Chapter 12

12-308. Administrative Regulation Background Files. A. Description: Used for the general operation of agency programs. Information includes regulations; instructions; other issuances that establish methods to administer an agency’s mission, functions, and responsibilities; and ot…

12-309. Agency Annual Reports. A. Description: Published report of agency activities made annually to the General Assembly. Information includes financial summaries, objectives, goals, and other data concerning the agency during the fiscal year. Most annual reports contain an org…

12-310. Agency Publications. A. Description: Printed material published by state agencies for internal and external distribution. This series includes directories, manuals, research reports, surveys, and other agency publications (except annual report). B. Retention: (1) Agency’s…

12-311. Agency Organizational Charts. A. Description: Reflect the organizational structure of the agency and its divisions. Information includes a diagram which shows a systematic and symbolic arrangement of an agency’s divisions and program areas by name and function. B. Retenti…

12-312. Attorney General Opinions. A. Description: Official opinions issued by the Attorney General or his assistants. These are legal interpretations written upon request of an agency to guide in enforcing and obeying the law. Also included is related correspondence. The record …

12-313. Calendars. A. Description: Used to keep track of work related events and commitments of agency staff members. Information includes daily appointment books, calendars, and other records indicating dates for meetings and work activities. B. Retention: Until no longer needed…

12-314. Computer Utilization Summaries. A. Description: Generated to determine staff use of an agency’s computer systems. Information details the total time the system is used, amount of individual staff time the system is used, and total time work stations are used (including jo…

12-315. Conferences, Workshops, And Seminars (Agency Sponsored). A. Description: Files concerning each conference, workshop or seminar sponsored by the agency. Information includes registration material, letters, brochures, lists of restaurants, hotel listings, and other related …

12-316. Deeds and Leases to State Property Files. A. Description: Document deeds and leases to real property owned or used by the state. Information includes description and location of the property, maps, sale agreements, land acquisition forms, deeds, lease agreements, and rela…

12-317. General Correspondence (Non-Executive Levels). A. Description: Routine correspondence created or retained below the levels of agency director, deputy director and division director. Letters and memoranda reflect communications regarding program procedures, general work ac…

12-318. Information Technology Plans. A. Description: Prepared by state agencies outlining their anticipated needs for information technology. Plans reflect information requirements, equipment needs, service specifications, cost, and technology purchase requests. The record copy …

12-319. Internal Management Policy and Procedure Files. A. Description: Policies, procedural directives and manuals developed by the agency to govern its internal management functions such as payroll, procurement, personnel administration, equipment inventory, and other internal …

12-320. Legislative Reference File. A. Description: Records pertaining to bills, prospective legislation and laws. Information includes bill and supporting material concerning proposed legislation, such as newspaper clippings, reports, and correspondence. The series also includes…

12-321. Litigation Case Files. A. Description: Document judicial proceedings, which involve the agency. Files include some or all of the following documents: affidavits, summons and complaints, responses, orders of dismissals, notice and general appeal, laws and regulations apply…

12-322. Mailing Lists. A. Description: Used to record the names and addresses of clients and other persons with whom the agency has regular contact. Information includes mailing lists, and registers concerning employees, officials, and constituents, whom agency staff communicate …

12-323. Meeting Minutes (Boards And Commissions Of State Agencies). A. Description: Records of official proceedings of state agency governing bodies. Information includes agenda, date, place, list of attendees, and a summary of discussion and decisions. Official minutes also incl…

12-324. Motor Vehicle Insurance. A. Description: Record of motor vehicle insurance retained by an agency. It includes insurance policies which list effective policy dates, amounts of coverage, number of vehicles covered, and rate. Also included are notes, correspondence and other…

12-325. Motor Vehicle Operations And Maintenance Files. A. Description: Files of motor vehicle operations and maintenance. Included are requests for state vehicles, vehicles inspection/use reports, motor vehicle accident reports, motor vehicle inventories, and other related infor…

12-326. Permanent Improvement Files. A. Description: Files concern construction of and permanent improvements to the agency’s facilities. Information includes project proposal, capital improvement requests, authorizations to execute construction contracts, cost estimates, constru…

12-327. Photographs. A. Description: Photographic proofs and negatives of agency activities. Photographs may include identification according to time, place, and agency activity. B. Retention: (1) Agency: Until no longer needed for reference. (2) State Archives: Selection of need…

12-328. Property Inventories. A. Description: Itemized lists of fixed assets (except land and buildings) completed by state agencies. Information includes inventories of equipment, furniture, and other similar property. B. Retention: 3 years; destroy. HISTORY: Added by State Regi…

12-329. Public Relations File. A. Description: Information concerning agency publicity. Included are press releases, biographies, newspaper clippings, promotional materials, bulletins, broadcast scripts, photographs, visual documen- tation, and other related items. B. Retention: …

12-330. Disaster/Emergency Preparedness and Recovery Plans. A. Description: Document the plans for protection and reestablishment of agency services and equipment in case of disaster. Information includes plan, procedures, checklists, and emergency phone numbers and addresses. B.…

12-331. Records Management Files. A. Description: Files related to an agency’s records management program. Included are records retention schedules, guidelines, information concerning records inventory and scheduling, records transfers, microfilm applications, disposal notices, a…

12-332. Speeches (Executive Levels). A. Description: Drafts and final copies of speeches given by an agency director, deputy director and division directors. Speeches may concern policy issues, strategic planning, legislation concerning the agency, and other related topics. B. Re…

12-333. Speeches (Non-Executive Levels). A. Description: Drafts and final copies of speeches given by employees below the agency director, deputy director and division directors’ level. Speeches concern program procedure, work activities, and related topics. B. Retention: Until n…

12-334. Surveys/Maps. A. Description: Developed by an agency to carry out its mission and function. Information concerns roads, boundaries, property lines, corners, monuments, road marker placements, structures, sites, and other related data. B. Retention: (1) Agency: Until no lo…

12-335. Telephone Logs. A. Description: Listing of telephone calls made by agency personnel for a particular time period. Logs reflect date, time, caller, recipient of call, and nature of business discussed. B. Retention: 3 years and until reconciliation of telephone billing; des…

12-336. Work Reports. A. Description: Reports of work activities performed by personnel carrying out regular or special duties. Series does not include published project reports or reports to the Governor or General Assembly. These documents reflect dates, person responsible for …

12-400. Introduction and General Matters; Application of Schedule. The following general records retention schedule contains minimum retention periods for the official copy of the agency’s records. These retentions and dispositions apply regardless of physical format, i.e., paper…

12-406. Employer Status Reports (Unemployment Compensation). A. Description: Reports from an individual agency to the Employment Security Commission which are used by the Employment Security Commission to determine the liability or non-liability of agency for payment of unemploym…

12-407. Employment Applications (Not Hired). A. Description: Completed employment applications and personal resumes of applicants who were not hired by agency. Information includes applicant’s name, address, Social Security Number, position applied for, educational background, wo…

12-408. Employment Data Analysis By Sex and Race. A. Description: A statistical breakdown of information concerning state employees by type, num- ber, salary, and percentages of minority personnel. Information includes type of employees such as officials/administrators, professio…

12-409. Equal Employment Opportunity Report. A. Description: Documents the job classification and compensation of all agency personnel. Information includes class code, slot, name, Social Security Number, employee number, pay rate, state/federal funding, race and sex. B. Retentio…

12-410. Equal Employment Opportunity Reporting and Personnel Research Forms. A. Description: Forms completed by applicants for state employment as part of their employment application. Information includes statistics on job applicants which are reported annually to the State Huma…

12-411. Grievance Files. A. Description: Document grievance proceedings initiated by state employees. Information in- cludes copies of each grievant’s original grievance filing, copies of the decisions rendered at each level of the grievance procedure, copies of the grievance and…

12-412. Job Announcements (Vacancies). A. Description: Announcements concerning job openings in state government. Information in- cludes title of position, salary or grade range (merit system classification), description of job duties, closing date, and to whom applications shoul…

12-413. Job Classifications. A. Description: A listing of all job positions classified by the Office of Human Resources. Information includes position qualifications, pay grades, and duties for positions in state service. The record copy of this series is scheduled by the State A…

12-414. Leave Records. A. Description: Record of the amount of leave earned and taken by agency employees. Informa- tion includes employee’s name, type of leave (annual, sick, other), service date, Social Security Number, amount of leave earned and charged, and leave balances for…

12-415. Leave Slips. A. Description: Forms completed by agency employees to request time off from work. Information includes employee’s name, Social Security Number, type of leave, number of days or hours requested, date requested, and employee’s signature. B. Retention: 3 years;…

12-416. Personnel Administrative File. A. Description: File concerns administration of personnel policy. Information includes correspon- dence, reports, memoranda, and other records regarding personnel procedures. B. Retention: Until superseded, updated, or no longer needed for r…

12-417. Personnel Files (Active & Terminated). A. Description: Personnel files of current and former employees of the agency. Information includes employment applications, letters of recommendation, employee awards, resumes, perform- ance appraisals, leave records, Employee Profi…

12-418. Personnel Policies and Procedures. A. Description: Policies and procedures issued by the agency or the State Budget and Control Board’s Office of Human Resources. Information includes employment application policy, classifica- tion and compensation plan, explanation of pe…

12-419. Statewide Personnel Information And Reporting System Files. A. Description: Used to monitor employment, salary adjustment, performance reviews, termi- nations, and other personnel activity. Reports include: Alphabetical Listing of Employees Sequenced by Agency, Employee N…

12-420. Time And Attendance Records. A. Description: Records concerning time worked by agency employees during a pay period. Information includes employee’s name, section or organization unit, employee number, pay period, total time worked, and employee’s signature. B. Retention:…

12-421. Vacancies File. A. Description: Documents position vacancies in agency. Information includes agency name, grade, classification title, salary range, hours worked per week, and pay rate of position. B. Retention: Until superseded or updated; destroy. HISTORY: Added by Stat…

12-422. Affirmative Action Plans and Progress Reports. A. Description: Affirmative Action Plans prepared by state agencies and Progress Reports used by the State Human Affairs Commission to monitor the implementation of these plans. Affirmative Action Plans reflect an agency’s pr…

12-423. Log and Summary of Occupational Injuries and Illnesses. A. Description: Record of work related injuries, illnesses, and deaths. Information includes case or file number, date of injury or onset of illness, employee’s name, occupation, department, description of injury, or…

12-500. Introduction and General Matters; Application of Schedule. The following general schedules contain minimum records retention periods for the official copy of the records. These retentions and dispositions apply regardless of physical format, i.e., paper, microfilm, electr…

12-501.1. Grantor and Grantee Index to Conveyances. A. Description: A finding aid to instruments in the conveyance book series. Information includes name of grantee and grantor, book and page number where document is recorded, day and year of execution, month, day and year of rec…