Pennsylvania Office of Administration

Transcription

1 Office of Enterprise s Management 1 : Official Personnel Files - Inactive P79 Official Personnel File STD No 0Y 75YY 1 * AGY - 60 days after inactive. P79-BOX P79 Boxes 1 No 0Y 75Y 1

2 Office of Enterprise s Management 2 : G001 Administrative s G Administrative Correspondence and Subject Files (Executive M No 2Y 0Y 2 Level) Executive level documentation of agency activities. May include organizational charts, reports, studies, correspondence, speeches, and other materials. * AGY - Retain 2 years after the end of the Governor's administration. G Policies and Procedures (Executive Level) M No 2Y 0Y 2 Executive level policies and procedures issued to address agency-wide operations, critical agency functions, or issues of public visibility or concern. May include directives, policy statements, printed or published procedures, manuals, bulletins, orders, rules, or notices. * AGY - Retain 2 years from when item is amended, rescinded. G Studies and Operational Plans (Executive Level) M No 2Y 0Y 2 Major administrative studies initiated at the executive level. May include but is not limited to: strategic plans, project design plans, surveys/questionnaires, charts, diagrams, statistics, preliminary analysis reports, research materials, drafts, and other documentation related to enterprise and agency projects, management studies, nonfiscal audits, and planning studies. * AGY - Retain 2 years after the end of the Governor's administration. G Official Recommendations/Appointment s (Executive Level) M No 2Y 0Y 2 A record of the procedure by which members are asked to do service by appointment or recommendation on any committee, council, board, or task force. May include: correspondence, appointment letters, instructions, and notices of termination or re-appointment. Does not include that information which resides in the official personnel folder. * AGY - Retain 2 years after the end of the Governor's administration. G Minutes of Meetings (Executive Level) M No 2Y 0Y 2 Official minutes, agendas, and supporting documentation of all state agencies, commissions, and boards. Information includes agenda, place, date, list of attendees, and a summary of discussions, decisions, and orders dictated by an agency. * AGY - Retain 2 years after the end of the Governor's administration

3 Office of Enterprise s Management 3 : G001 Administrative s G Administrative Correspondence and Subject Files (General Office) M No 3Y 0Y 3 G Routine correspondence concerning day-to-day office administration and activities. Includes correspondence between other agencies, correspondence with the public and staff, and internal meeting minutes. Does not include program correspondence, executive-level correspondence or correspondence concerning policies and procedures. Program Administration Files M No 2Y 0Y 2 This record series documents the administration of divisions, bureaus, offices, programs, and similar governmental organizations and usually is received or produced by the administrator and/or key staff. These records are part of official program files that serve as unique documentation of the functioning body for which the program exists. The files may consist of: correspondence and memos concerning program functions; program activity reports and statistics; files on the development and establishment of goals and objectives, plans, laws and regulations; and other related records. * AGY - Retain 2 years after the end of the Governor's administration. G Annual/Special Reports and Publications M No 1Y 0Y 2 Summaries and publications of important activities and accomplishments of an agency/commission/ board in narrative and statistical form. May include but is not limited to: documents, pamphlets, studies, brochures, books, annual reports, codes, regulations, journals, periodicals, or magazines published by or for the Commonwealth, its legislature, courts, constitutional offices, or any authority, board, commission, department or other state governmental agency or issued in conjunction with, or under contract with, the federal government, local units or government, private individuals, institution, or corporation. G * AGY - Upon issuance of report, transfer one copy to the State Archives. Retain all other copies as long as of administrative value. For publications, see the applicable management directive for submission of all Commonwealth publications. Accreditation s M No 2Y 0Y 2 Documents the accreditation process relating to an agency s program or programs as required by federal or state statute, or other professional organizations. Includes background support materials, correspondence, guidelines, reports, and procedures. * AGY - Retain 2 years or until superseded, then contact State Archives for appraisal.

4 Office of Enterprise s Management 4 : G001 Administrative s G Reorganization Studies M No 4Y 0Y 2 s documenting actual and proposed agency organizational structure. Includes organizational charts. G Complaint s M No 2Y 0Y 3 Documents complaints against the agencies. Includes complaint, investigatory materials, and related correspondence. G * AGY - Retain 2 years after resolution. If a complaint becomes the subject of litigation, it becomes subject to the minimum retention of the case file. Right-to-Know Law Files M No 2Y 0Y 1 G Files include written requests made under the Right-To-Know Law and all documents submitted with the request, the agency response, all related correspondence, tracking of requests, appeals, decisions, and other written communications. Requests for Information M No 2Y 0Y 1 G Letters, memos, telephone logs, copies of responses, and related records documenting requests for information from the public, the media, and other agencies. Does not include formal requests filed under the terms of the Right to Know Law. Presentation Materials M No 1Y 0Y 2 Materials created by or for an agency for use in briefings, demonstrations, classes, meetings, seminars, or training purposes (e.g., slides, overheads, flip charts, audio/video tapes, and handouts). * AGY - Retain 1 year or as long as of administrative value. Contact State Archives for appraisal. G Vendor Product Equipment Files M No 1Y 0Y 1 s may include: correspondence and manuals related to legal ownership and maintenance of agency equipment: legal titles, warranties, maintenance logs, etc. (Does not include records maintained in the General Accounting Schedule.) * AGY - Retain 1 year or until superseded or obsolete. G Professional Organizations and Conferences M No 2Y 0Y 1 Documents relating to membership/ participation/ attendance in professional organizations and conferences.

5 Office of Enterprise s Management 5 : G001 Administrative s G Calendars, Appointment Books, Routine Telephone Logs M No 1Y 0Y 1 A record of employee appointments, schedules, meetings, visitors, and telephone logs. * AGY - Retain current year plus 1 year. G Directories and Mailing Lists M No 0Y 0Y 3 Lists of current and former employees and/or phone listings, office listings or lists of contacts or service providers. * AGY - Retain until superseded or obsolete. G Transitory s M No 0Y 0Y 1 s that have little or no documentary or evidentiary value and that need not be set aside for future use; have short term administrative, legal or fiscal value and should be disposed of once that administrative, legal or fiscal use has expired; or are only useful for a short period of time, perhaps to ensure that a task is completed or to help prepare a final product. Depending on the context, transitory records may include, but are not limited to: 1) routing slips; voic and phone messages; 2) miscellaneous notices or memoranda; 3) information copies of widely distributed materials; 4) information received as part of a distribution list or e- mail messages received from list servers and other Internet sources, solely for convenience of reference; 6) preliminary drafts of letters, memoranda, or reports, and other informal materials that do not record decisions; 6) documents that are superseded or updated, (may not include official reports, newsletters, etc.); 7) duplicate copies of documents that are retained only for convenience or future distribution and user copies (not original document); 8) duplicate stocks of obsolete publications, pamphlets, or blank forms; 9) unsolicited advertising materials; 10) information in a form used for casual communication of a transitory nature; 11) information, copies or extracts of documents, received only for convenience of reference and which do not form part of the official record; and 12) memoranda (paper-based or ) pertaining to scheduling an event, with no long term value. * AGY - Retain as long as of administrative value. G Procedure Manuals M No 0Y 0Y 3 Procedures issued in a collective manual that govern the operation and administration of various programs within an agency. May include handbooks, desk manuals, and other instructive materials. * AGY -Retain until superseded or no longer in effect.

6 Office of Enterprise s Management 6 : G001 Administrative s G Contract Compliance s M No 4Y 0Y 1 s related to contract compliance. Contract compliance files contain: agency analysis, narrative reports, correspondence, and documentation related to compliance and noncompliance issues, action plans, and final determinations. s to be included in this record series include but not limited to: Bureau of Minority and Women Business Opportunity forms and associated records flied at agency level. Initial Contract Compliance Data (STD-21). Report on Contract Compliance Full Documentation/Onsite Audit (STD- 25). Questionnaire for Contract Compliance Review of Contractors/Grantees (STD-26). Monthly Contract Compliance Report for Construction Contractors (STD-28). Note: This records series does not include contract compliance (cc) plans or cc quarterly reports or other cc records if they are not related to a specific contract or grant. * AGY - After life of Contract. G Transmittal Copy M No 0Y 0Y 3 Copy of an official record created for the sole purpose of transmitting that copy to another agency or entity. * AGY - Destroy when no longer needed. G Transitory Files - Confidential M No 0Y 0Y 3 s similar to those identified in G , Transitory Files, except the contents of which for reasons of confidentiality, security, or privacy require special handling for their final disposition. * AGY - Retain as long as of administrative value. G Audio s of Public Meetings M No 0Y 0Y 6 Audio recordings of public meetings including Board and Committee Meetings (e.g. Audit, Finance, Appeals, Bylaws and Policy, Elections, etc.) Executive session is confidential.and is not audio recorded. Information captured may include: approval of the minutes from prior meeting; introductions; presentations and/or discussions from the public; Executive Director, Chief Counsel, and committee reports; votes on resolutions and actual discussions. Tapes are preserved for reference until transcribed and/or the minutes are approved at the next meeting. * AGY - Retain until the transcribed information and/or the minutes are approved by the Board and/or committee members.

7 Office of Enterprise s Management 7 : G001 Administrative s G Inventories M No 0Y 0Y 3 Inventories maintained by agencies of supplies or any other item that needs to be tracked. Does not include General Capital Assets, Capital Assets, Proprietary Funds or Low Value Assets entered into SAP (G ) * AGY - Retain until superseded or obsolete.

8 Office of Enterprise s Management 8 : G002 Press/Public Relations G Press Releases M No 4Y 0Y 2 Press or news releases, speeches and speeches issued by an agency to the media to inform the pubic about events, activities, and accomplishments. * AGY - Contact State Archives for appraisal after end of retention. G Public Relations M No 2Y 0Y 2 Information concerning agency publicity. May include biographies, promotional materials, broadcast scripts, and bulletins designed to provide information about agency activities. * AGY - Contact State Archives for appraisal after end of retention. G Invitations and Programs M No 2Y 0Y 2 Documents created for an official agency function. * AGY - Contact State Archives for appraisal after end of retention. G Memorabilia M No 1Y 0Y 2 s and materials with special value to an agency that relates to its history. Includes, but is not limited to scrapbooks, agency photographs, picture books, albums, slides, audio/videos, and digital images and albums. Note: All three-dimensional objects are subject to review by the staff of the Pennsylvania State Museum, for example: flags, plaques, etc. * AGY - Retain 1 year or as long as of administrative value. Contact State Archives for appraisal after end of retention.

9 Office of Enterprise s Management 9 : G003 Legislative G Legislative Correspondence M No 2Y 0Y 2 Correspondence relating to legislative issues, agency policies, or the agency s position on issues. May include correspondence with other agencies. * AGY - End of Legislative Session plus 2 years - Contact State Archives for appraisal after end of retention. G Legislative Bill Files M No 2Y 0Y 2 Copies of bills under consideration by the Legislature with possible significant impact on the agency. May include bill drafts, amendments, fiscal notes, memos, correspondence, committee reports, monitoring reports, and related records. * AGY - End of Legislative Session plus 2 years - Contact State Archives for appraisal after end of retention.

10 Office of Enterprise s Management 10 : G004 Legal G Litigation Case Files M No 5Y 7Y 1 Correspondence, court documents, research materials, reports, press releases, administrative litigation and other related information documenting agency litigation activities. * AGY - After case is closed. G Litigation Case Files - Precedent-Setting M No 5Y 7Y 4 G Correspondence, court documents, research materials, reports, press releases, and other related information documenting precedent-setting cases that directly affect an agency and its environs. In this context, precedent-setting means that the case impacted the previous status quo of the agency, its rules, way of doing business, etc. Legal Opinions M No 6Y 0Y 2 A record of published, formal opinions on legal matters directly relating to the activities of state agencies. * AGY - Contact State Archives for appraisal after end of retention. G Investigative Files M No 1Y 0Y 3 Documentation of internal investigations involving the agency, its officials, employees, or operations and policies. May include: intake documentation, complaint forms, interview notes, hearing transcripts, investigation reports, appeals, hearing proceedings, and related correspondence. * AGY - Retain 1 year after close of investigation. G Legal Issue Files M No 6Y 0Y 2 Files on legal issues of concern to a state agency. Interpretations of laws and policies, studies, reports, correspondence, copies of legal documents, and other materials pertaining to specific issues. * AGY - Issue resolved plus 6 years. Contact State Archives for appraisal after end of retention. G Sunshine Act Meeting Notices M No 2Y 5Y 1 Documentation of the Commonwealth s policy to insure the right of its citizens to have notice of and to attend all meetings of agencies at which any agency business is discussed or acted upon. Includes complaints, correspondence, and related forms. See also Management Directive, The Sunshine Act Meeting Notice.

11 Office of Enterprise s Management 11 : G004 Legal G Professional Licensure and Certification s M No 3Y 0Y 2 Documentation of the process to grant licenses or certifications to professionals. Includes application, testing documentation, background support materials, and related correspondence. * AGY - Retain 3 years from expiration or cancellation of license or certification. G Regulation Files M No 0Y 0Y 2 Regulations proposed by the agency, board, or commission within the agency. May include drafts, revisions and studies related to the regulation, information from public hearings, written public comments, fiscal notes, memos, correspondence, and other related records. * AGY - Retain until superseded or obsolete. G Third Party Subpoenas/Summons M No 3Y 0Y 3 Third party subpoenas and summons that do not fall under the Right-to-Know law. Files include written requests, agency responses, and correspondence. Documents may consist of confidential information, tracking of requests and related correspondence.

12 Office of Enterprise s Management 12 : G005 Grants G Grants Issued by the State - Successful Applications M No 1Y 7Y 1 Administrative Files Documentation of agency guidelines and grant programs. Includes grant announcement, applications, grantee evaluation summaries, notification of grant awards, fiscal reports, correspondence related to grant monitoring, audit reports, and related documentation. Also includes project status, and progress and compliance reports prepared and submitted by grantee. * AGY - Retain 1 year after completion of grant, then transfer to the State s Center. G Grants - Unfunded/Denied M No 1Y 0Y 3 Documentation of agency grant programs. Includes application and related documentation. * AGY - Grant application denied plus 1 year. G Grants Received by State Agencies M No 1Y 7Y 1 Documentation of grant projects, proposals and funds received and expended by state agencies. May include copies of Requests for Proposals (RFP s), applications, notifications of grant awards, fiscal reports and supporting documentation, reports and correspondence related to grant monitoring, audit reports, status reports. G * AGY - Retain 1 year after completion of grant or 1 year after retention period required by grantor, whichever period is longer, then transfer to State s Center. Grants Received by State Agencies - Final Reports M No 1Y 0Y 2 Copy of Final Report that is generated to document the deliverables of the program. * AGY - Contact State Archives for appraisal after end of retention.

13 Office of Enterprise s Management 13 : G006 Training G Course Information s M No 1Y 0Y 1 Memoranda, flyers, announcements, catalogs, and other records related to specific training courses created by an agency. Includes information on course content, program registration, instructor, credits, and hours. * AGY - Retain 1 year or as long as of administrative value. G Presentation/Training Development Files M No 1Y 0Y 1 A record of presentation of course material developed and gathered for use in training. May include reference material, outlines, handouts, notes, evaluations, overheads, audio/videos, computerized presentations, answer keys, feedback forms, etc. * AGY - Retain 1 year or as long as of administrative value. G Training Needs Assessment M No 1Y 0Y 1 Training plans, training development, and assessments on employee training needs. * AGY - Retain 1 year or as long as of administrative value.

14 Office of Enterprise s Management 14 : G007 Information Systems G Data Source s M No 0Y 0Y 2 Consists of original data source materials such as data input forms, records received from outside sources in non-sandard or transitional formats and records from existing files that have been selected for conversion into other formats or systems by a micrographic or an electronic system. Note: Data capture and verification policy and procedures should be detailed in the agency s systems documentation manual. G * AGY - Retain source documents until data capture is verified on the electronic record keeping system and not required for audit or legal purposes. For those records that may have permanent or archival value, contact State Archives for appraisal after data capture. Help Desk Tickets M No 5Y 0Y 1 Documentation of requests for technical assistance and responses to those requests, as well as information on the use of computer or telephone equipment for program delivery, security, and other purposes. * AGY - Retain active for 2 years after ticket is closed. Then transfer to inactive storage media for the remaining 3 years. G Computer Software Licensing Files M No 1Y 0Y 1 Documents proving the licensure and implementation of computer software programs by the agency. G * AGY - Retain 1 calendar year after the license contract or end user license agreement has expired, or 1 year after the software is no longer installed, then destroy. Computer Systems and Data Documentation M No 1Y 0Y 1 System Specifications, Data Documentation, and User and Operational Documentation describing system operations and data element dictionaries, file layouts, and user and operational documentation describing system operations. Includes but is not limited to system documentation records, user guides, system flowcharts, input/output specifications and source code used to operate and automated information system. Applies to serverbased, client-based, mainframe-based, and webbased systems. * AGY - Retain 1 year or until superseded or obsolete.

15 Office of Enterprise s Management 15 : G007 Information Systems G Test Data Base Files M No 0Y 0Y 1 Routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system. * AGY - Destroy when no longer needed, but not before acceptance of test results. G Output/Reports M No 0Y 0Y 1 Reports produced from the master file or database including information extracted, summarized or aggregated in either a specified predetermined format or ad hoc report. * AGY - Retain in accordance with related general or agency-specific records retention and disposition schedules. G Indexes M No 0Y 0Y 2 Electronic indexes, lists, registers, and other finding aids used to provide access to hard copy. G * AGY - Retain as long the corresponding materials, which are to be referenced by the finding aids, exist and are used. Indexes and tracking records for archival records are to be transferred to the State Archives along with the historical records. Convenience Databases and Spreadsheets M No 0Y 0Y 1 Created as tools to index or manipulate information contained in another record series. If the manipulation of the data has substantial value in and of itself, then it should be scheduled separately on the agency-specific records retention and disposition schedule. * AGY - Destroy when no longer needed. G Computer Master Purges M No 1M 0Y 2 G Collections of databases or information used to perform a major functional activity that has met their retention. Note: If systems are denoted as archival, retain and contact the State Archives. Computer Master Destruction M No 1M 0Y 1 s documenting the destruction of electronic files. G Computer Run Scheduling s M No 1M 0Y 1 s used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting the successful completion of a run.

16 Office of Enterprise s Management 16 : G007 Information Systems G Computer System and Database Backup Files M No 1M 0Y 1 G Copies of system files and databases and any other files and logs that are needed to restore a system and its data in the event of system or data loss. Network Usage and Security Files M No 1Y 0Y 1 G Electronic files or automated logs created to secure and monitor the use of the agency s network by its customers or network/internet usage by its employees, including, but not limited to, login records, security logs, firewall rules, and system usage files. Systems Users Access Files M No 0Y 0Y 1 Electronic textual records created to control or monitor an individual s access to a system and its data. Created for security purposes, including, but not limited to, user account records and access authorization files. * AGY - Retain until user no longer needs access to the system. G Web Pages - Internet and Intranet - Information Only M No 0Y 0Y 1 Original web pages and revisions to web pages that do not issue or contain changes to policies, procedures, and/or rules (i.e., calendar updates, meeting notices, operating hours, telephone lists, and other public announcements of an informational nature, not involving regulatory hearings bids, contracts or offers). * AGY - Destroy when no longer needed. G Web-based Forms M No 0Y 0Y 1 Forms used to capture data information. There may be instances where legal requirements may dictate that an individual image file (TIFF) be created for each web-filed form transaction, thus assuring the long-term viable, unalterable copy of the submission. G * AGY - All web-based forms and associated instructions must be scheduled and kept in accordance with the agency-specific records retention and disposition schedule or applications retention requirement. Web Snapshots/Site Inventory M No 0Y 0Y 1 Snapshot of entire website. * AGY - Retain as long as of administrative value.

17 Office of Enterprise s Management 17 : G007 Information Systems G Web Server Logs M No 1Y 0Y 1 G Electronic files or automated logs created to monitor access and use of service provided via the Internet, including but not limited to, services provided via agency site(s), FTP (file transfer protocol), World Wide Web site, or Telnet services. Aggregate logs are used to perform web statistics reporting. Web Statistics and Trends Reporting M No 2Y 0Y 1 Reports created by manipulating the web server logs to show web statistics and trends for agency web site(s).

18 Office of Enterprise s Management 18 : G008 s/forms Management G s Management M No 0Y 0Y 1 s generated in the operation of an agency records management program, documenting the creation, management, flow and disposition of state government records in accordance with state records management laws, policies, procedures and practices. Included are general and agency-specific records retention and disposition schedules, reports, guidelines, directives, forms used for records inventory and scheduling, records transfers, microfilm and filing equipment requests, reference requests, and other related information such as disposal notices, audit reports, vital records inventories, special studies, agency worksheets/notes, and other related information such as disposal notices, assessment and performance reports, vital records inventories, special studies, agency file plans, and other related records. * AGY - Retain as long as administrative value. G Forms Management M No 1Y 0Y 1 Documentation of state agency efforts to control and standardize form creation and design and to monitor the use of forms. Includes history files, order requests, inventory files, and all other information supporting the administration of an agency forms management program. Files may include correspondence, memoranda, reports, guidelines, articles, vendor information, sample forms, copies of internal policies and procedures, and other supporting documents related to forms design, management and control. * AGY - Life of form plus 1 year.

19 Office of Enterprise s Management 19 : G009 Security/Safety G Security Access Control s M No 1Y 0Y 3 Access controls for individuals and buildings, departments, rooms or areas. May include access lists, sign-in sheets, logs, registers, emergency contact lists, photographs, tracking reports and other supporting documentation. * AGY - If not required for investigation or litigation then destroy after 1 year. G Security Guard/Monitor Files M No 2Y 0Y 3 s (other than personnel or payroll) tracking daily assignments, duties, responsibility use, or control of building/department guards or security monitors. * AGY - 2 years after last entry or action, then destroy. G Security/Surveillance Tapes M No 1M 0Y 3 Audio or videotapes created during the monitoring of buildings or areas for security purposes. G Disaster Recovery Plans/ s/continuity Plans M No 1Y 0Y 3 Disaster recovery plans, vital records plans, emergency action plans, emergency contacts, telephone listings, and other supporting documentation. Retain a current copy at an off-site location. * AGY - Retain current plan and one previous version. G Evacuation Plans M No 1Y 0Y 3 Emergency evacuation plans for the building, office, or department. Retain current copy at an off-site location. * AGY - Retain current plan and one previous version. G Employee Safety M No 3Y 0Y 3 s produced, maintained, or collected by the agency, building, or agency safety coordinator in support of the accident and illness prevention program (AIPP), Management Directive This includes but is not limited to safety investigations, communications and training records. *AGY - Retain for three fiscal years.

20 Office of Enterprise s Management 20 : G009 Security/Safety G Medical Monitoring and Exposure s M No 30Y 0Y 3 Medical records pertaining to monitoring employees exposed to hazardous materials or chemicals for high level exposures. Documentation for any employee who was exposed to a chemical based on the exposure definition in the Pennsylvania Worker and Community Right-To-Know Act (P.L. 734, No. 159). G *AGY - Retain 30 Years from the date employee separates from employment, not the date of exposure or last medical monitoring report. Material Safety Data Sheets (MSDS) 1 No 0Y 0Y 1 Required by the Pennsylvania Worker and Community Right-to-Know Act (P.L. 734, No. 159), the MSDS lists every hazardous substance or hazardous mixture to which the employee work area may be exposed. The MSDS must be kept current for the products that are being used in the workplace. *AGY - Maintain current form unless it is designated as a Health and Exposure, then retain accordina to G G Hazardous Substance Survey Form (HSSF) 1 No 0Y 0Y 1 As required by the Pennsylvania Worker and Community Right-to-Know Act (P.L. 734, No. 159), agencies are required to complete a hazardous substance survey for each workplace, providing information on the hazardous substances present during the prior year. *AGY - Retain until superseded each year. G Environmental Hazard Survey Form (EHSF) M No 0Y 0Y 1 An EHSF is completed upon request by the Department of Labor & Industry. Annual update is not required. Agencies must keep a copy of the form on file at the workplace to which the form applies and their principal place of business. *AGY - Retain current form for the workplace. G AlertPA-Alerts and Notifications M No 1Y 0Y 6 Notifications issued by state agencies to provide employees, citizens, and partners with timely information to assist in making informed decisions and preparations regarding emergency and weather alerts, health notifications, tax notifications, and building alerts and updates. *AGY - Delete alerts and notifications after 1 full year of issuance.

21 Office of Enterprise s Management 21 : G009 Security/Safety G Reports Generated from AlertPA-Alerts and Notifications M No 2Y 0Y 6 Reports of alerts and notifications issued by state agencies to provide employees, citizens, and partners with timely information to assist in making informed decisions and preparations regarding emergency and weather alerts, health notifications, tax notifications, and building alerts and updates. *AGY- Maintain generated reports from the system for 2 years after issuance of alerts and notifications, then delete or destroy.

22 Office of Enterprise s Management 22 : G010 Facilities Management G Vehicle Management s M No 4Y 0Y 1 G s used to document agency use and maintenance of state vehicles. Includes maintenance invoices, reports, and supporting documentation. May include STD Monthly Automotive Reports. Surplus Property osition s M No 2Y 0Y 1 G copies of records that identify surplus property and its disposition. Includes request for disposal of surplus property, receipts, and copies of disposition reports. (STD Surplus Property osition and STD Surplus State Property ID Tags). Permit s M No 3Y 0Y 3 Documents any permits or authorizing documents for maintaining a facility and its systems or for any other special purpose. Includes inspection reports, permits, certifications, approvals, and related correspondence. * AGY - Retain 3 years from expiration or cancellation of permit. G Deeds for Property M No 0Y 0Y 4 Deeds, contracts, maps, surveys, policies on title insurance, abstract of titles, and other documents relating to real estate owned by the Commonwealth. G * AGY - As per the Management Directive titled, Preservation of Commonwealth Deeds, all agencies are to submit original Commonwealth Deeds and documentation to the State Archives for every real estate transaction. At a minimum, the names of grantor and grantee, transmittal date, description of property, county, and township, acreage, and Department of General Services (DGS) fixed asset number are to be submitted on official agency letterhead to the State Archives for every real estate transaction. The original record with accompanying documentation should reach the State Archives within 30 days of receipt of the DGS fixed asset number. Architectural Plans, Drawings, Maps, and Specifications M No 1Y 0Y 2 s consisting of architectural drawings, maps, and engineering plans produced or used in the course of agency business. * AGY - Retain 1 year or as long as of administrative value. When no longer needed, contact State Archives for appraisal. G Work Orders M No 1Y 0Y 1 Documents used to request the performance of maintenance or other services.

23 Office of Enterprise s Management 23 : G010 Facilities Management G Postal s M No 2Y 0Y 1 G s documenting transactions with the U.S. Postal Service and private carriers. s may include but are not limited to postage meter records, receipts for express deliveries, registered and certified mail, insured mail, special delivery receipts and forms, loss reports, and correspondence. Telecommunication s M No 3Y 0Y 1 G Documentation relating to the use of an agency s telecommunications system. Includes copies of supporting documents concerning the telecommunications provider, correspondence, telephone logs, billing documents, and reports. Space Allocation Planning Files M No 4Y 0Y 3 Space allocation plans and related documentation, including copies of requests, space and cost estimates, justifications, specifications, building, and floor plan layout drawings, and supporting documentation. * AGY - Completion of action plus 4 years. G Facility Maintenance and Operational Files M No 3Y 0Y 1 Operational maintenance manuals and fixed equipment manuals used in the maintenance and operation of a facility. * AGY - Superseded plus 3 years. G Fixed Assets Inventory Files M No 6Y 0Y 1 s documenting the purchase and ownership of major items of equipment. May include purchase orders for fixed assets, vouchers, inventory documents, and other records relating to the purchase, ownership, and disposition of fixed assets. * AGY - osition of asset plus 6 years.

24 Office of Enterprise s Management 24 : G100 Audits G Audits M No 7Y 0Y 1 All audit reports and audit-related information and documentation - including replies to the audit report and corrective action plans - for audits of administrative departments, boards, commissions, and local agencies by independent auditors (including the Department of the Auditor General), the Office of the Budget, Bureau of Audits, and agency audit organizations. G *Audited AGY - Retain 7 years after the audit issuance date or until all litigation, claims and audit issues have been resolved, whichever is longer. Audit Work Papers M No 7Y 0Y 1 s documenting an engagement (includes management reviews), performed in accordance with Generally Accepted Government Auditing Standards (or other professional standards), of an agency's or state grant contract recipient's financial accounts, processes, and compliance with grant contract requirements. Includes correspondence related to each engagement, the reports delivered to the agency, and any replies from the agency. G *Auditing AGY - Retain 7 years after the audit issuance date or until all audit issues have been resolved, whichever is longer. Audits of Subrecipients of Federal or Grants by External Auditors M No 3Y 0Y 1 Reports prepared by external auditors for subrecipients of federal or agency grants, including all audit-related information and documentation, replies to the audit report, and corrective action plans. *Grantor AGY - Retain 3 years after the audit issuance date, 3 years after all audit issues have been resolved, or for the specific retention period established by applicable federal or state audit requirements, whichever is longest.

25 Office of Enterprise s Management 25 : G101 Budget G Budget Files - Planned Projects M No 1Y 0Y 3 Includes records directly related to budget formulation Process, re-budget, and working papers for projects. *AGY - After discontinuation or completion and acceptance of project, whichever applies. G Budget Planning Documents M No 3Y 0Y 3 s retained by a Department, Board or Commission for reference purposes. Includes records directly related to budget formulation process such as Governor s Budget document, budget instructions, hearing materials, budget, re-budget, and working papers. *AGY - Or as long as of administrative value or until superseded.

26 Office of Enterprise s Management 26 : G102 Finance G Purchasing Card M No 4Y 0Y 3 s directly related to the Commonwealth s Purchasing Card Program. May include monthly statements, supporting documentation, reconciliations, delinquency reports, signature cards and any other related information. * AGY - Four years or until completion of the GAAP/Single Audits, whichever is longer. G Travel Card M No 4Y 0Y 3 Documents directly related to the Commonwealth s Travel Card. May include monthly statements, supporting documentation, reconciliations, delinquency records, signature cards and any other related information. * AGY - Four years or until completion of the GAAP/Single Audits, whichever is longer. G Merchant Services Program M No 4Y 0Y 3 Payment to financial institutions for debit/credit card acceptance for revenue. May also Include monthly statements, supporting documentation, reconciliations, and any other correspondence related to the Commonwealth s Merchant Services Program. * AGY - Four years or until completion of the GAAP/Single Audits, whichever is longer.

27 Office of Enterprise s Management 27 : G102 Finance G Executed Contract and Lease Administration Files M No 4Y 0Y 3 s relating to executed contracts, such as the contract, purchase order, lease, and related administration files including correspondence and documents pertaining to award, administration, receipt, Inspection and payment for the purchase of supplies, services or leased real property. This includes Memoranda of Understanding (MOU), Letters of Understanding (LOU), Memoranda of Agreement (MOA), Service Level Agreements (SLA), Intergovernmental Agreements (IGA) and other documents evidencing formal agreements between governmental agencies. Examples: The executed contract, all attached exhibits and any other official records generated as part of the negotiation and execution process (such as Contractor Responsibility Program (CRP) determinations, required certifications, etc.), change orders, change notices, contract amendments, work orders, all purchase orders issued against the contract, any notices of poor or non-performance, any notice of early termination. * AGY - 4 years after the end of the life of the contract or agreement. The issuing agency is responsible for keeping the official record, whether paper or electronic. Copies held by any agency may be destroyed when no longer of administrative value. Print Copies of electronic records are considered duplicates and therefore transitory (see G ).

28 Office of Enterprise s Management 28 : G102 Finance G Completed Acquisition and Awarded Procurement Process Files M No 4Y 0Y 3 s related to completed acquisitions or awarded procurements for supplies, services, or leased real property, which records were created or received prior to a selection memorandum being signed for an Request for Proposal (RFP), or an award being made pursuant to an Invitation for Bid (IFB), a Request for Quote (RFQ) or similar selection process, as well as any information created or received relating to a protest. Examples: Requests/Approvals for Sole Source and Emergency purchases; shopping cart requests, requisitions. The IFB or RFP, all Addenda/Flyers/Bulletins, all bids or proposals received for a solicitation (whether successful or not), any clarifications, letters or s that are sent out to all bidders/proposers, Best and Final Offer (BAFO) communications, Bid Tab or RFP Contractor Selection Memo, Non- selection letters, debriefing materials, A listing of the individuals on the Evaluation Committee and the individual final scores of each Committee member. Any written determinations required by the Procurement. * AGY -4 years after the end of the life of the resulting contract or completed acquisition. The issuing agency is responsible for keeping the official record, whether paper or electronic. Copies held by any agency may be destroyed when no longer of administrative value. Print copies of electronic records are considered duplicates and therefore transitory (see G ).

29 Office of Enterprise s Management 29 : G102 Finance G Unawarded/Cancelled Procurement Process Files M No 3Y 0Y 3 s related to cancelled or unawarded procurements for supplies, services, or leased real property, which records were created or received prior to cancellation or no award being made pursuant to an Invitation for Bid (IFB), Request for Proposal (RFP), Request for Quote (RFQ) or similar selection process, as well as any information created or received relating to a protest. This only relates to records created or received by an agency in response to a formal solicitation for a contract under the Procurement. Examples: Requests/Approvals for Sole Source and Emergency purchases; shopping cart requests, requisitions. The IFB or RFP, all Addenda/Flyers/Bulletins, all bids or proposals received for a solicitation, any clarifications, letters or s that are sent out to all bidders/proposers, Best and Final Offer (BAFO) communications, Bid Tab or RFP Contractor Selection Memo, Non-selection letters, debriefing materials. A listing of the individuals on the Evaluation Committee and the individual final scores of each Committee member. Any written determinations required by the Procurement. G * AGY - After cancellation/rejection of the procurement. The issuing agency is responsible for keeping the official record, whether paper or electronic Copies held by any agency may be destroyed when no longer of administrative value. Print copies of electronic records are considered duplicates and therefore transitory (see G ). Unfunded/Informal Applications and Proposals M No 0Y 0Y 1 s relating to applications, proposals or other offers of or requests for goods, services, funding or property that are not submitted to an agency in response to a formal procurement and which do not result in an agreement or funding and which the agency does not reasonably expect would result in an agreement or funding. Examples: Unsolicited proposals, documents submitted to request Commonwealth funds, responses to Requests for Information and Requests for Expressions of Interest from which no contract is awarded. * AGY - Retain as long as of administrative value.

30 Office of Enterprise s Management 30 : G103 Payroll G Affidavit to Procure Wages, Salary, Employee Benefits, or Travel M Yes 4Y 0Y 3 Expenses Due Deceased Employee The standard commonwealth form used by a surviving spouse, child, mother, father, sister, or brother to make a claim for wages, salary, benefits, or travel expense reimbursements, totaling $5,000 or less, due a deceased commonwealth employee. G *AGY - Official records retained by Office of Budget, Bureau of Commonwealth Payroll Operations through the end of the current fiscal year plus 4 additional years or until completion of GAAP and Single Audits, whichever is longer. Declaration of Use of a State-Provided Vehicle (formerly titled Notice of Vehicle Assignment) M Yes 4Y 0Y 1 The standard commonwealth form used by employees who have been assigned a state provided vehicle to identify their status as regular or control employees and to indicate the appropriate method for determining the value of the use of the vehicle for tax reporting purposes. G *AGY - Official records retained by Office of Budget, Bureau of Commonwealth Payroll Operations through the end of the current fiscal year plus 4 additional years or until completion of GAAP and Single Audits, whichever is longer. Employee Tax Files and Reports M Yes 7Y 0Y 3 Includes any documentation that must be filed or reported to a taxing authority regarding employee wages and salary, Including but not limited to: original and corrected wage and tax statements (W-2 and W-2c); original and corrected transmittals of wage and tax statements (W-3 and W-3c); original and corrected employer's quarterty federal tax return (941 and 941c); federal withholding, social security, and Medicare reports; state personal income tax reports; municipality W-2 reports; and Philadelphia wage tax W-2 reports. G *AGY - Official records retained in the commonwealth Human Resources/payroll enterprise resource planning system through the end of the current fiscal year plus 7 additional years. Payroll Journal M Yes 10Y 0Y 3 Includes documentation pertaining to payroll including, but not limited to: salaries; wages; wage overtime; and shift differential calculations; reconciliations; and quarterly and year to date employee payroll totals. *AGY - Official records retained in the commonwealth Human Resources/payroll enterprise resource planning system through the end of the current fiscal year plus 10 additional years.

31 Office of Enterprise s Management 31 : G103 Payroll G Payroll Accounts Receivable M Yes 7Y 0Y 3 Includes notification letters to current and separated employees regarding wage, salary, and other overpayments and employee debts owed to the commonwealth. Supporting documentation may include calculations, memos to agency program or legal personnel, human resources offices, and the State Employees Retirement System. G *AGY - Official records retained in the commonwealth Human Resources/payroll enterprise resource planning system through the end of the current fiscal year plus 7 additional years. Back Pay / Settlement Awards M Yes 10Y 0Y 3 Includes settlement agreements, calculations, and supporting documentation that may include, but is not limited to, statements of outside earnings, documentation of unemployment compensation or public assistance benefits received, and any other related reports. *AGY - Official records retained in the commonwealth Human Resources/payroll enterprise resource planning system through the end of the current fiscal year plus 10 additional years.

32 Office of Enterprise s Management 32 : G200 Human Resources G EEO Data Collection s M No 0Y 0Y 3 Forms, correspondence, and records related to the collection of Equal Opportunity Employment data. Federal law requires the Commonwealth of Pennsylvania to obtain information regarding racial identities of its employees. This information is used to ensure that the Commonwealth of Pennsylvania's Equal Opportunity program is effective and achieves equal employment opportunities for all employees. The information is confidential, will not be placed in an employee's personnel file, and is used for statistical purposes. * AGY - Destroy upon entering into SAP system. G of Conduct, Statement of Financial Interest M No 5Y 0Y 3 The Statement of Financial Interest and of Conduct is required under the Governor's Executive Order. It is not to be confused with items for the Employees' Ethics Act. The form contains office or position the person holds, business and personal monetary interest, real estate and employment and gift information.

33 Office of Enterprise s Management 33 : G205 Employee Benefits and Services G Workers Compensation Claim Report M No 4Y 0Y 3 G s that document reported work related injuries. These records are used to generate the Employer's Report of occupational injury or disease for the workers' compensation claims administrator. Workers' Compensation Files -Indemnity Claims M No 10Y 0Y 3 These records contain the claim file created to support the agency's administration of the workers' compensation claim for indemnity claims (those where the employee was disabled eight or more days). The retention of the files created and maintained by the third party workers' compensation claims administrator is subject to the retention schedule managed by the Office of Administration. In all cases, records are retained to meet the requirements of the Workers' Compensation Act. The 10 year retention is based on 10 years from the last activity on the file. *AGY - From last activity. G Workers' Compensation Files - Medical Only M No 3Y 0Y 3 These records contain the claim file created to support the agency's administration of the workers' compensation claim for medical claims (those where the employee was disabled less than eight days). The retention of the files created and maintained by the third party workers' compensation claims administrator is subject to the retention schedule managed by the Office of Administration. In all cases, records are retained to meet the requirements of the Workers' Compensation Act. The 3 year retention is based on 3 years from the last activity on the file. *AGY-From last activity.