INDEX Page INDEX Page Budget Records 12 Mental Health Case Files (MH) 2 Case Management System 1-3 Miscellaneous Records 8-9 Collection Investigator

Transcription

1 INDEX Page INDEX Page Budget Records 12 Mental Health Case Files (MH) 2 Case Management System 1-3 Miscellaneous Records 8-9 Collection Investigator Financial Affidavits 11 Misdemeanor Files/Petty Offense (M) 2 Contracts 10 Personnel and Payroll Files Copyrighted Materials 9 Pre-Employment Records County Court Civil Case Files (C) 2 Probate Case Files (PR) 1-2 County Court Files 2-3 Probation Records 9 County Felony Case Files (F) 2 Purchasing Docs. (RFB, RFI, RFP, RDQ, RFQ) Court of Appeals Files 3 Recorded Proceedings (County Court) 3 Court Registry 11 Recorded Proceedings (District Court) 3 Court Reporter Notes (County Court) 3 Search Warrants 9 Court Reporter Notes (District Court) 3 Small Claims Case Files (S) 2 Criminal Case Files (Felony-district - CR) 1 Special Accounts 11 Distrit Civil Case Files (CV) 1 Supreme Court Files 3 District Court Files 1-2 Traffic Case Files (T) 2-3 Domestic Relations Case Files (DR) 1 Traffic Infraction Case Files (R) 2 Exhibits 4-7 Transcripts (County Court) 3 Facilities Records 12 Transcripts (District Court) 3 Financial Records VALE, Victim Compensation Fund 12 Grand Jury Records 3 Water Case Files (CW) 2 Grant Records 10 Wills 2 Jury Records 8-9 Juvenile Case Files (JA, JR, JP, JV) 1 Juvenile Case Files (Truancy - JV) 1 Juvenile Delinquency Case Files (JD or JV) 1

2 RECORD TITLE RETENTION PERIOD AUTHORIZED DESTRUCTION COLORADO JUDICIAL CASE MANAGEMENT SYSTEM Any and all records COURT RECORD - DISTRICT COURT - All cases must be closed with no appeal pending. All funds held in the registry must be disbursed. Retention period runs from year of creation of record. District Civil Case Files (CV) except municipal & special district incorporation, permanent protection order (PPO) 4 years from the year of filing cases, and name change cases. District Civil Case Files (CV) - municipal & special district incorporation, permanent protection order cases, and name change cases Criminal Case Files (CR) Domestic Relations Case Files (DR) Juvenile Case Files - adoptions (JA), relinquishments (JR), paternity (JP), dependency & neglect (JN/JV) Juvenile Support Enforcement Orders (JS) 40 years after the child turns 21 years old Juvenile Case Files - truancy (JV) after the juvenile turns 18 Juvenile Delinquency Case Files (JD or JV) other than sex offenses, F1, F2, or crime of violence 15 years from the year of filing Juvenile Delinquency Case Files (JD or JV) - sex offenses, F1, F2, or crime of violence Probate (PR) - decedent's estate cases, guardianships, conservatorships, petition to settle personal injury for minor, trust registrations Probate (PR) - supporting documentation submitted by conservator or guardian to Protective Proceedings Auditors at SCAO 3 years from the date the audit report is filed with the court by the Protective Proceedings Auditors Lodged Wills Deposited Wills 50 years Mental Health Case Files (MH) Water Case Files (CW) Register of Actions Book, Minute Book, Execution Docket Book, other miscellaneous books Transfer to State Archives Cash/Fee Books, Judgment Record Books No need to retain

3 Indices - index books, card index, printed computer index Water Court Books - register of actions, water resumes, money judgment records, exhibit inventories, water indices COURT RECORD - COUNTY COURT - all cases must be closed with no appeal pending. All funds held in the registry must be disbursed. Retention period runs from year of creation of record County Court Civil Case Files (C) except name changes & permanent restraining orders County Court Civil Case Files (C) name changes & permanent protection orders 4 years from the year of filing Small Claims Case Files (S) 4 years from the year of filing Felony Case Files (F) 4 years from the year of filing if the case has not been bound up to district court. If the case has been bound up to district court, keep permanently only if the case has not been bound up to district court Traffic Infraction Case Files (R) 2 years from the year of filing Misdemeanor Case Files (M) to destroy, including petty offenses, with the exception of the cases listed to retain below Misdemeanor Case Files (M) to retain - DUI/DWAI, sex offense cases (cases requiring registration as a sex offender), domestic violence charges 4 years from the year of filing 20 years Traffic Case Files (T) to retain - DUI/DWAI 20 years Traffic Case Files (T) to destroy - everything except DUI/DWAI 4 years from the year of filing Daily Order Book, Register of Actions Book, Civil Order Book Transfer to State Archives Cash/Fee Books, Judgment Record Books No need to retain Indices - index books, card index, printed computer index CASE FILES - SUPREME COURT AND COURT OF APPEALS Original Pleadings, Briefs and Dispositional Orders or Opinions Transfer to state archives Records on Appeal Return to lower court per C.A.R. 45(d)

4 COURT REPORTER NOTES, RECORDED PROCEEDINGS and TRANSCRIPTS - DISTRICT COURT Civil (CV), Domestic (DR), Juvenile Delinquent (JD - except sex offender cases), Juvenile (JV), Mental Health (MH), Probate (PR), Water (CW) 5 years Juvenile Delinquent (JD) - sex offender cases 15 years Criminal (CR) - all felony cases 25 years Criminal (CR) - F1, F2, or a felony sex offense charge described in , , , or , C.R.S. Recordings pertaining to a Mental condition Examination re: 20 years Not Guilty by Reason of Insanity or Impaired Mental Condition Grand Jury Transcripts in felony criminal cases 25 years from date of final judgment Transcripts in D&N cases 15 Years from the date of final judgment Transcripts - Not specifically listed 2 years after court of appeals mandate Transcripts - water courts COURT REPORTER NOTES, RECORDED PROCEEDINGS and TRANSCRIPTS - COUNTY COURT Civil (C), Small Claims (S), Traffic Infractions (R), Traffic (T), Misdemeanor (M), Felony (F) Transcripts - Not specifically listed 2 years from decision on appeal 2 years after appeal decision (or appeal period has passed), then destroy EXHIBITS

5 Dispose of as per order of the court. If no applicable order exists then the following applies: 35 days after the expiration of the appeal period following a final judgment in the case. The clerk of the court shall provide notice to each attorney of record, or party, advising that the exhibit(s) will Exhibits in Civil (C or CV), Probate (PR), Domestic Relations be disposed of by court order unless claimed (DR), Mental Health (MH), Juvenile (JV) (except delinquency - JD) & Water cases (CW) EXHIBITS IN CRIMINAL CASES (CR, JD, M, & T) within 35 days. Regular first-class postage or postcards are permitted for these notices, provided a record is made of each mailing and response, if any. Any questions of ownership shall be decided by the court. The court may deny the return of any exhibit for cause (i.e., weapons, drugs, or other contraband) Dispose of as per order of the court. If no applicable order exists, destroy as per the retention policy provided in this section Defendant found not guilty or case dismissed Dispose of as per order of the court. If no applicable order exists then the following applies: 35 days after acquittal or dismissal. The clerk of the court shall provide notice to each attorney of record, or party, advising that the exhibit(s) will be disposed of by court order unless claimed within 35 days. Regular first-class postage or postcards are permitted for these notices, provided a record is made of each mailing and response, if any. Any questions of ownership shall be decided by the court. The court may deny the return of any exhibit for cause (i.e., weapons, drugs, or other contraband) Dispose of as per order of the court. If no applicable order exists, destroy as per the retention policy provided in this section

6 Defendant found guilty Upon completion of sentence or 20 years after sentencing (which ever occurs first) or as the court may otherwise order. The clerk of the court shall provide notice to each attorney of record, or party, advising that the exhibit(s) will be disposed of by court order unless claimed within 35 days. Regular first-class postage or postcards are permitted for these notices, provided a record is made of each mailing and response, if any. Any questions of ownership shall be decided by the court. The court may deny the return of any exhibit for cause (i.e., weapons, drugs, or other contraband). Dispose of as per order of the court. If no applicable order exists, destroy as per the retention policy provided in this section Exhibits in Juvenile Delinquency Cases (JD) Upon completion of sentence or as the court may otherwise order. The clerk of the court shall provide notice to each attorney of record, or party, advising that the exhibit(s) will be disposed of by court order unless claimed within 35 days. Regular first-class postage or postcards are permitted for these notices, provided a record is made of each mailing and response, if any. Any questions of ownership shall be decided by the court. The court may deny the return of any exhibit for cause (i.e., weapons, drugs, or other contraband). Dispose of as per order of the court. If no applicable order exists, destroy as per the retention policy provided in this section

7 Exhibits in Traffic (T) & Misdemeanor (M) Cases Dispose of as per order of the court. If no applicable order exists then the following applies: 35 days after appeal period has passed. The clerk of the court shall provide notice to each attorney of record, or party, advising that the exhibit(s) will be disposed of by court order unless claimed within 35 days. Regular first-class postage or postcards are permitted for these notices, provided a record is made of each mailing and response, if any. Any questions of ownership shall be decided by the court. The court may deny the return of any exhibit for cause (i.e., weapons, drugs, or other contraband). Dispose of as per order of the court. If no applicable order exists, destroy as per the retention policy provided in this section Unidentified Exhibits Need not be retained ALL EXHIBITS: Parties or original custodians of the exhibit shall be given an opportunity to claim the exhibit, except for drugs, weapons or other contraband UNCLAIMED EXHIBITS HAVING HISTORICAL OR ARCHIVAL VALUE: Such items shall be offered to the Colorado State Archivist The Colorado JURY RECORDS Juror Questionnaires, Case Specific Questionaires, and Uniform Juror Summons Any Juror questionnaires completed by jurors who are assigned to a case and sent to a courtroom. Juror Questionnaires and Uniform Juror Summons completed by jurors that were not assigned to a case and not sent to a courtroom. Juror Questions - submitted in court. or during deliberation. Written questions from jurors to judge during trial (questions for witnesses) or questions to the judge during deliberation. (These are part of the court record and should be maintained in the court file.) and Temporary Disqualification Requests from jurors Juror Notes - notebooks. Written notes taken by jurors during trial and deliberations Copies if any, should be immediately destroyed. Retain originals in sealed envelope marked "NOT PUBLIC RECORD". Retain in court file and follow guidelines for case file. immediately. Refer to the retention period for the appropriate case class/type Once entered in jury system, destroy at the conclusion of the trial (C.R.C.P comments section) copies. May convert to electronic image and seal. in accordance with the guidelines for the appropirate case class/type Once entered in jury system, destroy Jury Wheel 5 years

8 Undeliverable Juror Summonses Once entered in jury system destroy Once entered in jury system destroy Juror Reimbursement Guidelines & Request for Juror 2 prior fiscal years plus current fiscal year Reimbursement Jury Service Acknowledgment GRAND JURY RECORDS 12 months after the juror completes his or her service Grand Jury Records MISCELLANEOUS RECORDS Birth Records - delayed birth certificate Coroner Records Incorporation Records - city and town records Justice of the Peace Records Marriage Registers and supporting documents Land Registration and Title Records, Torrens Registration Records Mining Records Naturalization Records Welfare Records Wiretap information - application, order, recording Annual Wiretap Report Search Warrants not connected to a particular case by notice being filed by law enforcement or district attorney's office. Search Warrants connected to a particular case Application for Relief from Federal Firearms Prohibitions (JDF 35) including all accompanying documentation or may be destroyed only after 10 years and with an order from the Court pursuant to (8), C.R.S.. Transfer records more than 10 years old to State Archives 3 years from the year of filing, unless placed in case file or introduced as exhibit Refer to case class retention period; i.e., misdemeanor, criminal 3 years from final determination by the State Court Administrator Transfer to the State Archives or Transfer to State Archives Refer to case class retention period; i.e., misdemeanor, criminal PROBATION

9 Juvenile Probation Files except sex offender cases Juvenile Probation Files - sex offender cases To age 21 or 2 years past the date probation terminates whichever is later To age 21or 2 years past the date probation terminates whichever is later Adult Probation Files - felony sex offender cases 20 years after termination of probation Adult Probation Files - misdemeanor sex offender cases 10 years after termination of probation Adult Probation Files not related to sex offender cases 5 years after termination of probation Alcohol Evaluation Records 3 years after termination of alcohol evaluation case PSI Reports If retained in the court file, refer to appropriate case class; if retained in probation files, follow probation schedule If retained in the court file, refer to appropriate case class; if retained in probation files, follow probation schedule CONTRACTS and COPYRIGHTED MATERIAL CONTRACTS Contracts - refers to a contract, memorandum of understanding, joint operating agreement, intergovernmental or interagency agreement, and independent contractor 6 years after the performance under the contract is completed or 6 years after the contract is terminated COPYRIGHTED MATERIAL Original work of authorship to which the Judicial Department is entitled to copyright protection. Various forms; maintain in original form Permission granted to use Judicial Department copyrighted material License to publish Judicial Department copyrighted materials 6 years after the expiration of the license GRANT RECORDS GRANTS RECEIVED BY THE JUDICIAL DEPARTMENT - district or SCAO Grant Applications - if unsuccessful 1 year

10 All records related to grants received from the Colorado Division of Criminal Justice (DCJ), including related financial records, programmatic records, correspondence, and files for clients served by the program 7 years after the end of the state fiscal year that includes the end date of the grant, or until any pending audit, claim, or litigation has been resolved All records related to grants received from organizations other than the Colorado Division of Criminal Justice (DCJ), including related financial records, programmatic records, correspondence, and files for clients served by the program 3 years after submission of final grant report or until any pending audit, claim, or litigation has been resolved GRANTS AWARDED BY THE SCAO - to a judicial district or other entity 6 months after submission or until any pending Grant Applications - unsuccessful claim, or litigation has been resolved PURCHASING DOCUMENTS (RFB, RFI, RFP, RDQ, RFQ) SOLICITATION DOCUMENTS including all correspondence, evaluation materials, interview notes, etc., and vendor responses, submissions, quotes, and all other related records and materials. For items purchased with grant funds, see Grant section. Solicitation cancelled at any time prior to contract execution 1 year after cancellation Documents related to successful vendor where contract executed Contracts, Purchase Orders and Invoices - and all records related to the purchase order or invoice Documents related to unsuccessful vendor where contract executed Protests, protest records, & Judicial Department response 6 years after the performance under the contract is completed or 6 years after the contract is terminated or 6 years after failed contract negotiations. 6 years after the performance under the contract is completed or 6 years after the contract is terminated 2 years after contract or PO signed with competing vendor 1 year after contract or PO signed with competing vendor SOLE SOURCE, EMERGENCY PURCHASE, AND COOPERATIVE PURCHASING DOCUMENTS Sole Source, Emergency Purchase, and Cooperative Purchasing Documents including all approvals, correspondence, and all other related records and materials If contract, 6 years after the end of the contract; ) if other expenditure record, e.g. purchase order, invoice, etc.) 2 years after the current fiscal year. FINANCIAL RECORDS - If specific records not listed

11 COLLECTION INVESTIGATOR FINANCIAL AFFIDAVITS Financial Affidavit, Worksheet, or Application for Payment Schedule concerning payment of fines, fees, costs or restitution by a person in a court case EXPENDITURE RECORDS 1 year after paid in full Vouchers, Invoices, Reimbursement Requests 2 years after the fiscal year of the document Petty Cash Records 2 years after the fiscal year of the document FIXED ASSETS RECORDS Physical Inventory Records - including purchase and disposal documentation 2 years after property is disposed SCAO Depreciation Schedules 2 years after the fiscal year of the document MISCELLANEOUS FINANCIAL RECORDS Appropriation Documents (APs) Journal Vouchers (JVs and JAs) Intragovernmental Transactions (ITS) VICTIM FUNDS/COURT REGISTRY/SPECIAL ACCOUNTS Debit/Credit Memos Bank Adjustment Memos Daily Cash Balancing Records - including deposit slips, cash receipt records, credit card slips, wire transfers, E-filing payments, DOC checks, collection agency checks Bank Account Reconciliations - including bank account statements, check registers, and ICON-held receipts reports (if applicable) SCAO Monthly Fiscal Summary Packet VALE, Vicitm Compensation fund - including board authorizations, disbursements, bank reconciliations SCAO Deposits with State Treasurer BUDGET RECORDS 2 years after the fiscal year of the document 2 years after the fiscal year of the document Budget Request Budget Work Papers 3 years FACILITIES RECORDS Americans with Disabilities Act (ADA) Files 15 years

12 Construction Budget Requests 5 years Construction Plans - in-review 1 year after approval or rejection of final plans As-Built Construction Plans and specifications Construction Project Case Files Appraisal Files Facilities Management Guidelines Space Utilization Reports Under-Construction Plans and specifications Building and Equipment Service Files Maintenance Work Orders or until the Judicial Department no longer inhabits the building or until the Judicial Department no longer inhabits the building Until superseded or obsolete if the Judicial Department no longer inhabits the building if the Judicial Department no longer inhabits the building 3 years Judicial review documentation and associated approval by the Chief Justice of the Colorado Supreme Court PRE-EMPLOYMENT RECORDS Affirmative Action Questionnaires Advertisements/Notices Regarding Openings Applications w/any Attachments - not hired Examination Records - such as interview notes, screen grid, tests, scores Criminal History Checks - not hired 3 years PERSONNEL and PAYROLL FILES (For items with an * - maintain only the most current version) 401K Documents Application w/any Attachments Acknowledgement Checklist Benefits Enrollment/Change* COBRA Letter Combined Campaign Documents * Corrective Actions Correspondence Credit Union Documents

13 Custody Affidavits Direct Deposit * Disciplinary Actions Emergency Information * Employment Contracts Employment Status Form Flexible Spending Account Documents * Leave Balances Report - year-end, signed by employee Life Insurance Enrollment/Change* Memorandum of Understanding Mobile Device Stipend Form* Payroll Computation Worksheets PERA Final 6-month Report PERA Member Information PERA Refund Request Verification - completed by employer Performance Appraisals - Cover sheet only Personnel Actions Release of Information Resignation Letter Standard Insurance Correspondence Tax Authorizations* U.S. Savings Bond Payroll Savings Plan Documents * W-4 * REPORTS/OTHER SOURCE DOCUMENTS 10 years after separation. Paper documents should be shredded. Electronic images should be made unreadable Affirmative Action Plan 2 years after the AAP year EEO-1 Report 2 years after report was filed I-9 Forms 3 years after separation Leave Requests 3 years Leave Usage Reports 3 years Monthly Time Reports 3 years Payroll Expense Distribution Report - signed 2 years after fiscal year of document Time Sheet 3 years. Paper documents should be shredded. Electronic images should be made unreadable

14 SUPPLEMENTAL EMPLOYMENT RECORDS ADA Documentation Criminal History Checks - hired FMLA Documentation Medical Certificates Medical Documentation Reference Checks USERRA Documentation Worker's Compensation (IOJ) 10 years after separation. Paper documents should be shredded. Electronic images should be made unreadable 10 years after separation or close of claim (whichever is later)