks,receipts,mealtickets,
licenses,etc.)coveredbyGS12004.
GS50003
Rev.0
foragencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
RETENTIONAND
DISPOSITIONACTION
6.RECORDSWITH
MINIMALRETENTION
VALUE
Page95of118
DISPOSITION
AUTHORITY
NUMBER(DAN)
DESIGNATION
GeneralInformationExternal
Informationreceivedfromotheragencies,commercialfirms,orprivateinstitutions,
whichrequiresnoactionandisnolongerneededforagencybusinesspurposes.
Catalogs,reports,multimediapresentations(videos,CDs,etc.);
Informationalcopies,notices,bulletins,newsletters,announcements;
Unsolicitedinformation(junkmail,spam,advertisements,etc.).
GS50004
Rev.0
foragencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
Secondary(Duplicate)Copies
Copiesofrecords(createdorreceived),providedthattheagencyretainstheprimary
recordinaccordancewiththecurrentapprovedminimumretentionperiod.
Dataextractsandprintoutsfromagencyinformationsystems.
GS50005
Rev.0
foragencybusiness
then
Destroy.
NONARCHIVAL
NONESSENTIAL
OFM
RETENTIONAND
DISPOSITIONACTION
6.RECORDSWITH
MINIMALRETENTION
VALUE
Page96of118
DISPOSITION
AUTHORITY
NUMBER(DAN)
TransitoryRecords
Publicrecordsthatonlydocumentinformationoftemporary,short-termvalue,and
providedthattherecordsare:
GS50001
Rev.1
Notneededasevidenceofabusinesstransaction;and,
Notcoveredbyamorespecificrecordsseries.
Miscellaneousnoticesormemorandawhichdonotrelatetothefunctional
responsibilityoftheagency(noticesofcommunityaffairs,employeemeetings,
holidays,etc.);
Preliminarydraftsofletters,memoranda,reports,worksheets,spreadsheets,
presentations,andinformalnotes,etc.,whichdonotrepresentsignificantbasic
stepsinthepreparationofrecorddocument(s);
Routingslipsusedtodirectthedistributionofdocuments;
Shorthandnotes,stenotypetapes,andmechanicalrecords,aftertheyhavebeen
transcribedintotypewrittenorprintedformonpaperormicrofilm;
Telephonemessages(includingvoicemail,digitalvoicemessages,etc.);
Lettersoftransmittalwhichdonotaddanyinformationtothetransmitted
materials.
RETENTIONAND
DISPOSITIONACTION
DESIGNATION
foragencybusiness
then
Destroy.
6.RECORDSWITH
MINIMALRETENTION
VALUE
NONARCHIVAL
NONESSENTIAL
OFM
Page97of118
GLOSSARY
Appraisal
Theprocessofdeterminingthevalueanddispositionofrecordsbasedontheircurrentadministrative,legal,andfiscaluse;theirevidentialandinformationalor
researchvalue;andtheirrelationshiptootherrecords.
Archival(AppraisalRequired)
Publicrecordswhichmaypossessenduringlegaland/orhistoricvalueandmustbeappraisedbytheWashingtonStateArchivesonanindividualbasis.
Publicrecordswillbeevaluated,sampled,andweededaccordingtoarchivalprinciplesbyarchivistsfromWashingtonStateArchives(WSA).Recordsnotselectedfor
retentionbyWSAmaybedisposedofafterappraisal.
Archival(PermanentRetention)
Publicrecordswhichpossessenduringlegaland/orhistoricvalueandmustnotbedestroyed.Localgovernmentagenciesmusteithertransfertheserecordsto
WashingtonStateArchivesorretainandpreservetheserecordsaccordingtoarchivalbestpracticesuntilsuchtimeastheyaretransferredtoWashingtonState
Archives(WSA).
WSAwillnotsample, weed, or otherwise dispose of records fitting the records series description designatedasArchival(PermanentRetention) otherthanthe
removal of duplicates. Master indexes, lists, registers, tracking systems, databases and other finding aids for public records designated as Archival should be
retainedwiththerecordsandtransferredtoWashingtonStateArchives.
Disposition
Actionstakenwithrecordswhentheyarenolongerrequiredtoberetainedbytheagency.
PossibledispositionactionsincludetransfertoWashingtonStateArchivesanddestruction.
DispositionAuthorityNumber(DAN)
ControlnumberssystematicallyassignedtorecordsseriesorrecordsretentionscheduleswhentheyareapprovedbytheStateRecordsCommittee.
EssentialRecords/PossiblyEssential
Public records that state government agencies must have in order to maintain or resume business continuity following a disaster. While the retention
requirementsforessentialrecordsmayrangefromveryshorttermtoarchival,theserecordsarenecessaryforanagencytoresumeitscorefunctionsfollowing
adisaster.
SecuritybackupsofthesepublicrecordsshouldbecreatedandmaybedepositedwithWashingtonStateArchivesinaccordancewithchapter40.10RCW.Copiesof
masterindexes,lists,registers,trackingsystems,databasesandotherfindingaidsshouldalsobetransferredwiththerecords.
GLOSSARY
Page98of118
Migration
Theperiodictransferofdatafromoneelectronicsystemtoanotherinordertoensurecontinuedintegrityandaccessibilityofdatadespitechangesovertimein
hardware,software,andstoragemedia.
NonArchival
Publicrecordswhich do not possesssufficient historic value to be designatedas Archival. Agenciesmustretaintheserecords for theminimumretention
periodspecifiedbytheappropriate,currentrecordsretentionschedule.
Agenciesshoulddestroytheserecordsaftertheirminimumretentionperiodexpires,providedthattherecordsarenotrequiredforlitigation,publicrecordsrequests,
orotherpurposesrequiredbylaw.
NonEssentialRecords
Publicrecordswhicharenotrequiredinorderforanagencytoresumeitscorefunctionsfollowingadisaster,asdescribedinchapter40.10RCW.
Obsolete
Publicrecordswhicharenolongerrelevanttocurrentprogramorprimaryfunctionalresponsibilitiesofadepartmentoroffice.
OfficeofRecord
Thegroup,department,orofficewithinanagencyresponsibleformaintainingaprimaryrecordfromcreation(orreceipt)throughdisposition.
OFM(OfficeFilesandMemoranda)
PublicrecordswhichhavebeendesignatedasOfficeFilesandMemorandaforthepurposesofRCW40.14.010.
RCW40.14.010Definitionandclassificationofpublicrecords.
(2)Officefilesandmemorandaincludesuchrecordsascorrespondence,exhibits,drawings,maps,completedforms,ordocumentsnotabovedefinedandclassified
asofficialpublicrecords;duplicatecopiesofofficialpublicrecordsfiledwithanyagencyofthestateofWashington;documentsandreportsmadefortheinternal
administrationoftheofficetowhichtheypertainbutnotrequiredbylawtobefiledorkeptwithsuchagency;andotherdocumentsorrecordsasdeterminedbythe
recordscommitteetobeofficefilesandmemoranda.
GLOSSARY
Page99of118
OPR(OfficialPublicRecords)
PublicrecordswhichhavebeendesignatedasOfficialPublicRecordsforthepurposesofRCW40.14.010.
(1)Officialpublicrecordsshallincludealloriginalvouchers,receipts,andotherdocumentsnecessarytoisolateandprovethevalidityofeverytransactionrelating
to the receipt, use, and disposition of all public property and public income from all sources whatsoever; all agreements and contracts to which the state of
Washington or any agency thereof may be a party; all fidelity, surety, and performance bonds; all claims filed against the state of Washington or any agency
thereof; all records or documents required by law to be filed with or kept by any agency of the state of Washington; and all other documents or records
determinedbytherecordscommitteetobeofficialpublicrecords.
PrimaryRecords
Theoriginalrecord(whethercreatedorreceivedbytheagency)whichservesastheofficialrecord,andmustberetainedinaccordancewithacurrentapproved
recordsretentionschedule.
PublicRecords
The term "public records" shall include any paper, correspondence, completed form, bound record book, photograph, film, sound recording, map drawing,
machinereadable material, compact disc meeting current industry ISO specifications, or other document, regardless of physical form or characteristics, and
includingsuchcopiesthereof,thathavebeenmadebyorreceivedbyanyagencyofthestateofWashingtoninconnectionwiththetransactionofpublicbusiness
RecordsSeries
Agroupofrecords,performingaspecificfunction,whichisusedasaunit,filedasaunit,andmaybetransferredordestroyedasaunit.Arecordsseriesmay
consistofasingletypeofformoranumberofdifferenttypesofdocumentsthatarefiledtogethertodocumentaspecificfunction.
SecondaryRecords
Copies(orduplicates)oftheagencysprimaryrecordsusedforspecificlegal,fiscal,oradministrativepurposes.
Secondaryrecordsexistforconvenienceofreference,orforinformationalpurposes,andmaybediscardedwhennolongerneededforagencybusinessinaccordance
withGS50005.
SecurityMicrofilm
SilverduplicateorfirstgenerationmicrofilmwhichisstoredatWashingtonStateArchivesunderstrictlycontrolledenvironmentalconditionsandservesasan
emergency/disasterbackup,inaccordancewithchapter40.10RCW.
WashingtonStateArchivesprovidessecuritymicrofilmstorageandinspectionservicestolocalgovernmentagencies.
StateRecordsCommittee
ThecommitteeestablishedbyRCW40.14.050toreviewandapprovedispositionofstategovernmentrecords.
ItsthreemembersincludetheStateArchivistandonerepresentativeeachfromtheOfficesoftheAttorneyGeneral,StateAuditor,andFinancialManagement.
GLOSSARY
Page100of118
INDEX: ARCHIVAL/LIFEOFAGENCYRECORDS
AGENCYMANAGEMENT
CommunityRelations
PressReleases....................................................................................................6
PublicInformationOfficeReferenceFiles..........................................................6
ExecutiveLevelRecords
AppointmentRecords,Official.........................................................................10
Calendars,Executive........................................................................................10
CorrespondenceExecutive.............................................................................11
HistoryFiles......................................................................................................11
InterpretiveandPolicyStatements..................................................................12
MinutesandFilesofPolicySettingMeetings..................................................12
PapersofExecutiveDirection..........................................................................12
PoliciesandProcedures...................................................................................13
QualityandPerformanceImprovementDocumentation................................13
RulesandRegulations......................................................................................14
SpeechesandWritings.....................................................................................14
StudiesandOperationalPlans.........................................................................14
SubjectFiles.....................................................................................................15
GeneralOfficeOperations(NonExecutive)
ProjectFiles......................................................................................................20
LegalFiles
AttorneyGeneralLetters,InformalOpinionsandCorrespondence................21
AttorneyGeneralOpinions..............................................................................21
LegalIssueFiles................................................................................................22
LegislativeRelations
AgencyRequestLegislation..............................................................................23
BillFiles,Legislative..........................................................................................23
ASSETMANAGEMENT
FacilitiesManagement
ConstructionDocumentation,NonGeneralAdministrationCapitalProjects.27
InformationServices
INDEXTO:
ARCHIVAL
Year2000ProjectFiles.....................................................................................37
RealPropertyManagement
CondemnationsofLand...................................................................................38
LandAcquisitionDocumentation.....................................................................38
LandSalesandConveyanceDocumentation...................................................39
LandTitleDocuments......................................................................................39
LandsScheatedtotheState.............................................................................39
WaterRightsAcquiredbytheState.................................................................40
FINANCIALMANAGEMENT
Audits,InvestigationsandExaminations
ExternalAudit,FinalAuditorExaminationReport..........................................46
InternalAudit,FinalAuditorExaminationReport...........................................46
GrantsManagement
Deliverables......................................................................................................58
Equity
AffirmativeActionPlans,GoalsandReports...................................................63
LibraryServices
CollectionControlSpecialCollections...........................................................83
SpecialCollections............................................................................................83
Publishing
Photographs,GraphicsandVisualResources..................................................86
Publications......................................................................................................88
RecordsConversion
ConversionProcessArchivalRecords............................................................89
SourceRecordsImaged(Archival).................................................................90
RecordsManagement
Conservation(Archival)....................................................................................92
DestructionofPublicRecords..........................................................................92
Page101of118
INDEX: ESSENTIALRECORDS
AGENCYMANAGEMENT
ContractsandPurchasingRecords
ContractsandAgreements.................................................................................8
PurchaseAuthority.............................................................................................8
ExecutiveLevelRecords
CorrespondenceExecutive.............................................................................11
InterpretiveandPolicyStatements..................................................................12
MinutesandFilesofPolicySettingMeetings..................................................12
PapersofExecutiveDirection..........................................................................12
PoliciesandProcedures...................................................................................13
StudiesandOperationalPlans.........................................................................14
GeneralOfficeOperations(NonExecutive)
MaterialSafetyDataSheets.............................................................................19
Plans,Routine..................................................................................................19
PoliciesandProcedures,GeneralOffice,Routine............................................19
LegalFiles
AttorneyGeneralOpinions..............................................................................21
LegalIssueFiles................................................................................................22
ASSETMANAGEMENT
FacilitiesManagement
ConstructionDocumentation,GeneralAdministrationCapitalProjects.........27
ConstructionDocumentation,NonGeneralAdministrationCapitalProjects.27
FixedAssetsFiles..............................................................................................28
ReferenceCopiesofDrawingsandFiles,MaintenanceandOperations,Physical
Plant.............................................................................................................29
InformationServices
DataDocumentation........................................................................................30
DataProcessingOperatingProcedures............................................................30
FindingAids,IndexesandTrackingSystems....................................................31
OperatingSystem/HardwareConversionPlan................................................33
ProgramListingandSourceCode....................................................................33
SystemBackupFiles.........................................................................................34
INDEXTO:
ESSENTIAL
SystemDocumentation....................................................................................35
SystemSpecifications.......................................................................................35
SystemUsersAccessFiles................................................................................35
SystemsandApplicationsDevelopment..........................................................35
TechnicalProgramDocumentation..................................................................36
RealPropertyManagement
CondemnationsofLand...................................................................................38
LandAcquisitionDocumentation.....................................................................38
LandAppraisals................................................................................................38
LandSalesandConveyanceDocumentation...................................................39
LandTitleDocuments......................................................................................39
LandsEscheatedtotheState...........................................................................39
LandsInventory................................................................................................40
WaterRightsAcquiredbytheState.................................................................40
FINANCIALMANAGEMENT
FiscalandAccountingRecords
AccountsReceivable........................................................................................49
AllotmentRecords,RevenueandExpenditure................................................49
CreditCardRecords.........................................................................................50
GeneralledgerTrialBalance............................................................................52
JournalVouchers..............................................................................................53
PoliciesandProcedures,Final..........................................................................54
RevenueReports..............................................................................................54
VendorPaymentsFiles.....................................................................................56
GrantsManagement
GrantsIssuedbytheState...............................................................................58
GrantsReceivedbyStateAgencies..................................................................59
LaborRelations
LaborUnionContracts.....................................................................................65
Payroll
PayrollFiles......................................................................................................70
Page102of118
PayrollFiles,RetirementVerification...............................................................70
PayrollRegister................................................................................................70
Personnel
PersonnelRecordFolders,NonRetiredEmployees........................................74
PersonnelRecordFolders,RetiredEmployees................................................74
VolunteerFiles.................................................................................................76
StaffDevelopment/Training
OnTheJobTrainingFiles.................................................................................80
FormsManagement
FormsMasterSet..........................................................................................81
LibraryServices
Catalog.............................................................................................................82
CollectionControlGeneral............................................................................82
CollectionControlSpecialCollections...........................................................83
RecordsManagement
DestructionofPublicRecords..........................................................................92
TransferofLegalCustody.................................................................................94
INDEXTO:
ESSENTIAL
Page103of118
INDEX: DISPOSITIONAUTHORITYNUMBERS(DANs)
GS01001........................................57
GS01003........................................57
GS01004........................................56
GS01006........................................53
GS01007........................................49
GS01009........................................52
GS01010........................................50
GS01011........................................54
GS01012........................................54
GS01013........................................48
GS01014........................................54
GS01016........................................49
GS01017........................................50
GS01019........................................53
GS01040........................................50
GS01043........................................49
GS01050..........................................8
GS01060........................................70
GS01061........................................71
GS01062........................................70
GS01063........................................71
GS01064........................................72
GS01065........................................53
GS01066........................................56
GS01067........................................51
GS01068........................................48
GS01069........................................55
GS02005........................................52
GS02008........................................53
GS02009........................................50
GS02020........................................51
GS03001........................................74
GS03002........................................73
GS03003........................................66
GS03004........................................66
GS03005........................................68
GS03006........................................67
GS03007........................................80
GS03008........................................78
GS03009........................................75
GS03010........................................78
GS03011........................................63
GS03012........................................79
GS03013........................................61
GS03015........................................64
GS03016........................................64
GS03017........................................76
GS03019........................................78
GS03020........................................77
GS03021........................................61
GS03022........................................79
GS03023........................................80
GS03024........................................73
GS03030........................................60
GS03031........................................70
GS03032........................................70
GS03033........................................71
GS03034........................................60
GS03035........................................60
GS03036........................................79
INDEXTO:
DANs
GS03037........................................61
GS03038........................................66
GS03039........................................69
GS03040........................................79
GS03041........................................74
GS03042........................................75
GS03043........................................67
GS03044........................................68
GS03045........................................62
GS04001........................................46
GS04002........................................46
GS04004........................................47
GS04005........................................46
GS04006........................................47
GS05001........................................85
GS05002........................................85
GS05003..........................................6
GS05005..........................................6
GS05006..........................................5
GS05007........................................26
GS06001..........................................9
GS06002..........................................8
GS06004..........................................7
GS06007..........................................7
GS07001........................................55
GS07003........................................44
GS08001........................................45
GS08002........................................45
GS08004........................................45
GS08005........................................45
GS09001........................................19
GS09002........................................20
GS09005........................................17
GS09006........................................16
GS09008........................................19
GS09009........................................19
GS09012........................................16
GS09013........................................18
GS09014........................................65
GS09015........................................65
GS09016........................................17
GS09017........................................19
GS09018........................................20
GS09019........................................20
GS09020........................................20
GS09021..........................................5
GS09022........................................18
GS09023........................................16
GS10001........................................14
GS10002........................................13
GS10003........................................15
GS10004........................................12
GS10005........................................12
GS10006........................................14
GS10007........................................11
GS10008........................................10
GS10009........................................14
GS10010........................................12
GS10011........................................13
GS10012........................................10
Page104of118
GS10013........................................11
GS11001........................................94
GS11003........................................94
GS11005........................................92
GS11009........................................93
GS11011........................................89
GS11012........................................91
GS11013........................................90
GS11014........................................90
GS11015........................................91
GS11016........................................92
GS11017........................................92
GS12001........................................81
GS12003........................................81
GS12004........................................81
GS12005........................................81
GS13003........................................84
GS14001........................................35
GS14002........................................35
GS14003........................................30
GS14004........................................33
GS14005........................................36
GS14006........................................36
GS14007........................................30
GS14008........................................35
GS14009........................................33
GS14010........................................24
GS14011........................................34
GS14012........................................35
GS14013........................................30
GS14014........................................34
GS14015........................................30
GS14016........................................32
GS14017........................................36
GS14018........................................36
GS14020........................................30
GS14021........................................31
GS14022........................................31
GS14023........................................31
GS14024........................................31
GS14025........................................30
GS14026........................................34
GS14028........................................34
GS14029........................................31
GS14031........................................32
GS14032........................................32
GS14033........................................33
GS14035........................................37
GS14036........................................33
GS14037........................................34
GS15001........................................86
GS15005........................................87
GS15007........................................86
GS15008........................................88
GS15009........................................87
GS15010........................................86
GS15021........................................82
GS15022........................................82
GS15023........................................82
GS15024........................................83
GS15025........................................83
GS16002........................................49
GS16003........................................42
GS16004........................................43
GS16005........................................43
GS16006........................................42
GS16007........................................43
GS16008........................................42
GS16009........................................43
GS16010........................................43
GS18001........................................21
GS18002........................................21
GS18003........................................22
GS18004........................................21
GS18005........................................22
GS18006........................................22
GS18007........................................24
GS18008........................................24
GS19001........................................23
GS19002........................................23
GS19004........................................23
GS20002........................................63
GS20004........................................66
GS21001........................................28
GS21002........................................28
GS21003........................................29
GS21006........................................29
GS21007........................................29
GS21008........................................28
GS21010........................................27
GS21011........................................27
GS22001........................................25
GS22002........................................25
GS22003........................................80
GS22004........................................25
GS22005........................................25
GS23001........................................58
GS23002........................................58
GS23003........................................58
GS23004........................................59
GS23005........................................58
GS24001........................................38
GS24003........................................40
GS24004........................................38
GS24005........................................39
GS24006........................................38
GS24007........................................40
GS24008........................................39
GS24009........................................39
GS25001........................................41
GS25002........................................24
GS25003........................................41
GS50001........................................97
GS50002........................................95
GS50003........................................95
GS50004........................................96
GS50005........................................96
INDEXTO:
DANs
Page105of118
INDEX: SUBJECTS
ADA......................seeAmericanswithDisabilitiesAct
administrativeplans/workingfiles..........................16
advertisingandpromotion.......................................5
conferences/seminars........................................25
grantfundeddeliverables...................................58
advice
legal....................................................................21
provisionof...................................................11,18
affirmativeaction
complaints..........................................................66
plans/goals/reports............................................63
reportsfromDepartmentofPersonnel(DOP)...75
AFRS/EnterpriseReporting...............................51,52
agency
historyfiles.........................................................11
publications/forms.......................................88,95
rules
developmentandenactment.........................14
statements/interpretations...........................12
agendas
generalofficemeetings......................................19
policysettingmeetings.......................................12
copiesinsubjectfiles.....................................15
projectteams(significant/historicalprojects)....20
agreements(andcontracts)......................................8
allotment/revenuereports.....................................52
allotments(revenue/expenditure).........................49
AmericanswithDisabilitiesAct(ADA)
employeetrainingrequirements........................80
reasonableaccommodations.............................63
1
1098,1999,5498IRSforms....................................53
A
access(security)
buildings/facilities...............................................41
informationsystems/data..................................35
accession/discard(libraries).............................82,83
accidents/incidents.................................................24
employees..........................................................64
investigations(employee)..................................69
motorvehicles....................................................43
accommodations
reasonable(employee).................................63,69
travel(employee)...............................................55
accountableforms..................................................81
accountspayable/receivable..................................49
acquisition/purchasing
authorities............................................................8
creditcards(agency)..........................................50
equipment/supplies..............................................9
landparcels...................................................38,39
onlineorders.......................................................50
vendorpayments................................................56
waterrights........................................................40
INDEXTO:
SUBJECTS
analysisoffinancialbalance....................................51
annual
evaluations.........................................................73
leave...................................................................60
appeals
affirmativeaction/equalopportunity.................66
personnelaction.................................................66
publicdisclosure.................................................85
applications
courseregistrations............................................25
employeesuggestions........................................18
employment.......................................................79
grants............................................................58,59
informationsystems/software
development..................................................35
useraccess.....................................................35
volunteer............................................................76
appointmentcalendars
executive.............................................................10
nonexecutive.....................................................16
appointments(boards/committees).......................10
appraisal/appraisalrequired...................seeGlossary
appraisals(land)......................................................38
appreciationceremonies(employee).....................61
appropriateuse
computers/programs..........................................30
networkusage....................................................33
architecturaldrawings
construction/remodels.......................................27
majorrepairs/replacements...............................28
Page106of118
referencecopies.................................................29
archival....................................................seeGlossary
collections(libraries)..........................................83
records(transfer)................................................94
assets......................................................................27
depreciation..................................................42,49
purchase/disposition..........................................28
attendanceandleave.............................................60
trainingcourses..................................................80
AttorneyGeneral
casefiles.............................................................21
opinions/correspondence..................................21
audio/visualrecordings
agencypublications............................................88
destruction.........................................................92
digitized........................................................90,91
formatconversion........................................89,90
generalinformation(fromexternalsources).....96
historyfiles.........................................................11
migrated.............................................................91
policysettingmeetings.......................................12
publictrainings...................................................26
publications(agencygenerated)........................95
security/surveillance...........................................41
sourcerecords....................................................91
speeches(executive)..........................................14
training/development........................................25
audiology(employeeinjury/illness)........................69
audittrailfiles(IT)...................................................30
audits......................................................................46
external...............................................................46
findings...............................................................46
grantprograms.............................................58,59
internal...............................................................46
nonfiscal............................................................16
StateAuditor.......................................................47
automated
calldistributiondata(ACD).................................45
clearinghouse(ACH)..........................................48
informationsystems(sourcecode)....................33
tasks(electronicinfosystems)...........................30
awards(employee).................................................61
B
backgroundchecks..................................................79
backupfiles.............................................................34
balancedscorecard.................................................13
bankcontracts..........................................................8
banking...................................................................48
benchmarkdatasets...............................................36
benefits(personnel)................................................61
bids(fromvendors)...................................................7
bills(legislation)......................................................23
boards/committees(appointments/terminations) 10
bonds
savings................................................................71
taxexempt..........................................................55
vendor...................................................................8
bonusvouchercertification....................................61
brainstorm/teamincentiveprogram(TIP)..............16
brochures(agencypublications).......................88,95
budgetpreparationworkingfiles...........................50
buildings
inventories/depreciation....................................42
INDEXTO:
SUBJECTS
maintenance/operations..............................28,29
security(access/surveillance).............................41
businesshours/addresses.......................................95
C
calendars
agencypublications......................................88,95
executive.............................................................10
nonexecutive.....................................................16
cameraready(publications)...................................86
camerareadyartwork......................................81,88
capitalassetsmanagementsystem........................42
capitalconstructionprojects..................................27
casefiles(legal).................................................21,22
cashreceipts/registertapes....................................50
catalogs
librarycollections...............................................82
CDs/DVDs/videos............seeaudio/visualrecordings
certificates
bulkmailing........................................................84
destruction(publicrecords)..............................92
naturalization......................................................79
certifiedmail(logs/returnreceipts)........................84
charityfundraising....................................................5
checks(deposits).....................................................48
chemicals(hazardous)............................................19
circuitfiles...............................................................32
circulation(libraries)...............................................82
citizenship/immigrationdocuments.......................79
claims
employeeinjuries.........................................64,69
Page107of118
fordamages..................................................21,22
warrantregisters................................................57
clientserviceagreements.........................................8
clockhourcredits....................................................80
collections(library)...........................................82,83
commissions(appointments/terminations)...........10
communications
executive.............................................................11
nonexecutive.....................................................18
communityrelations.................................................5
commutetripreduction..........................................61
compensatorytime.................................................60
complaints
employee/personnel..............................66,67,68
policies/procedures............................................17
whistleblower.....................................................47
complianceaudits...................................................46
computer
runscheduling....................................................30
usage.......................................................30,33,34
condemnationactions(land)..................................38
conferences/seminars(agencyorganized).......25,26
conservation(publicrecords).................................92
construction
taxexemptbondrecords...................................55
contractors
buildingaccess(security)....................................41
correspondence..................................................18
training/development........................................25
contracts...................................................................8
condemnation....................................................38
construction........................................................27
laborunion.........................................................65
landappraisals....................................................38
revenuereports..................................................54
conversion(records).........................................89,90
conversionplan(IT)................................................33
conveyancing(landsales).......................................39
copies
affirmativeactioncomplaints.............................66
agencygeneratedforms/publications...............95
assetdispositiontracking...................................42
AttorneyGeneralcasefiles/opinions.................21
brainstorm/teamincentive(TIP)........................16
constructiondocumentation..............................27
datainputforms.................................................32
drawings(building)formaintenance..................29
financialreports..................................................52
fiscalrecords.................................................42,43
fixedassetpurchase/ownershiprecords............28
grantrelated(RFPs)............................................59
informational(external).....................................96
legaldocuments.................................................22
legislativebills.....................................................23
networkcircuitdiagrams(IT)..............................32
outputreports(dataprocessing)........................31
passport(employmentverification)...................79
publicdisclosurerequests..................................85
secondary/duplicate...........................................96
spaceallocation/requests...................................29
subjectfiles.........................................................15
systemrestorefiles(IT)......................................34
whistleblowerreports(fromStateAuditor).......47
copycenterrequestfiles.........................................56
copying/duplicating(printjobdocumentation)86,87
correspondence
AttorneyGeneral................................................21
INDEXTO:
SUBJECTS
executive.............................................................11
general................................................................17
nonexecutive.....................................................18
program..............................................................18
councils(appointments/terminations)...................10
courses
agencyorganized..........................................25,26
employeetraining.........................................61,80
courtorders
AttorneyGeneralcasefiles.................................21
interpretations....................................................12
servedonagency(nonlitigant)..........................22
studies/plans(resulting).....................................14
creationofforms/publications.........................81,87
creditcardpayments/receipts................................50
criminalhistory(backgroundchecks).....................79
custody(publicrecords)..........................................94
customer
audits..................................................................46
networkusagemonitoring.................................32
training/information.....................................25,26
D
DAD(EarlyDestructionofSourceDocumentsafter
Digitization)........................................................94
datadocumentation/dictionaries...........................30
dataprocessing
outputreports....................................................31
procedures..........................................................30
databases
audittrailfiles.....................................................30
backup................................................................34
Page108of118
dictionaryreports...............................................30
inputdocuments(copies)...................................32
useraccess(security)..........................................35
dayfiles...................................................................20
deductions
charities................................................................5
payroll...........................................................70,71
deeds(landtitles/ownership).................................39
deliverables(grantprojects)...................................58
delivery(mail).........................................................84
Departmentof
GeneralAdministration(GA)........................27,54
InformationServices/Board................................33
Labor&Industries(L&I)................................64,71
Licensing(DOL)...................................................43
Personnel(DOP).................................................75
deposits(banking)...................................................48
depreciation(assets)
buildings/equipment/land..................................42
reports................................................................49
design(agencyforms/publications)..................81,87
destructionof
electronicfiles/tapes..........................................31
publicrecords...............................................92,94
development
biennialbudgetproposals..................................50
employee......................................................73,80
forms...................................................................81
office/program/event.........................................11
position/staffstructure......................................78
publications........................................................87
rules/regulations(WAC).....................................14
system(IT)..............................................30,35,36
training/course...................................................25
digitalvoicemessages/voicemail............................97
digitizationofrecords.................................89,90,91
directives(papersofexecutivedirection)..............12
disasterpreparedness
plans...................................................................24
safetydrills..........................................................24
systembackup....................................................34
disbursementreportingsystem(DRS)....................50
discriminationcomplaints.................................66,67
disposal/disposition
equipment/property...........................................42
fixedassets.........................................................28
land.....................................................................39
motorvehicles....................................................43
publicrecords.....................................................94
taxexemptbondfundedprojects......................55
disposition...............................................seeGlossary
DispositionAuthorityNumber(DAN).....seeGlossary
distributionlists......................................................20
documentation
automatedinformationsystem..........................35
technicalprograms(IT).......................................36
documents(digitized).......................................90,91
donatedleave.........................................................60
drafts
audits..................................................................46
biennialbudget...................................................50
bills(legislative)..................................................23
preliminary...................................................16,97
drawings/plans
architectural/engineering
construction/remodels...................................27
majorrepairs/replacements..........................28
referencecopies.............................................29
INDEXTO:
SUBJECTS
spaceallocation..................................................29
drills(safety/disaster).............................................24
driverslicensecopy................................................79
duplicate(secondary)copies...................................96
DVDs/CDs/videos............seeaudio/visualrecordings
E
EarlyDestructionofSourceDocumentsafter
Digitization(DAD)...............................................94
editorialsbyagencyexecutives..............................14
educationalmaterials(grantdeliverables).............58
electronicfundstransfers(EFT)..................48,50,71
authorizationforms............................................56
ElectronicImagingSystems(EIS)................90,91,94
electronicinformationsystems
audittrail............................................................30
automated..........................................................33
automatedsystems............................................36
automated/scheduledtasks...............................30
development................................................35,36
onlinecontent....................................................86
software..............................................................34
systemdocumentation.......................................35
testdata..............................................................36
transactionvalidation.........................................36
useraccess..........................................................35
electronicrecords
control................................................................93
conversion....................................................89,90
destruction.........................................................92
findingaids/indexes/tracking.............................31
forms/publications.............................................95
Page109of118
fromexternalsources.........................................96
migration............................................................91
onlinecontent..............................................86,95
retention/dispostion...........................................94
secondary/duplicate...........................................96
sourcerecords..............................................90,91
transferoflegalcustody.....................................94
transitory............................................................97
eligibilityforemployment.......................................79
email
addresses............................................................95
unsolicited/spam................................................96
emergencydrills......................................................24
employees
accidents/injuries(claims/reports).....................64
exitinterviews....................................................79
informationfile...................................................73
laborunioncontracts.........................................65
medicalandsafetyfile........................................69
performanceevaluations....................................73
policy..................................................................77
reasonableaccomodation..................................63
recognition/awards............................................61
recruitment.........................................................79
rulesandregulations..........................................77
suggestions.........................................................18
training...............................................................80
traininganddevelopmentfiles...........................25
traininghistory...................................................80
employment
application..........................................................75
assignments........................................................75
classificationquestionnaire................................78
classifications......................................................78
eligibility/verification..........................................79
history.................................................................75
positions.............................................................78
profiles................................................................75
promotions.........................................................75
reallocations.......................................................78
reclassifications..................................................75
resume................................................................75
telecommunicatingagreements.........................75
trainingplan........................................................78
vacancies............................................................78
encumbrances.........................................................56
engineeringdrawings/plans
equalopportunity
complaints..........................................................66
plans/goals/reports............................................63
equipment
disposal/disposition............................................42
installations........................................................34
inventories..........................................................42
maintenance/repairs/servicing..........................42
repair..................................................................28
replacement.......................................................28
requisitions...........................................................9
supportfiles........................................................34
equity(employment)..............................................63
escrowagreement....................................................8
essentialrecords.....................................seeGlossary
lists......................................................................93
evaluations
brainstorm/teamincentiveprogram(TIP).........16
INDEXTO:
SUBJECTS
employeeperformance......................................73
employeesuggestionprogram)..........................18
grantapplications...............................................58
onthejobtraining.............................................80
portfoliomanagement(IT).................................33
training(presentedbyagency).....................25,26
eventlogs(electronicinfosystems).......................30
events(historyfiles)................................................11
examinations(audits).......................................46,47
exchangetime.........................................................60
executive
calendars............................................................10
communications(internal/external)...................11
direction(formalstatements)............................12
orders.................................................................13
speeches/writings/recordings............................14
subjectfiles.........................................................15
exercises(safety/disaster)......................................24
exitinterviews.........................................................79
expenditures
allotments...........................................................49
employeerecognition/awards...........................61
financialreporting..............................................51
generalledger.....................................................52
taxexemptbonds...............................................55
exposure(employee)..............................................69
externalaudits........................................................46
extracteddatasummary.........................................31
eyeinjuries(employees).........................................64
F
facilities
Page110of118
inspections/operations.......................................29
maintenance/operations....................................28
security(access/surveillance).............................41
familymedicalandsharedleave(FMLA)................60
federal
forms...................................................................79
revenuesandexpenditures................................51
timekeeping.......................................................60
fieldorderfiles........................................................56
filesclassification....................................................93
financialinstitutions(banks)...................................48
financialreporting.............................................51,52
grantprograms.............................................58,59
findingaids(publicrecords)..............................31,93
findings(audit)..................................................46,47
fiscalnotes(legislation)..........................................23
fiscalyearaccountingactivity.................................51
fixedassets..............................................................28
fleet(motorvehicles)
accidents/logs/usage..........................................43
disposal/maintenance/repairs/servicing............43
title/ownership...................................................43
usagelogs...........................................................44
floorplandrawings.................................................29
flyers(advertising/promotional).............................25
FMLA................seeFamilyMedicalandSharedLeave
forms
accountable........................................................81
creation...............................................................87
development/creation........................................81
electronicfundstransferauthorization..............56
InternalRevenueService(IRS)......................53,56
inventory............................................................81
masterset(agencycreated)...............................81
supplies/blank....................................................95
U.S.CitizenshipandImmigrationServices(I9)..79
vendorregistration.............................................56
fraudallegations(whistleblowers).........................47
fundraising,charity...................................................5
furniture
inventories/depreciation....................................42
G
GeneralAdministration(Departmentof)
constructionprojects..........................................27
generalinformation(external)...............................96
generalledger.........................................................52
generaloffice(nonexecutive)................................16
generalpublic(trainingfiles)..................................26
GovernmentManagement,Accountabilityand
PerformanceProgram(GMAP)...........................13
grantprograms(agencyadministered)..................58
grants(receivedbytheagency)..............................59
graphics(usedinpublications)...............................86
grievances...............................................................66
H
harassmentcomplaints.....................................66,67
hardwareconversionplan......................................33
hazardousmaterials................................................19
HelpDeskrequests.................................................31
history
agency/programs/events...................................11
INDEXTO:
SUBJECTS
criminal(recruitment)........................................79
employeemedical..............................................69
employeetraining...............................................80
itemcirculation(libraries)..................................82
position(humanresources)................................78
stateemployment(employee).....................74,75
training(employee)............................................80
vendorinformation............................................50
holdharmlessagreements........................................8
holidaynotices........................................................97
I
I9forms..................................................................79
identificationbadges(security)..............................41
imagedcashletter(ICL)..........................................48
imagingsystems(digitization)................................90
incentives................................................................61
incidents.................................seeaccidents/incidents
indexes....................................................................31
industrialinsurance.................................................64
informationservices(IS).........................................30
informationtechnology
assistancerequests.............................................31
audittrail............................................................30
automatedinfosystem.......................................33
conversionplans.................................................33
networkusage....................................................33
portfoliomanagement.......................................33
projectplanning/documentation.......................34
site/equipmentsupport.....................................34
systembackup....................................................34
systemdocumentation.......................................35
Page111of118
systemspecifications..........................................35
informationalcopies...............................................96
injuries....................................................................24
employee(medicalfile)......................................69
industrial(claims/reports)..................................64
inputdocuments(copiesofrecords/forms)...........32
inspections
buildingsandequipment....................................28
digitizedrecords...........................................89,90
facilities/grounds/utilitysystems.......................29
insurance
employeebenefits..............................................70
industrial(workerscompensation)....................64
waivers(liability)...................................................8
interagencybilling.................................................56
interlibraryloans.....................................................83
intermediatefiles(IS)..............................................36
internalaudits.........................................................46
internationalmoneytransfers................................48
internet/intranet
contentmanagement.........................................86
webaddresses....................................................95
inventories
buildings/equipment/land..................................42
forms(stockonhand).........................................81
land.....................................................................40
publicrecords.....................................................93
supplies/parts.....................................................43
investigations
accidents/incidents.......................................24,69
audits............................................................46,47
whistleblowers....................................................47
invoicevoucherfiles...............................................56
ITassistancerequests.............................................31
J
jobassignments(employee)...................................73
jobspecifications....................................................78
journalvouchers.....................................................53
journals(agencypublications)................................88
junkmail/spam.......................................................96
K
keys/keycards(building/facilitysecurity)..............41
L
Labor&Industries(Departmentof)
injuryclaims(agencycopy).................................64
quarterlyreports................................................71
laborunions(contracts/relations)..........................65
land(realproperty)
acquisition/purchasing.......................................38
appraisals............................................................38
condemnationactions........................................38
disposal...............................................................39
disposal/sale.......................................................39
escheatedtotheState........................................39
inventories....................................................40,42
titledocuments...................................................39
waterrights........................................................40
layoffs(reductionsinforce)....................................78
leaseagreement.......................................................8
legalissues/matters................................................22
AttorneyGeneraladvice/opinions/casefiles.....21
INDEXTO:
SUBJECTS
legislation(agencyrequest)....................................23
legislative
budgetnotes.......................................................53
EvaluationandAccountabilityProgram(LEAP)..53
relations..............................................................23
lettersoftransmittal...............................................97
liabilitywaivers.........................................................8
librarycollections..............................................82,83
licensing(motorvehicle).........................................43
liquidation...............................................................56
loanagreements
bondprojects......................................................55
general..................................................................8
interlibrary..........................................................83
lobbying(publicdisclosure)....................................23
logs
accountsreceivable............................................49
copymachineactivity.........................................87
dataentry...........................................................30
destruction(publicrecords)...............................92
exemption(publicdisclosure)............................85
mail/postage.......................................................84
maintenanceorders(vehicles)...........................43
networkusage....................................................32
systembackup....................................................34
telephone...........................................................85
vehicleusage......................................................44
longdistancetelephoneauthorization...................45
longtermdebtagreements......................................8
M
machinelanguageinstructions...............................33
Page112of118
magazines(agencypublications)............................88
magneticrecords(audio/videotapes)........89,90,91
mail(deliveryandreceipt)......................................84
maintenance/operations/repairs
equipment..........................................................42
motorvehicles....................................................43
majorrepair/replacement(building/equipment)...28
managementreportingsystem(MRS)....................53
manuals
automatedinformationsystems........................35
equipment..........................................................42
fixedequipment.................................................29
motorvehicle......................................................43
software..............................................................34
manuscriptcollections(libraries)............................83
maps/plans/charts(agencypublications)...............88
master
depositorycontract..............................................8
file(transactionvalidation).................................36
filedata(extracted)............................................31
filevalidation(audittrail)...................................30
forms...................................................................81
indexes(publicrecords)......................................93
printjobdocumentation....................................86
publications........................................................88
MaterialSafetyDataSheets(MSDS).......................19
mechanicalrecordings............................................97
media
articlesbyagencyhead/executivelevel.............14
newspaperclippings...........................................15
pressreleases.......................................................6
requestsforgeneralinformation.......................85
medical(employee)
expenseplans.....................................................62
historyfile...........................................................69
injuryclaims........................................................64
leave...................................................................60
meetings
appointments(executivecalendars)..................10
appointments(nonexecutivecalendars)...........16
dates/times/locations.........................................95
employeerecognitionplanning..........................61
generaloffice......................................................19
informationtechnologyprojects........................34
laborunionrelations..........................................65
legislationplanning.............................................23
notices(staff)......................................................97
policysetting.......................................................12
projectplanning(construction)..........................27
quality/performanceimprovement....................13
reductioninforce...............................................78
rulesetting(WAC)..............................................14
year2000(Y2K)...................................................37
memos(transitory).................................................97
messages(voicemail/telephone)............................97
microfilm
convertingpaper/digitalrecords..................89,90
security.............................................................100
standards(WashingtonState)......................90,91
migration.................................................seeGlossary
conversionprocess.......................................89,90
sourcerecords....................................................91
minors(underage18)
accidents/incidents.............................................24
librarypermissions.............................................82
INDEXTO:
SUBJECTS
minutes(meeting)
agencyrequestlegislationplanning...................23
constructionprojectplanning............................27
conveniencecopies......................................15,20
employeerecognition.........................................61
generaloffice......................................................19
laborunionrelations..........................................65
policysetting.......................................................12
projectmanagement..........................................20
reductioninforce...............................................78
monitoring
computerusage.................................30,32,33,35
grantprojects...............................................58,59
legislation...........................................................23
motorvehicles
accidents.............................................................43
title/ownership...................................................43
usagelogs...........................................................44
MSDS(MaterialSafetyDataSheets).......................19
multifillposition.....................................................75
multimediapresentations(videos/CDs/DVDs)
N
naturalizationcertification......................................79
negotiations(laborunioncontracts)......................65
networking(social)............................................11,18
networks
circuits(design&maintenance).........................32
servicerequests..................................................45
Page113of118
usage.............................................................32,33
newhire..................................................................75
newsreleases............................................................6
newsletters
agency/program/office.......................................11
newspaperclippings...............................................15
nonarchival............................................seeGlossary
nonessential...........................................seeGlossary
nonpaperbasedrecords.......................................91
nonpermanentpositions.......................................75
nonretiredemployees(personnelrecord)............74
notes
fiscal(legislation)................................................23
legislativebudget................................................53
shorthand/stenotype..........................................97
notices(informational)...........................................97
noticesofdestruction(publicrecords)...................92
NSF(nonsufficientfunds)checks...........................48
numberedforms(accountable)..............................81
O
obsolete..................................................seeGlossary
Officeof
AttorneyGeneral(AG)........................................21
FinancialManagement(OFM)...........33,43,51,52
StateAuditor(SAO)............................................47
StateTreasurer(TRE)..........................................57
officeofrecord.......................................seeGlossary
officesupplies.........................................................43
OFM(OfficeFilesandMemoranda)........seeGlossary
online
communications/advice...............................11,18
contentmanagement.........................................86
purchasingreceipts(credit)................................50
routineagencyinformation................................95
operatingsystems...................................................33
operations
administrative/routine.................................16,19
building/equipment......................................28,42
motorvehicle......................................................43
physicalplant......................................................29
system(IT)..........................................................35
opinions(legal)........................................................21
OPR(OfficialPublicRecord)....................seeGlossary
organizational
charts..................................................................15
restructures(reductionsinforce).......................78
overfillposition......................................................75
overtime..................................................................60
papersofexecutivedirection.................................12
parcels(land)
acquisition/purchasing.......................................38
inventories..........................................................40
parent/guardianpermissions(libraries).................82
parkingtrackingfiles...............................................61
parts
disbursement......................................................43
inventories..........................................................43
passportcopies.......................................................79
INDEXTO:
SUBJECTS
patrons/users(libraries).........................................82
payrange................................................................72
payable/receivablerelationship.............................51
payments(vendor)..................................................56
payroll
certification.........................................................71
costs(distribution)..............................................70
deposits..............................................................71
files.....................................................................70
garnishments......................................................71
internalrevenuereports....................................71
registers........................................................70,71
reports................................................................71
signups...............................................................71
performance
agency.................................................................13
audits(agency)...................................................46
evaluations(employees).....................................73
permissions
parent/guardian(libraries).................................82
personalholidays....................................................60
personalservicecontracts........................................8
personnel
actionappeals.....................................................66
complaints....................................................67,68
exitinterviews....................................................79
records................................................................75
nonretiredemployees...................................74
retiredemployees..........................................74
reports................................................................75
pettycash(reports)................................................52
photographs
agencyforms/publications...........................81,88
historyfiles.........................................................11
Page114of118
usedinpublications............................................86
physicalplantsystems............................................29
plaintalk...........................................................13,14
plans
administrative.....................................................16
affirmativeaction...............................................63
disasterpreparedness........................................24
ITconversion......................................................33
medicalexpense(employee)..............................62
spaceallocation(floorplans)..............................29
plans(architectural/engineering)
plans/planning
general/routineoperations................................19
strategic/agencywide........................................14
pointintime(webpage/site)..................................86
policies
complaints..........................................................17
executive/agencywide.......................................13
fiscal....................................................................54
general/routinueoperations..............................19
meetingssettingpolicy.......................................12
papersofexecutivedirection.............................12
statements....................................................12,22
portfoliomanagement(IT)......................................33
position
changes...............................................................75
costs....................................................................75
eligibilityworksheet............................................74
files.....................................................................78
termination.........................................................75
posters(agencypublications)...........................88,95
posts(socialnetworking)..................................11,18
preliminarydrafts...................................................97
presentation/trainingmaterials
conferences/seminars..................................25,26
presentations(videos/CDs/DVDs)..........................95
pressreleases............................................................6
primaryrecord........................................seeGlossary
printingrequisitionfiles..........................................56
procedures
complaints..........................................................17
dataprocessingoperating..................................30
executive/agencywide.......................................13
fiscal....................................................................54
general/routineoperations................................19
programcorrespondence.......................................18
programlisting........................................................33
programs(historyfiles)...........................................11
projectfiles
general/administrative.......................................16
significant/historical...........................................20
Y2K/Year2000....................................................37
projectplanning(IT)................................................34
promotionalevents/campaigns................................5
promotionalmaterials
conferences/seminarstraining...........................25
property(disposal/disposition)...............................42
publicdisclosure
lobbyingreporttoCommission..........................23
requests..............................................................85
publicinformationofficereferencefiles..................6
publicrecords.........................................seeGlossary
INDEXTO:
SUBJECTS
conservation.......................................................92
conversion/digitization.................................89,90
destruction.........................................................92
digitized..............................................................90
findingaids.........................................................93
imaged................................................................91
legalcustody.......................................................94
magnetic.............................................................91
migration......................................................90,91
recordscentertransmittals/receivals.................93
requests..............................................................85
retentionschedules/dispositionauthorization..94
transfer...............................................................94
transitory............................................................97
publicworksrequisitions........................................54
publications
agencysupplies...................................................95
creation...............................................................87
fromoutsidesources..........................................96
masterset(agencycreated)...............................88
printing.........................................................86,87
purchasing
agreements...........................................................8
authorities............................................................8
creditcards(agency)..........................................50
equipment............................................................9
fixedassets.........................................................28
landparcels...................................................38,39
onlineorders.......................................................50
orders.................................................................56
requisitionfiles...................................................56
supplies.................................................................9
Page115of118
Q
qualityimprovement..............................................13
questionnaires........................................................20
R
rarebookcollections(libraries)..............................83
RCW(RevisedCodeofWashington).......................23
interpretations..............................................12,22
readingfiles.............................................................20
realpropertymanagement.....................................38
reasonableaccommodation(employee)................63
receivable/payablerelationship.............................51
recommendations(audits)................................46,47
recordings(mechanical)..........................................97
recordsseries.....................seeGlossary,seeGlossary
recruitment.............................................................79
reductionsinforce(employees).............................78
referencefiles.........................................................20
publicinformationoffice......................................6
refunds....................................................................57
registeredmail(logs/returnreceipts).....................84
registers
payroll...........................................................70,71
warrants..............................................................57
registration(conferences/seminars)......................25
reimbursement
travel...................................................................55
tuition.................................................................61
remodels(buildings/facilities)................................27
remotedepositcapture(RDC)................................48
rentalagreements.....................................................8
repairs(maintenance)
buildings/facilities
major/replacements......................................28
minor/routine................................................28
equipment..........................................................42
motorvehicles....................................................43
reports
accident/incident(noclaim)...............................24
payroll.................................................................71
personnel............................................................75
revenue...............................................................54
successfulcompletion(electronicinfosystems) 30
wage...................................................................72
representedemployees
laborunioncontracts/relations..........................65
request
information...........................................................7
proposal................................................................7
qualificationsandquotations...............................7
requestsforinformation
general................................................................85
requisitions(publicworks)......................................54
researchmaterials..................................................16
resumes(employment)...........................................79
retiredemployees
personnelrecordfolders....................................74
retirement
eligibility.............................................................74
statusworksheet................................................74
verification
payrollfiles.....................................................70
INDEXTO:
SUBJECTS
retrievals(recordscenters).....................................93
returntowork(employee).....................................69
returnedchecks/warrants......................................48
revenue
allotments...........................................................49
grantsreceivedbyagencies................................59
RevisedCodeofWashington(RCW).......................23
RFP............................................................................7
RFQQ(RequestsforQualificationsandQuotations) 7
riskmanagement....................................................24
rosterofregistrants................................................25
routine
datasets.............................................................36
routinecorrespondence
executive.............................................................11
general................................................................17
nonexecutive.....................................................18
routineinformation(agencyoperations)...............95
routingslips.............................................................97
rules(agency)
development/enactment...................................14
runreports(electronicinfosystems)......................30
S
safetydrills..............................................................24
sale(stateland).......................................................39
savingsbonds..........................................................71
SCAN(accountdetails/authorization).....................45
scheduledtasks(electronicinfosystems)..............30
schedules(recordsretention).................................94
Page116of118
scrapbooks(historyfiles)........................................11
scratchreports........................................................31
screenshot/snapshot..............................................86
secondary(duplicate)copies..................................96
security(access/authorization)
electronicinformationsystems..........................35
securitymicrofilm...................................seeGlossary
seminars(agencyorganized)..................................25
senioritydates........................................................75
servicing
equipment..........................................................42
motorvehicles....................................................43
SFGENPUR008.......................................................7
sharedleave............................................................60
shelflist(libraries)...................................................83
shipping(mail)........................................................84
shorthand/stenotypenotes....................................97
sitesupportfiles.....................................................34
socialnetworking..............................................11,18
software
manuals..............................................................34
reviewfiles..........................................................34
reviews................................................................34
sourcecode(informationsystems)........................33
sourcematerials(forms).........................................81
sourcerecords
imaged/digitized...........................................90,91
migrated.............................................................91
spaceallocationplans.............................................29
spam(unsolicitedemail).........................................96
specialcollections(libraries)...................................83
specialneeds(employees)......................................63
specifications(systems)..........................................35
speeches(agencyhead/executivelevel)................14
staffmeetings.........................................................19
standards(microfilm)........................................89,90
StateAuditorsOffice
audits/whistleblowerinvestigations..................47
StateRecordsCommittee(LRC)..............seeGlossary
statements(bank)...................................................48
statistics..................................................................16
statutes...................................................................23
strategicplans.........................................................14
studentwaiver(retirementplans)..........................74
studies
major..................................................................14
subjectfiles
executivelevel....................................................15
general................................................................20
subpoenas...............................................................22
suggestions(employees).........................................18
summons.................................................................22
supervisorcopy(employeeinformationfile)..........73
supplies
disbursement......................................................43
inventories..........................................................43
requisitions...........................................................9
surveys(questionnaires)...................................16,20
system
development/modification(IT)....................30,35
documentation...................................................35
files.....................................................................34
specifications......................................................35
test......................................................................36
INDEXTO:
SUBJECTS
T
taxexemptbonds...................................................55
teamincentiveprogram(TIP).................................16
technical
assistancerequests.............................................31
programdocumentation....................................36
technologyinvestments..........................................33
telecommunications/telephones
authorizationrequests.......................................45
billing..................................................................45
logs......................................................................85
messages............................................................97
reports(usage)...................................................45
serviceorders/requests......................................45
terminations(employment)
exitinterviews....................................................79
reductionsinforce..............................................78
testdatabasefiles..................................................36
timesheets.............................................................60
TIP(TeamIncentiveProgram)................................16
titles(ownership)
land.....................................................................39
motorvehicles....................................................43
tollfreeusagereports(telephones).......................45
trackingsystems.....................................................31
training....................................................................25
announcements..................................................25
catalogs...............................................................25
completiondates................................................80
courseregistration..............................................80
dates...................................................................80
employee............................................................80
evaluationreport................................................80
Page117of118
files(onthejobtraining)....................................80
flyers...................................................................25
plan.....................................................................80
signupsheets.....................................................80
trainingcourses/materials................................25,26
transactionvalidation(electronic)..........................36
transitoryrecords...................................................97
transmittals
letters.................................................................97
recordscenters...................................................93
travel.......................................................................55
expensepaymentfiles........................................56
TreasurerAccountingSystemreports....................52
trustindenture(taxexemptbonds).......................55
tuitionreimbursement............................................61
U
underfillpositions..................................................75
unions(labor)..........................................................65
unsolicitedmail/email............................................96
unsuccessfulbids/proposals.....................................7
usage
computer......................................................30,34
motorvehicles/fleet...........................................44
network........................................................32,33
programdelivery................................................31
telecommunications...........................................45
V
validtransactionfiles..............................................36
VEBADocumentation..............................................62
vehicles
accidents.............................................................43
title/ownership...................................................43
usagelogs...........................................................44
vendors
bonds....................................................................8
history.................................................................50
payments............................................................56
registrationforms...............................................56
videorecordings.............seeaudio/visualrecordings
voicemail.................................................................97
voluntaryemployeebeneficiaryassociation..........62
volunteerfiles.........................................................76
workerscompensation......................................64
vouchers
disbursement......................................................57
journal.................................................................53
W
W2/W2GIRSforms.................................................53
W9IRSform...........................................................56
WAC(WashingtonAdministrativeCode)
wagereport.............................................................72
waivers(liability,insurance,holdharmless).............8
warranties.................................................................8
warrants
cancellations.......................................................71
registers..............................................................57
WashingtonAdministrativeCode(WAC)
WashingtonStateArchives
recordstransfer..................................................94
standards(microfilm).........................................90
waterrights(stateland)..........................................40
webpage/site
agencyaddress...................................................95
onlinecontent..............................................11,18
management..................................................86
whistleblowerinvestigations..................................47
workfiles.................................................................36
workplans...............................................................16
workerscompensation..........................................64
workforceplanning(affirmativeaction).................63
workingfiles
administrative.....................................................16
audits..................................................................46
budgetpreparation............................................50
writtenpresentations(agencyexecutives).............14
Y
Y2K/Year2000projectfiles.....................................37
INDEXTO:
SUBJECTS
Page118of118

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Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives

Office of the Secretary of State

Washington State Archives