Case Title: No Case: Judicial Branch Records Retention Schedule

Citation: 

Docket Number: 

State: florida

Court: Florida Supreme Court

Date: 2011-01-13T00:00:00Z

Document:
State of Florida 
JUDICIAL BRANCH RECORDS RETENTION SCHEDULE FOR ADMINISTRATIVE RECORDS 
GENERAL APPLICATION 
This record retention schedule does not impose a duty to create records contained in the 
schedule. The purpose of the schedule is to authorize destruction of records after the 
retention period has elapsed. The records custodian may retain records longer than required 
by the schedule. This schedule authorizes destruction of records unless otherwise provided 
by court rule. 
The retention period should be calculated from the time that the record is completed. For 
purposes of calculating the retention period, fiscal records should be considered completed 
at the end of a fiscal year. All retention periods are subject to the caveat “provided that 
applicable audits have been released.” 
 
The records custodian of the judicial branch entity that creates a record creates the “record 
copy” and is responsible for its retention in accordance with this schedule. The records 
custodian of the judicial branch entity that properly receives a record from outside the 
judicial branch has the “record copy” and is responsible for its retention in accordance with 
this schedule. Duplicates are only required to be retained until obsolete, superseded or 
administrative value is lost. 
“Record Series” means a group of related documents arranged under a single filing 
arrangement or kept together as a unit because they consist of the same form, relate to the 
same subject, result from the same activity, or have certain common characteristics. 
 
 
ACQUISITION RECORDS: LIBRARY 
This record series consists of information on the acquisition of library materials including: books, 
periodicals, filmstrips, software, compact discs, video/audio tapes, and other non-print media. This 
information may include the accession date and method, the publisher and cost, the date entered into the 
collection, dates removed from collection, and method of final disposal. 
RETENTION: Retain for life of material. 
 
ADMINISTRATIVE CONVENIENCE RECORDS 
This record series consists of a subject file, generally filed alphabetically, which is located away from the 
official files, such as in the Director’s and other supervisory offices. The file contains DUPLICATES of 
correspondence, reports, publications, memoranda, etc., and is used as a working file or reference file on 
subjects which are currently significant or which may become significant in the near future. The material 
filed in this series is NOT the official file or record copy but is maintained for the convenience of the 
officials in carrying out their elected or appointed duties. 
RETENTION: Retain until obsolete, superseded or administrative value is lost. 
 
 
ADMINISTRATIVE RECORDS: PUBLIC OFFICIALS/COURT ADMINISTRATORS 
This record series consists of office files documenting the substantive actions of elected or appointed 
officials and the court administrator. These records constitute the official record of a judicial branch 
entity’s performance of its functions and formulation of policy and program initiative. This series will 
include various types of records such as correspondence; memoranda; statements prepared for delivery 
at meetings, conventions or other public functions that are designed to advertise and promote programs, 
activities and policies of the judicial branch entity; interviews; and reports concerning development and 
implementation of activities of the judicial branch entity. “These records may have archival value.” 
RETENTION: 10 years. 
 
ADMINISTRATIVE SUPPORT RECORDS 
This record series consists of records accumulated relative to internal administrative activities rather than 
the functions for which the office exists. Normally, these records document procedures; the expenditure of 
funds, including budget material; day-to-day management of office personnel including training and travel; 
supplies, office services and equipment requests and receipts and other recorded experiences that do not 
serve as official documentation of the programs of the office. However, because the content of these 
records vary so greatly in content and value (containing some duplicates and record copies), a relatively 
large proportion of them are of continuing value and may be subject to the audit process. Note: Reference 
a more applicable records series first if one exists. “These records may have archival value.” 
RETENTION: 2 years. 
 
ADVERTISEMENTS: LEGAL 
This record series consists of advertisements which have appeared in newspapers or in the 
“Administrative Weekly” on matters pertaining to the judicial branch entity and other legal ads which may 
or may not indirectly affect the judicial branch entity; i.e., bid invitations for construction jobs, public 
hearings or notices, public sales. See also “BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL 
BID”, “BID RECORDS: CAPITAL IMPROVEMENT UNSUCCESSFUL BIDS” and “BID RECORDS: NON-
CAPITAL IMPROVEMENT.” 
RETENTION: 5 years. 
 
AFFIRMATIVE ACTION RECORDS 
This record series consists of copies of reports submitted to the Equal Employment Opportunity 
Commission (EEOC) per their requirements for the judicial branch entity’s affirmative action plan. It may 
also include discrimination complaints, correspondence and investigative papers pertaining to the judicial 
branch entity’s affirmative action plan. See also “EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE 
RECORDS.” 
RETENTION: 2 years. 
 
APPLICATIONS: GUARDIAN AD LITEM, MEDIATION, OTHERS 
This record series consists of applications, supporting documents, correspondence and reports relating to 
the application of a person to be certified as a mediator, a program to be approved to offer training for 
mediators, a volunteer to be approved by the Guardian ad Litem Program, or other persons or programs 
regulated in the judicial branch. 
RETENTION: 5 years after the person or program is no longer regulated by the judicial branch. 
 
APPLICATIONS: LIBRARY CARDS 
This record series consists of library card applications which must be renewed on an annual, bi-annual, or 
other basis. The application may include the patron’s name, address, telephone number, date of birth, as 
well as a statement of liability for the care and timely return of all materials checked out or utilized by the 
patron. 
RETENTION: Retain for 30 days after expiration. 
 
APPRAISALS: LAND PURCHASES (NOT PURCHASED) 
This record series consists of documents pertaining to land not purchased by a judicial branch entity and 
all supporting documents. See also “APPRAISALS: LAND PURCHASES (PURCHASED).” 
RETENTION: 3 years. 
 
APPRAISALS: LAND PURCHASES (PURCHASED) 
This record series consists of documents pertaining to land purchased by a judicial branch entity and all 
supporting documents. See also “APPRAISALS: LAND PURCHASES (NOT PURCHASED).” 
RETENTION: Retain as long as judicial branch entity retains property. 
 
ARCHITECTURAL PLANS/SPECIFICATIONS: PRELIMINARY DRAWINGS 
This record series consists of those graphic and engineering preliminary drawing records that depict 
conceptual as well as precise measured information essential for the planning and construction of 
facilities. 
RETENTION: Retain until completion and acceptance. 
 
ATTENDANCE AND LEAVE RECORDS 
This record series consists of requests or applications for vacation, sick, family medical leave (FMLA) and 
other types of leave including leave of absences, timesheets or timecards along with any required 
documentation (medical statements or excuses from a physician, jury duty summons, or military orders, 
etc.) submitted by an employee to document authorized absences. 
RETENTION: 3 years. 
 
AUDITS: INDEPENDENT 
This record series consists of a report issued by an independent auditor to establish the position of the 
judicial branch entity being audited against its standard of performance. See also, “AUDITS: INTERNAL,” 
“AUDITS:  STATE/FEDERAL” and “AUDITS: SUPPORTING DOCUMENTS.” 
RETENTION: 10 years. 
 
AUDITS: INTERNAL 
This record series consists of a report issued by an internal auditor to establish the position of a judicial 
branch entity being audited against its standard of performance. See also, “AUDITS: INDEPENDENT,” 
“AUDITS:  STATE/FEDERAL” and “AUDITS: SUPPORTING DOCUMENTS.” 
RETENTION: 3 years. 
 
AUDITS: STATE/FEDERAL 
This record series consists of a report issued by a federal or state auditor to establish the position of a 
judicial branch entity being audited against its standard of performance. See also, “AUDITS: 
INDEPENDENT,” “AUDITS:  INTERNAL” and “AUDITS: SUPPORTING DOCUMENTS.” “These records 
may have archival value.” 
RETENTION: 10 years. 
 
AUDITS: SUPPORTING DOCUMENTS 
This record series consists of the documentation and supporting documents used to develop the audit 
report with all bills, accounts, records and transactions. See also “AUDITS: INDEPENDENT,” “AUDITS: 
INTERNAL” and “AUDITS: STATE/FEDERAL.” 
RETENTION: 3 years. 
 
BACKGROUND/Security Checks 
This record series consists of background/security checks for potential new hires and promotions. These 
checks may include a background and driver’s license screening, reference check, and verification of 
academic standing. The files might include notices of not being hired based on the outcome of a security 
check and a opportunity for rebuttal. Supporting documentation consists of fingerprint cards, copy of the 
driver’s license, copy of the transcript release form, returned form reference letters, and other necessary 
information. 
RETENTION: 4 anniversary years. 
 
BANK ACCOUNT AUTHORIZATION RECORDS 
This record series consists of an authorization to maintain a bank account and who is authorized to sign 
off on the account. 
RETENTION: 1 year after superseded by new authorization. 
 
BAR APPLICANTS: ADMITTED 
This record series consists of bar applications, supporting documents, all investigative materials, of 
administrative value, correspondence, reports, and similar materials accumulated during the bar 
admissions process regarding bar applicants who were subsequently admitted to The Florida Bar. 
RETENTION: Bar application and fingerprint card, 5 years; all other materials, 1 year. 
 
BAR APPLICANTS: NOT ADMITTED (WITH NO RECOMMENDATION) 
This record series consists of bar applications, supporting documents, all investigative materials of 
administrative value, correspondence, reports, and similar materials accumulated during the bar 
admissions process regarding bar applicants who have not been admitted to The Florida Bar and who 
have not received an unfavorable recommendation by the Florida Board of Bar Examiners. 
RETENTION: 20 years or the death of the applicant, whichever is earlier. 
 
BAR APPLICANTS: NOT ADMITTED (WITH UNFAVORABLE RECOMMENDATION) 
This record series consists of bar applications, supporting documents, all investigative materials of 
administrative value, correspondence, reports, and similar materials accumulated during the bar 
admissions process regarding bar applicants who have not been admitted to The Florida Bar and who 
have received an unfavorable recommendation by the Florida Board of Bar Examiners by either a 
negotiated consent judgment or the issuance of findings of fact and conclusions of law. 
RETENTION: 40 years or the death of the applicant, whichever is earlier. 
 
BAR EXAMINATION/ANSWERS 
This record series consists of answers to essay questions and answer sheets to machine-scored 
questions submitted by bar applicants during the bar examination administered by the Florida Board of 
Bar Examiners. 
RETENTION: Until the conclusion of the administration of the next successive general bar examination. 
 
BAR EXAMINATION/FLORIDA PREPARED PORTION 
This record series consists of the portion of the bar examination prepared by the Florida Board of Bar 
Examiners. 
RETENTION: 10 years from the date of the administration of the examination. 
 
BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS 
This record series consists of information relative to the processing and letting of capital improvement 
successful bids including legal advertisements, “Requests for Proposal,” technical specifications, 
correspondence, “Invitations to Bid,” bid tabulations and bid responses. “Capital Improvements” shall 
mean enhancement to buildings, fixtures and all other improvements to land. See also “BID RECORDS: 
CAPITAL IMPROVEMENT UNSUCCESSFUL BIDS” and “BID RECORDS: NON-CAPITAL 
IMPROVEMENT.” 
RETENTION:  10 years 
 
BID RECORDS: CAPITAL IMPROVEMENT UNSUCCESSFUL BIDS 
This record series consists of information relative to the processing and letting of capital improvement 
unsuccessful bids including legal advertisements, “Requests for Proposal,” technical specifications, 
correspondence, “Invitations to Bid,” bid tabulations and bid responses. “Capital Improvements” shall 
mean enhancement to buildings, fixtures and all other improvements to land. See also “BID RECORDS: 
CAPITAL IMPROVEMENT SUCCESSFUL BIDS” and “BID RECORDS: NON-CAPITAL 
IMPROVEMENT.” 
RETENTION: 5 years. 
 
BID RECORDS: NON-CAPITAL IMPROVEMENT 
This record series consists of information relative to the processing and letting of successful and 
unsuccessful noncapital improvement bids including legal advertisements, “Requests for Proposal,” 
technical specifications, correspondence, “Invitations to Bid,” bid tabulations and bid responses. See also 
“BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS” and “BID RECORDS: CAPITAL 
IMPROVEMENT UNSUCCESSFUL BIDS.” 
RETENTION: 5 years. 
 
BIOGRAPHICAL FILES 
This record series consists of vitas, biographies, photographs and newspaper clippings of employees. 
RETENTION: Retain until obsolete, superseded or administrative value is lost. 
 
BUDGET RECORDS: APPROVED ANNUAL BUDGET 
This record series consists of the approved annual budget and its amendments. See also “BUDGET 
RECORDS: SUPPORTING DOCUMENTS,” “These records may have archival value.” 
RETENTION: Permanent. 
 
BUDGET RECORDS: SUPPORTING DOCUMENTS 
This record series consists of any supporting documentation supporting budget matters and is filed 
chronologically.  See also “BUDGET RECORDS: APPROVED ANNUAL BUDGET.” 
RETENTION: 3 years. 
 
BUILDING PLANS 
This record series consists of graphic and engineering records that depict conceptual as well as precise 
measured information essential for the planning and construction of buildings. See also 
“ARCHITECTURAL PLANS/SPECIFICATIONS: PRELIMINARY DRAWINGS.” 
RETENTION: Retain for life of structure. 
 
CALENDARS 
This record series consists of a calendar showing official daily appointments and meetings. 
RETENTION: 1 year. 
 
CASE RELATED RECORDS NOT IN THE CUSTODY OF THE CLERK AND /OR NOT IN CASE FILE 
This record series includes records that are related to a trial court records as defined in Rule 2.420, 
Florida Rules of Judicial Administration, because they are not filed with the clerk of court and are not 
included in the court file.  These records include, but are not limited to, drug court evaluation and 
progress reports, mediation reports, deferred prosecution and diversion records, and arbitration reports. 
Case-related trial court documents may be destroyed or disposed of after a judgment has become final in 
record accordance with the following schedule: 
 
RETENTION:  
(A) 60 days- Parking tickets and noncriminal traffic infractions after required audits have been 
completed. 
 
(B) 2 years- Proceedings under the Small Claims Rules, Medical Mediation Proceedings. 
 
(C) 5 years- Misdemeanor actions, criminal traffic violations, ordinance violations, civil litigation 
proceedings in county court other than those under the Small Claims Rules, and civil 
proceedings in circuit court except marriage dissolutions and adoptions. 
 
(D) 10 years- Probate, guardianship, and mental health proceedings. 
 
(E) 10 years- Felony cases in which no information or indictment was filed or in which all 
charges were dismissed, or in which the state announced a nolle prosequi, or in which the 
defendant was adjudicated not guilty. 
 
(F) 75 years- juvenile proceedings containing an order permanently depriving a parent of 
custody of a child, and adoptions and all felony cases not previously destroyed. 
 
 
(G) Juvenile proceedings not otherwise provided for in this subdivision shall be kept for 5 years 
after the last entry or until the child reaches the age of majority, whichever is later. 
 
(H) Marriage dissolutions- 10 years from the last record activity.  The court may authorize 
destruction of court records not involving alimony, support, or custody of children 5 years 
from the last record activity. 
 
CERTIFICATION FORWARD DOCUMENTS 
This record series consists of lists of encumbrances to be applied against certified forward money which 
is money brought forward from the previous fiscal year for goods and services which were not received 
until the current fiscal year. See also “ENCUMBRANCE RECORDS.” 
RETENTION: 3 years. 
 
CHILD SUPPORT/ALIMONY DISBURSEMENT RECORDS: DETAIL 
This series consists of records documenting disbursement of child support or alimony.  The series 
includes, but is not limited to, check registers, check stubs, cancelled checks, cancelled warrants, 
disbursement ledgers, transaction journals, vendor invoice, refund records and other accounts payable 
related documentation.  
RETENTION:  5 fiscal years  
 
CHILD SUPPORT/ALIMONY DISBURSEMENT RECORDS: SUMMARY 
This series consists of records providing summary or aggregate documentation of expenditures or 
transfers moneys for child support or alimony.  The series may include, but is not limited to, trail balance 
reports, check logs and registers, summary reports, summary journal transactions and other accounts 
payable summary related documentation. 
RETENTION: 10 fiscal years  
 
 CHILD SUPPORT/ALIMONY RECEIPT/REVENUE RECORDS: DETAIL 
This series consists of records documenting specific receipts/revenues collected for child support or 
alimony.  The series may include, but is not limited to, cash receipts,  receipt books, deposit receipts, 
bank validated deposit slips, depository ledger reports filed with Clerk of Court, transaction journals, 
refund records, bad check records and other accounts receivable related documentation.   
RETENTION: 5 fiscal years  
 
CHILD SUPPORT/ALIMONY RECEIPT/REVENUE RECORDS: SUMMARY 
This series consists of records providing summary or aggregate documentation of receipts/revenues 
collected for child support or alimony.  The series may include, but is not limited to, monthly statements of 
bank accounts, trial balance reports, bank statements, credit and debit card reports, collection balance 
sheets and other receivable summary related documentation. 
RETENTION: 10 fiscal years  
 
COMPLAINTS: CITIZENS/CONSUMERS/EMPLOYEES 
This record series consists of individual complaints received from citizens, consumers or employees. This 
file may include the name, address, date of complaint, telephone number, the complaint to whom referred 
and date, action taken and signature of person taking the action. 
RETENTION: 1 year. 
 
CONTINUING EDUCATION RECORDS 
This record series consists of continuing education records, including records of judicial education. 
RETENTION: 2 years. 
 
CONTRACTS/LEASES/AGREEMENTS: CAPITAL IMPROVEMENT/REAL PROPERTY  
This record series consists of legal documents, correspondence, reports, etc., relating to the negotiation, 
fulfillment and termination of capital improvement or real property contracts, leases or agreements to 
which the agency is a party, including contracts, leases or agreements with architects, engineers, 
builders, and construction companies.  "Capital Improvements" shall mean improvements to real property 
(land, buildings, including appurtenances, fixtures and fixed equipment, structures, etc.), that add to the 
value and extend the useful life of the property, including construction of new structures, replacement or 
rehabilitation of existing structures (e.g., major repairs such as roof replacement), or removal of closed 
structures.  "Real Property" means land, buildings, and fixtures. The terms "land," "real estate," "realty" 
and "real property" may be used interchangeably.   See also "CONTRACTS/ LEASES/ AGREEMENTS: 
NON-CAPITAL IMPROVEMENT." 
RETENTION:  10 fiscal years after completion or termination of contract/lease/agreement  
 
CONTRACTS/LEASES/AGREEMENTS: NON-CAPITAL IMPROVEMENT 
This record series consists of legal documents, correspondence, reports, etc., relating to the negotiation, 
fulfillment and termination of non-capital improvement contracts, leases or agreements to which the 
agency is a party.  In addition, it includes the various contracts, leases or agreements entered into for the 
purchase of goods and services such as the purchase of gas, fuel oil and annual purchases of inventory-
maintained items.  See also “CONTRACTS/LEASES/AGREEMENTS: CAPITAL IMPROVEMENT/REAL 
PROPERTY.” 
RETENTION:  5 fiscal years after completion or termination of contract/lease/agreement  
 
CORRESPONDENCE & MEMORANDA: ADMINISTRATIVE 
This record series consists of routine correspondence and memoranda of a general nature that is 
associated with administrative practices but that does not create policy or procedure, document the 
business of a particular program, or act as a receipt. See also “INFORMATION REQUEST RECORDS.” 
“These records may have archival value.” 
RETENTION: 3 years. 
 
CORRESPONDENCE & MEMORANDA: PROGRAM AND POLICY DEVELOPMENT 
This record series consists of correspondence and memoranda of any nature that is associated with a 
specific program or the development of policy and procedure. “These records may have archival 
value.” 
RETENTION: 5 years. 
 
COURT REGISTRY 
This record series consists of records, ledgers and journals showing amounts paid into the Court 
Registry, held by the Court, and paid out by the Court. 
RETENTION: Permanent. 
 
COURT REPORTS 
This record series consists of court reports, including SRS, jury management, witness management, 
uniform case reporting system records, and other statistical court reports. 
RETENTION: 3 years. 
 
DEEDS: PROPERTY 
This record series consists of property deeds. Series may include appraisals, surveys, and other 
supporting documents. 
RETENTION: Retain as long as property is retained. 
 
DELAYED BIRTH (APPLICATION/CERTIFICATE/AFFIDAVITS, ETC.) 
This record series consists of an application signed by a judge for a birth (other than in a hospital 
usually).  This record is filed with the County Court pursuant to Section 382.0195(4)(a), Florida Statutes.  
Once signed, the application becomes an order.  The record copy is sent to Vital Statistics. 
RETENTION:  Permanent 
 
DIRECTIVES/POLICIES/PROCEDURES 
This record series consists of the official management statements of policy for the organization, 
supporting documents, and the operating procedures which outline the methods for accomplishing the 
functions and activities assigned to the judicial branch entity. It includes all memoranda and 
correspondence generated relating to the policies and procedures which are to be followed by 
employees. See also “CORRESPONDENCE & MEMORANDA: PROGRAM AND POLICY 
DEVELOPMENT.” “These records may have archival value.” 
RETENTION: 2 years. 
 
DISASTER PREPAREDNESS DRILLS 
This record series consists of the results of disaster preparedness exercises and the supporting 
documents including scenarios, location of safety related drills, time tables, response times, probable 
outcomes, areas of difficulties, descriptions of how difficulties were resolved, and areas for improvement. 
Types of drills include: fire, tornado, safety, hurricane and SARA chemical spills. See also 
“DIRECTIVES/POLICIES/PROCEDURES” and “DISASTER PREPAREDNESS PLANS.” 
RETENTION: 3 years. 
 
DISASTER PREPAREDNESS PLANS 
This record series consists of disaster preparedness and recovery plans adopted by a judicial branch 
entity. See also “DIRECTIVE/POLICIES/PROCEDURES.” 
RETENTION: Retain until obsolete, superseded or administrative value is lost. 
 
DISBURSEMENT RECORDS: DETAIL 
This series consists of records documenting specific expenditures or transfers of agency moneys for the 
procurement of commodities and services and other purposes.  The series may include, but is not limited 
to, procurement records such as requisitions, requisition logs, purchase orders, contracts, purchasing 
card (p-card) receipts, vendor invoices, receiving reports, acceptances of contract deliverables, 
approvals, and related documentation; and expenditure records for disbursements made through checks, 
warrants, electronic fund transfers (EFT), purchasing cards, or other methods, such as payment 
vouchers, approvals, check registers, cancelled checks, check stubs, cancelled warrants, disbursement 
ledgers, journal transactions, expenditure detail reports, refund records and other accounts payable and 
related documentation.  Retention is based on s. 95.11(2), F.S., Statute of Limitations on contracts, 
obligations, or liabilities.  See also “DISBURSEMENT RECORDS: SUMMARY,” “PURCHASING 
RECORDS,” and “TRAVEL RECORDS.” 
RETENTION:  5 fiscal years  
 
DISBURSEMENT RECORDS: SUMMARY 
This series consists of records providing summary or aggregate documentation of expenditures or 
transfers of agency moneys for the procurement of commodities and services and other purposes.  The 
series may include, but is not limited to, summary records such as trial balance reports, check logs and 
registers, summary expenditure reports, federal grant final closeout reports, summary journal 
transactions, and other accounts payable summary and related documentation.  See also 
“DISBURSEMENT RECORDS: DETAIL.” 
RETENTION: 10 fiscal years  
 
DISCIPLINARY CASE FILES 
This record series consists of both sustained formal or informal disciplinary cases investigated that allege 
employee misconduct or violations of department regulations and orders, and state/federal statutes. It 
includes statements by the employee, witnesses, and the person filing the complaint. “Formal discipline” 
is defined as disciplinary action involving demotion, removal from office, suspension, or other similar 
action. “Informal discipline” is defined as any disciplinary action involving written and verbal reprimands, 
memoranda, or other similar action. This record series also can consist of formal and informal disciplinary 
cases that were determined as not sustained, unfounded, or exonerated charges. See also 
“PERSONNEL RECORDS”. 
RETENTION: 5 years. 
 
DRAFTS AND WORKING PAPERS 
This record series consists of documents, correspondence, reports, memos, and other materials in 
preliminary or developmental form before their iteration as a final product. Drafts may include copies of 
materials circulated for review for grammar, spelling, and content. Working papers may include notes and 
miscellaneous documents and materials used in compiling and assembling the final product. Note that 
some draft documents and working papers may have long-term value; such documents may even have 
archival or historical value. Such records might be better placed under the record series “Administrator 
Records: Public Officials/Court Administrators.” 
RETENTION: Retain until obsolete, superseded or administrative value is lost. 
 
DRUG TEST RECORDS 
This record series consists of the positive or negative results of a drug test under the Drug Free 
Workplace Act or as required for CDL or other drivers under US DOT regulations as well as records 
related to canceled tests. This series might include documents generated in decisions to administer 
reasonable suspicion or post-accident testing, or in verifying the existence of a medical explanation of the 
inability of the driver to provide adequate breath or to provide a urine specimen for testing. In addition, the 
case file could include: the employer’s copy of an alcohol test form, including the results of the test; a 
copy of the controlled substances test chain of custody control form; documents sent by the Medical 
Review Officer (MRO) to the employer; notice to report for testing; affidavit signed by the employee 
stating any prescription drugs or over the counter medication currently taken; and final clearance to 
resume working. This record series can also consist of documentation, including memorandum and 
correspondence, related to an employee’s refusal to take or submit samples for an alcohol and/or 
controlled substances test(s). 
RETENTION: 5 years. 
 
ELECTRONIC FUNDS TRANSFER RECORDS 
This record series consists of documentation necessary to establish and maintain the electronic transfer 
of funds from one financial institution to another. The documentation may include, but is not limited to: an 
agreement between the two parties; a form which lists both institutions’ names, their routing numbers, the 
name of the account holder, and the account’s authorizing signature; a canceled deposit slip or check; 
and the paperwork for the termination of service or transfer of service to a new institution. This series 
does not include the paperwork on a specific individual deposit or payment. 
RETENTION: 5 fiscal years 
 
ELECTRONIC RECORDS SOFTWARE 
This record series consists of proprietary and non-proprietary software as well as related documentation 
that provides information about the content, structure and technical specifications of computer systems 
necessary for retrieving information retained in machine-readable format. These records may be 
necessary to an audit process. 
RETENTION: Retain as long as there are software dependent records. 
 
EMPLOYEE PRE-COUNSELING RECORDS 
This record series consists of material and supporting documentation which provide documentation of 
initial contact with an employee regarding incidents which may or may not lead to disciplinary action. This 
series is not considered in and of itself a part of the employee discipline record. 
RETENTION: 1 year. 
 
EMPLOYMENT EXAMINATION RECORDS 
This record series consists of test plans, announcements, grades, grading scales, keyed exams, test 
monitor’s list of candidates, any research toward the development of the tests, and any other selection or 
screening criteria. See “PERSONNEL RECORDS” and “RECRUITMENT & SELECTION PACKAGES.” 
RETENTION: 4 anniversary years 
 
ENCUMBRANCE RECORDS 
This record series consists of documents and reports which document funds that have been encumbered. 
See also “CERTIFICATION FORWARD DOCUMENTS.” 
RETENTION: 3 years. 
 
ENDOWMENTS, BEQUESTS AND TRUST FUND RECORDS 
This record series consists of creating, establishing or contributing to endowments, bequests and trust 
fund records.  “These records may have archival value.” 
RETENTION: Permanent. 
 
ENVIRONMENTAL REGULATION RECORDS 
This record series consists of permits, reviews, supporting documents and correspondence resulting from 
environmental regulation requirements. 
RETENTION: 5 years. 
 
EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE RECORDS 
This record series consists of EEO-5 and supporting documents, reviews, background papers and 
correspondence relating to employment papers and correspondence relating to employment statistics 
(race, sex, age, etc.). See also “AFFIRMATIVE ACTION RECORDS.” 
RETENTION: 4 anniversary years after final action 
 
EQUIPMENT/VEHICLE MAINTENANCE RECORDS 
This record series documents service, maintenance, and repairs to agency equipment and vehicles, 
including program changes to electronic equipment.  The series may include, but is not limited to, work 
orders and documentation of dates/history of repairs, locations, cost of parts, hours worked, etc.  Records 
for all agency vehicles, including ground, air, and water vehicles, are covered by this series.  See also 
“VEHICLE RECORDS.” 
RETENTION: 1 fiscal year after disposition of equipment.  
 
 
EQUIPMENT/VEHICLE USAGE RECORDS 
 
This record series documents use of agency equipment and vehicles, including, but not limited to, vehicle 
logs indicating driver, destination, fuel/service stops, and odometer readings and/or total trip mileage; 
equipment usage logs and/or reports; and other usage documentation.  See also “VEHICLE RECORDS.” 
RETENTION: 
a) Record copy.  1 calendar year. 
b) Duplicates.  Retain until obsolete, superseded, or administrative value is lost. 
 
EXPENDITURE PLANS: CAPITAL 
This record series consists of capital improvement expenditure plans. 
RETENTION: Permanent. 
 
FACILITY RESERVATION/Rental records 
This record series consists of forms generated in the process of renting or scheduling a public meeting 
hall or room, conference site, to a citizen or family, private organization, or other public agency. These 
forms include, but are not limited to, name of renter, renter’s address and telephone number, method of 
payment, acknowledgment of rules, liability, damage waivers, and the date and time of the rental as well 
as what facility or portion of a facility is to be reserved. These forms may contain a check number, 
corresponding receipt number, an amount as well as deposit information. There may also be a floor plan 
denoting the desired arrangement of tables or chairs as requested by the renter. 
RETENTION: 5 fiscal years 
 
FEASIBILITY STUDY RECORDS 
This record series consists of working papers, correspondence, consulting firm reports and management 
committee reports investigating various projects of the judicial branch entity. 
RETENTION: 3 years. 
 
FEDERAL AND STATE TAX FORMS/REPORTS 
This record series consists of W-2 Forms, W-4 Forms, W-9 Forms, 940 Forms, 941-E Forms, 1099 
Forms, 1099 Reports and UTC-6 Forms. The retention period mentioned below for the record (master) 
copy was established pursuant to Section 26 CFR 31.6001-1(2). 
RETENTION: 4 calendar years. 
 
GENERAL LEDGERS: ANNUAL SUMMARY 
This record series consists of ledgers containing accounts to which debits and credits are posted from 
supporting documents of original entry. It includes all permanent ledger entries. 
RETENTION: Permanent. 
 
GRAND JURY