Schedule No. 110* Agency-Specific Records
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Issued: July 2012
Updated: November 2020
General Description: This schedule provides unique record types that reside in various specific Denver agencies.
No record may be destroyed under this General Retention Schedule without the approval from the Records Department and the City and County of Denver’s Records Manager. Additionally, no record may be destroyed if the record is subject to an active litigation hold (refer to Executive Order 143-C). For additional information about the records program or records retention refer to Executive Order 143-B. The Records Management Program Policies and Procedures Manual for instruction about records creation, management, and disposition of individual records. The minimum retention periods specified in this schedule apply to the information contained within the record, regardless of the format of the record (paper, microfilm, electronic, etc.). Each agency must decide on the format for retention of each type of record, ensuring authenticity, readability, and accessibility for the entire retention period. Duplicate copies are NOT records. Copies that are created for administrative, convenience, reference or other purpose are NOT records and should be retained only until no longer useful. Electronic Records and Data must remain accessible, authentic, reliable, and useable through any kind of system change, update, or system end of life for the entire period of its retention, which shall be defined by information-type, as presented in this General Retention Schedule. Provided the data is an accurate representation of the information contained in the source documents from which the data was derived, the source documents need not be retained unless they contain other record information not contained in the electronic repository.
110.010* BOARD OF ADJUSTMENT FOR ZONING APPEALS RECORDS
Records relating to the Cease and Desist orders or denials of permits made by the Board of Adjustment for Zoning Appeals. Including address indexes, case files, recordings of meetings, appeals, written findings, and variances granted.
Retention: Permanent
110.020* BOARD OF ETHICS RECORDS
Records relating to the advice about ethics issues, complaints submitted by city employees or citizens about ethics issues regarding Denver city government personnel, investigation and decision-making documents.
- Complaint File Records
Communications that convey objections, dissatisfaction or disagreement with actions or positions of city employee which may constitute a violation of the Denver Code of Ethics. Records include but not limited to the complaint form, supporting documentations to the investigation of the complaint, decision-making by the board, etc.
- Immediate dismiss
Records relating to complaint that has no new precedents, the alleged violation is a minor or de minimis violation, the complaint is, on its face, frivolous, groundless, or brought for purposes of harassment, etc. [Reference: Code of Ethics Sec.2-56 (6)]
Retention: 2 years after case closed
- No new precedents
Records relating to complaint where no new precedents have been set by the board.
Retention: 4 years after case closed
- New precedents
Records relating to complaint where new precedents have been set by the board or the hearing decisions could derive major reference for future case study.
Retention: Permanent
- Request for Advisory Opinion Records
Records relating to the inquiries from citizens about whether an officer, official or employee has failed to comply with the Code of Ethics and or requests from city officers, officials or employees seeking waivers from compliance with specific provisions of the Code and other supporting documents of the requests.
- Immediate dismiss
Records relating to inquiry that is groundless and no opinion have been made.
Retention: 2 years after case closed
- No new precedents
Records relating to inquiry where no new precedents have been made in the opinion.
Retention: 4 years after case closed
- New precedents
Records relating to inquiry where new precedents have been made by the board or the opinion of the inquiry could derive major reference for future case study.
Retention: Permanent
110.030* CIVIL SERVICE COMMISSION RECORDS
- Hearing Officer Decision and Orders Records
Records relating to decisions of appeals made by Civil Service Commission and or the Hearing Officers.
Retention: Permanent
- Examination Lists
Confidential records maintained for Commission use only. Records including date of examination, name of applicant, candidate identification number, examination scores and any other examination-related information deemed necessary by the Commission or Commission staff. [Reference: Civil Service Commission Rule 13]
Retention: Permanent
- Eligible Register
Records including names of applicants, respective examination scores, standing on the register, date the register was approved by the Commission, and such other information as the Commission may deem desirable. [Reference: Civil Service Commission Rule 13]
Retention: Permanent
- Minutes
Minutes of meetings including dates of meetings, names of attendees, record of official action taken on the correspondence or other matters coming before the Commission, and such other information as the Commission desires to make a matter of record. [Reference: Civil Service Commission Rule 13]
Retention: Permanent
- Personnel Roster
Records relating to official roster of the Civil Service Commission which includes the employment history in the classified service of each person who has been appointed to, employed, promoted, reduced, or reinstated in any position in the classified service, the number of officers in each grade within a department, and such other information as the Commission may deem desirable. [Reference: Civil Service Commission Rule 13]
Retention: Permanent
110.040 DENVER HUMAN SERVICES RECORDS
Records relating to public assistance programs that are offered to the Denver community. These programs help and protect people of all ages including abused and neglected children and adults by making sure they live in safe environments and help both individuals and families in crisis.
- Adoption Records
Including adoptee’s original birth certificate and amended birth certificate, final decree of adoption, “non-identifying” information, final order of relinquishment and order of termination of parental rights.
Retention: Permanent
- Audit Records
Annual or biennial cumulative audit or special audit reports prepared by external or internal auditors examining and verifying department activities. [General Reference: CRS 29-1-606]
Retention: Permanent
- Government Revenue Sharing Program File
Records pertaining to governmental programs allocating state or federal revenue sharing funds to Denver for specific purposes such as:
- Family and Adult Programs
- moved to c)
- Aid to the Blind Program (AB)
- Aid to the Needy Disabled (AND)
- Burial Assistance
- moved to f)
- moved to c)
- Food Assistance
- Housing Assistance
- Long Term Care
- Old Age Pension (OAP)
- Medical Assistance
- Financial
- Temporary Aid to Needy Families (TANF) or Colorado Works Program (CW)
Retention: 3 years after the case is closed plus the current year, and the claim is not marked “Y” for Yes and if it is marked “Y” the total amount of the claims are >-$1000 and there is no active fraud, investigation, or litigation ending in the case.
- Child Protection / Welfare (including Foster Families)
Retention: 6 years after the case is closed, or the youngest child turns age 21, whichever is longer.
- Others
- Child Support Services Medicaid and Medicare
- Veteran Services
- Family Crisis Center
- Assistance Case Records – Deceased Client
- Adult Protective Services, Elder Abuse
Retention: 3 years after case closed plus current year
- Low-Income Energy Assistance Program (LEAP), Heating Cost Assistance
Retention: 3 years plus current program year
- Merged with a)
- Colorado Child Care Assistance Program (CCAP)
Retention: 3 years plus current year
- Program Development Records
Records documenting the formulation and adoption of policies and procedures and the functions of the city or its departments. Includes narrative or statistical reports, related correspondence on program activities, organizational charts and mission statement studies regarding city or department operations, and records related to significant impact in which the city, departments or individual offices participated such as the Adoption Program.
Retention: Permanent
110.050* HEARINGS OFFICE RECORDS
Records relating to Career Service appeals under Career Service Rule 19, including discipline, disqualification, layoffs, whistleblower appeals, discrimination, and grievances.
- Appeals Case Records
An appeal is the formal complaint and process, by a City of Denver employee in the Career Service personnel system, in response to adverse agency actions as listed in CSR 19-10, “Actions Subject to Appeal.”
Appeal Records include the appeal, supporting documents, orders, pre-hearing statements, discovery, subpoenas, exhibits, correspondence, and decisions of the hearing officers.
Retention: 3 years after case closed or after all subsequent appeals, whichever is later.
- Hearing Office Decision and Orders Records
Retention: Permanent
110.060* MAYOR’S OFFICE FOR EDUCATION AND CHILDREN
Records relating to early childhood care and education, after school and summer programs and youth development program.
- Grant Records for Head Start Program
Records relating to grantee financial records, supporting documents, statistical records, and other records pertaining to the grant award. [Reference: Head Start Act 2007, 45 CFR 74.53, 45 CFR 92.42]
- Denver Great Kids Head Start Program
Retention: see #30.120*C
- Real Property and Equipment Records
Retention: 3 years after date of final disposition (i.e., the date the equipment or property was sold or otherwise disposed)
- Other Financial Records
Records including indirect cost rate proposals and computations, cost allocation plans and any similar accounting computations of the rate at which a group of costs is chargeable (such as computer usage charges, or composite fringe benefit costs)
Retention: 3 years after closed
110.070* OFFICE OF ECONOMIC DEVELOPMENT RECORDS
Records relating to the programs and services and funds organizations that support business retention and expansion, build sustainable neighborhoods, and connect people to jobs.
- Compliance Files - S/M/W/DBE
Records relating to the i) monitoring of S/M/W/DBE goals of the awarded contracts of SBE- Small Business Enterprise certification, MBE-Minority Business Enterprise certification, WBE- Women Business Enterprise certification, DBE-Disadvantaged Business Enterprise Certification, ii) participation dollar amounts, iii) percentage and the committed goal level upon which the contract was awarded are maintained within the terms of contract.
Records for Construction Compliance may include but are not limited to Letter of Intent, Contractor’s Certification of Payment (CCP), Instructions to Certification of Payment, Contractor’s Background Information Form, Schedule of Work, Change Order Form, Subcontractor’s Background Information Form, Final Release Form, Joint Venture Eligibility Form, Joint Venture Affidavit, etc.
Records for Professional Compliance may include by are not limited to Letter of Intent, Consultant’s Certification of Payment (CCP), Instructions to Certification of Payment, Contractor’s Background Information Form, Schedule of Work, Amendment/Task Order Form, Subconsultant’s Background Information Form, Joint Venture Eligibility Form, Joint Venture Affidavit, etc.
Retention: 6 years after expiration of covenant, expiration of contracts, fulfillment of all terms of the agreement/contract, or resolution of any disputes, whichever is later, provided that audit has been completed and agreement or contract no longer has any binding effect; except prior to destruction, evaluate legal, administrative or historical value.
- Enterprise Zone
Records documenting the creation and management of enterprise zones in conjunction with other jurisdictions to encourage business growth by providing tax, permit and regulatory relief to development within the zone.
Retention: 5 years except prior to destruction, evaluate legal, administrative or historical value.
- Program Development Records [Reference: 42 USC 5304 (g) Section 104(g), 16 USC 470 et seq. Section 106]
Records with long-term value documenting the establishment, evolution and rationales for programs that have significant impact to the history of Denver communities and residents. These programs include but are not limited to:
- Community Development Block Grant Program (CDBG)
- Community Development Block Grant Recovery Act (CDBG-R) under the American Recovery and Reinvestment Act (ARRA)
- Emergency Shelter Grants (ESG)
- HOME Investment Partnerships Program (HOME)
- Housing Opportunities for People with AIDS (HOPWA)
- Neighborhood Stabilization Program (NSP)
- Special Projects Appropriated Under an Appropriations Act for the US Department of Housing and Urban Development (HUD)
- Special Projects Appropriated Under an Appropriations Act for the US Department of Labor (USDOL)
- Workforce Investment Act (WIA)
- Wagner-Peyser (W-P)
- Other stimulus awards
Retention: Permanent
- Program Files – Business Services/ Business Development
Records relating to business recruitment, business retention and Office of Economic Development marketing.
Retention: 5 years except prior to destruction, evaluate legal, administrative or historical value.
- Program Files – DSBO
Records of new certification as required under the Uniform Certification Application, recertification, annual reviews, work code changes, denials, etc. of the following certification categories: [Reference: 49 C.F.R. Part 23, 26]
Airport Concession Disadvantage Business Enterprise (ACDBE) certification – this certification allows Denver area small businesses to compete for Concession-related business at the Denver International Airport.
Small Business Enterprise (SBE) certification – this certification allows Denver area small businesses to compete for Construction-related projects funded by the City & County of Denver.
Disadvantage Business Enterprise (DBE) certification – this certification allows Denver area small businesses to compete for U.S. Dept. of Transportation federally-funded projects throughout the state of Colorado (including airport, highway and transit contracts).
Minority/Women Business Enterprise (M/WBE) certification – this certification allows Denver area small businesses to compete for Construction-related projects funded by the City & County of Denver.
- Active records of certification and recertification
Retention: Permanent
- Denial records
Retention: 6 years except prior to destruction, evaluate legal, administrative or historical value.
- Inactive records – records with no activity in two consecutive years
Retention: 6 years except prior to destruction, evaluate legal, administrative or historical value.
- Records indicating permanently graduated from program
Retention: 6 years except prior to destruction, evaluate legal, administrative or historical value.
- Revoke certification records
Retention: 4 years after date of revocation except prior to destruction, evaluate legal, administrative or historical value.
- Program Files – Sustainable Communities Through Housing, Neighborhood Development and Business Lending
This record series consists of accepted proposals and applications, contracts, project reports, studies, certificates, agreements, memoranda, correspondence, and other records relating to receipt, review, award, evaluation, status and monitoring of grants; allocation of funds and project budgets.
Retention: 5 years beyond the Period of Affordability, activity Close-out Date in the Integrated Disbursement and Information System (IDIS), or the Inclusionary Housing Ordinance (IHO) Control Period, whichever is greater, except prior to destruction, evaluate legal, administrative or historical value.
- Program Files – Workforce Development
Records relating to the full-service employment and training agency that meets the recruiting and training needs of businesses, job seekers and youth throughout the metro Denver area. Records include the type of services provided to the needy family assistance through the Denver Human Services partnerships.
Retention: 6 years after the case closes or fulfillment of all terms of services whichever is later; except prior to destruction, evaluate legal, administrative or historical value.
110.080* OFFICE OF EMPLOYEE ASSISTANCE RECORDS
Records relating to counseling and referral services to all City employees, their dependents, limited positions, on-call positions, contractual employees, retirees in areas of drug and alcohol abuse, work and family issues, financial and legal matters, workplace violence training and consultation, etc. [Reference: Colorado Mental Health Code, Health Insurance Portability and Accountability Act (HIPAA)]
- Client Records
Records relating to counseling services for employees (full time/ contractual/ on-call/ limited positions), permanent employee’s dependents, retirees in areas of drug and alcohol abuse, work and family issues, financial and legal matters, relationship problems, stress, grief and loss, management consultation, Critical Incident Stress Management (CISM), workplace violence training and consultation, etc. [Reference: Department of Regulatory Agency in Licensed Marriage and Family Therapy (LMFT) Licensure]
Retention: 7 years
- Program Case File
Individual files developed from various in-house programs. Records may contain application form, approval notice, program related information and communications, etc.
Retention: 5 years after file closed
- Reports
Annual and quarterly reports on primary activities and accomplishments; may include statistics, narrative reports, graphs and diagrams.
Retention: Permanent
110.090* OFFICE OF THE INDEPENDENT MONITOR RECORDS
Records relating to community complaints regarding allegations of misconduct involving members of the Denver Police (DPD) and Sheriff Departments (DSD), and Internal Affairs Bureau (IAB) investigations of complaints against Denver law enforcement officers.
- Complaint Case Files
Records of allegations of discourtesy, improper procedure, inappropriate/unnecessary force, conduct prejudicial, discrimination/harassment/retaliations, etc. of a member of the Denver Police and Sheriff Departments. Records include complaint form, narratives/descriptions of complaint, supporting documents resulted from internal investigations and communications, conclusion of the complaint which can be categorized into i) Service Complaint/Informal, ii) Mediation, iii) Referral, iv) Decline or v) Formal IAB Investigation
Retention: 10 years after case closed
- OIM Reports
OIM annual reports or combined quarterly reports on the status of investigations and discipline relating to Denver Police and Denver Sheriff critical incidents include but not limited to police shootings and in-custody deaths, and citizen/internal complaints.
Retention: Permanent
- Recommendations, Findings and Supporting Documentation
Written findings or recommendations to Denver agencies rendered in an advisory or decision- making capacity; supporting documentation includes agenda item summaries and other documentation explaining the rationale for staff recommendations or presenting background information or the history of the recommendation.
Retention: 10 years, except retain those that have enduring historical or policy value permanently
Cross References
Civil Service Commission Rule 13 Colorado Mental Health Code Denver Code of Ethics
Health Insurance Portability and Accountability Act (HIPAA) Police records – Schedule 100, Public Safety Records