General Retention Schedule (Common Items).pdf

State Government General Records Retention Schedule

Version 6.2 (August 2021)

This schedule applies to: All State Government Agencies

Scope of records retention schedule This records retention schedule authorizes the destruction/transfer of public records documenting common functions and activities of state government agencies, including Universities and Community and Technical Colleges. It is to be used in conjunction with the other approved schedules that relate to the unique functions of the agency.

Disposition of public records Public records covered by records series within this records retention schedule (regardless of format) must be retained for the minimum retention period as specified in this schedule. Washington State Archives strongly recommends the disposition of public records at the end of their minimum retention period for the efficient and effective management of state resources.

Public records designated as “Archival (Permanent Retention)” must not be destroyed. Records designated as “Archival (Appraisal Required)” must be appraised by the Washington State Archives before disposition. Public records must not be destroyed if they are subject to ongoing or reasonably anticipated litigation.

Such public records must be managed in accordance with the agency’s policies and procedures for legal holds. Public records must not be destroyed if they are subject to an existing public records request in accordance with chapter 42.56 RCW. Such public records must be managed in accordance with the agency’s policies and procedures for public records requests.

Revocation of previously issued records retention schedules All previous versions of the State Government General Records Retention Schedule are revoked. State Agencies must ensure the retention and disposition of public records is in accordance with current, approved records retention schedules.

Authority This records retention schedule was approved by the State Records Committee in accordance with RCW 40.14.050 on August 4, 2021.

For the State Auditor:

Al Rose

Signature on File

For the Attorney General:

Suzanne Becker

Signature on File

For the Office of Financial Management:

Gwen Stamey

Signature on File

The State Archivist:

Steve Excell

REVISION HISTORY

Version Date of Approval Extent of Revision

1.0 November 1991 General Update

2.0 July 1997 General Update

3.0 Summer 2001 General Update

3.5 April 2005 General Update

4.0 November 2005 General Update

5.0 October 6, 2010 Changes to format, glossary updated, indexes added, standardized Archival designations and proper citation of RCW’s.

5.1 August 3, 2011

All records series reorganized into six functional areas: Agency Management, Asset Management, Financial Management, Human Resource Management, Records Management, and Records With Minimal Retention Value. Major revision to Information Management function. New activities added including Banking, Community Relations, Library Services, Public Disclosure, Publishing, Records Conversion, Risk Management, and Security. Please reference the Revision Guide for detailed information.

6.0 June 29, 2016 Major revision of entire schedule.

6.1 August 5, 2020 Minor revision to the “Asset Management – Security” section.

6.2 August 4, 2021 Minor revision to the “Human Resource Management – Occupational Health and Safety” section.

For assistance and advice in applying this records retention schedule, please contact your agency’s Records Officer or Washington State Archives at:

recordsmanagement@sos.wa.gov mailto:recordsmanagement@sos.wa.gov

TABLE OF CONTENTS

1. AGENCY ADMINISTRATION AND MANAGEMENT

1.1 ADVICE AND TECHNICAL ASSISTANCE

1.2 AUDITING

1.3 CALENDARS

1.4 COMMUNITY AND EXTERNAL RELATIONS

1.5 LEGAL AFFAIRS

1.6 LEGISLATION AND RULE MAKING

1.7 MEETINGS AND BOARD/COMMITTEE SUPPORT

1.8 PLANNING

1.9 POLICIES AND PROCEDURES

1.10 REPORTING AND STUDIES

1.11 RISK MANAGEMENT AND DISASTER PREPAREDNESS/RESPONSE

1.12 TRAINING OTHERS

2. ASSET MANAGEMENT

2.1 ACQUISITION AND DISPOSAL

2.2 AUTHORIZATION/CERTIFICATION

2.3 DESIGN AND CONSTRUCTION

2.4 INFORMATION SERVICES

2.5 INVENTORY

2.6 MAINTENANCE, INSPECTION, AND MONITORING

2.7 OPERATIONS AND USE

2.8 SECURITY

3. FINANCIAL MANAGEMENT

3.1 ACCOUNTING AND FISCAL

3.2 AUTHORIZATION/DELEGATION

3.3 BUDGETING

3.4 CONTRACTS AND PURCHASING

3.5 GRANTS MANAGEMENT

3.6 TRAVEL

4. HUMAN RESOURCE MANAGEMENT

4.1 ATTENDANCE AND LEAVE

4.2 AUTHORIZATION/CERTIFICATION

4.3 BENEFITS

4.4 LABOR RELATIONS

4.5 MISCONDUCT/DISCIPLINE/GRIEVANCES

4.6 OCCUPATIONAL HEALTH AND SAFETY

4.7 PAYROLL

4.8 PERFORMANCE MANAGEMENT

4.9 PERSONNEL HISTORY

4.10 POSITION DEVELOPMENT AND STAFF STRUCTURE

4.11 RECRUITMENT/HIRING

4.12 REPORTING

4.13 SEPARATION

4.14 STAFF DEVELOPMENT

5. INFORMATION MANAGEMENT

5.1 FORMS MANAGEMENT

5.2 LIBRARY SERVICES

5.3 MAIL SERVICES

5.4 PUBLIC DISCLOSURE/RECORDS REQUESTS

5.5 PUBLISHING

5.6 RECORDS MANAGEMENT

6. RECORDS WITH MINIMAL RETENTION VALUE (TRANSITORY RECORDS)

GLOSSARY

INDEXES

1. AGENCY

ADMINISTRATION AND

MANAGEMENT

1. AGENCY ADMINISTRATION AND MANAGEMENT

The function relating to the overarching management of the state government agency and its general administration. Also includes managing the agency’s interaction with its community, and legal matters.

1.1 ADVICE AND TECHNICAL ASSISTANCE

The activity of providing advice, technical assistance, and information about the agency, its core business, programs, and services.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09022

Rev. 1

Provision of Advice, Assistance, or Information

Records relating to requests received and provision of advice, technical assistance, and information (including agency-initiated communications) concerning the agency, its core business, programs, and services, where not covered by a more specific records series.

Includes, but is not limited to:

Internal and external correspondence/communications (regardless of format) relating to the request/agency-initiated advice, assistance, or information.

Excludes records covered by:

Public Disclosure/Records Requests (DAN GS 05001);

State Publications (DAN GS 15008);

Requests for Basic/Routine Agency Information (DAN GS 50002).

Retain for 2 years after communication received or provided, whichever is later then

Destroy.

Note: Information/advice published online by the agency continues to be “provided” until the date it is removed/withdrawn.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

1.2 AUDITING

The activities associated with conducting internal audits of the agency (including advising) and coordinating external audits of the agency by the State Auditor’s Office and others. Also includes performance audits and whistleblower investigations.

See Human Resource Management – Misconduct/Discipline/Grievances for personnel investigations; Financial Management – Grants Management for audits relating to grants; agency-specific schedule for audits conducted by the agency on other agencies, local government, and external organizations.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 04007

Rev. 0

Corrective Actions – Audits

Records relating to the actions taken by the agency to address issues/findings raised in internal and external audits/reviews.

Includes, but is not limited to:

Corrective action plans;

Certificates of completion;

Reporting of corrective action, plans, progress on corrective actions, and certificates of completion to the Office of Financial Management in accordance with State Administrative and Accounting Manual (SAAM) Section 55.10;

Related correspondence/communications.

Excludes:

Records covered by Corrective Actions – Audits (Development of Plans) (DAN GS 04008);

Records of the Office of Financial Management of corrective action reports received from other agencies.

Retain for 6 years after matter resolved then

Destroy.

NON-ARCHIVAL

OPR

The activities associated with conducting internal audits of the agency (including advising) and coordinating external audits of the agency by the State Auditor’s Office and others. Also includes performance audits and whistleblower investigations.

See Human Resource Management – Misconduct/Discipline/Grievances for personnel investigations; Financial Management – Grants Management for audits relating to grants; agency-specific schedule for audits conducted by the agency on other agencies, local government, and external organizations.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 04008

Rev. 0

Corrective Actions – Audits (Development of Plans)

Records relating to the development of corrective action plans to address issues/findings raised in internal and external audits/reviews.

Includes, but is not limited to:

Preliminary drafts of corrective action plans;

Working notes;

Related correspondence/communications.

Retain until completion and acceptance of final plan then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

GS 04006

Rev. 1

External Audits/Reviews of Agency – Final Reports

Records relating to the final outcome of audits conducted by either the State Auditor’s Office or other external organizations.

Includes, but is not limited to:

Final reports of audits and examinations;

Management letters;

Exit items;

Other documentation provided at the final exit conference.

Excludes:

Records covered by Grants Received by Agency (DAN GS 23004);

Records of the State Auditor’s Office.

Retain for 6 years after audit report date then

Destroy.

NON-ARCHIVAL

The activities associated with conducting internal audits of the agency (including advising) and coordinating external audits of the agency by the State Auditor’s Office and others. Also includes performance audits and whistleblower investigations.

See Human Resource Management – Misconduct/Discipline/Grievances for personnel investigations; Financial Management – Grants Management for audits relating to grants; agency-specific schedule for audits conducted by the agency on other agencies, local government, and external organizations.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 04009

Rev. 0

External Audits/Reviews of the Agency – Interactions

Records relating to the agency’s interactions with the external agency/organization conducting the audit/review of the agency.

Includes, but is not limited to:

Requests for information;

Entrance documents;

Status reports;

Related correspondence/communications.

Excludes records covered by External Audits/Reviews of the Agency – Final Reports (DAN

GS 04006).

Retain until conclusion of audit then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

GS 04010

Rev. 0

Internal Audits/Consultations – Development

Records related to the conducting of internal audits/consultations which are either documented in the audit working papers or which proved not to be relevant to the conclusions of the audit/consultation.

Includes, but is not limited to:

Preliminary drafts;

Review notes;

Related correspondence/communications.

Retain until conclusion of audit/consultation then

Destroy.

NON-ARCHIVAL

The activities associated with conducting internal audits of the agency (including advising) and coordinating external audits of the agency by the State Auditor’s Office and others. Also includes performance audits and whistleblower investigations.

See Human Resource Management – Misconduct/Discipline/Grievances for personnel investigations; Financial Management – Grants Management for audits relating to grants; agency-specific schedule for audits conducted by the agency on other agencies, local government, and external organizations.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 04001

Rev. 1

Internal Audits/Consultations – Final Reports and Audit Working Papers

Final reports, audit working papers, and other supporting documentation relating to the planning, methodology, conduct, and conclusions of internal audits/consultations.

Includes, but is not limited to:

Planning procedures and communications (such as engagement letters, memoranda of understanding, etc.);

Internal control reviews;

Substantive tests and criteria used;

Audit strategies and procedures performed;

Audit evidence;

Conclusions reached;

Final reports.

Retain for 6 years after conclusion of audit/consultation then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OPR

GS 04011

Rev. 0

Internal Audit Programs – Quality Assurance Reviews (Development)

Records relating to external independent reviews of agency’s internal audit programs required by the Institute of Internal Auditors’ International Professional Practices Framework.

Includes, but is not limited to:

Preliminary drafts;

Related correspondence/communications.

Retain until conclusion of review then

Destroy.

NON-ARCHIVAL

The activities associated with conducting internal audits of the agency (including advising) and coordinating external audits of the agency by the State Auditor’s Office and others. Also includes performance audits and whistleblower investigations.

See Human Resource Management – Misconduct/Discipline/Grievances for personnel investigations; Financial Management – Grants Management for audits relating to grants; agency-specific schedule for audits conducted by the agency on other agencies, local government, and external organizations.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 04012

Rev. 0

Internal Audit Programs – Quality Assurance Reviews (Final Reports)

Records relating to final outcome of external independent reviews of agency’s internal audit programs required by the Institute of Internal Auditors’ International Professional Practices Framework.

Includes, but is not limited to:

Final reports;

Working papers;

Self-assessment documentation.

Retain for 6 years after review report date then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

GS 04004

Rev. 1

Whistleblower Investigations

Records relating to the referral of whistleblower complaints (made to an agency’s “designated official”) to the State Auditor’s Office and agency copies of State Auditor’s Office reports of allegations of fraud or violations of state laws or regulations as a result of the complaint in accordance with chapter 42.40 RCW.

Excludes the records of the State Auditor’s Office.

Retain for 3 years after date of report then

Destroy.

NON-ARCHIVAL

1.3 CALENDARS

The activity of documenting staff appointments/activities.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10008

Rev. 1

Calendars – Elected Officials and Agency Heads

Records documenting the day-to-day meetings and other official appointments of elected officials and agency heads.

Includes, but is not limited to:

Calendar records stored in Microsoft Outlook and other calendaring software/apps;

Hardcopy calendars/appointment books/diaries/etc.

Excludes records covered by:

Organizing/Monitoring Work in Progress (DAN GS 50011);

Scheduling – Appointments/Meetings (DAN GS 50014).

Retain for 4 years after end of calendar year then

Transfer to Washington State Archives for permanent retention.

ARCHIVAL

(Permanent Retention)

NON-ESSENTIAL

OFM

GS 09023

Rev. 1

Calendars – Employees (Other than Elected Officials and Agency Heads)

Records documenting the day-to-day meetings and other work-related appointments of agency employees other than elected officials and agency heads.

Includes, but is not limited to:

Calendar records stored in Microsoft Outlook and other calendaring software/apps;

Hardcopy calendars/appointment books/diaries/etc.

Excludes records covered by:

Calendars – Elected Officials and Agency Heads (DAN GS 10008);

Organizing/Monitoring Work in Progress (DAN GS 50011);

Scheduling – Appointments/Meetings (DAN GS 50014).

Retain for 1 year after end of calendar year then

Destroy.

NON-ARCHIVAL

1.4 COMMUNITY AND EXTERNAL RELATIONS

The activity of the state government agency’s interaction with its community.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 05006

Rev. 1

Advertising and Promotion

Records relating to the planning and/or execution of advertising and promotional activities conducted by the agency to promote the agency’s mission or business.

Includes, but is not limited to:

Marketing plans/strategies;

Records relating to the development of advertising campaigns/materials (such as original artwork, designs, storyboards, etc.);

Samples of advertising materials (regardless of format);

Records relating to the evaluation of campaigns/strategies;

Records relating to the design/selection of agency branding (such as logos, mottos, slogans, etc.);

Related correspondence/communications.

Excludes:

Advertising materials covered by State Publications (DAN GS 15008);

Financial records covered by Financial Transactions – General (DAN GS 01001);

Intellectual property ownership records covered by Acquisition and Disposal – Assets (Other than Real Property) (DAN GS 21001).

Retain until no longer needed for agency business then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 05008

Rev. 0

Celebrations/Ceremonies/Events – Routine

Records relating to the agency’s involvement in routine celebrations/ceremonies/events (such as Health and Wellness Fair, Public Service Week, staff recognition, retirement ceremonies, etc.).

Includes, but is not limited to:

Photographs, audio/visual recordings, etc.;

Websites, social media sites, etc.;

Planning and coordination records.

Excludes records covered by:

Advertising and Promotion (DAN GS 05006);

Celebrations/Ceremonies/Events – Significant (DAN GS 05009);

Financial Transactions – General (DAN GS 01001).

Retain until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 05009

Rev. 0

Celebrations/Ceremonies/Events – Significant

Records relating to the agency’s involvement in celebrations/ceremonies/events of particular significance to the agency and/or the state of Washington (such as milestone anniversaries, openings/dedications of major buildings or monuments, inaugurations, noteworthy appointments, national/international recognition, state funerals, etc.).

Includes, but is not limited to:

Programs, lists of VIPs in attendance, etc.;

Photographs, audio/visual recordings, transcripts of speeches;

Samples/designs of logos, commemorative items;

Websites, social media sites, etc.;

Planning and coordination records.

Excludes records covered by:

Advertising and Promotion (DAN GS 05006);

Celebrations/Ceremonies/Events – Routine (DAN GS 05008);

Financial Transactions – General (DAN GS 01001).

Retain until no longer needed for agency business then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09021

Rev. 2

Charity Fundraising

Records relating to the agency’s coordination, participation, and support of fundraising campaigns and promoting employee payroll deductions for charities.

Includes, but is not limited to:

Decision process for selecting charity campaigns to support;

Communication between the agency and charities;

Dissemination of charity information;

Arrangements and promotion of campaign events.

Excludes:

Authorization of payroll deductions covered by Payroll Files – Employee Pay History (DAN GS 03031) and Payroll Register (DAN GS 01060);

Office of the Secretary of State’s records related to the whole of government coordination of the Combined Fund Drive.

Retain for 6 years after end of fiscal year then

Destroy.

NON-ARCHIVAL

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09016

Rev. 1

Client/Customer Feedback and Complaints

Records relating to the capturing and receiving of feedback/information/data (including complaints) from the agency’s clients/customers concerning policies, procedures, business practices, customer service, etc., where not covered by a more specific records series.

Includes, but is not limited to:

Thank-you messages, kudos, etc.;

Client/customer satisfaction surveys (including the design and distribution of such surveys);

Internal and external correspondence/communications relating to complaints, their investigation, and resolution.

Excludes records covered by Whistleblower Investigations (DAN GS 04004).

Note: Retention based on 3-year statute of limitations for personal injury (RCW 4.16.080).

Retain for 3 years after feedback received/resolution of complaint then

Destroy.

NON-ARCHIVAL

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 05003

Rev. 1

Media Releases and Coverage

Records relating to the agency’s communications with the media and coverage in the media of the agency’s activities and accomplishments.

Includes, but is not limited to:

Press/news releases issued by the agency to the media for distribution;

Audio/visual recordings/transcripts of press conferences, speeches, etc., by the head of the agency or senior executives;

Copies of guest editorials written by the head of the agency;

Copies of news clippings/media coverage of the agency’s activities (if compiled by the agency).

Excludes information distributed through the agency’s website/social media channels and correspondence/communications with the media covered by Provision of Advice, Assistance or Information (DAN GS 09022).

Retain for 2 years after end of calendar year then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 05010

Rev. 0

Stakeholder Group Relations

Records relating to developing and maintaining cooperative working relationships with stakeholder groups (such as community groups, government agency associations/ taskforces/committees, professional associations, etc.) where not covered by a more specific records series.

Includes, but is not limited to:

Copies of agendas/minutes/conference proceedings;

Newsletters/notices of stakeholder groups’ activities;

Non-financial records relating to corporate memberships with external organizations;

Related correspondence/communications.

Excludes records:

Covered by Contact Information (DAN GS 50007);

Documenting the payment of membership dues/fees covered by Financial Transactions – General (DAN GS 01001).

Retain for 2 years after end of calendar year then

Destroy.

NON-ARCHIVAL

1.5 LEGAL AFFAIRS

The activity of managing the agency’s legal affairs, including litigation and legal advice.

Note: This section does not apply to the records of the Office of the Attorney General.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 18006

Rev. 1

Compulsory Process Served on the Agency (Not Party to Litigation)

Records relating to court orders, subpoenas, and other compulsory legal process served on the agency, where the agency is not a party to the litigation.

Includes, but is not limited to:

Personnel/staff summonses or notices of deposition;

Subpoenas or court orders for agency records.

Excludes records covered by Litigation Case Files – Significant (DAN GS 18009) and Litigation

Case Files – Routine (DAN GS 18004).

Retain until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

Note: This section does not apply to the records of the Office of the Attorney General.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 18003

Rev. 1

Legal Advice and Issues

Records relating to legal advice and opinions received by the agency concerning the agency’s actions, statutes, rules, policies and procedures, etc.

Also includes records relating to legal issues of concern to the agency where not covered by a more specific records series.

Includes, but is not limited to:

Advice and opinions (formal/informal) requested and/or received from the Office of the Attorney General;

Copies of legal documents and other materials pertaining to specific issues;

Related correspondence/communications.

Excludes:

Records covered by Litigation Case Files – Significant (DAN GS 18009) and Litigation Case Files – Routine (DAN GS 18004);

Records of the Office of the Attorney General.

Retain for 6 years after issue resolved and until advice no longer needed for agency business then

Destroy.

NON-ARCHIVAL

ESSENTIAL

(for Disaster Recovery)

Note: This section does not apply to the records of the Office of the Attorney General.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 18004

Rev. 1

Litigation Case Files – Routine

Agency records related to a particular litigation case involving the agency which does not have profound influence on the administration of state government and/or the state of Washington.

Includes, but is not limited to:

Background information;

Lawsuit documentation;

Pleadings, appeals, court orders;

Agency working files;

Related correspondence/communications.

Also includes litigation with no Office of the Attorney General involvement.

Excludes:

Records covered by Litigation Case Files – Significant (DAN GS 18009);

Records of the Office of the Attorney General.

Retain for 6 years after resolution of case (including appeals) then

Destroy.

NON-ARCHIVAL

ESSENTIAL

Note: This section does not apply to the records of the Office of the Attorney General.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 18009

Rev. 0

Litigation Case Files – Significant

Agency records related to a particular litigation case involving the agency which has profound influence on the administration of state government and/or the state of Washington (such as Boldt, McCleary, WPPSS Bondholders, Doran, etc.).

Includes, but is not limited to:

Background information;

Lawsuit documentation;

Pleadings, appeals, court orders;

Agency working files;

Related correspondence/communications.

Also includes litigation with no Office of the Attorney General involvement.

Excludes:

Records covered by Litigation Case Files – Routine (DAN GS 18004);

Records of the Office of the Attorney General.

Retain for 6 years after resolution of case (including appeals) then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

ESSENTIAL

1.6 LEGISLATION AND RULE MAKING

The activities associated with the development of agency request legislation/agency rules (Washington Administrative Code) and the monitoring/tracking/providing input to legislation, rules, and regulations proposed by other entities at federal, state, and local government levels.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 19001

Rev. 1

Legislation – Development and Analysis

Records relating to the development of agency request legislation and analysis of the impact on the agency of any legislation (federal or state).

Includes, but is not limited to:

Bill drafts;

Fiscal notes;

Bill analysis reports;

Related correspondence/communications.

Excludes records covered by:

Legislation/Regulations/Rules – Monitoring/Tracking (DAN GS 19002);

Reporting to External Agencies (Mandatory) (DAN GS 19004).

Retain for 2 years after end of legislative session then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

NON-ESSENTIAL

OFM

GS 19002

Rev. 1

Legislation/Regulations/Rules – Monitoring/Tracking

Records relating to the monitoring/tracking of proposed legislation/regulations/rules with possible impact on the agency under consideration by the Legislature, other state agencies, federal or local governments.

Includes, but is not limited to:

Bill drafts, amendments, fiscal notes, memos;

Committee reports, monitoring reports, and related records.

Excludes records (such as public agency lobbying L-5 reports) covered by Reporting to External Agencies (Mandatory) (DAN GS 19004).

Retain for 2 years after end of calendar year then

Destroy.

NON-ARCHIVAL

1.6 LEGISLATION AND RULE MAKING

The activities associated with the development of agency request legislation/agency rules (Washington Administrative Code) and the monitoring/tracking/providing input to legislation, rules, and regulations proposed by other entities at federal, state, and local government levels.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10009

Rev. 1

Rule Making (Washington Administrative Code – WAC)

Records relating the development of agency rules and amendments (Washington Administrative Code).

Includes, but is not limited to:

Records comprising the official agency rule making file in accordance with RCW 34.05.370(2);

Internal agency documents described in RCW 34.05.370(3) (other than preliminary drafts), such as notes, recommendations, intra-agency memoranda, etc.;

Related correspondence/communications.

Excludes:

Preliminary drafts covered by Drafting and Editing (DAN GS 50008);

Rules development agendas in accordance with RCW 34.05.314 covered by Reporting to External Agencies (Mandatory) (DAN GS 19004).

Retain until rule superseded/not proceeded with then

Transfer to Washington State Archives for permanent retention.

ARCHIVAL

(Permanent Retention)

1.7 MEETINGS AND BOARD/COMMITTEE SUPPORT

The activities associated with documenting staff appointments/activities and assembling groups of people for the purpose of information-sharing, discussion, planning, and/or decision-making.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10015

Rev. 0

Advisory Body Records

Records documenting the actions, meetings, and membership of boards, commissions, committees, councils, task forces, etc., that are created to act strictly in an advisory capacity to the agency and have no final decision-making powers.

Also includes interagency/national/external advisory bodies for which the agency acts as secretary/keeper of the official records.

Includes, but is not limited to:

Agendas, meeting/agenda packets (briefs, reference materials, etc.);

Speaker sign-up, written testimony;

Audio/visual recordings and transcripts of proceedings;

Minutes;

Reports/correspondence/communications sent/received on behalf of the body;

Appointment, reappointment, and termination correspondence/communications;

Selected images/photographs showing the committee membership at particular points in time (such as board/committee portraits, etc.) and/or significant stages of the board/committee’s life.

Excludes appointment records of the Office of the Governor and other records covered by:

Governing/Executive/Policy-Setting Body Records (DAN GS 10004);

Meeting Arrangements (DAN GS 09024);

Meeting Materials – Members’ Copies/Notes (DAN GS 09026);

Meetings – Staff and Internal Committees (DAN GS 09009).

Retain for 6 years after end of calendar year then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

The activities associated with documenting staff appointments/activities and assembling groups of people for the purpose of information-sharing, discussion, planning, and/or decision-making.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10004

Rev. 1

Governing/Executive/Policy-Setting Body Records

Records documenting the actions, meetings, and membership of the agency’s governing body, executive management team, and other policy-setting/decision-making boards, committees, commissions, councils, task forces, etc.

Also includes interagency/national/external policy-setting/decision-making bodies for which the agency acts as secretary/keeper of the official records.

Includes, but is not limited to:

Agendas, meeting/agenda packets (briefs, reference materials, etc.);

Speaker sign-up, written testimony;

Audio/visual recordings and transcripts of proceedings;

Minutes;

Reports/correspondence/communications sent/received on behalf of the body;

Orders, resolutions, etc.;

Appointment, reappointment, and termination correspondence/communications;

Selected images/photographs showing the committee membership at particular points in time (such as board/committee portraits, etc.) and/or significant stages of the board/committee’s life.

Excludes appointment records of the Office of the Governor and other records covered by:

Advisory Body Records (DAN GS 10015);

Meeting Arrangements (DAN GS 09024);

Meeting Materials – Members’ Copies/Notes (DAN GS 09026).

Retain for 6 years after end of calendar year then

Transfer to Washington State Archives for permanent retention.

ARCHIVAL

(Permanent Retention)

ESSENTIAL

The activities associated with documenting staff appointments/activities and assembling groups of people for the purpose of information-sharing, discussion, planning, and/or decision-making.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09024

Rev. 0

Meeting Arrangements

Records relating to the administrative arrangements of meetings held by or on behalf of the agency.

Includes, but is not limited to:

Agenda requests;

Arrangement of catering, facilities, and equipment.

Excludes:

Records covered by Scheduling – Appointments/Meetings (DAN GS 50014);

Financial records (facilities, catering, etc.) covered by Financial Transactions – General (DAN GS 01001);

Open Public Meeting Act notices filed with the Code Reviser/State Register in accordance with RCW 42.30.075 covered by Reporting to External Agencies (Mandatory) (DAN GS 19004);

Travel arrangements/expenses covered by Travel (DAN GS 07001).

Retain until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

The activities associated with documenting staff appointments/activities and assembling groups of people for the purpose of information-sharing, discussion, planning, and/or decision-making.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09025

Rev. 0

Meeting Materials – Ballots

Ballots used in voting by boards, committees, commissions, councils, task forces, etc., to determine:

Members and/or positions (such as chair, secretary, etc.);

Decisions of the board/committee, etc.;

Provided the outcome of the vote is documented in other records of the board/committee (such as minutes).

Retain until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

GS 09026

Rev. 0

Meeting Materials – Members’ Copies/Notes

Individual members’ meeting materials from participating in advisory, governing/ executive/policy-setting, internal/external committees (including national/external bodies), provided the Committee’s records are retained by the secretary/responsible agency/member.

Includes, but is not limited to:

Copies of agendas, meeting packets, minutes, etc.;

Working notes/drafts, etc.;

Related correspondence/communications.

Retain until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

The activities associated with documenting staff appointments/activities and assembling groups of people for the purpose of information-sharing, discussion, planning, and/or decision-making.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09009

Rev. 1

Meetings – Staff and Internal Committees

Records documenting meetings of the agency’s staff and those of internal committees, commissions, councils, boards, task forces, etc.

Includes, but is not limited to:

Agendas, meeting/agenda packets (briefs, reference materials, etc.);

Speaker sign-up, written testimony;

Audio/visual recordings and transcripts of proceedings;

Minutes.

Excludes records covered by:

Advisory Body Records (DAN GS 10015);

Governing/Executive/Policy-Setting Body Records (DAN GS 10004);

Meeting Arrangements (DAN GS 09024);

Meeting Materials – Members’ Copies/Notes (DAN GS 09026).

Retain for 2 years after end of calendar year and until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

1.8 PLANNING

The activity of documenting and determining the agency’s objectives and the means for obtaining them.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09008

Rev. 1

Business/Work Plans

Records relating to plans for the management of the agency’s business divisions/units, projects, assets, workforce, etc., including timelines, performance measures, and areas of responsibility.

Includes, but is not limited to:

Final plan;

Records relating to the development of the plan.

Excludes records covered by:

Disaster Preparedness/Emergency and Recovery Plans (DAN GS 14010);

Organizing/Monitoring Work in Progress (DAN GS 50011);

Strategic Plans – Final (Unpublished) (DAN GS 10001);

Strategic Plans – Development (DAN GS 09027).

Retain for 2 years after completion/expiration of plan then

Destroy.

NON-ARCHIVAL

1.8 PLANNING

The activity of documenting and determining the agency’s objectives and the means for obtaining them.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10013

Rev. 1

Establishment/Development History of Agency/Programs

Records documenting the planning, establishment, and significant changes/developments of the agency and its programs.

Includes, but is not limited to:

Summaries/histories of the agency/programs;

Scrapbooks, news clippings, photographs, etc., documenting the history of the agency/programs;

Organizational charts and other planning records documenting significant changes/restructures (such as agency mergers/splits, creation/combinations of divisions, major changes of agency functions/roles, etc.);

Transitional documentation prepared for incoming officials/agency heads.

Retain for 6 years after end of calendar year then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

NON-ESSENTIAL

OPR

GS 09027

Rev. 0

Strategic Plans – Development

Records relating to the development of the agency’s strategic plans.

Retain until no longer needed for agency business then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

GS 10001

Rev. 1

Strategic Plans – Final (Unpublished)

Final version of agency-wide strategic, long-term plans used to align the agency’s organizational and budget structure with its priorities, missions, and objectives developed in accordance with RCW 43.88.090 and not published.

Excludes published strategic plans covered by State Publications (DAN GS 15008).

Retain until no longer needed for agency business then

Transfer to Washington State Archives for permanent retention.

ARCHIVAL

(Permanent Retention)

ESSENTIAL

1.9 POLICIES AND PROCEDURES

The activity of creating systematic approaches to operations and processes.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09028

Rev. 0

Policies and Procedures – Administrative Functions

Records relating to the development, implementation, and interpretation of the policies and procedures developed by the agency to implement internal administrative functions (such as facility management, finance, human resources, purchasing, information management, etc.) where these functions are not the agency’s core mission.

Includes, but is not limited to:

Each adopted/approved version of policies and procedures;

Records documenting the development of policies and procedures.

Excludes records covered by:

Rule Making (Washington Administrative Code – WAC) (DAN GS 10009);

Work Instructions/Desk Manuals (DAN GS 09001).

Retain for 6 years after superseded then

Destroy.

NON-ARCHIVAL

ESSENTIAL

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10002

Rev. 1

Policies and Procedures – Agency Core Mission

Records relating to the development, implementation, and interpretation of the policies and procedures developed by the agency to implement its core functions and mission.

Includes, but is not limited to:

Each adopted/approved version of policies and procedures;

Records documenting the development of policies and procedures;

Legal advice related to the development, implementation, and interpretation of the policies and procedures;

Policy statements;

Papers of executive direction.

Excludes records covered by Rule Making (Washington Administrative Code – WAC) (DAN

GS 10009).

Retain for 6 years after superseded then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

ESSENTIAL

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09012

Rev. 1

Process Improvement

Records relating to process improvements undertaken by the agency to improve the efficiency and effectiveness of the agency, its programs, and services.

Includes process improvement initiatives at both the:

Agency level (such as employee suggestion programs, etc.); and

Government-wide level (such as LEAN; Government Management, Accountability and Performance Program (GMAP); Plain Talk; Balanced Scorecard; Performance Partnership; Brainstorm or Team Incentive Program (TIP); etc.).

Includes, but is not limited to:

Plans and studies (such as Time-in-Motion, etc.);

Performance measures/statistics/reports;

Evaluations;

Related correspondence/communications.

Retain for 6 years after end of improvement cycle/ project then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OFM

GS 09001

Rev. 1

Work Instructions/Desk Manuals

Routine day-to-day task/work instructions, desk manuals, etc.

Retain until superseded then

Destroy.

NON-ARCHIVAL

1.10 REPORTING AND STUDIES

The activities associated with internal agency reporting/statistics, reporting/notifying to external agencies/organizations as required by federal, state, or local statute, or by court order/rule, and with conducting studies.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09029

Rev. 0

Reporting Internally – Routine Program/Project/Work Unit Reports/Statistics

Records relating to routine internal statistical and narrative reports provided to management documenting/tracking the activities and work accomplishments of a division/program/project for a given time period.

Includes, but is not limited to:

Monthly/quarterly/yearly reports.

Excludes:

Annual reports of the agency and other published reports covered by State Publications (DAN GS 15008);

Records covered by Records Documented as Part of More Formalized Records

(DAN GS 50012).

Retain for 2 years after end of fiscal year then

Destroy.

NON-ARCHIVAL

The activities associated with internal agency reporting/statistics, reporting/notifying to external agencies/organizations as required by federal, state, or local statute, or by court order/rule, and with conducting studies.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 19004

Rev. 1

Reporting to External Agencies (Mandatory)

Records relating to the mandatory reporting/notifying/filing by the agency to external agencies in accordance with federal, state, or local law or by court order/rule where not covered by a more specific records series, such as reporting to:

Federal agencies;

Code Reviser/State Registrar;

Public Disclosure Commission (Public Agency Lobbying L-5 Report);

Office of Financial Management;

Other state agencies, local government entities, etc.

Includes, but is not limited to:

Agency copy of reports/forms/certificates/lists submitted;

Submission confirmation and inquiries;

Related correspondence/communications.

Excludes:

Notifications covered by Security Incidents and Data/Privacy Breaches (DAN GS 25008);

Records covered by Reporting/Filing (Mandatory) – Employment-Related (DAN GS 03056);

Voluntary reporting/notifying, responding to surveys, etc., covered by Provision of Advice, Assistance or Information (DAN GS 09022);

Reports/notifications/filings received by the agency from other entities covered by the agency-specific records retention schedule.

Retain for 6 years after submitted then

Destroy.

NON-ARCHIVAL

The activities associated with internal agency reporting/statistics, reporting/notifying to external agencies/organizations as required by federal, state, or local statute, or by court order/rule, and with conducting studies.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 10016

Rev. 0

Studies (Major) – Final Reports (Unpublished)

Unpublished final reports of major studies initiated at the executive level and/or conducted in response to a legislative order, executive order, federal requirement, or court order. Generally addresses agency-wide operations or issues, affects the most important or most critical agency functions, or addresses areas of public visibility or concern.

Excludes:

Published final reports covered by State Publications (DAN GS 15008);

Records covered by Studies (Major) – Working Papers/Development (DAN GS 09030).

Retain for 6 years after conclusion of study then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

NON-ESSENTIAL

OFM

GS 09030

Rev. 0

Studies (Major) – Working Papers/Development

Records relating to the conducting of major studies initiated at the executive level and/or conducted in response to a legislative order, executive order, federal requirement, or court order. Generally addresses agency-wide operations or issues, affects the most important or most critical agency functions, or addresses areas of public visibility or concern.

Excludes:

Published final reports covered by State Publications (DAN GS 15008);

Unpublished final reports covered by Studies (Major) – Final Reports (Unpublished)

(DAN GS 10016).

Retain for 6 years after conclusion of study then

Destroy.

NON-ARCHIVAL

The activities associated with internal agency reporting/statistics, reporting/notifying to external agencies/organizations as required by federal, state, or local statute, or by court order/rule, and with conducting studies.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 09006

Rev. 1

Studies (Minor/Routine)

Records relating to the conducting of minor/routine studies and developing ad hoc reports not initiated at the executive level or conducted in response to a legislative order, executive order, federal requirement, or court order where not covered by a more specific records series.

Includes, but is not limited to:

Reports and compiled survey results;

Charts, diagrams and statistics;

Research materials;

Related correspondence/communications.

Excludes collections of external materials covered by Reference Materials (DAN GS 50013).

Retain for 2 years after conclusion of study then

Destroy.

NON-ARCHIVAL

1.11 RISK MANAGEMENT AND DISASTER PREPAREDNESS/RESPONSE

The activity of identifying and mitigating risks to the state government agency including disaster preparedness.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 18008

Rev. 0

Accidents/Incidents – No Claim Filed (Age 18 and Older)

Records relating to accidents/incidents involving individual(s) age 18 and older, and where claims for damages are not filed.

Includes, but is not limited to:

Reports and investigations.

Excludes accidents and incidents involving hazardous materials.

Retain for 3 years after date of incident then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OPR

GS 18007

Rev. 0

Accidents/Incidents – No Claim Filed (Under Age 18)

Records relating to accidents/incidents involving individual(s) younger than age 18, and where claims for damages are not filed.

Includes, but is not limited to:

Reports and investigations.

Excludes accidents and incidents involving hazardous materials.

Retain for 3 years after individual reaches age 18 then

Destroy.

NON-ARCHIVAL

NON-ESSENTIAL

OPR

GS 25004

Rev. 0

Emergency/Disaster Preparedness – Contact Information

Personal contact information for employees, students, volunteers, etc., compiled to facilitate contact in the event of an emergency or disaster.

Includes, but is not limited to:

Personal contact information (cell/home phone, email address, etc.);

Medical information (provider name, blood type, allergies, ADA requirements, etc.).

Retain until obsolete or superseded then

Destroy.

NON-ARCHIVAL

ESSENTIAL

The activity of identifying and mitigating risks to the state government agency including disaster preparedness.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 14010

Rev. 2

Emergency/Disaster Preparedness and Recovery Plans

Records relating to disaster preparedness, response, and recovery plans prepared for any aspect of the agency’s operations and assets.

Includes, but is not limited to:

Employee emergency plans and fire prevention plans prepared in accordance with

WAC 296-24-567.

Note: Retention based on 3-year statute of limitations for personal injury (RCW 4.16.080).

Retain for 3 years after obsolete or superseded then

Destroy.

NON-ARCHIVAL

ESSENTIAL

(for Disaster Recovery)

OPR

GS 25005

Rev. 0

Emergency/Disaster Response/Recovery – Minor/Routine

Records relating to the agency’s response to and recovery from minor/routine emergencies/disasters (such as leaking pipes, building flooding, snow closure, etc.) where the agency manages the recovery with minimal assistance and/or disruption to normal agency operations.

Excludes records of the Military Department.

Retain for 6 years after matter resolved/recovery complete then

Destroy.

NON-ARCHIVAL

The activity of identifying and mitigating risks to the state government agency including disaster preparedness.

DISPOSITION

AUTHORITY

NUMBER (DAN)

DESCRIPTION OF RECORDS

RETENTION AND

DISPOSITION ACTION

DESIGNATION

GS 25006

Rev. 0

Emergency/Disaster Response/Recovery – Significant

Records relating to the agency’s response to and recovery from significant emergencies/disasters (such as volcanic eruptions, major fires/flooding, landslides, etc.)

where the agency deploys non-routine procedures, mobilizes special resources, requires significant outside assistance, and/or where normal agency operations are suspended or significantly disrupted.

Excludes records of agencies that respond to emergencies/disasters as part of their core mission (such as Military Department, Department of Health, Washington State Patrol, etc.).

Retain for 6 years after matter resolved/recovery complete then

Transfer to Washington State Archives for appraisal and selective retention.

ARCHIVAL

(Appraisal Required)

NON-ESSENTIAL

OFM

GS 25002

Rev.