\8 -~-1 RECORDS RETENTION SCHEDULE OFFICE OF THE GOVERNOR RECORDS RETENTION SCHEDU.LE # Form RC-050 (Revised 02/2012)

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1 SCHEDULE Connecticut State Library SCHEDU.LE # \8 -~-1 AGENCY: Office of the Governor DIVISION, UNIT, OR FUNCTION: Entire Agency AGENCY ADDRESS: 210 Capitol Avenue, Hartford, CT This schedule is: D NEW ~REVISED Superseded schedule number(s): ; RMLO (type or print): Anthony Jannotta JOB TITLE OF RMLO (type or print): Legal Counsel DATES GNED: APPROVED (Signature of RMLO): DATE SIGNED: 01. Correspondence Files - Constituent Services This series documents constituent correspondence sent or received by the Office of the Governor. Including but not limited to: correspondence; related documents; and tracking database records. 02. Correspondence Files Governor and Executive Level Staff This series documents official correspondence not filed with other records series that is sent, or received, by the Governor and the Governor's executive level staff (e.g., Chief of Staff, General Counsel, and Senior Advisor). Official correspondence concerns coordination of programs and Governor's policy and responsibilities of a non-routine nature. Including but not limited to: correspondence and related documents. See S1-060, S1-070, and S1-080 for the retention of transitory and routine correspondence, including Freedom of Information (FOI) requests. Page 2 of8

2 SCHEDUlE Connecticut Stat,e Library Office of the!public Records Administrator '!:}WW.csli b. org/pu blicrecords 10?- 51- I Disposition 03. Executive Appointment Records- Appointed This series documents the review process for gubernatorial appointments of state appointive officers pursuant to CGS Title 4, Chapter 46. Positions may be paid or unpaid and include agencies/departments and state boards, commissions, workgroups, taskforces, and other such groups created by legislation or executive order. Including but not limited: background checks/questionnaires; resumes; letters of recommendation; tax returns; judicial selection process records; public hearing records; reviews and related 3 years frorn end of gubernatorial term Destroy after receipt of signed Form RC-108 then transfer to the State Records Center. 04. Executive Appointment Records- Not Appointed This series documents the review 2 years Destroy after receipt process for gubernatorial appointments of state appointive officers pursuant to CGS Title 4, Chapter 46. Positions may be paid or unpaid and include agencies/departments and state boards, commissions, workgroups, taskforces, and other such groups created by legislation or executive order. Including but not limited: background checks/questionnaires; resumes; letters of recommendation; tax returns; judicial selection process records; public hearing records; reviews; and related of signed Form RC-108 Page 3 of8

3 SCHEDUlE :STATE OF CONNIECTICUT 'Connecticut State Library : \d -~-I I Disposition OS. Executive Appointment Records- letters of Appointment This series documents gubernatorial appointments to positions for agencies/departments and state boards, commissions, workgroups, taskforces, and other such groups created by legislation or executive order. Includes letter of appointment only. 06. Executive Orders This series documents executive orders issued by the Governor to agencies of the Executive Branch of state government. Including but not limited to: executive orders and related 07. Extradition Files This series documents extradition of suspected or convicted criminals. Including but not limited to: extradition orders; supporting documentation; and related 08. Governor's Residence Records This series documents activities and use of the Governor's residence. Including but not limited to: state and non-profit event records; guided public tour records; fine arts loan agreements; records related to repair, remodeling, and the purchase of furniture and fixtures; and state and conservancy inventories. Pursuant to CGS 3-10 (see also Public Act 11-51, section 44), the Governor's residence is operated by the Department of Administrative Services (DAS). 09. Governor's Satellite Office Records This series documents activities of the Office of the Governor at any off-site facility, including but not limited to, the Washington D.C. office. Including but not limited to: agency, organization, and constituent files; correspondence; news clippings; and proclamations. Page 4 of 8

4 SCHEDUlE Connecticut State Library Office of the Pulblic Records Administrator )Nww.cslib.org/publicrecords \Q-<;;1 - \ I Disposition 10. Governor's Spouse Records This series documents activities of the First Lady/Gentleman in his or her official capacity. Including but not limited to: materials on meetings that were attended, speaking engagements, and personal appearances. 11. Inauguration Records This series documents the inauguration into office of a new or re-elected governor. Records may contain documentation on the political and social aspects of the inauguration activities. 12. Official Statements and letters This series documents official statements and letters issued by the Governor. Including but not limited to: drafts of official statements and letters; official statements and letters; correspondence; and related documentation. 13. Photographs This series documents official photographs and other related audio/video recordings of activities of the Governor. 14. Press Releases This series documents press releases issued by the Governor. 15. Proclamations This series documents proclamations issued by the Governor for noteworthy state or local events that deserve special recognition. Page 5 of 8

5 SCHEDULE Connecticut Sta:te Library Office of the PuiJiic Records Administrator ~Nww.cslib.org/publicrecords \d-cs'-1 I Disposition 16. Public Acts Records This series documents Public Acts passed by the General Assembly pending gubernatorial action. Including but not limited to: related correspondence; internal review documents and analysis; transmittal sheets; press releases; and veto messages, if applicable. legislative session; See S1-160 for the retention of legislative records at the agency level. 17. Schedules This series documents the final schedule of the Governor's day-to-day meetings and activities. Permanenlt/Archival 18. Scheduling Files- Event Invitations This series documents requests from individuals or organizations for the Governor to attend an event or meeting. Including but not limited to: invitations, regretted invitations; requests from organizations and individuals; remarks; talking points; and related documents. Permanenlt/ Archival 19. Speech Files This series documents speeches given by the Governor. Including but not limited to: speeches (inaugural address, state of the budget, and state of the state) and related documentation. 20. State Agency Annual Reports This series documents annual reports Upon receipt [CGS 4-60] submitted by state agencies to the Governor pursuant to CGS Transfer to the Department of Administrative Services (DAS) Page 6 of 8

6 SCHEDULE C:onnecticut State Library ~vww.cslib.orgillublicrecords \d-~-1 Disposition 21. State Agency Audit Records This series documents audits of state agencies submitted to the Governor pursuant to CGS 2-90(b), (c), and (e). Including but not limited to: reports from the Auditors of Public Accounts; legal office letters; follow-up information; 4-33a forms (monthly loss reports); and letters sent to agencies for lost items valued over $1,000. Until end of calendar year Destroy after receipt of signed Form RC State Agency Proposed Regulation Records This series documents review of state agency proposed regulations in accordance with CGS 4-168b. Including but not limited to: copies of proposed regulations; notifications from the Office of Policy and Management (OPM) to approve or not approve; internal reviews; attorney's notes; letters to approve or not approve; and related See S1-410, S1-420, and S1-430 for regulation-making records retention requirements at the agency level. 23. Subject/Issue Files Governor and Executive Level Staff This series documents subjects/issues related to the Governor and the Governor's executive level staff (e.g., Chief of Staff, General Counsel, and Senior Advisor). Files include, but are not limited to, cases, complaints, issues, or background information. Including but not limited to: reference material and related 24. Transition Records This series documents the transition from the incumbent Governor to the Governor-elect. Including but not limited to: policy reports; working group records; press releases; and related Permanenlt/ Archival This series does not apply to the records of the Governor-elect as they are not a "public agency" as defined in CGS Page 7 of 8

7 SCHEDULE Connecticut State Library )d -~-I Disposition 25. Writs of Special Elections Records This series documents requests for issuance of writs of special elections in accordance with CGS Title 9. Including but not limited to: related correspondence; writs of special elections; transmittal memos; and certificates of election. Page 8 of8

8 SCHEDULE STATE OF COI\JNI:CTICUT Connecticut State Library yyww.cslib.org/publicrecords {q-~-1 1. SCOPE: This schedule lists records unique to the Office of the Governor and is used in conjunction with the General Records Retention Schedules and other relevant Records Retention Schedules. 2. AUTHORITY: The issues this Records Retention Schedule under the authority granted by 11-8 and 11-8a of the General Statutes of Connecticut (CGS). 3. RETENTION PERIODS: Retention periods listed on this schedule are based on the records' administrative, fiscal!, legal, and historical values, as well as statutory or regulatory requirements. In most instances the established period sets the minimum retention requirement. However, some records have maximum retention periods set by Federal or State statutes or regulations. Please note that any statute or regulation listed in brackets in the "Retention" column indicates the legal citation for that retention requirement. If a records series states, "," the agency should request approval to transfer the records to the or an approved archival repository once the records are inactive. If a records series states, "May contain historical value," the agency should contact the for archival appraisal before requesting disposition of the records. Not all such records will be determined to be archival; conversely, some records without this statement might have archival value. See General Letter # for guidelines on transferring records to the. 4. FORMAT: Retention periods listed on this schedule apply to the official record copy, whether in paper, electronic, or other format. If records are maintained only in an electronic system, the records custodian must be able to retrieve and interpret the content for the retention period. 5. DISPOSITION AUTHORIZATION: This schedule is used concurrently with the Records Disposition Authorization (Form RC-108), which is used to request permission to destroy or transfer records that have met their retention period. The agency Records Management Liaison Officer (RMLO), the State Archivist, and the Public Records Administrator must sign the authorization form prior to destruction or transfer of public records. The cannot grant continuing approval to destroy records on an ongoing basis. No records may be destroyed if there are pending or active Freedom of Information Act (FOIA) requests; litigations; investigations; audits; or other cases, claims, or actions. Note that if there is a destruction hold placed on records, the retention period does not change and once the hold is lifted, the records may be destroyed after receipt of the signed Form RC DISPOSITION DUE TO REFORMATTING: Records custodians may request permission to dispose of original records that have been scanned provided the retention period is 10 years or less and the agency has submitted a Certificate of Compliance in accordance with the State Library's Standards for the Use of Imaging Technology for Storage, Retrieval, and Disposition of Public Records. With certain exceptions, custodians may request permission to dispose of original records that have been microfilmed provided the agency has submitted a Certificate of Compliance in accordance with the State Library's Required Minimum Microfilming Standards for Public Records. 7. AUDIT REQUIREMENTS: Under the Single Audit Act (31 USC 7501) audit requirements apply to Federal, State, and Local programs. The retention requirement,"_ years, or until audited, whichever is later," requires further explanation. In most instances "audit" refers to the general agency audit conducted by the State Auditors of Public Accounts or the general town or municipal audit conducted by an outside auditing agency, unless otherwise noted. The specific record itself may or may not have been examined as part of the audit process. The requirement of "until audited" is fulfilled when the official audit report is issued. The auditors may recommend that certain records be corrected. Such records, even when they meet retention requirements, must be retained during the period that any review is pending. 8. FOIA DISCLOSURE: This retention schedule governs the retention of public records- not the disclosure of public records. Refer to CGS et seq. or contact the Office of Governmental Accountability, Freedom of Information Commission (FOIC), regarding the disclosure of public records. 9. ESSENTIAL RECORDS: Records designated as "Essential" are those records necessary to respond to an emergency; to reestablish normal operations after any such emergency; to protect the rights and interests of the agency; and to protect the rights and interests of individuals for whom it has responsibility. 10. OBSOLETE RECORDS: Records designated as "OBSOLETE" or "SERIES CLOSED" are no longer created or received in the normal course of business. Records custodians should request approval for the appropriate disposition of any records so designated as soon as the retention period has passed. 11. RECORDS CREATION REQUIREMENT: Nothing on this schedule mandates the creation of a record or records s1~ries if the agency does not already create or receive it in the normal course of business. However, agencies should be aware of any additional recordkeeping requirements established by state or federal statute or regulation. Page 1 of8