Schedule No. 40 General Administrative Records

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Issued: July 2012
Updated: July 23, 2013

General Description: This schedule addresses common records that are found across the organization, such, as agreements and contracts or project records.

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.

40.010 ADMINISTRATIVE PROCEEDINGS RECORDS

Records of formal administrative proceedings conducted by staff or an administrative hearing officer (possibly subject to appeal to the governing body or the courts) to make administrative rulings or determinations regarding a variety of matters (examples: sales tax exemptions, nuisance abatement's, storm water appeals, minor personnel matters not otherwise covered by the retention manual).

Retention: 3 years after proceeding concludes, provided that all rights of appeal have expired

40.020* AFFIDAVITS OF PUBLICATION

Proof of publication provided by newspapers regarding legal publications. Affidavits of publication are also sometimes known as "legals" or "proofs."

  1. Affidavits of Publication – Ordinances
    Affidavits of publication of ordinances of a general or permanent nature and those imposing any fine, penalty or forfeiture.

    Retention: 6 years or until ordinance is repealed or reenacted, whichever is later, or until ordinance is published and effective

  2. Other Affidavits of Publication
    Affidavits of publication other than those relating to ordinances.

    Retention: 6 years

40.030* AGREEMENTS AND CONTRACTS

Agreements and contracts of various kinds that document some form of agreement that is enforceable by law, including but not limited to intergovernmental agreements, memorandum of understanding, franchise agreements, lease agreements, professional services agreements,

vendors and concession agreements, facility and park usage agreements, etc. but not including agreements/contracts relating to activities and events having a duration of less than one (1) year.

See also 40.230*. A and 40.230*. F., Activities and Events – Short-Term Agreements, Contracts and Supporting Documentation.

  1. Regular Agreements and Contracts
    Service contracts, construction contracts, mortgage agreements and other general agreements with a termination date.

    Retention: 10 years after expiration, fulfillment of all terms of agreement/ contract or resolution of any disputes, whichever is later, provided that any contractually required audit has been completed and agreement or contract no longer has any binding effect; except prior to destruction, evaluate for continuing legal, administrative or historical value.

  2. Longer Term Agreements and Contracts
    Agreements and contracts which need to be held for longer than 10 years after expiration as determined by contract administrators or the City Attorney. This includes agreements for donations, agreements with contingencies, or anything with right of first refusal.

    Retention: 20 years after expiration, fulfillment of all terms of agreement/ contract or resolution of any disputes, whichever is later, provided that any contractually required audit has been completed and agreement or contract no longer has any binding effect; except prior to destruction, evaluate for continuing legal, administrative or historical value.

  3. Permanent and Historical Agreements and Contracts
    Intergovernmental agreements, real estate agreements, contracts deemed to be historical.

    Retention: Permanent.

40.040 AWARDS AND HONORS

Awards and honors received from various public or private sources.

Retention: Until no longer useful

40.050 CALENDARS

Records for routine planning and scheduling of meetings, appointments and similar activities; includes calendars, appointment books, diaries and similar records with routine content.

Retention: Until no longer needed for reference

40.060 CHARTERS AND SUPPORTING DOCUMENTATION

  1. Charter Proceedings
    Records relating to the adoption, amendment or repeal of Home Rule Charters or provisions of the Charter, including records of Charter conventions, and not including Charter initiative petitions.

    Retention: Permanent

  2. Charters – Published
    Governing documents for Home Rule Municipalities published separately or as part of the municipal code book.

    Retention: Permanent [Important Note: Charters are considered to be essential City and County records, and it is therefore recommended that the "record" copy be retained in electronic format.]

40.070 CODE BOOK RECORDS

  1. Codes Adopted by Reference
    Includes model traffic code, uniform and international building and construction codes, fire codes and supplements to such codes, and other similar codes adopted by ordinance.

    Retention: Permanent

  2. Codifications/Supplements
    All compilations of ordinances codified into a Municipal Code book and all supplements containing amendments to the initially adopted Code.

    Retention: Permanent

40.080 COMMITTEES – INTERNAL

Records of committees, task forces or similar groups composed of members of the staff that meet on an ongoing basis or that are set up for specific purposes. Examples include management teams, technology teams, policy teams, employee safety committees, budget strategy teams, etc.

  1. Ongoing Committees
    Retention: 3 years, provided that records have no enduring value

  2. Special Committees
    Retention: Until work of committee concludes, provided that records have no enduring value

40.090 COMPLAINTS, ROUTINE SERVICE REQUESTS AND NONBINDING PETITIONS

Communications that convey objections, dissatisfaction or disagreement with actions or positions taken or not taken; routine requests for service or information; and petitions with no legal effect that are submitted to express the opinions of the signers.

Retention: 2 years after response or action or 2 years if no response or action is required

40.100* ADMINISTRATIVE CITATION

Records related to written citations that are non-criminal tickets issued to individuals who do not correct violations of the City code. This includes parking tickets, Animal Citations, Restaurant Inspection Citations, Noise ordinance violation citation, Air ordinance violation citation, etc.

Retention: 4 years from date of issuance

40.110 EVENT RECORDS

Records pertaining to promotion and organization of special and historic community events or celebrations in which Denver has a role, such as festivals, fairs, rodeos, 4th of July celebrations, pioneer days, holiday display lighting, etc.

Retention: 2 years after event concludes

40.120 EXTERNAL GROUPS AND AGENCIES

Records such as meeting agendas and minutes, studies and reports and other material provided for courtesy or informational purposes from associations, organizations, groups and agencies that are not part of Denver, but which have some form of association or relationship with Denver.

Retention: Until no longer needed

40.130 FORMS – BLANK

Blank forms are not considered to be records and should be separated from the records.However, a master forms file may be maintained to track the evolution of the form and instructions regarding use of the form. See Appendix A

Retention: Until superseded, except retain 1 copy permanently if master forms file is maintained

40.140 HOUSEKEEPING FILES

Records of a general housekeeping nature that do not relate directly to the primary program responsibility of the office. Includes records such as charity fund drives, office parties, copies of custodial service requests, parking space assignments, telephone and fax logs, etc.

Retention: Until no longer needed for reference

40.150* INTELLECTUAL PROPERTY RECORDS

Records relating to copyrights, trademarks, service marks, seals, logos, taglines and other similar intellectual property. Note: These record types refer to Denver’s intellectual property records.

Other intellectual property records relating to its sponsors should be retained according to the contract retention requirements.

Retention: Permanent

40.160 LEGISLATION AND REGULATORY ACTIONS– EXTERNAL

Records such as review copies of proposed or adopted state or federal bills, legislation or regulations, notices of proposed rulemaking by federal or state agencies, etc.

Retention: Until no longer needed for reference

40.170* MAILING AND DISTRIBUTION RECORDS

  1. Envelopes
    Envelopes that contained communications.

    Retention: Dispose of immediately, unless needed as documentation of mailing and receipt dates

  2. Mailing Record
    Documentation of mailing dates, content of mailings, mailing and distribution lists for specific mailings; certified or registered mail return receipts; etc.

    Retention: 2 years

  3. Meeting Notification Lists
    Listings of persons who, within the previous 2 years, have requested advance notification of all meetings or meetings with specific content. [CRS 24-6-402(7)]

    Retention: Until updated

  4. Undeliverable Mailings
    Mailings (excluding mailed ballots) returned as undeliverable.

    Retention: 1 year after matter referenced in mailing is concluded

  5. Meter and permit usage records

    Retention: 1 year

40.180 MAPS, DRAWINGS AND SUPPORTING DOCUMENTATION

Final versions of architectural, cartographic, or other visual representations, such as maps, drawings, renderings, charts, photo-maps, field survey notes, architectural and engineering drawings; "as built" drawings of facilities; plats and plans; boundary maps, zoning district maps; USGS topographical maps of the area; other similar documents; and indexes or other finding aids.

Retention: Permanent

40.190 MAPS – INFORMATIONAL

Maps that are acquired from external sources and are used for reference and informational purposes, such as county maps.

Retention: Until superseded or no longer needed for reference

40.193 Memberships [Reference County Schedule 7.200]

Records of memberships that are paid for by the district for district officials, employees or the district as an organization in professional associations and organizations such as the County Association of Colorado, the Association of Records Managers and Administrators, the Colorado State Fire Chiefs Association, and similar professional or special district associations and organizations.

Retention: 2 years

40.200* OPEN RECORDS REQUESTS AND SUPPORTING DOCUMENTATION

Formal requests for records submitted in accordance with state law and supporting documentation relating to the response to or denial of the request.

Retention: 1 year after request is answered

40.210 ORGANIZATION FILES

Records that document the incorporation of Denver or statutory or home rule status, reorganization studies and similar information about organizational structure or legal status.

Retention: Permanent [Important Note: Incorporation papers are considered to be essential Denver records, and it is therefore recommended that the "record" copy be retained in paper format.]

40.220* POLICIES AND PROCEDURES DOCUMENTATION

Written directives, instructions, rules and guidelines documenting policies and procedures, including departmental or organization-wide directives or orders, policy or operations manuals, instruction manuals, handbooks and memoranda setting out responsibilities and guidelines or outlining policies and procedures.

  1. Clerical or Other Routine Manuals

    Retention:
    2 years after superseded or obsolete

  2. Policies and Procedures and Supporting Documentation
    Documentation, including written materials such as personnel policy manuals and standard operating procedures, that have value in determining current and past policies or procedures in liability cases, personnel disputes, and other circumstances; includes supporting documentation relating to the development, formulation, establishment, rationale, approval and implementation of such policies and procedures.

    Retention: Until superseded + 5 years except retain permanently on historical and vital value

40.230* PROGRAM RECORDS

Records pertaining to program development and ongoing or special events or activities held at facilities.

  1. Activities and Events – Short-Term Agreements, Contracts and Supporting Documentation
    Contracts, agreements and supporting documentation relating to entertainment, sporting events, performances, shows, displays of artwork, room rentals, equipment rentals and similar activities and events that have a duration of less than one (1) year.

    Retention: 2 years after activity or event, provided that any contractually required audit has been completed

  2. Facility and Program Use Records
    Records relating to registration and admission to programs conducted by Denver, annual or seasonal passes for recreational programs, program, and event descriptions, etc.

    Retention: 2 years after use, provided that any contractually required audit has been completed

  3. Liability Waivers
    Forms signed by program participants to release Denver from any liability related to various activities.

    Retention: 3 years

  4. Incident Reports
    Reports of incidents that may happen during the course of programs, events, activities, etc., that are exceptions to the normal course of business, such as rescue, accident or injury incident reports.

    Retention: 3 years

  5. Program Development Records
    I*) Records with long-term value documenting the establishment, evolution and rationale for programs. Examples of "programs" include transmission line undergrounding program, neighborhood watch program, energy efficiency program, graffiti removal program, spring clean-up program, pothole patrol program, sister city program and similar coordinated activities.

    Retention: Permanent

    II*) Records documenting the planning, development, implementation, administration and evaluation of in-house programs.

    Retention: 3 years

  6. Work of Art and Other Copyrighted Material

    A contract indicating City’s ownership or interest in a work of art or other copyrighted material that was created (fixed in tangible form for the first time) on or after January 1, 1978.

    Retention: Author’s life plus an additional 70 years after the author’s death. In the case of “a joint work prepared by two or more authors who did not work for hire,” the retention period is 70 years after the last surviving author’s death. For works made for hire, and for anonymous and pseudonymous works (unless the author’s identity is revealed in Copyright Office records), the retention period is 95 years from publication or 120 years from creation, whichever is shorter. Speak with CAO to determine retention period for contracts pertaining to copyrighted material created before 1978 but generally the retention period is expected to be 70 years at a minimum.

40.240 *NON-O&M Project Files

  1. Non-O&M (Operational and Maintenance) Project Files
    Records of non-operational and -maintenance projects such as capital projects, professional services relating to capital improvements and projects relating to the design, engineering, construction, major repair, renovation or demolition of structures, buildings, facilities, bridges, streets and roadways, utility system features, public works, parks, stormwater and storm drainage facilities, dams and reservoirs, other water projects, fiber optics and communication structures and other infrastructure. Project files may include documentation such as final project reports, specifications and contract documents, certificates of insurance, project-related permits and licenses issued by other entities, notices to proceed and of final settlement, project pay estimates, change orders and general documentation. [General Reference: CRS 24-16-105; project cost records are to be retained for 6 years after project completion.]

    Retention: 8 years after project completion, except that routine material may be purged when eligible for destruction under this Retention Schedule and except that, prior to destruction, records must be evaluated for continuing legal, administrative, or historical value. [NOTE: Records with facility maintenance value as determined by record custodian should be kept for the life of facility. Records include but are not limited to the final record drawings, system schematics, shop drawings, diagrams showing layouts, designs, plans, patterns and configuration for systems and equipment; engineering studies, plans and reports; maps, diagrams, profiles, photographs, drawings and supporting documentation showing locations of utility production, transmission and distribution facilities as constructed or as proposed; soil condition reports; survey field books documenting survey methodologies and activities; topographic surveys; and similar records.]

  2. Project Bonds
    1. Labor and Materials Bonds
      Surety or other types of bonds received from contractors to guarantee payment by the contractor to workers, subcontractors, and suppliers.

      Retention: 6 years after expiration or project completion, whichever is later

    2. Performance and Payment Bonds
      Surety or other types of bonds received from contractors to guarantee performance and payments for projects.

      Retention: 2 years after expiration of warranty period or project completion, whichever is later
  3. Project Control Files
    Contain routine memoranda, preliminary reports and other general documentation and records documenting assignments and the progress of projects. Note: Does not include final reports, which are to be retained as part of the project file (see above).

    Retention: 1 year after project is closed

40.241* O&M (Operational and Maintenance) Project Files

  1. Operational and Maintenance Projects
    Records relating to operational and maintenance "projects" that do not relate to capital improvements, i.e., these would typically be working files documenting an activity, plan, program, assignment, new undertaking, etc. Records of projects, goods and services acquired relating to operational and maintenance improvements to assets of Denver;design, engineering, construction, repair and/or maintenance of Denver owned buildings, facilities, roadways, utilities, public works and other infrastructure. Project files may include documentation such as final project reports, specifications and contract documents, notices to proceed and of final settlement, project pay estimates, change orders and correspondence and general documentation.

    Retention: 3 years after project completion, provided there is no legal or administrative value. [NOTE: Records with facility maintenance value as determined by record custodian should be kept for the life of facility. Records include but are not limited to the final record drawings, system schematics, shop drawings, diagrams showing layouts, designs, plans, patterns and configuration for systems and equipment; engineering studies, plans and reports; maps, diagrams, profiles, photographs, drawings and supporting documentation showing locations of utility production, transmission and distribution facilities as constructed or as proposed; soil condition reports; survey field books documenting survey methodologies and activities; topographic surveys; and similar records.]

  2. Project Bonds
    1. Labor and Materials Bonds
      Surety or other types of bonds received from contractors to guarantee payment by the contractor to workers, subcontractors, and suppliers.

      Retention: 6 years after expiration or project completion, whichever is later

    2. Performance and Payment Bonds
      Surety or other types of bonds received from contractors to guarantee performance and payments for district projects.

      Retention: 2 years after expiration of warranty period or project completion, whichever is later

  3. Project Control Files
    Contain routine memoranda, preliminary reports, and other general documentation and records documenting assignments and the progress of projects. Note: Does not include final reports, which are to be retained as part of the project file (see above).

    Retention: 1 year after project is closed

40.250* PUBLIC RELATIONS RECORDS

  1. A. Lobbying Records
    Records of official positions and lobbying efforts with regard to state or federal legislation or ballot measures, lobbyist registrations, City and County agencies’ written reviews, analyses or positions regarding legislation or regulations, etc.

    Retention: 4 years, except that resolutions adopting legislative positions are permanent

  2. News Releases
    1. Releases – Policy or Historical Value
      Prepared statements or announcements issued to the news media announcing events, new programs, program changes or termination, major shifts in policy and changes in officials or senior administrative personnel.

      Retention: 3 years after publication

    2. Releases – Routine
      Prepared statements or announcements of routine events, activities, etc.

      Retention: Retain for so long as Administrative Value

  3. Speeches and Public Comments
    Recorded speeches, addresses, and comments of public officials representing Denver at public venues, such as state of the city addresses. Includes only those with significant historical value, in any format, including paper, videotape, motion picture or tape recordings.

    Retention: Permanent

40.260 PUBLICATIONS

Material that has long-term historical or research value produced for wide internal or external distribution, including annual reports, brochures, pamphlets, leaflets, newsletters, instructional materials and similar materials.

Retention: One copy of each “Permanent”

40.270 RECORDS FINDING AIDS

Manual or automated indexes, lists, registers and other finding aids designed to make it easier to locate pertinent files or information.

Retention: Life of the record for which the finding aid is designed to facilitate use and retrieval

40.280* RECORDS MANAGEMENT

  1. PLANS AND POLICY DOCUMENTS See also Schedule 40.220*
    Plans and similar documents establishing the policies and procedures under which a records management program operates.

    Retention: Until superseded + 5 years

  2. RECORDS INVENTORIES
    List of inventories of the active and inactive records created or received by a Denver agency.

    Retention: Until superseded

  3. RECORDS CONTROL SCHEDULES
    Records relating to the General Records Retention Schedules and other internal quality control audit schedules including all successive versions of and amendments to schedules).

    Retention: Permanent

  4. RECORDS DESTRUCTION DOCUMENTATION
    Records documenting the destruction of records under records control schedules.

    Retention: Permanent

40.290 REPORTS

Written reports regarding operations or activities.

  1. Annual Reports
    Summary annual reports on primary activities and accomplishments for the previous year; may include statistics, narrative reports, graphs, and diagrams.

    Retention: Permanent

  2. Daily Reports
    Reports documenting daily activities.

    Retention: 2 years

  3. Monthly Reports
    Reports on activities and accomplishments for the previous month.

    Retention: 2 years

  4. Quarterly Reports
    Reports on activities and accomplishments for the previous three months.

    Retention: 3 years

  5. Weekly Reports
    Reports on activities and accomplishments for the previous week.

    Retention: 2 years

40.300 RETENTION SCHEDULES AND COMPLIANCE CERTIFICATES

Authorizations for the retention or disposition of records issued by the Records Management Committee and the Records Manager and certificates or other records of authorized destruction of records.

Retention: Permanent

40.310 RULES, REGULATIONS AND STANDARDS

Documentation of rules, regulations, standards and similar guidelines and requirements. Examples include building regulations and standards, subdivision and zoning regulations, cemetery rules and regulations, streets-cape standards, street and sidewalk construction standards, water and sewer line installation standards, mobile home standards, etc.

Retention: Permanent

40.320 SPECIAL DISTRICT RECORDS

Records pertaining to water, sanitation, flood control, urban drainage, metropolitan, airport, library, museum, fire, ambulance and other special districts that provide services, including service area plans, boundary maps, service agreements, intergovernmental agreements, memoranda of understanding, other agreements and contracts, and supporting documentation.

Retention: 6 years after agreement no longer has any binding effect, then evaluate for continuing value prior to destruction

40.330 STUDIES, PLANS AND REPORTS

Documents providing detailed examinations of specific topics of interest to Denver. Examples include feasibility studies, planning and land use studies, basin plans, capital projects reports, transportation system plans, master street plans and similar documents that have long-term reference or historical value. Studies, plans and reports prepared by or on behalf of other entities, and which include information of interest to Denver, should be evaluated for long-term reference or historical value.

Retention: Permanent

40.340 SURVEYS CONDUCTED BY THE CITY AND COUNTY OF DENVER AGENCIES

  1. Compilations

    Retention: Permanent

  2. Survey Responses

    Retention:
    2 years after compilation is complete

40.350* VEHICLE ASSIGNMENT

Assignment logs, authorizations, and similar records relating to the assignment and use of government-owned vehicles by employees.

Retention: 2 years

40.360* NOTICE OF VIOLATION

Records related to written notification to public informing them of an unlawful transgression on their part. This includes Notice of Violation, Notice to License, etc.

Retention: 3 years from date of issuance

Cross References

Electronic records – 55.040*, Electronic Records in General

Information technology projects – 55.060, Project Records– Information Technology and Communication Systems Licenses and permits – Schedule 75, Licenses and Permits

Minutes – 20.060*, Minutes and Supporting Documentation; 45.090*,Minutes and Supporting Documentation News clippings – 50.050*, Newspapers and News Clippings – Local; 50.080, Scrapbooks

Cross References

Electronic records– 55.040*, Electronic Records in General

Information technology projects – 55.060, Project Records – Information Technology and Communication Systems Licenses and permits – Schedule 75, Licenses and Permits

Minutes – 20.060*, Minutes and Supporting Documentation; 45.090*, Minutes and Supporting Documentation News clippings – 50.050*, Newspapers and News Clippings – Local; 50.080, Scrapbooks