Statewide Records Retention Schedule

Statewide Records Retention Schedule
Massachusetts
Statewide Records Retention Schedule
02-11
A publication of the Records Conservation Board
produced in conjunction with the
Massachusetts Archives and the Supervisor of Records
As amended through August 2012
Expiration Date
In effect until superseded
www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Summary of Contents
Introduction ............................................................................................................35
Revisions to the Current Edition ..........................................................................37
Important Points ....................................................................................................39
Special Notes ...........................................................................................................41
The Records Conservation Board ........................................................................43
Glossary of Special Terms .....................................................................................45
Sample File Plan .....................................................................................................47
Forms .......................................................................................................................49
A Administration and Records in Common ........................................................65
B Legal and Regulatory .........................................................................................77
C Facilities, Transportation, and Construction ..................................................97
D Fiscal ..................................................................................................................121
E Personnel ...........................................................................................................129
F Information and Records Management .........................................................135
G Secretary of State .............................................................................................145
H Education ..........................................................................................................161
I Environment and Energy .................................................................................169
J Public Safety ......................................................................................................181
K Health and Human Services............................................................................199
L Revenue and Taxation .....................................................................................217
M Labor and Workforce .....................................................................................249
N Massachusetts Port Authority.........................................................................259
O Department of Youth Services ........................................................................275
Appendix: Electronic Records Management Guidelines ................................281
Table of Contents
Introduction ............................................................................................................35
Revisions to the Current Edition ..........................................................................37
Important Points ....................................................................................................39
Special Notes ...........................................................................................................41
The Records Conservation Board ........................................................................43
Glossary of Special Terms .....................................................................................45
Sample File Plan .....................................................................................................47
Forms .......................................................................................................................49
RCB-2 – Application for Destruction Permission ................................................................................................... 49
RCB 2-T – Application for Transfer Permission .................................................................................................... 51
RCB-1E – Application for Electronic Systems Information Plan ......................................................................... 55
RCB-2E – Application for Scanning and Destruction Permission ........................................................................ 59
RCB-2M – Application for Microfilming and Destruction Permission ................................................................ 61
RCB-4 – Records Liaison Officer Designation ........................................................................................................ 63
A Administration and Records in Common ........................................................65
A1 Program Development and Review .................................................................................................................... 65
1 Program Establishment, Development Records ....................................................................................................... 65
2 Annual and Summary Reports Records .................................................................................................................... 65
3 Program Plans and Planning Records ....................................................................................................................... 65
4 Reorganization, Relocation, and Closing Records.................................................................................................... 65
5 Accreditation Records .............................................................................................................................................. 65
6 Disaster Planning Records ........................................................................................................................................ 66
7 Commemorations and Historical Anniversary Records............................................................................................ 66
8 Program Historical Articles and Clippings ............................................................................................................... 66
9 Artifacts and Memorabilia ........................................................................................................................................ 66
A2 Legislation and Policy .......................................................................................................................................... 66
1 Informational Circulars ............................................................................................................................................. 66
2 Legal Letter Release Records ................................................................................................................................... 66
3 Policy and Procedures Records ................................................................................................................................ 67
4 Executive Orders, Directives, and Bulletins Records ............................................................................................... 67
5 Rules and Regulations Records ................................................................................................................................ 67
6 Legislation Records .................................................................................................................................................. 67
7 Legislative Relations Records .................................................................................................................................. 67
A3 Executive............................................................................................................................................................... 67
1 Executives’ Correspondence/Subject Files ............................................................................................................... 67
2 Executives’ Briefing Files ........................................................................................................................................ 68
3 Elected Office Transition Files ................................................................................................................................. 68
A4 Committee ............................................................................................................................................................ 68
1 Committee Establishment, Charges, and Membership Records ............................................................................... 68
2 Standing Committees, Councils, Boards, and Commissions Records ...................................................................... 68
3 Committee Records .................................................................................................................................................. 68
4 Board, Council, Committee Docketed Case Files .................................................................................................... 68
5 Committee Members’ Records ................................................................................................................................. 69
6 Task Force Records .................................................................................................................................................. 69
7 Staff Meeting Records .............................................................................................................................................. 69
A5 Program Administration ..................................................................................................................................... 69
1 Program Subject/Resource Records.......................................................................................................................... 69
2 Program Issues and Topics Records ......................................................................................................................... 69
3 Program Outreach and Training Records ................................................................................................................. 69
4 Program Administration Records ............................................................................................................................. 70
5 Program Publication Records ................................................................................................................................... 70
A6 Office Management ............................................................................................................................................. 70
1 Office Social Activity Records ................................................................................................................................. 70
2 Schedules and Calendars .......................................................................................................................................... 70
3 General Office Administration Records ................................................................................................................... 70
A7 Program Relations ............................................................................................................................................... 71
1 Intra-Agency Relations Records ............................................................................................................................... 71
2 Intra-Governmental Coordination............................................................................................................................. 71
3 Inter-Agency Relations Records ............................................................................................................................... 71
4 Federal/State Relations Records ............................................................................................................................... 71
5 Special Relations Records ........................................................................................................................................ 71
6 External Program Relations Records ........................................................................................................................ 71
7 Professional Organizations and Associations Records ............................................................................................. 72
A8 Public Relations ................................................................................................................................................... 72
1 Public Relations and Communications Records ....................................................................................................... 72
2 Media Advisories and Releases Records .................................................................................................................. 72
3 Public Appearances, Speeches, and Writings ........................................................................................................... 72
4 Ombudsman/Advocate Records ............................................................................................................................... 72
A9 Special Events....................................................................................................................................................... 72
1 Special Events Records............................................................................................................................................. 72
2 Conference, Seminar, and Workshop Participant Records ....................................................................................... 73
3 Conference, Seminar, and Workshop Sponsor Records ........................................................................................... 73
A10 Special Projects .................................................................................................................................................. 73
1 Program Research and Survey/Questionnaire Data .................................................................................................. 73
2 Program Special Projects, Studies, and Initiatives Records ...................................................................................... 73
A11 Correspondence ................................................................................................................................................. 73
1 Administrative Convenience Correspondence .......................................................................................................... 73
2 General Administrative Correspondence .................................................................................................................. 73
3 Policy Development Correspondence ....................................................................................................................... 74
4 Transitory Messages ................................................................................................................................................. 74
A12 Public Bodies Subject to the Open Meeting Law ............................................................................................ 74
1 Meeting Notices ........................................................................................................................................................ 74
2 Meeting Agendas ...................................................................................................................................................... 74
3 Meeting Minutes ....................................................................................................................................................... 74
4 Recordings of Meetings for Use in Drafting Minutes............................................................................................... 74
5 Recordings of Meetings for Public Television Access ............................................................................................. 74
6 Documents, Exhibits, or Other Records Used by a Public Body .............................................................................. 75
7 Notice to Individuals ................................................................................................................................................ 75
8 Open Meeting Law Certifications............................................................................................................................. 75
9 Open Meeting Law Complaints ................................................................................................................................ 75
10 Correspondence ...................................................................................................................................................... 75
11 Training Materials .................................................................................................................................................. 75
12 Complaints (Other than Open Meeting Law Complaints) ...................................................................................... 75
B Legal and Regulatory .........................................................................................77
B1 Legal Review......................................................................................................................................................... 77
1 Legal Opinion Records ............................................................................................................................................. 77
2 Legal Review Records .............................................................................................................................................. 77
3 Legal Announcements and Advertisements Records................................................................................................ 77
4 Legal Issues Records ................................................................................................................................................ 77
5 Delegation of Authority Records .............................................................................................................................. 77
6 Ethics and Conflict of Interest Records .................................................................................................................... 78
7 Contract and Agreements Legal Files ....................................................................................................................... 78
8 Land Management and Acquisition Records ............................................................................................................ 78
B2 Public Records ...................................................................................................................................................... 78
1 Public Records Request Records .............................................................................................................................. 78
2 Public Records Appeal Case Files ............................................................................................................................ 79
3 Massachusetts Environmental Police-Public Records Requests ............................................................................... 79
4 Fair Information Practices Act (FIPA) Request Records.......................................................................................... 79
5 Non-Party Subpoena Records ................................................................................................................................... 79
B3 Investigation and Monitoring.............................................................................................................................. 79
1 Investigation Case Files ............................................................................................................................................ 79
2 Discrimination Investigation Case Files ................................................................................................................... 80
3 Civil Investigation Records ...................................................................................................................................... 80
4 Special Investigation Records................................................................................................................................... 80
5 Internal Investigation Records .................................................................................................................................. 80
B4 Regulatory and Compliance ................................................................................................................................ 80
1 Permits Records ........................................................................................................................................................ 80
2 Facilities Inspection, Monitoring, and Control Records ........................................................................................... 81
3 Facilities Licensing and Certification Records ......................................................................................................... 81
4 Licensure Complaints, Investigations, and Hearings Records .................................................................................. 81
5 Professional Licensure and Certification Records .................................................................................................... 81
6 Complaints Against Agency Records ....................................................................................................................... 82
B5 Litigation............................................................................................................................................................... 82
1 Administrative Law Case Files ................................................................................................................................. 82
2 Administrative Law Appeals .................................................................................................................................... 82
3 Litigation Case Files ................................................................................................................................................. 82
4 Litigation/Hearings Case Exhibits ............................................................................................................................ 83
5 Legal Briefs and Testimony Records........................................................................................................................ 83
6 Tort Claim Records .................................................................................................................................................. 83
B6 Attorney General ................................................................................................................................................. 83
1 Attorney General Contract Review Records............................................................................................................. 83
2 Special Assistant Attorney General (SAAG) Records .............................................................................................. 83
3 Attorney General Conflict of Interest Disclosures .................................................................................................... 83
4 Attorney General Opinion Records .......................................................................................................................... 83
5 Attorney General Initiative Petition Review Records............................................................................................... 84
6 General Obligation Bond Records ............................................................................................................................ 84
7 Attorney General Inauguration Records ................................................................................................................... 84
8 Open Meeting Law Investigation Records ............................................................................................................... 84
9 Public Records Referrals from Supervisor of Public Records .................................................................................. 84
10 Attorney General Litigation Files ........................................................................................................................... 84
11 District Attorney Case Files (formerly Schedule No. 45/89).................................................................................. 85
12 Attorney General Civil and Criminal Investigations Records ................................................................................ 85
13 Consumer Complaint Investigations Records ......................................................................................................... 85
14 Non-Profit Organizations/Public Charities Filings Records ................................................................................... 85
15 Non-Profit Organizations/Public Charities Investigation and Litigation Records .................................................. 86
16 Insurance Rate Hearings Records ........................................................................................................................... 86
17 Contract Bid Award Investigation Records ............................................................................................................ 86
18 Attorney General Community Services Records .................................................................................................... 86
19 Fugitive Renditions Records................................................................................................................................... 86
20 Usury Notices ......................................................................................................................................................... 87
21 Notices/Reports Sent to the Attorney General ........................................................................................................ 87
22 National Association of Attorneys General (NAAG) Amicus Briefs and Sign-Ons .............................................. 87
23 By-Law and Charter Submissions .......................................................................................................................... 87
24 City Zoning Ordinances .......................................................................................................................................... 88
25 Records Provided to Attorney General for Review ................................................................................................ 88
26 Data Breach Records .............................................................................................................................................. 88
B7 Cable Television Division .................................................................................................................................... 88
1 Division Appellate Decisions ................................................................................................................................... 88
2 Appellate Dockets-Support Material ........................................................................................................................ 88
3 Rate Decisions .......................................................................................................................................................... 89
4 Rate Regulation Proceedings-Support Material........................................................................................................ 89
5 Rulemaking Proceedings-Support Materials ............................................................................................................ 89
6 Rulemaking Decisions .............................................................................................................................................. 89
7 Form 500 Annual ...................................................................................................................................................... 89
8 Form 500 Complaint Forms...................................................................................................................................... 90
9 Forms 200,300,400 ................................................................................................................................................... 90
10 Initial Franchise Agreements .................................................................................................................................. 90
11 Renewal Franchise Agreements.............................................................................................................................. 90
12 Form 100 ................................................................................................................................................................ 90
13 Form 394 ................................................................................................................................................................ 90
14 Filling & Termination of Service Filing ................................................................................................................. 91
15 Rate Cards and Channel Line-ups .......................................................................................................................... 91
B8 Agricultural Resources ........................................................................................................................................ 91
1 Division of Animal Health Records.......................................................................................................................... 91
B9 Weights and Measures ......................................................................................................................................... 91
1 Division of Standards (Office of Consumer Affairs) ................................................................................................ 91
B10 Governor’s Council/Executive Council (formerly Schedule No. 23/88, 32/89, 72/88, 19/68) ....................... 92
1 Commutation Files, Granted ..................................................................................................................................... 92
2 Commutation Files, Denied ...................................................................................................................................... 92
3 Commutation File Index ........................................................................................................................................... 92
4 Pardon ....................................................................................................................................................................... 92
5 Veterans’ Appeal Case Files ..................................................................................................................................... 92
6 Rendition Files .......................................................................................................................................................... 92
7 Rendition Index ........................................................................................................................................................ 92
8 Judge and Clerk Files ............................................................................................................................................... 93
9 Notary Public and Justice of the Peace Applications ................................................................................................ 93
B11 Office of Campaign and Political Finance ....................................................................................................... 93
1 Candidate Public Financing Request Records .......................................................................................................... 93
2 Non-Statewide Office Candidate Finance Disclosure Records ................................................................................ 93
3 Statewide Office Candidate Financial Filings .......................................................................................................... 93
4 Referendum Committee Financial Filings ................................................................................................................ 93
5 Political Committee Statements of Organization Filings .......................................................................................... 94
6 Contributor Ballot Question Expenditure Filings ..................................................................................................... 94
7 Ward and Town Political Party Committee Financial Filings .................................................................................. 94
8 Political Action Committee (PAC) Financial Filings ............................................................................................... 94
9 PAC Cross Check ..................................................................................................................................................... 94
10 Inspection Requests ................................................................................................................................................ 94
11 Audit Work Papers/Correspondence ...................................................................................................................... 94
12 Campaign Finance Monitoring and Investigation Records..................................................................................... 95
13 Non-Filer Referrals to Attorney General ................................................................................................................ 95
14 Late Fines/Collections ............................................................................................................................................ 95
15 Landmark/Policy Setting Investigation Case Files ................................................................................................. 95
16 Rules and Regulations Records .............................................................................................................................. 95
17 Legislation Records ................................................................................................................................................ 95
18 Legal Opinion Records ........................................................................................................................................... 96
19 Legal Issues Records .............................................................................................................................................. 96
20 Correspondence of the Director .............................................................................................................................. 96
21 Public Records and Fair Information Practices Act (FIPA) Requests .................................................................... 96
C Facilities, Transportation, and Construction ..................................................97
C1 Facilities Management ......................................................................................................................................... 97
1 Facilities Management Records ................................................................................................................................ 97
2 State Office Space Planning Records ....................................................................................................................... 97
3 Facilities Disability Access Records......................................................................................................................... 97
4 Equipment Case Files ............................................................................................................................................... 97
5 Property, Vehicles, and Equipment Management Records....................................................................................... 97
6 Buildings and Facilities Informational Data ............................................................................................................. 97
7 Inventory Records..................................................................................................................................................... 98
8 Facilities Hazardous Materials Monitoring Records ................................................................................................ 98
9 Facility Safety Records ............................................................................................................................................. 98
10 Facilities Fire, Safety, and Environmental Monitoring Records............................................................................. 98
11 Lease and Rental Administration Records .............................................................................................................. 98
C2 Construction Legal .............................................................................................................................................. 98
1 Contractor State Qualification Certification Records ............................................................................................... 98
2 Contractor Debarment Actions Records ................................................................................................................... 99
3 Construction Project Designer Contract Records ..................................................................................................... 99
4 Construction Project Contract Legal Records........................................................................................................... 99
5 Construction Project Professional Services Contract Records.................................................................................. 99
6 Construction Claims and Disputes Records .............................................................................................................. 99
7 Construction Regulations Compliance Records ....................................................................................................... 99
8 Construction Project Litigation Case Files ............................................................................................................. 100
9 Property Settlements and Judgments Payment Records ......................................................................................... 100
10 Minority/Women/Disadvantaged Business Certification Records ....................................................................... 100
C3 Construction Planning ....................................................................................................................................... 100
1 Master Plan for Development Records ................................................................................................................... 100
2 Capital Projects Planning Records.......................................................................................................................... 100
3 Construction Study Library Files ............................................................................................................................ 101
4 Capital Budget Request Records ............................................................................................................................ 101
C4 Pre-Construction................................................................................................................................................ 101
1 Construction Project Designer Selection Records .................................................................................................. 101
2 Construction Project Bid Records .......................................................................................................................... 101
3 Construction Emergency Bid Waiver Records ....................................................................................................... 101
C5 Construction Management................................................................................................................................ 102
1 Construction Project Management Records............................................................................................................ 102
2 Construction Project Planning and Engineering Records ....................................................................................... 102
3 Construction Project Cost Oversight Records ........................................................................................................ 102
4 Construction Project Cost Accounting Records ..................................................................................................... 103
5 Facility Memorials and Dedications Records ......................................................................................................... 103
6 Building Plans and Specifications Records ............................................................................................................ 103
7 Geologic Samples and Records .............................................................................................................................. 103
C6 Property Management ....................................................................................................................................... 103
1 Highway and Bridge Maintenance Records ........................................................................................................... 103
C7 Real Estate and Land Use ................................................................................................................................. 104
1 State Property Management Monitoring Records................................................................................................... 104
2 Housing Tenants Records ....................................................................................................................................... 104
3 State Leasing Reports ............................................................................................................................................. 104
4 State Property Inventory Reports............................................................................................................................ 104
5 Authorities Real Estate Planning and Development Records ................................................................................. 104
6 Real Estate Disposition Proposal Records .............................................................................................................. 104
7 Real Estate Disposition Disclosure Records ........................................................................................................... 105
8 Fixed Asset Recording Records.............................................................................................................................. 105
9 Real Estate Disposition Records ............................................................................................................................. 105
10 Real Property Vital Records ................................................................................................................................. 105
11 State Property for Sale Inquiries Records ............................................................................................................. 105
12 State Agency Lease Proposal Records.................................................................................................................. 105
13 State Agency Lease Procurement Records ........................................................................................................... 105
14 State Property Access License Records ................................................................................................................ 106
15 Land Title Examiner Reference Records .............................................................................................................. 106
16 Land Registration Records ................................................................................................................................... 106
17 Land Survey Records............................................................................................................................................ 106
C8 Transportation Management ............................................................................................................................ 106
1 Certificate Files (A&B) Truck or Bus .................................................................................................................... 106
2 Interstate License Certification Files ...................................................................................................................... 106
3 Vehicle Identification Devices and Applications for Drivers ................................................................................. 106
4 Complaint/Investigation/Hearing Records (A) ....................................................................................................... 107
C9 Department of Housing Community Development ......................................................................................... 107
1 Local Housing Authorities ...................................................................................................................................... 107
2 Local Housing Authorities ...................................................................................................................................... 107
3 Local Housing Authorities ...................................................................................................................................... 108
4 Local Housing Authorities ...................................................................................................................................... 108
5 Local Housing Authorities (Miscellaneous) ........................................................................................................... 108
C10 MassHighway Department.............................................................................................................................. 109
1 Consultant Selection Documents ............................................................................................................................ 109
2 Consultant Contract Book....................................................................................................................................... 109
3 Consultant Contract Amendments .......................................................................................................................... 109
4 Consultant Invoices ................................................................................................................................................ 110
5 Consultant Correspondence .................................................................................................................................... 110
6 Project Correspondence (External) ......................................................................................................................... 110
7 Project Correspondence (Internal) .......................................................................................................................... 110
8 Project Documentation and Reports ....................................................................................................................... 110
9 Environmental Permits ........................................................................................................................................... 110
10 Public Hearing Transcript ..................................................................................................................................... 111
11 Meeting Minutes ................................................................................................................................................... 111
12 Construction Contract Awards ............................................................................................................................. 111
13 Construction Proposal Book ................................................................................................................................. 111
14 Surveying Services Contract Book ....................................................................................................................... 111
15 Payment Commodity Forms (PRC) ...................................................................................................................... 111
16 Daily Report of Contract Survey Party HED-121 ................................................................................................ 112
17 Weekly Progress and Time Report HED-880 ....................................................................................................... 112
18 Application for Employment Surveyors Field Personnel form HED-007 ............................................................ 112
19 Maintenance Fuel Receipts ................................................................................................................................... 112
20 Radio Logs............................................................................................................................................................ 112
21 Roadside Maintenance Contracts.......................................................................................................................... 112
22 Equipment-Heavy & Light Repair Orders ............................................................................................................ 113
23 Snow & Ice PV’s .................................................................................................................................................. 113
24 Inmate Litter Assistance Information ................................................................................................................... 113
C11 Motor Vehicles (formerly Series J5)............................................................................................................... 113
1 Motor Vehicle Operators Merit Rating Records ..................................................................................................... 113
2 Motor Vehicle Driver License Exams .................................................................................................................... 113
3 Motor Vehicle Accident Investigation Records ...................................................................................................... 113
4 Motor Vehicle Title Registration and Renewal Records ........................................................................................ 114
5 Uniform Traffic Citations Records ......................................................................................................................... 114
6 Motor Vehicle Accident Reports ............................................................................................................................ 114
7 Motor Vehicle Operators Licensing and ID Card Records ..................................................................................... 114
8 Motor Vehicle Inspection Stations Records ........................................................................................................... 114
9 Motor Vehicle License Plate Applications Records ............................................................................................... 114
10 Motor Vehicle Reports ......................................................................................................................................... 114
11 Motor Vehicle Towing Reports ............................................................................................................................ 114
12 Motor Vehicle Citations, Parking Records ........................................................................................................... 115
13 Motor Vehicle Citations, Moving Violations Records ......................................................................................... 115
14 Boat; Recreation Vehicle; Snow Vehicle Operator; Accident Reports................................................................. 115
15 Boat; Recreation Vehicle; Snow Vehicle; Accident Investigation Records ......................................................... 115
16 Registry of Motor Vehicles (Revenue Operations) Revenue Reports .................................................................. 115
17 Registry of Motor Vehicles (Revenue Operations) Bad Check Information ........................................................ 115
18 Registry of Motor Vehicles (Revenue Operations) Deposit Information ............................................................. 115
19 Registry of Motor Vehicles (Revenue Operations) Rebate Documentation ......................................................... 115
C12 Registry of Motor Vehicles Revenue Operations (formerly Schedule No. 35/91) ...................................... 116
1 Revenue Reports – Drawer Date Activity Report................................................................................................... 116
2 Revenue Reports – Drawer Date Activity Report on Microfiche ........................................................................... 116
3 Revenue Reports – Sales tax Report ....................................................................................................................... 116
4 Revenue Reports – Daily Over/Short Report.......................................................................................................... 116
5 Revenue Reports – Failed Cash Report .................................................................................................................. 116
6 Revenue Reports – Interims Purged Report............................................................................................................ 116
7 Revenue Reports – Daily Deposit Listing .............................................................................................................. 116
8 Revenue Reports – Override Reports ..................................................................................................................... 117
9 Revenue Reports – CPR Report.............................................................................................................................. 117
10 Revenue Reports – Drawer Delete Report ............................................................................................................ 117
11 Bad Check Information – Outstanding Bad Checks ............................................................................................. 117
12 Bad Check Information – RMV System Printouts of Bad Checks ....................................................................... 117
13 Bad Check Information – RMV System Printouts of Bad Check Payments and Supporting Documents ............ 117
14 Bad Check Information – Correspondence with Customers ................................................................................. 117
15 Bad Check Information – Correspondence Between RMV Offices Relating to Bad Checks ............................... 117
16 Deposit Related Documents – RMV Computer System (ALARS) Documents ................................................... 118
17 Deposit Related Documents – Deposit Slips and MPCA10 Attachment .............................................................. 118
18 Deposit Related Documents – Cash Transfer Log ................................................................................................ 118
19 Deposit Related Documents – Monthly Bank Deposit Log .................................................................................. 118
20 Deposit Related Documents – Locking Cash Bag Logs ....................................................................................... 118
21 Deposit Related Documents – Override Log ........................................................................................................ 118
22 Deposit Related Documents – Back-up Activity Sheets ....................................................................................... 118
23 Deposit Related Documents – Letters of Notification .......................................................................................... 118
24 Deposit Related Documents – Monthly Over/Short Report Used by Managers ................................................... 118
25 Deposit Related Documents – Clerical Over/Short Acknowledgment ................................................................. 118
26 Deposit Related Documents – Clerk Over/Short Justification Form .................................................................... 119
27 Deposit Related Documents – Sweda Register Taps for Years 1985-86 .............................................................. 119
28 Deposit Related Documents – Daily Revenue Sheets .......................................................................................... 119
29 Deposit Related Documents – Revenue Account Bank Statements (approximately 80 accounts) ....................... 119
30 Rebate/Refund Documents – Customer Refund Requests for Duplicate Payments 1986 .................................... 119
31 Rebate/Refund Documents – Customer Correspondence ..................................................................................... 119
32 Rebate/Refund Documents – Customer Rebate/Refund Requests Denied ........................................................... 119
33 Rebate/Refund Documents – Rebates or Refunds Processed ............................................................................... 119
34 Rebate/Refund Documents – Funding Request Books for 1985-86 ..................................................................... 119
35 Rebate/Refund Documents – Cashed Rebate/Refund Checks .............................................................................. 120
36 Rebate/Refund Documents – Bank Statements .................................................................................................... 120
37 Rebate/Refund Documents – Reports of Transactions Processed Through RMV Optical Scanning ................... 120
38 Rebate/Refund Documents – Unused Checks of Obsolete Rebate/Refund Bank Account .................................. 120
39 Rebate/Refund Documents – Funding Reports for Automatic Rebates ................................................................ 120
40 Rebate/Refund Documents – Cross Reference Check Register ............................................................................ 120
41 Rebate/Refund Documents – Funding Request Reports ....................................................................................... 120
D Fiscal ..................................................................................................................121
D1 Accounting .......................................................................................................................................................... 121
1 Independent Accounting/Payroll System Records.................................................................................................. 121
2 Grant and Contract Cost Accounting Records ........................................................................................................ 121
3 Contract and Agreement Negotiation Records ....................................................................................................... 121
4 Grant and Contract Administration Records........................................................................................................... 121
5 Grant Development and Proposal Records ............................................................................................................. 122
6 Grant Program Records .......................................................................................................................................... 122
7 Routine Accounting Records .................................................................................................................................. 122
8 Bank and Cash Records .......................................................................................................................................... 122
9 Revenues and Sales Records .................................................................................................................................. 122
10 Billing and Collections Records ........................................................................................................................... 123
11 Claims and Disbursements Records ..................................................................................................................... 123
12 Trust and Loan Disbursement Records ................................................................................................................. 123
13 Signature Authorization Records .......................................................................................................................... 123
14 Bid and Procurement Records .............................................................................................................................. 123
15 Vendor Resource Materials .................................................................................................................................. 123
16 Vendor Relations Records .................................................................................................................................... 124
17 Fixed Asset Records ............................................................................................................................................. 124
D2 Development and Review .................................................................................................................................. 124
1 Fiscal Planning, Reports, and Surveys Records...................................................................................................... 124
2 Capital Improvement Plan Records ........................................................................................................................ 124
3 Budget Preparation and Monitoring Records ......................................................................................................... 124
4 Fiscal Audit Records .............................................................................................................................................. 125
5 Fiscal Monitoring Records ..................................................................................................................................... 125
6 Fund Development Records ................................................................................................................................... 125
7 Fiscal Systems Internal Control Records ................................................................................................................ 125
D3 Grants and Aid ................................................................................................................................................... 125
1 State Municipal Funding Records .......................................................................................................................... 125
2 State Economic or Development Grants Records ................................................................................................... 125
D4 Payroll ................................................................................................................................................................. 126
1 Travel Expense Records ......................................................................................................................................... 126
2 Payroll and Benefits Case Files .............................................................................................................................. 126
3 Time and Attendance Records ................................................................................................................................ 126
4 W-2s ....................................................................................................................................................................... 126
5 Payroll Administration Records ............................................................................................................................. 126
D5 Public Employee Retirement Administration Commission ........................................................................... 126
1 Financial Statements ............................................................................................................................................... 126
2 Data Questionnaires ................................................................................................................................................ 127
3 Valuation Workpapers ............................................................................................................................................ 127
4 Valuation Data Workpapers ................................................................................................................................... 127
5 Non-Valuated Data Workpapers............................................................................................................................. 127
D6 Office of the State Auditor (OSA) .................................................................................................................... 127
1 Audit Work Papers ................................................................................................................................................. 127
2 Final Audit Reports ................................................................................................................................................ 127
3 Audits Detecting Fraud and Illegality ..................................................................................................................... 127
4 Certifications, Training and Continuing Education Records .................................................................................. 128
5 Records of Non-Audit Services Performed by Audit Operations ........................................................................... 128
6 External Peer Review Records ............................................................................................................................... 128
7 Bureau of Special Investigations Records (BSI) .................................................................................................... 128
8 Division of Local Mandate Records (DLM) ........................................................................................................... 128
E Personnel ...........................................................................................................129
E1 Program Administration ................................................................................................................................... 129
1 Human Resources Programs Records ..................................................................................................................... 129
2 Employee Awards and Recognition Records ......................................................................................................... 129
3 Agency Telephone Directories and Staff Listings .................................................................................................. 129
E2 Recruitment and Hiring .................................................................................................................................... 129
1 Recommendation Letters ........................................................................................................................................ 129
2 Unsolicited Job Applications .................................................................................................................................. 129
3 Recruitment and Hiring Records ............................................................................................................................ 129
4 Job Position Administration Records ..................................................................................................................... 130
5 Employment Eligibility Verification (I-9s) Records .............................................................................................. 130
E3 Affirmative Action/EEO .................................................................................................................................... 130
1 Protected Employee Records .................................................................................................................................. 130
2 Employee ADA Accommodation Records ............................................................................................................. 130
3 Affirmative Action/EEO Administration Records .................................................................................................. 130
4 Affirmative Action Plans and Reports Records ...................................................................................................... 131
5 Affirmative Action Monitoring/Compliance Records ............................................................................................ 131
E4 Employee............................................................................................................................................................. 131
1 Employee Confidentiality Statements .................................................................................................................... 131
2 Employee Web Browsing Authorizations .............................................................................................................. 131
3 Employee ID Card Records .................................................................................................................................... 131
4 Employee Contact Information Records................................................................................................................. 131
5 Employee Personnel Case Files .............................................................................................................................. 132
6 Employee Medical and Personal Records............................................................................................................... 132
7 Employee History Cards ......................................................................................................................................... 132
8 Employee Training and Certification Records ....................................................................................................... 132
9 Intern and Volunteer Records ................................................................................................................................. 133
E5 Personnel Actions ............................................................................................................................................... 133
1 Employee Complaint/Investigation/Disciplinary Records...................................................................................... 133
2 Employee Grievance/Complaint Records ............................................................................................................... 133
3 Personnel Action Records....................................................................................................................................... 133
E6 Accident and Injury ........................................................................................................................................... 133
1 Employee Illness and Injury Records ..................................................................................................................... 133
F Information and Records Management .........................................................135
F1 Unclassified ......................................................................................................................................................... 135
1 Blank Forms Stock ................................................................................................................................................. 135
2 Publication Stock .................................................................................................................................................... 135
3 Returned Mail ......................................................................................................................................................... 135
4 Dead Letter File ...................................................................................................................................................... 135
5 Unused Permits, Certificates, Decals, and Stickers ................................................................................................ 135
6 Damaged/Contaminated Files ................................................................................................................................. 135
7 Old Records ............................................................................................................................................................ 136
F2 Reference............................................................................................................................................................. 136
1 Reference/Resource Material.................................................................................................................................. 136
2 Systems Manuals and Technical Reference Materials ............................................................................................ 136
3 Referral Resource Files........................................................................................................................................... 136
F3 Facilitative........................................................................................................................................................... 136
1 Information Routing and Tracking Records ........................................................................................................... 136
2 Transaction Transmission Receipts ........................................................................................................................ 136
3 Drafts and Notes ..................................................................................................................................................... 137
4 Document Composition Materials .......................................................................................................................... 137
5 Stenographers Notes ............................................................................................................................................... 137
F4 Media/Format ..................................................................................................................................................... 137
1 Electronic Records .................................................................................................................................................. 137
2 Micrographic Records ............................................................................................................................................ 138
3 Audio/Visual Tape or Digital Recordings .............................................................................................................. 138
4 Photographs, Slides, and Illustrations ..................................................................................................................... 138
5 Maps, Drawings, and Plans .................................................................................................................................... 139
F5 System Infrastructure ........................................................................................................................................ 139
1 System Programs, Applications, and Code Records ............................................................................................... 139
2 Systems Maintenance, Monitoring, and Testing Records....................................................................................... 139
3 Website Documentation Records ........................................................................................................................... 139
4 Systems Documentation Records ........................................................................................................................... 139
5 Systems Contingency Records ............................................................................................................................... 139
6 Systems Technical Support and Assistance Records .............................................................................................. 140
7 Systems and Applications Development Records .................................................................................................. 140
8 Systems Conversion, Enhancement, and Upgrade Records.................................................................................... 140
F6 System Operations ............................................................................................................................................. 140
1 Records Management Records ............................................................................................................................... 140
2 Systems Data Deletion Records.............................................................................................................................. 141
3 System Job Order (Run) Records ........................................................................................................................... 141
4 Systems Intermediate Work Files Records ............................................................................................................. 141
5 Systems Use Reports .............................................................................................................................................. 141
6 System Audit Trail Records.................................................................................................................................... 141
7 Systems Security Records....................................................................................................................................... 141
8 Data Processing, Verification, and Monitoring Records ........................................................................................ 142
9 Systems Training Records ...................................................................................................................................... 142
F7 System Data ........................................................................................................................................................ 142
1 Data Source Records .............................................................................................................................................. 142
3 Voice Mail Correspondence Files........................................................................................................................... 142
4 Information Finding Aids, Indexes, and Lists ........................................................................................................ 142
5 Database Content Records ...................................................................................................................................... 143
6 Website Content Records ....................................................................................................................................... 143
7 Legacy Data Records .............................................................................................................................................. 143
8 Retrospective Data Conversion Source Records .................................................................................................... 143
9 Data “Archival” Storage Records ........................................................................................................................... 144
10 Data Backup Records ........................................................................................................................................... 144
G Secretary of State .............................................................................................145
G1 Election Candidates ........................................................................................................................................... 145
1 Candidate Qualifying Records ................................................................................................................................ 145
2 Candidate Public Financing Request Records ........................................................................................................ 145
3 State Primary and Election Nominations ................................................................................................................ 145
4 Federal Candidate Financial Reports ...................................................................................................................... 145
5 Campaign Finance Disclosure Records .................................................................................................................. 145
6 Campaign Finance Monitoring and Investigation Records..................................................................................... 145
7 General Court Candidate Financial Filings............................................................................................................. 146
8 Statewide Office Candidate Financial Filings ........................................................................................................ 146
9 Referendum Committee Financial Filings .............................................................................................................. 146
10 Corporation Campaign Contributor Financial Filings .......................................................................................... 146
G2 Lobbyists ............................................................................................................................................................ 146
1 Lobbyists’ Employers Financial Disclosure Filings ............................................................................................... 146
2 Political Committee Statements of Organization Filings ........................................................................................ 146
3 Ward and Town Political Party Committee Financial Filings ................................................................................ 147
4 Lobbyist/Organization Registration and Financial Disclosure Filings ................................................................... 147
5 Lobbyist/Organization Filings Monitoring Records ............................................................................................... 147
6 Lobbyists and Employers Reports .......................................................................................................................... 147
7 Political Action Committee Financial Filings......................................................................................................... 147
G3 Election Voting................................................................................................................................................... 148
1 Electoral College Records ...................................................................................................................................... 148
2 Election Districts Records ...................................................................................................................................... 148
3 Voting Machine Certification Records ................................................................................................................... 148
4 Voter Registration Records..................................................................................................................................... 148
5 Polling Place Registrations ..................................................................................................................................... 148
6 Election Returns of Town Officers ......................................................................................................................... 148
7 Election Ballots and Instructions Records .............................................................................................................. 148
8 Election Initiative, Petitions, and Referendums Records ........................................................................................ 149
9 Vote Returns Certification Records ........................................................................................................................ 149
10 Election Reviews and Challenges Records ........................................................................................................... 149
11 Access to the Ballot Case Files ............................................................................................................................. 149
G4 Commissions and Appointments ...................................................................................................................... 149
1 Commissions and Boards Appointment Log Books Records ................................................................................. 149
2 Boards, Authorities, Councils, Commission Appointment Records ....................................................................... 149
3 Appointment Qualification Signature Books .......................................................................................................... 150
4 Appointment Performance Bond Filings ................................................................................................................ 150
5 Appointment Qualification Certification Records .................................................................................................. 150
6 Non-Residents and Resident Clergyman and Solemnization of Marriage Records ................................................ 150
7 City and Town Acceptance of General Laws Records ........................................................................................... 150
8 City and Town Appointment Notifications............................................................................................................. 150
9 Notary Public Apostille Verification Records ........................................................................................................ 150
10 Notary Public Validation of Acts Certification Records ...................................................................................... 151
11 Form O Notary Public Filing ................................................................................................................................ 151
12 Notary Public Re-Registration (name Change) .................................................................................................... 151
G5 Legislation and Policy ....................................................................................................................................... 151
1 Rules and Regulations Filings ................................................................................................................................ 151
2 Acts and Resolves Filings ....................................................................................................................................... 151
3 Request for Opinions .............................................................................................................................................. 151
4 Secretary of State’s Responses ............................................................................................................................... 151
5 Legislation Files-Passed Legislation (Record Copy) .............................................................................................. 152
6 Legislation Files-Unpassed ..................................................................................................................................... 152
7 Legislative Liaison Correspondence ....................................................................................................................... 152
8 Reference Subject Files .......................................................................................................................................... 152
9 Legislation Status Report ........................................................................................................................................ 152
G6 Corporations and Business ............................................................................................................................... 152
1 Corporations Service of Process Records ............................................................................................................... 152
2 Corporations and Businesses Regulation Records .................................................................................................. 152
3 Universal Commercial Code Filings....................................................................................................................... 153
4 Trademark Registration Filings .............................................................................................................................. 153
G7 Securities ............................................................................................................................................................ 153
1 Registration, Exemption, and Notice Filing Register ............................................................................................. 153
2 Broker-Dealer Registration and Exclusion Notice Filings ..................................................................................... 153
3 Investment Adviser Registration and Federal Covered Advisor Notice Filings ..................................................... 154
4 Broker-Dealer Agent and Investment Adviser Representative Registration .......................................................... 154
5 Securities Registration and Exemption Filings ....................................................................................................... 154
6 Investment Company Notice Filings ...................................................................................................................... 154
7 Issuers Consent to Service of Process Filings......................................................................................................... 154
8 Sales and Advertising Literature Filings ................................................................................................................ 155
9 Interpretative Opinion Records............................................................................................................................... 155
10 Inquiries and Complaints Records ........................................................................................................................ 155
11 Investigation and Enforcement Records ............................................................................................................... 155
12 Administrative Hearing Enforcement Action Case Files ...................................................................................... 155
13 Investor Education Program Records ................................................................................................................... 156
G8 Deeds ................................................................................................................................................................... 156
1 Deed Registration Records ..................................................................................................................................... 156
G9 State Matters ...................................................................................................................................................... 156
1 State Seal and Other Records ................................................................................................................................. 156
2 Abolished County Records ..................................................................................................................................... 156
3 State Citations and Awards Records ....................................................................................................................... 156
G10 Historic Property ............................................................................................................................................. 156
1 Property Appraisers Certification Records ............................................................................................................. 156
2 Historic Preservation Information Source Files ...................................................................................................... 156
3 Historic Preservation Restrictions Agreement Records .......................................................................................... 157
4 National Historic Preservation Act Compliance Records ....................................................................................... 157
5 National Register of Historic Places Compliance Records ..................................................................................... 157
6 Historic Preservation Certification Records ........................................................................................................... 157
7 Archeology Records ............................................................................................................................................... 157
G11 Library/Archives ............................................................................................................................................. 157
1 Library/Archives Accession Log ............................................................................................................................ 157
2 Archives and Records Center Vault Records.......................................................................................................... 157
3 Library/Archives Reference Requests .................................................................................................................... 158
4 Library/Archives Call Slips .................................................................................................................................... 158
5 Archives Researcher Registers ............................................................................................................................... 158
6 State Publications Listing ....................................................................................................................................... 158
7 Librarian Certification Records .............................................................................................................................. 158
8 Reference Activity Reports/Statistics ..................................................................................................................... 158
9 LSTA (Library Services and Technology Act) ....................................................................................................... 158
10 LSCA (Library Services and Construction Act) Title II-Public Library Construction ......................................... 159
11 State Records Center: Records Request Sheet ...................................................................................................... 159
12 State Records Center: Assessment ........................................................................................................................ 159
G12 Corporations (formerly Schedule No. 39/87, 48/87) ..................................................................................... 159
1 Annual Reports of Corporations AKA Mass Conditions (Filed Pursuant to MGL c. 156A, 156B, and 181) ........ 159
2 Annual Reports of Non-Profit Corporations (Filed Pursuant to MGL c. 180) ....................................................... 159
3 Uniform Commercial Code (UCC) Financing Statements (including amendments and continuations) filed pursuant
to MGL c. 106 ........................................................................................................................................................... 160
4 Termination Statements Filed Pursuant to MGL c. 106 ......................................................................................... 160
5 Certificates of Organization for Limited Liability Companies Filed Pursuant to MGL c. 156C ............................ 160
6 Certificates of Organization for Limited Liability Partnerships Filed Pursuant to MGL c. 108A .......................... 160
7 Annual Reports for Limited Liability Companies and Limited Liability Partnerships Filed Pursuant to MGL c.
156C and 108A .......................................................................................................................................................... 160
H Education ..........................................................................................................161
H1 Administration ................................................................................................................................................... 161
1 HEGIS Report Records........................................................................................................................................... 161
2 Dean’s Records ....................................................................................................................................................... 161
3 Satellite Campus Oversight Records ...................................................................................................................... 161
H2 Admissions ......................................................................................................................................................... 161
1 Student Admissions/Registration Records.............................................................................................................. 161
2 Student Immunization Records............................................................................................................................... 161
3 Tuition and Fees Records ....................................................................................................................................... 161
4 Student Financial Aid Records ............................................................................................................................... 161
5 Student Scholarships, Fellowships, and Awards Records ...................................................................................... 162
6 Student Record Transcript Requests Records ......................................................................................................... 162
H3 Academic Program ............................................................................................................................................ 162
1 Academic Program Administration Records .......................................................................................................... 162
2 Academic Advisement Records .............................................................................................................................. 162
3 Student Internships and Practicums Records .......................................................................................................... 162
4 Independent/Cooperative or Alternate Study Records............................................................................................ 162
5 International Studies Program Records .................................................................................................................. 162
6 Award Establishment Records ................................................................................................................................ 162
7 Commencement and Awards Records .................................................................................................................... 163
H4 Course and Curriculum .................................................................................................................................... 163
1 Curriculum Development Records ......................................................................................................................... 163
2 Class Schedule Records .......................................................................................................................................... 163
3 Course Outlines and Descriptions Records............................................................................................................. 163
H5 Testing and Grades............................................................................................................................................ 163
1 Student Tests and Examinations ............................................................................................................................. 163
2 Student Evaluations of Teachers............................................................................................................................. 163
3 Masters Theses ....................................................................................................................................................... 163
4 Academic Degree Audit Records ........................................................................................................................... 163
5 General Educational Development (GED) Certification Records .......................................................................... 164
6 Academic Degree Audit Records ........................................................................................................................... 164
7 General Educational Development (GED) Certification Records .......................................................................... 164
8 Official Course and Grade Records ........................................................................................................................ 164
H6 Faculty ................................................................................................................................................................ 164
1 Faculty Personal and Professional Papers............................................................................................................... 164
2 Tenure and Promotion Records .............................................................................................................................. 164
3 Teacher Certification Records ................................................................................................................................ 164
4 Faculty Appointment Records ................................................................................................................................ 165
5 Faculty Workload Records ..................................................................................................................................... 165
6 Sponsored Research Records .................................................................................................................................. 165
H7 Student Activities ............................................................................................................................................... 165
1 Student Event/Activities Applications Records ...................................................................................................... 165
2 Student Clubs and Associations Records................................................................................................................ 165
3 Student Government Records ................................................................................................................................. 165
4 Student Newspaper ................................................................................................................................................. 165
5 Student Athletic Participation Records ................................................................................................................... 165
H8 Student Affairs ................................................................................................................................................... 166
1 Student Grievance/Complaint Records ................................................................................................................... 166
2 Student Discipline Records..................................................................................................................................... 166
3 Student Disability Records ..................................................................................................................................... 166
4 International Students Case Files ............................................................................................................................ 166
H9 Student Services ................................................................................................................................................. 166
1 Student Support Services Records .......................................................................................................................... 166
2 Special Services Program Records ......................................................................................................................... 166
3 Student Counseling Records ................................................................................................................................... 166
4 Student Career/Placement Records......................................................................................................................... 166
5 Student Health Clinic Records................................................................................................................................ 166
H10 Library and Learning Center ......................................................................................................................... 167
1 Borrowers Records ................................................................................................................................................. 167
H11 Department of Early Education & Care: Licensing (formerly Schedule No. 16/88) ................................. 167
1 Substitute Care Program Files (A) .......................................................................................................................... 167
2 Substitute Care Program Files (B) .......................................................................................................................... 167
3 Group Day Care/SACC Program Files (A) ............................................................................................................ 167
4 Group Day Care/SACC Program Files (B)............................................................................................................. 167
5 Family Day Care Program Files (A) ....................................................................................................................... 167
6 Family Day Care Program Files (B) ....................................................................................................................... 167
7 Investigation Files (A) ............................................................................................................................................ 167
8 Investigation Files (B) ............................................................................................................................................ 168
H12 Charter School Application Records ............................................................................................................. 168
I Environment and Energy .................................................................................169
I1 Environmental Conservation and Protection ................................................................................................... 169
1 Environmental Natural Resources Management Records ...................................................................................... 169
2 Environmental Historic Preservation Program Records ......................................................................................... 169
3 DEP and Brownfields Grant Program Records ...................................................................................................... 169
4 Environmental Disaster Planning and Relief Records ............................................................................................ 169
5 Conservation District Election Certificates Records .............................................................................................. 169
6 Coastal Community Relations Records .................................................................................................................. 169
7 Coastal Resources and Wetlands Deed Restriction Case Files ............................................................................... 169
8 Wetlands Project Approval Records ....................................................................................................................... 170
I2 Construction and Engineering ........................................................................................................................... 170
1 Environmental Maps, Plans, and Photos ................................................................................................................ 170
2 Environmental Impact Studies, Site Analyses, and Reports ................................................................................... 170
3 Environmental Systems Records ............................................................................................................................ 170
4 Environmental Engineering Reports and Plans ...................................................................................................... 170
I3 Laboratory ........................................................................................................................................................... 170
1 Environmental Lab Certification Records .............................................................................................................. 170
2 Environmental Laboratory Records ........................................................................................................................ 171
I4 Regulation and Compliance ............................................................................................................................... 171
1 Environmental Administrative Law Appeal Case Files .......................................................................................... 171
2 Environmental Licensing Course Approval Records.............................................................................................. 171
3 Mass Environmental Protection Act (MEPA) Review Records ............................................................................. 171
4 Environmental Strike Force Case Files .................................................................................................................. 171
5 Environmental Licensed Site Professional (LSP) Licensing and Disciplinary Records ......................................... 171
6 Environmental Facilities Licensing, Permits, and Certification Records ............................................................... 172
7 Environmental Regulation and Licensing Records ................................................................................................. 172
8 Environmental Monitoring and Inspection Records ............................................................................................... 172
9 Environmental Investigation and Enforcement Records ........................................................................................ 172
I5 Hazardous Waste Management ......................................................................................................................... 172
1 Hazardous Waste Cleanup Cost Recovery Records ............................................................................................... 172
2 Federal Superfund Sites Records ............................................................................................................................ 173
3 Hazardous Materials Right-To-Know Records ...................................................................................................... 173
4 Hazardous Materials Contingency Plan Records .................................................................................................... 173
5 Hazardous Waste Sites and Spills Records ............................................................................................................. 173
6 Contaminated Site Cleanup Records ...................................................................................................................... 173
7 Hazardous Materials Regulation Records ............................................................................................................... 173
8 Facilities Hazardous Substances Records ............................................................................................................... 174
9 Toxics Use Reduction Records ............................................................................................................................... 174
10 Asbestos Regulation Records ............................................................................................................................... 174
11 Hazardous Waste Transport and Disposal Records .............................................................................................. 174
12 Radioactive Waste Disposal Records ................................................................................................................... 174
I6 Waste and Emissions .......................................................................................................................................... 174
1 Air Quality Testing and Monitoring Records ......................................................................................................... 174
2 Environmental Equipment Quality Assurance Records.......................................................................................... 175
3 Air Quality Public Health Studies Records ............................................................................................................ 175
4 Clean Air and Water Records ................................................................................................................................. 175
5 Medical, Biological, and other Waste Disposal Records ........................................................................................ 175
I7 Water Resources ................................................................................................................................................. 175
1 Drinking Water Certification, Permits, and Approval Records .............................................................................. 175
2 Safe Water Act Monitoring and Compliance Records............................................................................................ 175
3 Safe Water Act Investigation and Enforcement Case Files .................................................................................... 176
4 PWS History Records ............................................................................................................................................. 176
5 PWS Construction Plan Review Records ............................................................................................................... 176
6 PWS/Cross Connection Records ............................................................................................................................ 176
7 Water Management Annual Reports, Surveys, and Statistics Records ................................................................... 176
8 Water Supply Protection Program Records ............................................................................................................ 176
9 Water Supply Contamination Records ................................................................................................................... 177
10 Water Emergency Program Records..................................................................................................................... 177
I8 Public Utilities and Energy ................................................................................................................................. 177
1 Energy Conservation Services and Assistance Records ......................................................................................... 177
2 Public Utilities Case Files ....................................................................................................................................... 177
3 Utility Company Annual Returns Reports .............................................................................................................. 177
I9 Forestry, Parks, and Recreation ........................................................................................................................ 177
1 Parks Shift Records ................................................................................................................................................ 177
2 Timber Harvesting Licensing Records ................................................................................................................... 178
3 Fishing and Hunting Licensing Records ................................................................................................................. 178
4 Forester Licensing Records .................................................................................................................................... 178
I10 Well Driller Program ........................................................................................................................................ 178
1 Completion Reports ................................................................................................................................................ 178
2 Initial Registration Well Driller Application .......................................................................................................... 178
3 Renewal Applications ............................................................................................................................................. 178
I11 Energy Facilities Siting Board (formerly Schedule No. 47/89) ...................................................................... 179
1 Regulatory Case Files ............................................................................................................................................. 179
2 Adjudicatory Case Files .......................................................................................................................................... 179
3 Hydroelectric Generating Facilities Licensing Case Files ...................................................................................... 179
4 Federal Energy Regulatory Commission (FERC) Filing Files ............................................................................... 179
5 Regulation Review Files ......................................................................................................................................... 179
J Public Safety ......................................................................................................181
J1 Administration .................................................................................................................................................... 181
1 Uniform National Crime Reports ........................................................................................................................... 181
2 Crime Reports ......................................................................................................................................................... 181
3 Special Events and Activities Records ................................................................................................................... 181
4 Emergency Planning and Response Records .......................................................................................................... 181
5 Criminal History Files ............................................................................................................................................ 181
6 Sexually Dangerous Person Case Files ................................................................................................................... 181
J2 Licensing and Regulation ................................................................................................................................... 181
1 Special Licenses and Permits Records.................................................................................................................... 181
J3 State Police .......................................................................................................................................................... 182
1 Death Investigations and Reports Records ............................................................................................................. 182
2 Criminal Investigation Case Files ........................................................................................................................... 182
3 Special Investigation Records................................................................................................................................. 182
4 Criminal Activity Surveillance Records ................................................................................................................. 182
5 Incident/Complaint Investigation Records ............................................................................................................. 182
J4 State Police Shift ................................................................................................................................................. 183
1 Missing Persons Reports Records .......................................................................................................................... 183
2 Evidence/Property Control Records ....................................................................................................................... 183
3 Crime Scene Documentation Records .................................................................................................................... 183
4 Dispatch and Communications Recordings ............................................................................................................ 183
5 Shift Logs ............................................................................................................................................................... 183
6 Shift Administration Records ................................................................................................................................. 183
7 Lost and Recovered Property Records.................................................................................................................... 183
8 Firearm/Gunshot Wound Reports ........................................................................................................................... 184
9 Arrest Records ........................................................................................................................................................ 184
10 Cell Monitoring Records ...................................................................................................................................... 184
11 Central Activity Log/Blotter Records ................................................................................................................... 184
12 Officers Daily Journal........................................................................................................................................... 184
13 Protective Custody Records .................................................................................................................................. 184
14 Detainee Property Records ................................................................................................................................... 184
15 Use of Force Reports ............................................................................................................................................ 184
16 Ramp Permits ....................................................................................................................................................... 185
J5 State Laboratory ................................................................................................................................................. 185
1 Laboratory Quality Assurance Records .................................................................................................................. 185
2 Crime Lab Case Records ........................................................................................................................................ 185
3 Forensic Lab Reports .............................................................................................................................................. 185
4 Medical Examiners Autopsy Case Files ................................................................................................................. 185
J6 Fire Marshal........................................................................................................................................................ 185
1 Massachusetts Fire Incident Reports ...................................................................................................................... 185
2 Massachusetts Burn Injury Reports ........................................................................................................................ 186
3 Massachusetts Property Insurance Loss Reports .................................................................................................... 186
4 Massachusetts Burned/Recovered Motor Vehicle Reports ..................................................................................... 186
5 Fire Services Statistical Reports ............................................................................................................................. 186
6 Fuel Tank Facility Permit Records ......................................................................................................................... 186
7 Fire Professional Certificates/Licensing Records ................................................................................................... 186
8 Fire Marshal Inspection Records ............................................................................................................................ 186
9 Fire Code Investigation Records ............................................................................................................................ 186
10 Firefighting Academy Course and Curriculum Records....................................................................................... 187
11 Firefighting Academy Admissions/Registration Records..................................................................................... 187
12 State Fire Station Administration Records ........................................................................................................... 187
J7 Corrections/Inmate ............................................................................................................................................. 187
1 Inmate Commitments/Discharges Logs and Indexes .............................................................................................. 187
2 Inmate Booking Records ........................................................................................................................................ 187
3 Inmate/Detainee Personal Property Records .......................................................................................................... 187
4 Inmate Account Records......................................................................................................................................... 188
5 Inmate Institutional Case File ................................................................................................................................. 188
6 Inmate Central Case File ........................................................................................................................................ 188
7 Inmate Medical Records ......................................................................................................................................... 188
8 Inmate Program Records ........................................................................................................................................ 188
9 Inmate Earned Good-Time Rosters (129-D)........................................................................................................... 188
10 Inmate Industrial and Institutional Work Records ................................................................................................ 189
11 Inmate Furlough/Work Release Files ................................................................................................................... 189
12 Inmate Parole Records .......................................................................................................................................... 189
13 Inmate Pardons and Commutations Records ........................................................................................................ 189
14 Inmate Drug Testing ............................................................................................................................................. 189
15 Awaiting Action Unit (AAU) Records ................................................................................................................. 189
16 Inmate Restraint, Seclusion, and Monitoring Records ......................................................................................... 189
17 Inmate Disciplinary Records ................................................................................................................................ 189
18 Inmate Surveillance Records ................................................................................................................................ 190
19 Inmate Investigation Records ............................................................................................................................... 190
20 Inmate Visitor Records ......................................................................................................................................... 190
21 Inmate Grievance Logs and Records .................................................................................................................... 190
22 Inmate Institutional Correspondence .................................................................................................................... 190
23 Inmate Telephone System Number Requests ....................................................................................................... 190
24 Inmate Marriage Records ..................................................................................................................................... 191
J8 Corrections Institutional .................................................................................................................................... 191
1 Shift Commanders Daily Reports/Package ............................................................................................................. 191
2 Unit Log Books ...................................................................................................................................................... 191
3 Shift Post Orders..................................................................................................................................................... 191
4 Shift Assignment Bid and Swap Records ............................................................................................................... 191
5 Dietary/Meal Records ............................................................................................................................................. 191
6 Census and Population Counts ............................................................................................................................... 192
7 Authorization to Enter Forms ................................................................................................................................. 192
8 Vehicle and Persons Trap Logs .............................................................................................................................. 192
9 Inmate Movement Records ..................................................................................................................................... 192
10 Mittimus Records ................................................................................................................................................. 192
11 Habeas Corpus Records ........................................................................................................................................ 192
12 Code or Alert Records .......................................................................................................................................... 192
13 Use of Force Reports/Package .............................................................................................................................. 192
14 Corrections Emergency Planning and Response Records .................................................................................... 193
15 Urgent Matter Reports .......................................................................................................................................... 193
16 Certification and Notification Records ................................................................................................................. 193
17 Overtime Call Lists ............................................................................................................................................... 193
J9 Middlesex Sheriff’s Office .................................................................................................................................. 193
1 Inmate Commitments/Discharges Logs and Indexes .............................................................................................. 193
2 Inmate/Detainee Central Case Record .................................................................................................................... 193
3 Inmate/Detainee Personal Property Records .......................................................................................................... 193
4 Inmate/Detainee Account Records ......................................................................................................................... 194
5 Inmate/Detainee Institutional Case File .................................................................................................................. 194
6 Inmate/Detainee Medical Records .......................................................................................................................... 194
7 Shift Commanders Daily Reports/Package ............................................................................................................. 194
8 Mittimus Records ................................................................................................................................................... 194
J10 All Sheriffs ......................................................................................................................................................... 194
1 Annual Report to the Commissioner ...................................................................................................................... 194
2 Application to Conduct Social Research ................................................................................................................ 194
3 Arsenal Log ............................................................................................................................................................ 194
4 Calendar of Inmates (Inmate log or Convict Register) ........................................................................................... 195
5 Calendar of Inmates (Prepared for Superior Court) ................................................................................................ 195
6 Daily Court Lists .................................................................................................................................................... 195
7 Day Sheets .............................................................................................................................................................. 195
8 Disapproval of Correspondence ............................................................................................................................. 195
9 Health Records ....................................................................................................................................................... 195
10 Individual Institutional Case Records (Case Files) ............................................................................................... 195
11 Index to Inmates ................................................................................................................................................... 195
12 Industries Records ................................................................................................................................................ 195
13 Inmate Cash Receipts ........................................................................................................................................... 196
14 Inmate Personal Property Record ......................................................................................................................... 196
15 Inmate Cash Records ............................................................................................................................................ 196
16 Institution Logs ..................................................................................................................................................... 196
17 Isolation Log ......................................................................................................................................................... 196
18 Media Waivers...................................................................................................................................................... 196
19 Mittimus File ........................................................................................................................................................ 196
20 Monthly Report of Admissions and Releases ....................................................................................................... 196
21 Noncompliance Files ............................................................................................................................................ 197
22 Orders of Removal................................................................................................................................................ 197
23 Personnel Files ...................................................................................................................................................... 197
23a Personnel Files Master Microfilm....................................................................................................................... 197
23b Duplicate Microfilm ........................................................................................................................................... 197
24 Personnel Trap Log .............................................................................................................................................. 197
25 Petitions to Visit ................................................................................................................................................... 197
26 Photographs .......................................................................................................................................................... 197
27 Procedures Manual ............................................................................................................................................... 197
28 Reports of Noncompliance ................................................................................................................................... 198
29 Transportation Log ............................................................................................................................................... 198
30 Vehicle Trap Log .................................................................................................................................................. 198
31 Visitors Cards ....................................................................................................................................................... 198
32 Visitors Log .......................................................................................................................................................... 198
K Health and Human Services............................................................................199
K1 Administration ................................................................................................................................................... 199
1 Safety and Health Records...................................................................................................................................... 199
2 Health Studies and Surveys Records ...................................................................................................................... 199
3 Long Term Care Cost Reports ................................................................................................................................ 199
4 Guardianships and Conservatorships Records ........................................................................................................ 199
5 Controlled Substances Destruction Records ........................................................................................................... 199
6 Medicaid Utilization Review Records .................................................................................................................... 199
7 Cemetery, Grave and Burial Records ..................................................................................................................... 199
K2 Social Services .................................................................................................................................................... 199
1 Health and Insurance Claim Records...................................................................................................................... 199
2 Social, Medical, and Economic Assistance Case Files ........................................................................................... 200
3 Client Advocacy Case Files .................................................................................................................................... 200
4 Social Services Appeals Case Files ........................................................................................................................ 200
5 Social Services Case Files ...................................................................................................................................... 200
6 Disabled Persons Abuse and Neglect Records ....................................................................................................... 200
7 Elder Abuse and Neglect Case Files ....................................................................................................................... 200
8 Institutional Abuse and Neglect Records................................................................................................................ 200
9 Disability Rehabilitation Case Files ....................................................................................................................... 201
K3 Child and Family Services ................................................................................................................................ 201
1 Child Abuse and Neglect Case Files....................................................................................................................... 201
2 Children in Need of Services (CHINS) Case Files ................................................................................................. 201
3 Family and Child Protective Services Case Files ................................................................................................... 201
4 Child Substitute/Foster Care Case Files ................................................................................................................. 201
5 Adoption Legal Tracking Records.......................................................................................................................... 202
6 Adoption and Foster Home Studies Records .......................................................................................................... 202
7 Adoption Case Files................................................................................................................................................ 202
K4 Laboratory ......................................................................................................................................................... 202
1 Patient Autopsy Records......................................................................................................................................... 202
2 Laboratory Licensure and Certification Records .................................................................................................... 202
3 Blood, Tissues, and Organs Administration Records ............................................................................................. 202
4 Health Laboratory Tests, Clinical ........................................................................................................................... 203
5 Quality Assurance Records..................................................................................................................................... 203
6 Childhood Lead Poisoning Test Program ............................................................................................................... 203
K5 Vital Records...................................................................................................................................................... 203
1 Birth Index .............................................................................................................................................................. 203
2 Birth Returns .......................................................................................................................................................... 203
3 Birth Certificate Risk Data Consent Forms ............................................................................................................ 203
4 Marriage Index ....................................................................................................................................................... 203
5 Marriage Returns .................................................................................................................................................... 203
6 Death Index ............................................................................................................................................................ 204
7 Death Returns ......................................................................................................................................................... 204
8 Live Birth Certificates R3 ....................................................................................................................................... 204
9 Change of Name Reports R600 .............................................................................................................................. 204
10 Divorce or Annulment Reports R408 ................................................................................................................... 204
11 Abortion Summary Reports R109 ........................................................................................................................ 205
K6 Patient ................................................................................................................................................................. 205
1 Drug Reactions, Adverse Records .......................................................................................................................... 205
2 Mental Health Inpatient Files ................................................................................................................................. 205
3 Patient X-Ray Records ........................................................................................................................................... 205
4 Patient Admission and Discharge Records ............................................................................................................. 205
5 Mental Health Client Outpatient Clinic and/or Community Service Records ........................................................ 206
6 Dental Records ....................................................................................................................................................... 206
7 Patient/Resident Accounts Records ........................................................................................................................ 206
8 Medical Patient Case Files...................................................................................................................................... 206
9 Patient Rehabilitation Program Records ................................................................................................................. 206
10 Institutional Client Property and Valuables Records ............................................................................................ 206
11 Resident/Patient Consent Decree Records ............................................................................................................ 207
12 Resident Emergency Fact Sheets .......................................................................................................................... 207
13 Resident Commitment Papers............................................................................................................................... 207
14 DMH Client Human Rights Complaint/Investigation Records ............................................................................ 207
15 MH Forensic Evaluation Records ......................................................................................................................... 207
16 External Reviews .................................................................................................................................................. 208
17 Managed Care Inquiries Through the Office of the Managed Care Ombudsman ................................................ 208
18 Health Plan Inspections ........................................................................................................................................ 208
K7 Pharmacy ........................................................................................................................................................... 208
1 Pharmacy and Prescriptions Records ...................................................................................................................... 208
K8 Program Administration ................................................................................................................................... 209
1 Insurance Policies and Rate Setting Records .......................................................................................................... 209
2 Social Needs Assessments Reports......................................................................................................................... 209
3 Program Monitoring and Review Records ............................................................................................................. 209
4 Medical Rate Setting Case Files ............................................................................................................................. 209
5 Service Provider Monitoring and Investigation Records ........................................................................................ 209
K9 Public Health...................................................................................................................................................... 209
1 Infectious Disease Case Files ................................................................................................................................. 209
2 Medical Staff Complaints/Discipline Records........................................................................................................ 209
3 Infectious Disease Outbreak Records ..................................................................................................................... 210
4 Immunization Records ............................................................................................................................................ 210
5 Community Sanitation Inspection Records ............................................................................................................ 210
6 Food and Drug License and Permits Records ......................................................................................................... 210
7 Animal Care Regulation and Monitoring Records ................................................................................................. 210
8 Human and Animal Subjects Protection Records ................................................................................................... 210
9 Quarantine Health Records ..................................................................................................................................... 210
10 Infection and Communicable Disease Control Records ....................................................................................... 211
11 Radioactive Materials Monitoring and Control Records ...................................................................................... 211
12 Ambulance Licensure Records ............................................................................................................................. 211
13 Community Based Services Case Files ................................................................................................................ 211
14 Epidemiology Case Records ................................................................................................................................. 211
15 Report of Infectious Diseases ............................................................................................................................... 211
16 Forensic Test Results ............................................................................................................................................ 211
17 Initial EMT Certification Files ............................................................................................................................. 212
18 Initial Course Approval Files................................................................................................................................ 212
19 Recertification Application Files .......................................................................................................................... 212
20 Continuing Education Files .................................................................................................................................. 212
21 Ambulance Licensing Files .................................................................................................................................. 212
K10 Shift ................................................................................................................................................................... 212
1 Resident Death Report Records .............................................................................................................................. 212
2 Restraint and Seclusion Records ............................................................................................................................ 213
3 Death Records......................................................................................................................................................... 213
4 Ambulance Trip Institutional Records .................................................................................................................... 213
5 Birth Records .......................................................................................................................................................... 213
6 Shift Code Emergency Response Records .............................................................................................................. 213
7 Shift Reports ........................................................................................................................................................... 213
8 Visitors Records ..................................................................................................................................................... 213
9 Intern and Resident Training Records .................................................................................................................... 213
10 Daily Census ......................................................................................................................................................... 214
11 Paramedics Communication Logs ........................................................................................................................ 214
K11 Division of Health Care Finance and Policy .................................................................................................. 214
1 Hospital Field Audit Work Papers (report RSC403) .............................................................................................. 214
2 Hospital Cost Reports (report RSC403) ................................................................................................................. 214
3 Long Term Care Cost Reports ................................................................................................................................ 214
4 Ambulatory Care Reports ....................................................................................................................................... 214
5 Hospital Charge Books ........................................................................................................................................... 214
6 Intermediate Care Facilities for the Mentally Retarded Cost Reports .................................................................... 214
7 Hospital Annual Financial Filings .......................................................................................................................... 215
8 Certified Nursing Assistants (CNA) Add-On Reports ............................................................................................ 215
9 Blue Cross Blue Shield Contracts ........................................................................................................................... 215
10 Public Hearing Records ........................................................................................................................................ 215
11 Credit and Collection Policies .............................................................................................................................. 215
12 UCP/Health Safety Net Audits ............................................................................................................................. 215
13 Nursing Facility Petitions ..................................................................................................................................... 215
14 Substance Abuse Treatment Program Licensing Records .................................................................................... 215
15 Alcohol and Drug Counselor Records .................................................................................................................. 215
16 Licensure Complaints, Investigations and Hearing Records ................................................................................ 216
17 Methadone Appeals .............................................................................................................................................. 216
18 Site Visits to Substance Abuse Treatment Programs ............................................................................................ 216
L Revenue and Taxation .....................................................................................217
L1 Tax Policy and Administration ......................................................................................................................... 217
1 Uniform Commercial Code Financial Statements .................................................................................................. 217
2 Tax Policy and Analysis Reports ............................................................................................................................ 217
3 Tax Issues and Policy Proposal Records ................................................................................................................ 217
L2 Tax Customer Service ........................................................................................................................................ 217
1 Taxpayer Advocate Case Files ............................................................................................................................... 217
2 Taxpayer Customer Service Records ...................................................................................................................... 217
3 DOR Problem Resolution Case Files...................................................................................................................... 217
4 Tax Practitioner Electronic Filing Authorizations .................................................................................................. 218
L3 Tax Filing ............................................................................................................................................................ 218
1 Tax Return Filings .................................................................................................................................................. 218
2 W4s ......................................................................................................................................................................... 218
3 Taxpayer Estimated Tax Payment Forms ............................................................................................................... 218
4 Employer Wage Reports ......................................................................................................................................... 218
5 Estate and Inheritance Tax Case Files .................................................................................................................... 218
6 Taxpayer Payment Voucher Slips........................................................................................................................... 219
7 Business Tax Status Registrations .......................................................................................................................... 219
L4 Tax Collection..................................................................................................................................................... 219
1 Taxpayer Appeal Case Files ................................................................................................................................... 219
L5 Tax Collection..................................................................................................................................................... 219
1 Profession, Trade, or Business License Listings .................................................................................................... 219
2 Taxes in Litigation Certification Records ............................................................................................................... 219
3 Potential Taxpayer Locator Records....................................................................................................................... 219
4 Promoter’s Business Rental Reports....................................................................................................................... 219
5 Bankruptcy Claim Records ..................................................................................................................................... 220
6 Tax Litigation Case Files ........................................................................................................................................ 220
7 Appellate Tax Board Appeals Records ................................................................................................................... 220
8 Tax Collection Case Files ....................................................................................................................................... 220
9 Tax Warrant Listings .............................................................................................................................................. 221
10 Uncollectible Tax Records ................................................................................................................................... 221
11 Tax Liability Settlement Agreement Records....................................................................................................... 221
12 Tax Revenue Accounting Records ....................................................................................................................... 221
L6 Tax Investigation and Research ........................................................................................................................ 221
1 Tax History Inquiry Records .................................................................................................................................. 221
2 Tax Information Transmittal Records..................................................................................................................... 221
3 Taxpayer Audit Case Files...................................................................................................................................... 222
4 State/Federal Tax Information Exchange Records ................................................................................................. 222
5 Tax History Research Records ............................................................................................................................... 222
6 Special Tax Research Records................................................................................................................................ 222
7 Tax Criminal Investigation Records ....................................................................................................................... 222
8 Employee Tax History Records .............................................................................................................................. 222
L7 DOR Bureau of Accounts .................................................................................................................................. 222
1 County Budget Records .......................................................................................................................................... 222
2 City Town Debt Sale Records ................................................................................................................................ 223
3 Municipal Schedule A Report Records .................................................................................................................. 223
4 Municipal Cash Reconciliation Report Records ..................................................................................................... 223
5 Municipal Tax Rate Certification Records (Recap Sheets) .................................................................................... 223
6 Municipal Audit Report Records ............................................................................................................................ 223
7 County Financial Reports ....................................................................................................................................... 223
8 Municipal Proposition 2 1/2 Records ..................................................................................................................... 223
9 State House Note Certificate Records .................................................................................................................... 224
10 Municipal Compensating Balance Report Records .............................................................................................. 224
11 County Government Finance Review Board Records .......................................................................................... 224
12 Municipal Balance Sheet Reports ......................................................................................................................... 224
L8 DOR Local Assessment ...................................................................................................................................... 224
1 Tax Exemption Reimbursement Request Records ................................................................................................. 224
2 Municipal Budget Schedules (Cherry Sheets) ........................................................................................................ 224
3 Education Reform Waiver Records ........................................................................................................................ 225
4 Municipal Emergency Aid Records ........................................................................................................................ 225
5 State Owned Land (SOL) Valuation Records ......................................................................................................... 225
6 Unassigned Assets and Property Reports ............................................................................................................... 225
7 Municipal Land Valuation Records ........................................................................................................................ 225
8 Property Valuation Certification Records ............................................................................................................... 226
9 Tax Abatement Authority Requests Records .......................................................................................................... 226
10 Land of Low Value (Affidavit to Foreclose) Records .......................................................................................... 226
11 Property Valuation Compliance Program Records ............................................................................................... 226
12 Equalized Property Valuations (EQVs) ................................................................................................................ 226
13 Utility Valuation Certification Records ................................................................................................................ 226
14 Farmland Valuation Advisory Commission Records (FVAC) ............................................................................. 227
15 Omitted and Revised Assessments and Rollback Tax Records ............................................................................ 227
16 Owners Unknown Assessment Records ............................................................................................................... 227
17 Assessor Training Records ................................................................................................................................... 227
L9 Child Support ..................................................................................................................................................... 227
1 Child Support Enforcement Case Files ................................................................................................................... 227
2 Child Support Unassigned Assets and Property Records ....................................................................................... 228
3 DOR Child Support Problem Resolution Case Files .............................................................................................. 228
4 Child Support Account System Monitoring and Control Reports .......................................................................... 228
L10 Underground Tank .......................................................................................................................................... 228
1 Municipal Underground Storage Tank Reimbursement Program Records ............................................................ 228
2 Underground Storage Tank Claim Records ............................................................................................................ 228
3 Underground Storage Tank Fees Records .............................................................................................................. 228
L11 Bank .................................................................................................................................................................. 229
1 New Charters and Holding Company Acquisition Records ................................................................................... 229
2 Annual Report Submissions ................................................................................................................................... 229
3 Bank and Credit Union Structure Records.............................................................................................................. 229
4 Bank and Credit Union Examination Records ........................................................................................................ 229
5 Special Examinations Records ............................................................................................................................... 230
6 Licensing Records .................................................................................................................................................. 230
7 Licensee Examination Records............................................................................................................................... 230
8 Banks and Credit Unions Under Regulatory Order Records .................................................................................. 230
9 Liquidation Records ............................................................................................................................................... 230
10 Consumer Complaint Records .............................................................................................................................. 230
11 Loan Appeal Board Case Files ............................................................................................................................. 231
12 Research Reports and Work Papers ...................................................................................................................... 231
13 Commissioner’s Documents ................................................................................................................................. 231
L12 Insurance .......................................................................................................................................................... 231
1 Insurance Licensing and Filings Register ............................................................................................................... 231
2 Insurance Company Licensing Records.................................................................................................................. 231
3 Insurance Company Powers of Attorney Records .................................................................................................. 232
4 Surplus Lines Company Licensing Records ........................................................................................................... 232
5 Risk Retention/Purchasing Group Registration Records ........................................................................................ 232
6 Workers Compensation Self-Insurance Group Registration Records ..................................................................... 232
7 Business Entity Insurance Licensing Records ........................................................................................................ 232
8 Individual Insurance Licensing Records................................................................................................................. 233
9 Special Risk Broker Licensing Records-Surplus Lines .......................................................................................... 234
10 Insurance Policy Forms and Rate Filings ............................................................................................................. 234
11 Health Insurance Policy Forms, Rates, and Statistical Filings.............................................................................. 234
12 Group Marketing Plan Records ............................................................................................................................ 234
13 Workers Compensation Preferred Provider Arrangement (PPA) Records ........................................................... 235
14 Consumer Insurance Education Program Records................................................................................................ 235
15 Insurance Company Market Conduct Records ..................................................................................................... 235
16 Continuing Education Course Review Records .................................................................................................... 235
17 Insurance Company Fiscal Review/Audit Records .............................................................................................. 235
18 Prohibited Persons Business Application Records ............................................................................................... 236
19 Consumer Inquiries and Complaints Records....................................................................................................... 236
20 DOI Legal Process Records .................................................................................................................................. 236
21 Insurance Investigation and Enforcement Case Files ........................................................................................... 236
22 Motor Vehicle Insurance Appeal Records ............................................................................................................ 236
23 DOI Administrative Law Case Files ..................................................................................................................... 237
24 Insurance Company Restructuring Records.......................................................................................................... 237
L13 Treasurer .......................................................................................................................................................... 237
1 Treasurer Accounting Systems Records ................................................................................................................. 237
2 Treasurer Cash Management Records .................................................................................................................... 237
3 Cash Forecasting and Positioning Records ............................................................................................................. 238
4 State Depository Agreement Records ..................................................................................................................... 238
5 Treasurer Investment Records ................................................................................................................................ 238
6 Treasurer Land and Deed Records.......................................................................................................................... 238
7 Public Protection Performance Bond Filings .......................................................................................................... 238
8 Public Official Performance Bond Filings .............................................................................................................. 238
9 Deferred Compensation Plan Records .................................................................................................................... 239
10 Games Establishment, Development, and Review Records ................................................................................. 239
11 Games Administration Records ............................................................................................................................ 239
12 Lottery Sales Agent Licensing Records................................................................................................................ 239
13 Charitable Gaming Licensing Records ................................................................................................................. 239
14 Lottery Claim Records .......................................................................................................................................... 239
15 Lottery Liens, Levies, and Orders Records .......................................................................................................... 240
16 Lottery Investigation and Enforcement Records .................................................................................................. 240
18 Abandoned Property Program Records ................................................................................................................ 240
19 Estate Public Administration Records .................................................................................................................. 240
20 Treasurer Registered and Bearer Bond Program Records .................................................................................... 241
22 Water Pollution Abatement Bond Program Records ............................................................................................ 241
23 Veterans Bonus Program Records ........................................................................................................................ 242
24 Arts and Humanities Grant Program Records ...................................................................................................... 242
25 Treasurer’s Savings Bond Program Records ........................................................................................................ 242
L14 Retirement and Benefits .................................................................................................................................. 242
1 Retirement Fiscal System Records ......................................................................................................................... 242
2 Retirement Administration Records ....................................................................................................................... 242
3 Beneficiary Verification Forms .............................................................................................................................. 243
4 Pension Fraud Investigation Case Files .................................................................................................................. 243
5 Retirement System Account Audit and Monitoring Records ................................................................................. 243
6 Employee Retirement, Disability, and Benefits Case Files .................................................................................... 243
7 Retirement Pension Reserves Investment Management Records ........................................................................... 243
8 Employee Group Insurance Files ............................................................................................................................ 243
9 Approval Letters ..................................................................................................................................................... 244
10 Appropriation Letters ........................................................................................................................................... 244
11 Reimbursement Letters ......................................................................................................................................... 244
12 Local Actuarial Valuation Reports ....................................................................................................................... 244
13 Commonwealth’s Total Pension Obligation ......................................................................................................... 244
14 Data Questionnaires .............................................................................................................................................. 244
15 Valuation Work Papers ......................................................................................................................................... 244
16 Valuation Data Work Papers ................................................................................................................................ 244
17 Non Valuated Data Work Papers .......................................................................................................................... 245
18 PRIM Election Ballots .......................................................................................................................................... 245
19 Disability Unit File ............................................................................................................................................... 245
20 Annual Statements from Retirement Boards ........................................................................................................ 245
21 Audit Reports of Retirement Boards .................................................................................................................... 245
22 Audit Work Papers ............................................................................................................................................... 245
23 Supplementary Schedules ..................................................................................................................................... 245
24 Annual Statement of Earned Income .................................................................................................................... 245
25 Investigatory Files ................................................................................................................................................ 245
26 Investigative Docket/Log...................................................................................................................................... 246
27 Financial Statements ............................................................................................................................................. 246
28 Year End Files ...................................................................................................................................................... 246
29 Revoked Waivers .................................................................................................................................................. 246
30 Manager Waiver Files........................................................................................................................................... 246
31 Review of Investment Holdings ........................................................................................................................... 246
32 Legal Opinions ..................................................................................................................................................... 246
33 Disability Remand Files ....................................................................................................................................... 247
34 Certificates ............................................................................................................................................................ 247
35 Litigation/Administration Files............................................................................................................................. 247
36 Judicial Litigation Files ........................................................................................................................................ 247
37 Subpoenas ............................................................................................................................................................. 247
38 Gulf War Files ...................................................................................................................................................... 247
39 Acceptance Letters ............................................................................................................................................... 247
40 Legislative Comments .......................................................................................................................................... 247
41 Department of Industrial Accidents Correspondence ........................................................................................... 248
42 Medical Panel Appointment Case Files ................................................................................................................ 248
43 Disability Retirement Case Files .......................................................................................................................... 248
44 Supplementary Regulations .................................................................................................................................. 248
L15 Alcoholic Beverages Control Commission ..................................................................................................... 248
1 Commission Documents ......................................................................................................................................... 248
M Labor and Workforce .....................................................................................249
M1 Industrial Accidents and Injuries .................................................................................................................... 249
1 Workplace Hazard Investigation Records .............................................................................................................. 249
2 Occupational Safety and Health Reports ................................................................................................................ 249
3 Workers Compensation Claim Impartial Medical Report (IMR) Records ............................................................. 249
4 Workers Compensation Trust Fund Records .......................................................................................................... 249
5 Workers Compensation Self-Insurers Records ....................................................................................................... 249
6 Workers Compensation Administrative Law Court Case Files .............................................................................. 250
7 Workers Compensation Insurance Claim Files....................................................................................................... 250
8 Workers Compensation Litigation Case Files ........................................................................................................ 250
9 Industrial Accident Investigation Case Files .......................................................................................................... 250
10 Disability Unit File ............................................................................................................................................... 251
11 Valuation Work Papers ......................................................................................................................................... 251
12 Valuation Data Work Papers ................................................................................................................................ 251
M2 Labor and Employment ................................................................................................................................... 251
1 Labor and Industries Statistics and Reports ............................................................................................................ 251
2 Labor Relations Records......................................................................................................................................... 251
3 Union Contract Negotiation Mediation Records .................................................................................................... 252
4 Apprenticeship Records .......................................................................................................................................... 252
5 Grievance, Mediation, and Arbitration Administration Records ............................................................................ 252
6 Prevailing Wage Rate Records ............................................................................................................................... 252
7 Employment Services Case Files ............................................................................................................................ 252
8 Unemployment Insurance Claims ........................................................................................................................... 252
9 Vocational Rehabilitation Case Files ...................................................................................................................... 252
M3 Division of Occupational Safety: Asbestos and Lead Program..................................................................... 253
1 Asbestos Violation Files ......................................................................................................................................... 253
2 Lead Paint Violation Files ...................................................................................................................................... 253
3 Asbestos Work Notification Files ........................................................................................................................... 253
4 Deleading Work Notification Files ......................................................................................................................... 253
5 Deleader-Supervisor Application Files ................................................................................................................... 253
6 Approved Deleading Contractor for Lead Removal: Application Files ................................................................. 254
7 Deleader-Contractor Application Files ................................................................................................................... 254
8 Asbestos Contractor Application Files ................................................................................................................... 254
9 Asbestos Inspector Application Files ..................................................................................................................... 254
10 Asbestos Management Planner Application Files ................................................................................................ 254
11 Asbestos Abatement Project Monitor Application Files ....................................................................................... 254
12 Asbestos Abatement Project Designer Application Files ..................................................................................... 254
13 Approved Asbestos Training Provider Application Files ..................................................................................... 255
14 Asbestos Analytical Services Application Files ................................................................................................... 255
15 Asbestos Abatement Worker Application Files .................................................................................................... 255
16 Supervisor/Foreperson for Asbestos Application Files ........................................................................................ 255
17 Asbestos Inspection Files ..................................................................................................................................... 255
18 Lead Paint Inspection Files ................................................................................................................................... 255
19 Deleader-Worker Application Files ...................................................................................................................... 256
20 Lead-Safe Renovator Worker Application Files ................................................................................................... 256
21 Lead-Safe Renovator Supervisor Application Files.............................................................................................. 256
22 Lead-Safe Renovator Contractor Application Files .............................................................................................. 256
23 Occupational Lead Poisoning Registry: Laboratory Blood Lead Reports ............................................................ 256
24 Occupational Lead Poisoning Registry: Reports of Interviews of Physicians and Registrants ............................ 256
M4 Massachusetts Labor Relations Commission ................................................................................................. 256
1 Case Files................................................................................................................................................................ 256
2 Transcripts .............................................................................................................................................................. 257
3 Case Study Cards .................................................................................................................................................... 257
4 Docket Books ......................................................................................................................................................... 257
5 Master Index ........................................................................................................................................................... 257
6 Collective Bargaining Agreements ......................................................................................................................... 257
7 Master Schedule Book ............................................................................................................................................ 257
M5 Division of Occupational Safety: Employment Agency Program ................................................................. 257
1 Employment Agency License and Service Agency Registration Records ............................................................. 257
2 Employment Agency License and Service Agency Registration Violation Files ................................................... 258
N Massachusetts Port Authority.........................................................................259
N1 Aviation Operations Administration................................................................................................................ 259
1 Daily Operational Reports ...................................................................................................................................... 259
2 Tenant Alterations Files .......................................................................................................................................... 259
3 Daily Operations Reports ....................................................................................................................................... 259
4 Incident Reports ...................................................................................................................................................... 259
5 Violations ............................................................................................................................................................... 259
6 Accident Reports .................................................................................................................................................... 259
7 Supervisor Terminal Reports .................................................................................................................................. 259
8 Violations File ........................................................................................................................................................ 259
N2 Noise Abatement ................................................................................................................................................ 260
1 Sound Insulation Program ...................................................................................................................................... 260
N3 Aviation Planning and Construction ................................................................................................................ 260
1 Tenant Alteration Applications............................................................................................................................... 260
2 Tenant Application Log Book ................................................................................................................................ 260
3 TAA Drawings ....................................................................................................................................................... 260
4 Drawings Other....................................................................................................................................................... 260
N4 Public Information............................................................................................................................................. 260
1 Interpreter Program................................................................................................................................................. 260
2 Daily Logs .............................................................................................................................................................. 260
3 Public Information Agents Files ............................................................................................................................. 260
4 Public Information Service Reports Files ............................................................................................................... 261
5 Airlines Files .......................................................................................................................................................... 261
N5 Parking Facilities ............................................................................................................................................... 261
1 Inventories .............................................................................................................................................................. 261
2 Log Books .............................................................................................................................................................. 261
N6 Transportation ................................................................................................................................................... 261
1 Contract Files .......................................................................................................................................................... 261
2 Department Correspondence Files .......................................................................................................................... 261
N7 Utilities Management ......................................................................................................................................... 261
1 Meter Readings File................................................................................................................................................ 261
2 Meter Records Log Books ...................................................................................................................................... 261
3 Utility Account Log Books ..................................................................................................................................... 262
4 System Account Log Books ................................................................................................................................... 262
5 Utility Account Computer Input ............................................................................................................................. 262
6 Utility Account Usage Report ................................................................................................................................ 262
7 Budgetary Unit Usage Report ................................................................................................................................. 262
8 Energy Use Reports ................................................................................................................................................ 262
9 Budgetary History (Fiscal Year End) ..................................................................................................................... 262
10 Utility Accounts/Budget Unit Master Files .......................................................................................................... 262
11 Tenant Utility Report ............................................................................................................................................ 263
12 Utility G/L Journal Report .................................................................................................................................... 263
13 Utility Systems Accounts ..................................................................................................................................... 263
14 Department Subject Files ...................................................................................................................................... 263
15 Utilities Budget ..................................................................................................................................................... 263
N8 Aviation Marketing ........................................................................................................................................... 263
1 Concession Monitoring Files .................................................................................................................................. 263
2 Trade Show Files .................................................................................................................................................... 263
N9 Private Carrier ................................................................................................................................................... 263
1 Ground Transportation Files ................................................................................................................................... 263
2 Monthly Revenue Forms ........................................................................................................................................ 263
N10 Ground Transportation ................................................................................................................................... 264
1 Daily Reports .......................................................................................................................................................... 264
2 Taxi Pool Ticket Log .............................................................................................................................................. 264
3 Personnel Files ........................................................................................................................................................ 264
4 Ground Transportation Agreements ....................................................................................................................... 264
N11 Parking Revenue Audit ................................................................................................................................... 264
1 Check Information .................................................................................................................................................. 264
2 Lost Ticket Vouchers.............................................................................................................................................. 264
3 Parking Fee Reports................................................................................................................................................ 264
4 Inventories .............................................................................................................................................................. 264
5 Shuttle Buses and Taxi Pool ................................................................................................................................... 265
6 Audit Problems ....................................................................................................................................................... 265
7 Cashier’s Daily Work (Database) ........................................................................................................................... 265
8 Parking Tickets ....................................................................................................................................................... 265
9 Void Tickets ........................................................................................................................................................... 265
10 Credit Card receipts .............................................................................................................................................. 265
N12 Hanscom Field .................................................................................................................................................. 265
1 Inspections Files ..................................................................................................................................................... 265
2 Nighttime Field Use Records.................................................................................................................................. 265
3 Noise Complaints File ............................................................................................................................................ 266
4 Noise Monitoring Procedures ................................................................................................................................. 266
5 Noise Rule Proceedings .......................................................................................................................................... 266
6 Noise and Operations Data ..................................................................................................................................... 266
7 Tenant Files ............................................................................................................................................................ 266
8 Hanscom Manifests ................................................................................................................................................ 266
9 Hanscom Access Stickers ....................................................................................................................................... 266
10 Snow Removal Summaries ................................................................................................................................... 266
11 Ramp Permit Files ................................................................................................................................................ 267
12 Notams File .......................................................................................................................................................... 267
13 Maintenance Files ................................................................................................................................................. 267
14 Loss Control Reports ............................................................................................................................................ 267
15 Monthly Statistical Reports .................................................................................................................................. 267
N13 Maritime Administration ................................................................................................................................ 267
1 Association Files..................................................................................................................................................... 267
2 Facility Files ........................................................................................................................................................... 267
3 Tariff Files .............................................................................................................................................................. 267
4 Lease Files .............................................................................................................................................................. 267
5 Maritime Damage Claims ....................................................................................................................................... 268
6 Capital Projects Files .............................................................................................................................................. 268
7 Terminal Reports/Statistics ..................................................................................................................................... 268
8 Consultants/Contractors File .................................................................................................................................. 268
N14 Property Management Fish Pier .................................................................................................................... 268
1 Contract Files .......................................................................................................................................................... 268
2 Prospective Tenant Files ......................................................................................................................................... 268
3 Electrical Work Orders File .................................................................................................................................... 268
4 Fish Pier Log Books ............................................................................................................................................... 268
N15 Maritime Operations (Unit Number 4300) .................................................................................................... 269
1 Facility Files ........................................................................................................................................................... 269
2 Personnel Files ........................................................................................................................................................ 269
3 Security Files .......................................................................................................................................................... 269
4 U.S. Government Files ........................................................................................................................................... 269
5 Equipment Interchange Receipt/Transfer Interchange Receipt Files ...................................................................... 269
6 Maintenance Record Files ...................................................................................................................................... 269
7 Inventory Records Files .......................................................................................................................................... 269
8 Ship Log Files ......................................................................................................................................................... 269
9 ILA Clerk Files (Internal Records Series Code 4300.08) ....................................................................................... 270
10 Vessel Files (Internal Records Series Code 4300.11) ........................................................................................... 270
11 ILA Payroll Records (Internal Records Series Code 4300.12) ............................................................................. 270
12 Lay-Berth Vessel Files (Internal Records Series Code 4300.16) ......................................................................... 270
13 Injury/Incident Report Files (Internal Records Series Code 4300.17) .................................................................. 270
14 ILA Personnel Files (Internal Records Series Code 4300.18) .............................................................................. 270
15 Environmental Files (Internal Records Series Code 4300.19) .............................................................................. 270
N16 Black Falcon Cruise Terminal ........................................................................................................................ 270
1 U.S. Government Permits ....................................................................................................................................... 270
2 Leased Areas File ................................................................................................................................................... 270
3 Port of Boston Union File ....................................................................................................................................... 271
4 Ship Log Files ......................................................................................................................................................... 271
5 Purchasing Files ...................................................................................................................................................... 271
N17 Maritime Sales and Marketing ....................................................................................................................... 271
1 Steamship Lines ...................................................................................................................................................... 271
2 Brochure Files ........................................................................................................................................................ 271
3 RRP (Recruitment and Referral Program)/Tenant Files ......................................................................................... 271
N18 External Affairs Logan Airport ...................................................................................................................... 271
1 Emergency Procedures/Public Safety ..................................................................................................................... 271
N19 Government and Community Affairs ............................................................................................................ 271
1 Impacted Communities Files .................................................................................................................................. 271
2 Neptune Road Program Files .................................................................................................................................. 272
N20 General Accounting ......................................................................................................................................... 272
1 Chart of Accounts ................................................................................................................................................... 272
2 Year End Schedule/ Work Papers........................................................................................................................... 272
N21 Central Services ............................................................................................................................................... 272
1 Repair and Use Logs............................................................................................................................................... 272
2 Charge Back Source Documents ............................................................................................................................ 272
3 Real World Inventory File ...................................................................................................................................... 272
N22 Capital Accounting .......................................................................................................................................... 272
1 Landing and Passenger Fee Reports ....................................................................................................................... 272
2 Fixed Assets Register ............................................................................................................................................. 272
3 Fiscal year Cumulative Job Sheets ......................................................................................................................... 273
4 Monthly Job Sheets ................................................................................................................................................ 273
5 Monthly Summary Trial Balance Books ................................................................................................................ 273
6 Project Payment Files/ Contracts Under Seal ......................................................................................................... 273
7 Monthly Journal Entries ......................................................................................................................................... 273
N23 Labor Relations ................................................................................................................................................ 273
1 General Union Files ................................................................................................................................................ 273
2 Seniority Rosters..................................................................................................................................................... 273
N24 Administration and Finance ........................................................................................................................... 273
1 Rates and Charges Filed ......................................................................................................................................... 273
N25 Maritime Security Services (Unit Number 4280) .......................................................................................... 274
1 MTSA Files (Internal Records Series Code 4280.02) ............................................................................................ 274
2 Security Badge Files (Internal Records Series Code 4280.05) ............................................................................... 274
O Department of Youth Services ........................................................................275
O1 Unit Records/Community Records .................................................................................................................. 275
1 Client Sign In Sheets .............................................................................................................................................. 275
2 Daily Census/Daily Bed Count ............................................................................................................................... 275
3 Drug Testing Results .............................................................................................................................................. 275
4 Electronic Monitoring (ELMO) Reports ................................................................................................................ 275
5 Fire Safety Reports ................................................................................................................................................. 275
6 Intake/Discharge Log ............................................................................................................................................. 275
7 Internal Investigative Reports ................................................................................................................................. 275
8 Licenses/Certificates ............................................................................................................................................... 275
9 Medical Log............................................................................................................................................................ 276
10 Medical Files ........................................................................................................................................................ 276
11 Summary of Consultations ................................................................................................................................... 276
12 Monthly Reports/Facilities ................................................................................................................................... 276
13 Monthly Reports/Community ............................................................................................................................... 276
14 Operations Log ..................................................................................................................................................... 276
15 Program Activity Attendance Sheet ..................................................................................................................... 277
16 Regional Review Team Records........................................................................................................................... 277
17 Restraint Report .................................................................................................................................................... 277
18 Room Confinement Observation Sheets ............................................................................................................... 277
19 Room Check Sheets .............................................................................................................................................. 277
20 School and Group Attendance Logs ..................................................................................................................... 277
21 Search Log ............................................................................................................................................................ 277
22 Telephone Log ...................................................................................................................................................... 277
23 Unit Condition Reports (UCRs) ........................................................................................................................... 278
24 Unit Files .............................................................................................................................................................. 278
25 Video Review Log ................................................................................................................................................ 278
26 Visitor Log............................................................................................................................................................ 278
27 Victim Services File ............................................................................................................................................. 278
O2 Client Records .................................................................................................................................................... 278
1 Client Files.............................................................................................................................................................. 278
2 Client/Program Unit File ........................................................................................................................................ 279
3 Grievance Forms..................................................................................................................................................... 279
4 Incident Reports ...................................................................................................................................................... 279
5 Detention File ......................................................................................................................................................... 279
O3 Program Monitoring ......................................................................................................................................... 279
1 Program Reports and Visit Summary Reports ........................................................................................................ 279
O4 Communication Information Center (“CIC”) Reports .................................................................................. 279
1 Active Warrant Report............................................................................................................................................ 279
2 Bail Report.............................................................................................................................................................. 279
3 Nightly Return Report ............................................................................................................................................ 279
4 Nightly Situation Report ......................................................................................................................................... 280
5 Open Return Report ................................................................................................................................................ 280
6 Room Confinement Report ..................................................................................................................................... 280
7 Risk Assessment Report ......................................................................................................................................... 280
8 Serious Incident Reports ......................................................................................................................................... 280
9 Warrants and Warrant Returns ............................................................................................................................... 280
Appendix: Electronic Records Management Guidelines ................................281
Introduction
This document was created and updated by the State Archives and Supervisor of
Records in cooperation with the Records Conservation Board. This revision
contains additions, modifications, and revisions as requested by several state
agencies. It also reflects a thorough review and revision of the entire document by
members of the Records Conservation Board.
All state agencies covered by this schedule are strongly encouraged to review the
sections that apply to its records and report requests for modification to:
The Records Conservation Board
220 Morrissey Boulevard
Boston MA 02125
(v) (617) 727-2816
(f) (617) 727-8249
[email protected]
Please note that this edition of the Statewide Records Retention Schedule includes
revised versions of forms required for submission to the Records Conservation
Board. The enclosed forms supersede all previous forms, and must be used by all
agencies covered under the Statewide Records Retention Schedule.
Any references in this book to the Massachusetts General Laws (MGL) or the
Code of Massachusetts Regulations (CMR) refer to the current edition of each
respective law or regulation. Please note that the laws and regulations in this book
are not official copies of such law or regulation. Users should consult the official
edition of each respective law or regulation for more information. A copy of the
CMR may be obtained from the State Bookstore, located in the Massachusetts
State House.
35
Revisions to the Current Edition
Substantive changes noted below:
Additions and Modifications
B6-1 Attorney General Contract Review Records
B6-12 Attorney General Civil and Criminal Investigations Records
B6-14 Non-Profit Organizations/Public Charities Filings Records
B6-15 Non-Profit Organizations/Public Charities Investigation and Litigation Records
B6-26 Data Breach Records
C11-4 Motor Vehicle Title Registration and Renewal Records
C11-7 Motor Vehicle Operators Licensing and ID Card Records
C11-9 Motor Vehicle License Plate Applications Records
D6 Office of the State Auditor (OSA)
37
Important Points
• The Massachusetts Statewide Retention Schedule is produced under the
statutory provisions of Massachusetts General Laws ch. 4, § 7(26), c. 30 §
42, and c. 66, §§ 1, 8 and 9
• This schedule applies to all records of state government including those of
executive departments, constitutional offices, authorities, independent
agencies, and state records being managed by contracted service providers
• This schedule applies to all records, regardless of location and form
• This schedule does not apply to municipal government records
• This schedule supersedes all other special, general, or department-wide
records disposition schedules with the exception of previously approved
RCB-1E plans for electronic record keeping systems
• Approval by the Records Conservation Board is required before any records
may be destroyed or transferred using this schedule except for records whose
designated retention period is “after administrative use ceases,” or “after
verification”
• Duplicate copies of records need only be retained until the administrative
use ceases unless otherwise required by statute or regulation
• If your agency records are not covered by this schedule or if your retention
requirements are different from those listed, please contact the Records
Conservation Board at:
220 Morrissey Boulevard
Boston, MA 02125
(v) (617) 727-2816
(f) (617) 288-8429
[email protected]
• Completed request forms may be sent via regular mail, fax or email to the
above address
• Retention periods reflect minimum time periods. Agencies may retain
records for longer periods of time as needed or required
• Do not destroy any records while they are subject to litigation, audit,
investigation, or where investigation is probable
• Agencies may request review of potentially historical materials by the
Archives regardless of stated retention periods
39
Special Notes
Electronic records and multi-media
This schedule applies to all types of records, regardless of media or format,
including those found in electronic form, audiotape, and hardcopy.
Older records
Massachusetts General Laws, ch. 66, § 8 requires permanent retention of any
records dating before 1870. Records older than fifty years old may require
retention periods that differ from those listed in this schedule. Please contact the
Records Management Unit to arrange for a review of any records that are fifty
years old or older.
Records in inactive storage areas
State agencies may contact the Records Management Unit for guidance with
identification and inventory of governmental records.
Such unidentified records are often at risk of water damage, destruction, theft, or
confidentiality or other security breach. Massachusetts General Laws, ch. 66, § 15
requires a custodian of records to maintain the integrity of records in its custody.
Massachusetts Management Accounting and Reporting System (MMARS)
For all state departments conducting business on the state accounting system
known as Massachusetts Management Accounting and Reporting System
(MMARS), fiscal and accounting transactions are recorded and archived by the
Office of the Comptroller on behalf of departments.
The documentation supporting transactions, such as invoices, contracts,
procurement documents, correspondence, must be maintained by departments for
the requisite retention period required for the type of transaction involved.
For example: Supporting documentation for contracts must be retained for six
years from the final payment under that contract or until litigation is resolved if
filed within that period.
41
The Records Conservation Board
Chapter 30, § 42. Records conservation board; composition; powers and duties; sale or destruction of
records; records defined; inquiries from departments or agencies
The state librarian, the attorney general, the state comptroller, the commissioner of administration, the supervisor of
public records and the chief of the archives division in the department of the state secretary, hereinafter called the
archivist, or persons designated by them, shall act as a board, to be known as the records conservation board, of
which board the archivist shall be secretary.
The board, after consultation with the executive head of any agency, executive office, department, board,
commission, bureau, division or authority of the commonwealth or of any authority established by the general court
to serve a public purpose or a person designated by such executive head may, either by its own motion or on the
request of said executive head, sell or destroy, from time to time, all records in accordance with disposal schedules
which shall have been submitted to said board and either approved or modified by said board or the board may
authorize such sale or destruction. Until such action shall have been taken, all such records shall remain the
property, as the case may be, of the commonwealth or an authority including an authority established by the general
court to serve a public purpose.
The board shall have power to require all departments of the commonwealth to report to it what series of records
they hold, to set standards for the management and preservation of such records, and to establish schedules for the
destruction, in whole, or in part, and transfer to the archives or another appropriate division within the office of the
state secretary, in whole, or in part, of records no longer needed for current business.
Nothing in this section shall affect judicial or legislative records, lessen the existing powers of the executive office
for administration and finance, or compel any agency, executive office, department, board, commission, bureau,
division or authority of the commonwealth or of any authority established by the general court to serve a public
purpose to surrender records it deems of current use.
Records may be kept in the archives or in another appropriate division within the office of the state secretary, under
reasonable restrictions as to access, for a reasonable length of time; provided, that such restrictions are in writing
and accepted by the records conservation board at a meeting at which the attorney general, or his designee, is
present. At least thirty days before selling or destroying any records so kept in the archives or another appropriate
division within the office of the state secretary, the board may publish in a daily newspaper in Boston a notice of its
intention to do so, containing a brief description of the articles to be sold or destroyed, and it shall give such other
and further notice as it deems advisable to historical societies or persons interested in the matter.
The board may, before selling or destroying any particular records, books, vouchers or documents, give a public
hearing to all persons interested, and ten days’ notice of such hearing shall be given in a daily newspaper published
in Boston.
The proceeds, if any, of a sale by the board of any records shall be paid to the state treasurer or to the treasurer of an
authority, including an authority established by the general court to serve a public purpose, whose records were the
subject of the sale.
As used in this section, the words “records” shall mean all books, papers, maps, photographs, recorded tapes,
financial statements, statistical tabulations, or other documentary materials or data, regardless of physical form or
characteristics, made or received by any officer or employee of any agency, executive office, department, board,
commission, bureau, division or authority of the commonwealth or of any authority established by the general court
to serve a public purpose.
Any agency, executive office, department, board, commission, bureau, division or authority of the commonwealth or
of any authority established by the general court to serve a public purpose in doubt as to whether certain materials
are records shall make inquiry thereof in writing to the records conservation board which shall determine the
question.
43
Glossary of Special Terms
Administration/Administrative
These terms refer to routine work materials and routine fiscal records and do not include policy, planning, and
decision-making records.
Administrative Use
“Administrative use” refers to a record’s usefulness as determined by agency staff. This designation includes copies
of records maintained for the convenience of agency staff. Please see the record series “A12 Correspondence” in this
Schedule for more information on procedures for retention of convenience copies and other records with a short
retention period.
Records from series’ that require retention “until administrative use ceases” may be discarded after such use. It is
not necessary to submit a FORM RCB-2 APPLICATION FOR DESTRUCTION PERMISSION for destruction of
administrative use records, unless otherwise noted in the schedule.
Records custodians are advised to review “administrative use” records to determine whether the records possess any
enduring historical value to the Commonwealth. In such cases, records custodians are advised to preserve the
records and contact the Records Management Unit of the State Archives for assistance to determine the appropriate
retention period.
Background Support Documentation
Background support documentation adds to an understanding of the thought process or intent of the participants in
the subject covered, or an understanding of the subject itself.
Contract
A contract is a legally binding agreement between two or more parties.
Electronic Record-Keeping System
An electronic record-keeping system is any information system where records are maintained primarily in electronic
form.
Executive
The term Executive includes elected officials, commissioners, agency heads and their deputies, department heads,
and directors, and the persons with delegated authority to act on their behalf.
Grant
A grant is a contract providing financial assistance to qualified applicants to further a specific public purpose.
Includes
As used in a record series description, this term means “may include” or “includes but is not limited to.” It is meant
to be followed by typical items that may be found in a record series for the purposes of identification and
description.
Permanent
Permanent records are to be retained indefinitely, and maintained in an accessible form either by the originating
agency or by the Archives. Archival review may be considered, at the discretion of the State Archivist.
Program
A program is an ongoing or repeating functional activity carried out as part of agency responsibilities.
Project
A project is a one-time work activity, with defined objectives and timelines.
Public Records Custodian
A Public Records Custodian is the government employee who in the normal course of his duties has access to or
control over records. 66 MGL 6.
45
Record
A record is information that has been recorded or captured, regardless of physical form or characteristics.
Record Series
A records series is a set of records relating to a specific business process or function. Occasionally a record series is
defined by the form of the records such as ‘maps’ or ‘photographs.’
Retention Period
The Retention Period is the length of time required for the storage of records. This period is based upon, among
other factors, statutory or regulatory requirements, agency custom, and retention schedules. Records must be
maintained in an accessible format for the duration of the retention period.
Review by the Archives
Review by the Archives consists of a review and appraisal of records by Archives staff to determine any archival or
permanent value. Archival review is performed at the discretion of the State Archivist, and may consist of either a
full or a sample review of the records.
Routine Records
Routine records are records used during the normal course of business. Such records often do not have enduring or
lasting value.
State Archives
The Massachusetts State Archives maintains permanently valuable governmental records for the benefit of state
agencies, the Commonwealth, and its citizenry. Records transferred to the State Archives are no longer in the control
of the originating agency.
State Records Center
The State Records Center provides temporary storage of records on the behalf of state agencies. Such records remain
the sole property of the originating agency.
46
Sample File Plan
The following is an example of a typical arrangement of files that corresponds to the record series listed in the
Statewide Records Retention Schedule.
Administration
Program Development, Establishment, and Review
Hierarchical by division or unit
Legislation (Development and Review)
Legislative Relations
Proposed Legislation
Agency Sponsored Legislation
Rules and Regulations
Policy and Procedures (Development and Review)
Issues
Plans and Proposals
Disaster Plan
Reorganization and Space Planning
Missions and Goals
Committees
Intra-Agency Monitoring and Oversight (Units and their programs)
Hierarchical by division or unit
Special Relations
Professional Organizations and Associations
Special Projects
Special Events
Public Relations
Speeches and Writings
Historical Anniversary
Memorabilia
Legal and Regulatory
Issues
Litigation Cases, Monitoring
Legal Opinions
Ethics and Conflict of Interest
Special Investigations
Fiscal
Fund and Grant Development
Budget Monitoring and Review
Fiscal Reports
Facilities
Planning and Oversight
Information Systems
Planning and Oversight
47
The Commonwealth of Massachusetts
William Francis Galvin
Secretary of the Commonwealth
Records Conservation Board – Massachusetts Archives at Columbia Point
220 Morrissey Blvd., Boston, Massachusetts 02125-3384
Email: [email protected]
Website: www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Phone: 617-727-2816 Fax: 617-288-8429
FORM RCB-2 – APPLICATION FOR DESTRUCTION PERMISSION
IMPORTANT! You must re-submit this form each time your agency destroys any of the records listed herein.
No record can be destroyed unless it is included in an authorized disposal schedule.
1. Destruction Permission for:______________________________________________________
Executive Office, Authority
DO NOT USE THIS SPACE
Disposal Schedule(s) #
___________________________________________________________________________
Department/Agency
Division, Unit, etc.
2. Total approximate volume of records proposed to be destroyed (cubic feet, file drawers, boxes, etc.)
___________________________________________________________________________
3. Location of records:____________________________________________________________
4. I certify that the last entries on the records listed in this application were made prior to the retention
date of this agency’s Disposal Schedule(s) thus satisfying the legal requirements that certain records
be kept for a specified length of time and are not subject to pending audit or investigation.
APPROVALS:
Pursuant to provisions of M.G.L., Ch.
30, S. 42, as most recently amended, the
Records Conservation Board hereby grants
permission to destroy the records listed
in this application under the Disposal
Schedule(s) above.
RECORDS
CONSERVATION BOARD
_________________________
Chairman
___________________________________________________________________________
Print or Type Name
_________________________
Secretary
___________________________________________________________________________
Address
Phone
___________________________________________________________________________
Signature of Department Head or Authorized Agent Applicable
Schedule
Example:
01/11
Item No.
D2-4b
_______ / _______ / ________
Date of approval
Date
Description of Record
Fiscal Audit Records
Please list additional records on a separate sheet(s).
Retention
Period
Inclusive
Dates
6 years
01/00-12/04
RCB2 02/27/12
The Commonwealth of Massachusetts
William Francis Galvin
Secretary of the Commonwealth
Records Conservation Board – Massachusetts Archives at Columbia Point
220 Morrissey Blvd., Boston, Massachusetts 02125-3384
Email: [email protected]
Website: www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Phone: 617-727-2816 Fax: 617-288-8429
Form RCB-2T – APPLICATION FOR Transfer PERMISSION
1. Transfer Permission for:_________________________________________________________
Executive Office, Authority
Submit in triplicate:
Do not use this space
___________________________________________________________________________
Department, Agency
Disposal Schedule(s) #
Division, Unit, etc.
2. Total approximate volume of records proposed to be transferred (cubic feet, file drawers, boxes, etc.)
___________________________________________________________________________
3. Location of records:____________________________________________________________
4. Indicate type of records(s) being transferred under TYPE RECORD column: A=Public Records;
B=Records containing “Personal Data”; C=Records specifically exempted from disclosure by
statute. Multiple categories are acceptable (i.e., A/B). Statutory access restrictions imposed on
records, and the reason for restrictions, shall be stated in writing and listed on the reverse side of
this form.
RECORDS
CONSERVATION BOARD
_________________________
Chairman
5. I certify that the last entries on the records listed in this application were made prior to the
retention date of this agency’s Disposal Schedule(s) thus satisfying the legal requirements that
certain records be kept for a specified length of time.
_________________________
Secretary
____________________________________________________________________________
Print or Type Name
APPROVALS:
Pursuant to provisions of M.G.L., Ch.
30, S. 42, as most recently amended,
the Records Conservation Board hereby
grants permission to transfer the records
listed here.
_______ / _______ / ________
___________________________________________________________________________
Address
Date of approval
Phone
___________________________________________________________________________
Signature of Department Head or Authorized Agent Applicable
Schedule
Example:
01/11
Item No.
A 1-1
Description of Record
Program Establishment,
Development Records
Date
Retention
Period
Inclusive
Dates
Permanent 01/96-12/00
Type of
Record
S.R.C. or
Archives
A
Archives
RCB2T 2/27/12
Applicable
Schedule
Item No.
Description of Record
Retention
Period
Inclusive
Dates
Type of
Record
S.R.C. or
Archives
RCB2T 2/27/12
ACCESS RESTRICTIONS: AGENCY RECOMMENDATIONS. List below any statutory or regulatory restrictions on access.
Item No.
ACCESS RESTRICTIONS: ARCHIVIST RECOMMENDATIONS. State concurrence, dissent, or other recommendations pertaining to
materials for which restrictions have been requested.
Item No.
RCB2T 2/27/12
The Commonwealth of Massachusetts
William Francis Galvin
Secretary of the Commonwealth
Records Conservation Board – Massachusetts Archives at Columbia Point
220 Morrissey Blvd., Boston, Massachusetts 02125-3384
Email: [email protected]
Website: www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Phone: 617-727-2816 Fax: 617-288-8429
Form RCB-1E – APPLICATION FOR Electronic Systems
Information Plan Face Sheet
1. Plan for:_____________________________________________________________________
Executive Office, Authority
Do not use this space
Systems Plan #
___________________________________________________________________________
Department/Agency
Division, Unit, etc.
2. Applicable Statutory Reference: _____________________________________________________
___________________________________________________________________________
3. I certify that this plan and the retention periods for the records described in the plan have been
reviewed by me as being in the best interests of this agency, and in compliance with applicable
statutes and regulations. I further certify that the scanned records will be accessible for the full
retention period.
APPROVALS:
Pursuant to provisions of M.G.L., Ch.
30, S. 42, as most recently amended, the
Records Conservation Board hereby approves this plan.
RECORDS
CONSERVATION BOARD
___________________________________________________________________________
_________________________
___________________________________________________________________________
_________________________
___________________________________________________________________________
_______ / _______ / ________
Print or Type Name
Date
Address
Phone
Signature of Department Head or Authorized Agent
Date
Chairman
Secretary
Date of approval
___________________________________________________________________________
Signature of Chief Information Officer or Authorized Designee Date
Note: Before you may clear data or files of listed records, you must
obtain separate permission from the Board. Application for: destruction
permission (RCB-2E) is provided for the purpose.
Page 1 of 4
RCB1E 2/27/12
RCB-1E Systems Information Management Plan
Agency Name
System Custodian and Liaison
System Name
System Overview (purpose)
System Description (technical)
System Inputs (with retention periods)
System Outputs (with retention periods)
Page 2 of 4
RCB1E 2/27/12
System Backup Schedule
System Archiving Schedule
Restrictions on Use and Access
Related Systems Records, Files, and Indexes
System Contingency Plans
Page 3 of 4
Access to Records During Retention Period
Certification of how the agency will ensure retrieval and access to the records for the duration of the retention period. Description should
include the process for periodic review by agency staff to test accessibility to the records.
Other
Page 4 of 4
The Commonwealth of Massachusetts
William Francis Galvin
Secretary of the Commonwealth
Records Conservation Board – Massachusetts Archives at Columbia Point
220 Morrissey Blvd., Boston, Massachusetts 02125-3384
Email: [email protected]
Website: www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Phone: 617-727-2816 Fax: 617-288-8429
FORM RCB-2E APPLICATION FOR SCANNING AND DESTRUCTION PERMISSION
IMPORTANT! You must re-submit this form each time your agency destroys any of the records listed herein.
No record can be destroyed unless it is included in an authorized disposal schedule.
DO NOT USE THIS SPACE
Disposal Schedule(s) #
1. Destruction Permission for:______________________________________________________
Executive Office, Authority
___________________________________________________________________________
Department/Agency
Division, Unit, etc.
2. Total approximate volume of records proposed to be destroyed (cubic feet, file drawers, boxes, etc.)
___________________________________________________________________________
Retention period of documents to be scanned/Location of records:________________________
___________________________________________________________________________
3. I certify that the records listed below have been scanned as required by the indicated disposal
schedule. I further certify that the scanned records will be accessible for the full retention period.
All scanning has been conducted in accordance with the Massachusetts Public Records Law. The
scanned images have been inspected and found to be a complete and accurate representation of
the original record.
____________________________________________________________________________
APPROVALS:
Pursuant to provisions of M.G.L., Ch.
30, S. 42, as most recently amended, the
Records Conservation Board hereby grants
permission to destroy the records listed
in this application under the Disposal
Schedule(s) above.
RECORDS
CONSERVATION BOARD
_________________________
Chairman
_________________________
Secretary
_______ / _______ / ________
Date of approval
Print or Type Name
___________________________________________________________________________
Address
Phone
___________________________________________________________________________
Signature of Department Head or Authorized Agent Date
___________________________________________________________________________
Signature of Chief Information Officer or Authorized Designee Applicable
Schedule
Example:
01/11
Item No.
D2-4b
Date
Description of Record
Fiscal Audit Records
Please list additional records on a separate sheet(s).
Retention
Period
Inclusive
Dates
6 years
01/00-12/04
RCB2E 02/27/12
The Commonwealth of Massachusetts
William Francis Galvin
Secretary of the Commonwealth
Records Conservation Board – Massachusetts Archives at Columbia Point
220 Morrissey Blvd., Boston, Massachusetts 02125-3384
Email: [email protected]
Website: www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Phone: 617-727-2816 Fax: 617-288-8429
FORM RCB-2M – APPLICATION FOR DESTRUCTION PERMISSION
Records required to be microfilmed before they are destroyed
IMPORTANT! You must re-submit this form each time your agency destroys any of the records listed herein.
No record can be destroyed unless it is included in an authorized disposal schedule.
1. Destruction Permission for:______________________________________________________
Executive Office, Authority
DO NOT USE THIS SPACE
Disposal Schedule(s) #
___________________________________________________________________________
Department/Agency
Division, Unit, etc.
2. Total approximate volume of records proposed to be destroyed (cubic feet, file drawers, boxes, etc.)
___________________________________________________________________________
3. Location of records:_____________________________________________________________
4. I certify that the records listed below have been microfilmed as required by the indicated disposal
schedule. All microfilming has been conducted in accordance with the requirements of 950 Code
of Massachusetts Regulations 39.00. The microfilm product has been inspected and found to be
a complete and accurate representation of the original records, and in compliance with quality
specifications of 950 CMR 39.00.
___________________________________________________________________________
Department Head or Authorized Agent
APPROVALS:
Pursuant to provisions of M.G.L., Ch.
30, S. 42, as most recently amended, the
Records Conservation Board hereby grants
permission to destroy the records listed
in this application under the Disposal
Schedule(s) above.
RECORDS
CONSERVATION BOARD
_________________________
Chairman
_________________________
Secretary
5. I certify that the last entries on the records listed in this application were made prior to the
retention date of this agency’s Disposal Schedule(s) thus satisfying the legal requirements that
certain records be kept for a specified length of time.
_______ / _______ / ________
Date of approval
____________________________________________________________________________
Print or Type Name
___________________________________________________________________________
Address
Phone
___________________________________________________________________________
Signature of Department Head or Authorized Agent Applicable
Schedule
Example:
01/11
Item No.
D2-4b
Date
Description of Record
Fiscal Audit Records
Please list additional records on a separate sheet(s).
Retention
Period
Inclusive
Dates
6 years
01/00-12/04
RCB2M 02/27/12
The Commonwealth of Massachusetts
William Francis Galvin
Secretary of the Commonwealth
Records Conservation Board – Massachusetts Archives at Columbia Point
220 Morrissey Blvd., Boston, Massachusetts 02125-3384
Email: [email protected]
Website: www.sec.state.ma.us/arc/arcrmu/rmuidx.htm
Phone: 617-727-2816 Fax: 617-288-8429
Form RCB-4 – Records Liaison Officer Designation
To the Records Conservation Board:
Pursuant to M.G.L. ch. 66 § 6,_____________________________________________ is hereby designated as Records
Print or Type Name
Liaison Officer for _______________________________________________________________________________
Executive Office, Authority
_____________________________________________________________________________________________
Department /Agency
Division, Unit, etc.
The Liaison Officer will work in consultation with the Records Conservation Board to promote efficient records
management practices.
The Liaison Officer is authorized to sign applications for Disposal Schedules and Permissions in my stead.
___________________________________________________
_____________________________________
Date
Signature of Department Head or Authorized Agent
_______________________________________________________
Records Liaison Officer
Address:________________________________________________
______________________________________________________
______________________________________________________
Telephone______________________________________________
Cite legislation governing activities of this agency:_______________________________________________________
_____________________________________________________________________________________________
Copy Distribution:
1. Records Conservation Board
2. Submitting Agency
RCB4 02/27/12
A Administration and Records in Common
A1 Program Development and Review
1 Program Establishment, Development Records
Documents the creation and development of the agency, its departments, divisions, and units, and its
programs. Also documents its purpose, authority, and organization as well as any major changes over
time, any major reviews of the program, and any major reorganization. Includes organizational charts;
mission or function statements; program charges, bylaws, and legislation; reorganization documentation;
long term plans; agency histories; issues, policy, and legislation background materials, outreach, and
initiatives substantive documentation; and related correspondence.
Retention Period:
Permanent.
Note: This historical file must often be collated from several sources.
2 Annual and Summary Reports Records
Documents the production of annual reports or other summary reports of agency business. Includes
background support materials, statistical and other interim reports, unpublished reports, final products,
and related correspondence.
Retention Period:
(a) Annual reports: Permanent. Send 8 copies to the State Library.
(b) Substantive support documentation for annual reports: Retain 3 years.
(c) All other reports, published or unpublished, and substantive support materials for those reports: Retain
until administrative use ceases. Permission from RCB not required for destruction.
3 Program Plans and Planning Records
Documents the ongoing study, review, and evaluation of program functions and needs. Includes needs
assessments, special studies documentation, background support documentation, surveys and
questionnaires, program development and planning grant documentation, business plans, and related
correspondence.
Retention Period:
(a) Reports and substantive background documentation: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
4 Reorganization, Relocation, and Closing Records
Documents major changes to an agency’s administrative structure, functions, or physical location.
Includes plans and planning materials, issues documentation, needs assessments, drawings, space and
new facility plans, and related correspondence.
Retention Period:
(a) Summary and substantive materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
See also record series “A1-1 Program Establishment, Development, Records.”
5 Accreditation Records
Documents the accreditation process relating to an agency’s program or programs as required by federal
or state statute, or other body. Includes background support materials, accrediting agency
correspondence, guidelines, reports, procedures, and accreditation review reports and responses.
65
Retention Period:
(a) Final accreditation report, responses, and substantive correspondence: Permanent.
(b) All other records: Retain 6 years after accreditation period ends.
6 Disaster Planning Records
Documents plans to maintain necessary business operations, to protect personnel, and to safeguard vital
records during emergency situations. Includes background support documentation and work papers,
plans and reports, and related correspondence.
Retention Period:
(a) Final plans: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
29 CFR 1910.38.
7 Commemorations and Historical Anniversary Records
Documents any celebration or recognition of agencies or their works.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
8 Program Historical Articles and Clippings
Consists of articles and clippings about agency programs and functions.
Retention Period:
(a) Substantive files where the collation may be unique or not easily reproduced: Review by Archives
after administrative use ceases. Permission from RCB not required for destruction subsequent to review
by Archives.
(b) All other records: Review by the Archives after administrative use ceases. Permission from RCB not
required for destruction subsequent to review by Archives.
9 Artifacts and Memorabilia
Consists of objects, items, mementos, and souvenirs with special value to the agency. Includes
scrapbooks, staff photos, picture books, albums, newspaper articles and clippings, slides, buttons, flags,
banners, badges, batons, maces, stamps, stamping devices, and other selected objects.
Retention Period:
Review by the Archives after administrative use ceases. Permission from RCB not required for
destruction subsequent to review by Archives.
A2 Legislation and Policy
1 Informational Circulars
Provides a record of information distributed for the general information of staff.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
2 Legal Letter Release Records
Documents the development of statements of legal clarifications, opinions, or explanations of law in order
to respond to specific requests. Includes initial requests for information, background support materials,
internal legal opinions and notes, final memos, letter rulings, or other products, and related
correspondence.
Retention Period:
(a) Final products and substantive support materials: Permanent.
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(b) All other records: Retain 3 years.
3 Policy and Procedures Records
Documents the agency’s role in the development, implementation, and review of its policies and
procedures. Includes background materials and notes, substantive drafts such as those issued for public
comment, and final policy directives or manuals.
Retention Period:
(a) Policy manuals, publications, bulletins and substantive support materials: Permanent.
(b) All other records: Retain 3 years.
4 Executive Orders, Directives, and Bulletins Records
Documents the process to develop and issue official orders, decisions, and directives to agency staff.
Includes background support materials, final issuances, and related correspondence.
Retention Period:
(a) Final issuances and substantive support materials: Permanent.
(b) All other records: Retain 3 years.
5 Rules and Regulations Records
Documents the development, review, and administration of the agency’s rules and regulations as required
by statute. Includes background support materials, drafts, public hearing documentation, and final CMR
submissions to the Secretary of State’s office for official filing.
Retention Period:
(a) Final accepted rules and regulations and substantive support materials: Permanent.
(b) All other records: Retain 3 years.
6 Legislation Records
Documents the agency’s role in the development and review of program legislation and subsequent
policy development. Includes research and investigative materials, intergovernmental memoranda, legal
research and attorney notes, drafts, and related correspondence.
Retention Period:
(a) Summary and substantive support materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
7 Legislative Relations Records
Documents agency relations with specific legislative contacts or groups relating to agency missions and
goals.
Retention Period:
(a) Summary and substantive support materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
A3 Executive
1 Executives’ Correspondence/Subject Files
Documents the executives’ monitoring and decision-making of agency programs and functions. Includes
memos, letters, reports, notes, issues documentation, intra-departmental monitoring records, and other
materials filed by subject.
Retention Period:
Retain 3 years.
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2 Executives’ Briefing Files
Documents materials used to brief executives on upcoming meetings, hearings, events, or other
activities. Includes briefing books, sheets, and support materials.
Retention Period:
Retain 3 years.
3 Elected Office Transition Files
Documents the process to transfer governance of an office due to a change in leadership. Includes
briefing books, issues summaries, organization and functions documentation, logistical details, and
related correspondence.
Retention Period:
Retain 3 years.
A4 Committee
Committees should cross-reference section A13 of this Statewide Schedule for other records retention
requirements that may be applicable.
1 Committee Establishment, Charges, and Membership Records
Documents the original establishment of the committee and any subsequent changes to its organization,
charges, or functions, policy, and membership. Includes establishment documentation, related legislation,
charges, membership, and related correspondence.
Retention Period:
Permanent.
2 Standing Committees, Councils, Boards, and Commissions Records
Documents the activity of committees, councils, boards, and commissions where the unit holds the
primary copy of minutes. Includes dockets, agendas, minutes, and agenda submissions and support
materials.
Retention Period:
Permanent.
Note: The permanent version of minutes must be retained on paper hardcopy.
3 Committee Records
Documents the activities of inter-agency or intra-agency committees where these are not included as part
of another record series. Includes agendas, minutes, meeting packet information, and related
correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
4 Board, Council, Committee Docketed Case Files
Documents work brought before committees and boards as part of their official functions. Includes
submissions, approvals and denials, discussion notes, and related correspondence.
Retention Period:
(a) Where not covered by other record series: Retain until administrative use ceases. Permission from
RCB not required for destruction.
(b) Otherwise: Apply the appropriate record series retention period.
See also record series “A4-2 Standing Committees, Councils, Boards, and Commissions Records.”
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5 Committee Members’ Records
Documents activities of employees as members of committees or groups where such activities are
performed as part of their official duties. Includes meeting preparation materials, meeting agendas and
notes, minutes, reports, and related correspondence.
Retention Period:
(a) Executives’ records: Retain 3 years.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
6 Task Force Records
Documents the work of special task forces assigned by committees or managers to address issues
relating to agency functions. Includes original charges, work papers, reports and deliverables, and related
correspondence.
Retention Period:
(a) Charges, substantive correspondence and work product, and reports: Permanent.
(b) All other records: Retain 3 years.
7 Staff Meeting Records
Documents unit staff meeting proceedings. Includes agendas, minutes, working papers, submissions,
exhibits, reports, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
A5 Program Administration
1 Program Subject/Resource Records
Consists of background materials on topics relating to agency mission and functions. Includes articles,
clippings, selected meeting minutes, discussion notes, ratings and surveys, informational reports, and
related correspondence.
Retention Period:
(a) Substantive files where the collation may be unique or not easily reproduced: Review by Archives
after administrative use ceases. Permission from RCB not required for destruction subsequent to review
by Archives.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
2 Program Issues and Topics Records
Documents issues, concerns, and situations which occur during the daily administration of the agency
that may potentially give rise to policy or procedural, organizational adjustments or changes, or to
litigation, or that represent potential trouble spots to be monitored. Includes legal support documentation,
secondary copies of minutes, notes, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 Program Outreach and Training Records
Documents outreach services to individuals, institutions, or government departments and units as part of
an agency’s overall functions. Includes planning documentation, presentation materials and outlines,
scheduling and arrangement documentation, and related correspondence.
Retention Period:
(a) Substantive planning documentation and summary presentation materials: Permanent.
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(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
4 Program Administration Records
Documents the routine administration of agency programs and services programs not covered by more
specific records series. Includes letters, memos, inquiries and explanations, work product, and related
correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Program Publication Records
Documents the production of publications to promote agency functions and activities. Includes resource
materials, drafts, copy edit materials, job orders and specifications, visual display materials, photographs,
production negatives, and final publications.
Retention Period:
(a) Final official publications: Permanent. Send 8 hardcopies of each publication (and/or 1 electronic
copy) to the State Library.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction. Where publication resource materials and photographs are unique and of potential historical
interest: Review by Archives after administrative use ceases. Permission from RCB not required
subsequent to review by Archives.
Notes:
1. 6 MGL 39B requires that “each state agency shall furnish the State Library eight copies of its
publications.”
2. For publications that are in electronic or multimedia form, consult with the State Library to make
transfer arrangements.
3. See also record series “F4-1 Electronic Records.”
6 MGL 39B.
A6 Office Management
1 Office Social Activity Records
Documents the non-business related social activities of the unit. Includes special causes and charities
work documents, volunteer work outside of the workplace, office Halloween or Christmas parties, social
gathering participation, and related correspondence.
Retention Period:
(a) Payment documentation: Retain 3 years.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
2 Schedules and Calendars
Documents the scheduling of meetings, travel, appointments, and events. Includes schedule books,
calendars, and related lists and postings.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 General Office Administration Records
Documents internal facilitative office policies for handling mail, opening hours, and storm coverage.
Includes policies, procedures, staff lists, hours of operation postings, and related correspondence.
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Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
A7 Program Relations
1 Intra-Agency Relations Records
Documents the monitoring, oversight, review, coordination, and communication between an agency’s
units and offices. Includes memos, letters, reports, notes, background materials, and related
correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
2 Intra-Governmental Coordination
Documents the interaction and coordination of state and municipal agency activities where functional
responsibilities overlap. Includes letters of agreement, understanding or intent, plans and proposals,
special studies, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 Inter-Agency Relations Records
Documents the interaction and coordination between the agency and other governmental or regulatory
agencies especially where approval, oversight, or coordination of efforts is involved. Includes background
support materials, reports, notes, opinions, proposals, projects, surveys and questionnaires, and related
correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
4 Federal/State Relations Records
Documents agencies’ relations with other agencies or bodies that have regulatory oversight over agency
affairs and business.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Special Relations Records
Documents the coordination and communication between state agencies that fall outside of the
organizational boundaries of the agencies but whose functions are crossed. Includes memos, letters,
reports, notes, background materials, project and planning documentation, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
6 External Program Relations Records
Documents the interaction and coordination between the agency and outside institutions, associations,
programs, and individuals where they share similar missions and can mutually benefit from informational
exchanges and/or group cooperative efforts. Includes background support documentation, reports, joint
proposals, surveys and questionnaires, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
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7 Professional Organizations and Associations Records
Documents staff participation in outside organizations and associations relating to the mission and
functions of the agency. Includes promotional literature, membership lists, meeting and conference
announcements, proceedings materials, conference materials, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
A8 Public Relations
1 Public Relations and Communications Records
Documents the agency’s efforts to promote an effective and cooperative working relationship with the
community and the public relating to projects, issues, and general work. Includes plans, proposals,
outreach projects, articles, speeches, news and press releases, and related correspondence.
Retention Period:
(a) Substantive records reflecting decisions, issues, concerns, and events: Permanent.
(b) All other records: Retain 3 years.
2 Media Advisories and Releases Records
Documents the preparation and distribution of information to the public sector. Includes media advisories,
news and press releases, web announcements, and related support materials and correspondence.
Retention Period:
(a) Final official releases: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
See also record series “A1-1 Program Establishment, Development Records.”
3 Public Appearances, Speeches, and Writings
Documents speeches and writings of managers and staff as part of their job responsibilities where these
are filed separately from other record series. Includes correspondence, memoranda, notes, audio visual
materials, video tape, transcripts, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
4 Ombudsman/Advocate Records
Documents the interaction between the office and the public for the purpose of assisting users of
government find and successfully utilize the services they need. Includes intake, responses, background
materials, referrals, and related correspondence.
Retention Period:
(a) Cases that instigated policy or procedural changes: Permanent.
(b) All other records: Retain 3 years.
A9 Special Events
1 Special Events Records
Documents the agency’s role in the administration, planning, arrangement, and execution of special
events and activities such as dinners, lectures, dedications, ceremonies, visits, and tours. Includes
planning and arrangement records, announcements, event and activity documentation, and related
correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
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2 Conference, Seminar, and Workshop Participant Records
Documents conferences attended by staff. Includes programs brochures, announcements, promotional
materials, registration records, agendas, program descriptions, presentation materials, handouts, and
related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 Conference, Seminar, and Workshop Sponsor Records
Documents the agency’s role in the administration, planning, arrangement, and execution of conferences.
Includes planning and arrangement documents, program brochures and announcements, registration and
attendance lists, reports, proceedings, summary evaluations, and related correspondence.
Retention Period:
(A) Where fees or payments are involved: Retain 3 years.
(a) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
A10 Special Projects
1 Program Research and Survey/Questionnaire Data
Consists of demographic, questionnaire, statistical, or other types of data in various formats gathered for
studies and reports related to agency programs.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
2 Program Special Projects, Studies, and Initiatives Records
Documents projects undertaken by the agency to meet or define specific requirements or goals. Includes
instructions and guidelines, arrangement documentation, working papers, project summaries, project
deliverables such as plans, reports, proposals, and related correspondence.
Retention Period:
(a) Summary records and substantive materials and correspondence: Permanent.
(b) All other records: Retain 3 years after completion unless part of a grant or contract, in that case retain
6 years after close.
A11 Correspondence
1 Administrative Convenience Correspondence
Duplicates of correspondence maintained for the convenience of governmental employees in carrying out
their duties. Records in this series are not the official file or record copy. Do not apply this series if records
fall under a more appropriate record series.
Note: Backup computer or microfilm files and other file copies kept for legal or security reasons are not
considered convenience copies. Neither are secondary copies of documents when maintained as part of
agency business files.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
2 General Administrative Correspondence
General correspondence associated with administrative practices but does not create policy or procedure.
Retention Period:
Retain 3 years.
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3 Policy Development Correspondence
Correspondence documenting policy development, decision-making, or substantive issues, procedures or
activities.
Retention Period:
Retain 5 years.
4 Transitory Messages
Includes messages created primarily to communicate information of short-term value. Examples:
messages reminding employees about scheduled meetings or appointments; telephone messages;
announcements of office events such as holiday parties or group lunches; and recipient copies of
announcements of agency-sponsored events such as exhibits, lectures, workshops, etc. Transitory
messages are not intended to formalize or perpetuate knowledge and do not set policy, establish
guidelines or procedures, certify a transaction, or become a receipt.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
A12 Public Bodies Subject to the Open Meeting Law
This section sets retention requirements for records created by public bodies subject to the open meeting
law. Such public bodies may also create records that are not reflected in this section, and should refer to
other sections of this Statewide Schedule for retention requirements regarding those other records.
1 Meeting Notices
Includes the final, publicly posted version of all notices for meetings of public bodies.
Retention Period:
Retain 1 year.
2 Meeting Agendas
Includes final documents provided to members of the public body listing the topics and order in which
topics will be considered.
Retention Period:
Retain 1 year.
3 Meeting Minutes
Includes the final version of the minutes of a meeting of a public body after approval by that public body.
Also includes drafts of the minutes if substantially different from the final version as approved by the
public body.
Retention Period:
Permanent.
4 Recordings of Meetings for Use in Drafting Minutes
Includes any audio or visual recording of a meeting by the public body or authorized by the public body.
This includes recordings by public bodies to use as an aide in drafting the final version of meeting
minutes. This does not include recordings made by persons attending the meeting who wish to record a
meeting for their own purposes.
Retention Period:
Retain until final minutes are approved or administrative use ceases, whichever occurs later.
5 Recordings of Meetings for Public Television Access
Includes any visual recording of a meeting for the purpose of airing on personal televisions or cable
television, whether created at the request of the public body or not, and if maintained by the public body.
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Retention Period:
Retain 6 months.
6 Documents, Exhibits, or Other Records Used by a Public Body
Includes all documents, exhibits, maps or notes or any other record reflected in the meeting minutes of a
public body as required by G. L. c. 30A, §22(a).
Retention Period:
(a) Retain 6 months by the public body and thereafter by the normal custodian of the record for the period
of retention either set in the Statewide Schedule or as otherwise required by law.
(b) Retain drafts 90 days, unless an Open Meeting Law complaint is filed against the public body, in
which case retain all drafts relevant to the complaint until the complaint is resolved.
7 Notice to Individuals
Includes notice given to individuals that a public body intends to convene in executive session as that
term is defined by G. L. c. 30A, §18, for the purpose of discussing the reputation, character, physical
condition or mental health of the individual pursuant to G. L. c. 30A, §21(a)(1).
Retention Period:
Retain 6 years.
8 Open Meeting Law Certifications
The Open Meeting Law Certification is a form provided by the Attorney General, which every member of a
public body must sign within two weeks of becoming eligible for their position on the public body.
Retention Period:
Retain 6 months from the final day of the member’s term of office.
9 Open Meeting Law Complaints
Includes complaints filed against the public body for an alleged violation of the Open Meeting Law and
any correspondence and supporting materials related to a complaint.
Retention Period:
Retain 3 years.
10 Correspondence
Includes e-mails pertaining to the business of a public body between members of the public body, and
between members of the public body and non-members of the public body.
Retention Period:
See record series “A11 Correspondence.”
11 Training Materials
Includes educational materials provided to members of public bodies pursuant to G. L. c. 30A, §19(b).
Retention Period:
Retain until superseded by new versions of educational materials.
12 Complaints (Other than Open Meeting Law Complaints)
Includes complaints against the public body other than complaints violations of G. L. c. 30A, §§18-25.
Retention Period:
Retain 6 months by the public body and thereafter by the normal custodian of the record for the period of
retention either set in the Statewide Schedule or as otherwise required by law.
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B Legal and Regulatory
B1 Legal Review
1 Legal Opinion Records
Documents the agency’s role in the process to develop, request, respond to, or present opinions on legal
matters directly relating to agency programs or functions. Includes legislative background materials, legal
counsel opinions, Attorney General requests and opinions, Supervisor of Public Records requests and
opinions, notes, and related correspondence.
Retention Period:
Permanent.
12 MGL 9.
2 Legal Review Records
Documents the internal review of the provisions of documents or other matters to assist with wording,
processes, and procedures where a formal legal memo or opinion was not required. Includes agency
requests for assistance, background support materials, and related correspondence.
Retention Period:
(a) When filed separately: Retain until administrative use ceases. Permission from RCB not required for
destruction.
(b) When filed with related subject file: Retain according to the appropriate record series for that set of
files.
See also Record Series “B1-1 Legal Opinion Records.”
3 Legal Announcements and Advertisements Records
Documents the official posting of any agency business to websites, newspapers, or official newsletters.
Retention Period:
(a) Contract related announcements: Retain 6 years after contract last payment or close.
(b) All other records: Retain 3 years.
See also record series “F7-6 Website Content Records.”
4 Legal Issues Records
Consists of reference and background materials collated from different sources on policies, issues, and
topics of a potential legal nature related to the agency’s programs and functions.
Retention Period:
(a) Summary and substantive support materials: Retain until administrative use ceases. Permission from
RCB not required for destruction.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
5 Delegation of Authority Records
Documents the delegations of statutory or other authority to agency staff members. Includes delegations,
delegation codes and descriptions, designation letters, memos, copies of legal or advisory opinions, and
related correspondence.
Retention Period:
Retain 3 years after inactive, revoked, or superseded unless a longer period is required by agency legal
counsel.
See also record series “D1-13 Signature Authorization Records.”
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6 Ethics and Conflict of Interest Records
Documents the monitoring of agency business that necessitates controls over potential problem areas
concerning ethical issues or conflict of interest. Includes employee statements of impartiality, financial
disclosure forms, disclosure memos, and notices of outside employment or business, notice of outside
legal or accounting practice, audit papers or notes, and related correspondence.
Retention Period:
(a) Employee records: Retain while employed.
(b) Issue files: Retain 6 years.
See also record series “B6-3 Attorney General Conflict of Interest Disclosures.”
7 Contract and Agreements Legal Files
Documents the legal development and acceptance of contracts and agreements and the monitoring of
legal compliance with the provisions, expectations, and reporting requirements. Includes legal support
materials, final authorized and executed contracts and agreements, report and compliance monitoring
documents, termination papers, and related correspondence.
Retention Period:
(a) Landmark or noteworthy contracts: Permanent.
(b) Contracts under seal: Retain 20 years.
(c) All other records: Retain 6 years after close of contract and after date of last payment.
Notes:
1. Do not use this record series for construction project contracts. See record series “C5-1 Construction
Project Management Records.”
2. See also record series “B6-1 Attorney General Contract Review Records.”
3. See also record series “C2-4 Construction Project Contract Legal Records.”
4. Records included in this series may be reviewed by the State Archives prior to destruction.
8 Land Management and Acquisition Records
Documents the appraisal and acquisition or selling of agency land and property. Includes planning
reports, appraisal reports, survey reports and plans, boundary descriptions and adjustments, title
searches, environmental site assessments, photographs, studies, and related correspondence.
Retention Period:
(a) Land records, such as deeds and titles of ownership, easements: Permanent.
(b) Properties not purchased records: Retain 6 years after final action.
(c) Professional appraisal services contracts and related contract records: Retain 6 years after contract
close.
(d) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
B2 Public Records
1 Public Records Request Records
Documents requests for access to records by members of the public, the press, or other persons or
entities as allowed for in Massachusetts General Laws Chapter 66 or other statutes. Includes requests,
related correspondence, rationales for redaction or withholding of information, response letters,
Supervisor of Public Records opinions, and substantive support materials.
Retention Period:
Retain 3 years after last activity.
4 MGL 7(26); 66 MGL 10.
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2 Public Records Appeal Case Files
Documents individual appeals to the Supervisor of Public Records to obtain access to state public
records where original request was denied. Includes requests, background information, official state
responses, and related correspondence.
Retention Period:
(a) Summary information regarding original request and final state opinions and response: Permanent.
(b) All other records: Retain 3 years after last activity.
4 MGL 7(26); 66 MGL 10; 66A MGL; 62C MGL 20-23.
3 Massachusetts Environmental Police-Public Records Requests
Documents requests for access to agency records by members of the public, the press or other agencies,
or employees, as allowed for in Massachusetts General Laws Chapter 66 or other statutes. Includes:
requests, Powers of Attorney, subpoenas, Court Orders, rationales for redaction or withholding
information, response letters, Supervisor of Public Records Opinions, Summary listing of information
provided and related correspondence.
Retention Period:
Retain 3 years after last activity.
4 Fair Information Practices Act (FIPA) Request Records
Documents requests for access to personal data by data subjects or other persons or entities as
permitted by Massachusetts General Laws Chapter 66A and agency regulations. Includes requests,
related correspondence, responses, and substantive support materials.
Retention Period:
Retain 3 years after last activity.
66A MGL 1-3.
5 Non-Party Subpoena Records
Subpoenas for records for matters in which the agency or office is not a party to the litigation. Includes
subpoenas, correspondence, responses, and other related materials.
Retention Period:
Retain 3 years after last activity.
Note: Does not include subpoenas for records for matters in which the agency or office is a party or thirdparty in the litigation. Such subpoena records are retained along with and according to the appropriate
litigation records series.
B3 Investigation and Monitoring
1 Investigation Case Files
Documents the state’s role relating to state, federal, municipal or other investigations into fraud, breaches
of contract, neglect, or other potential criminal activity, or other abuses of matters of the state for potential
prosecution. Includes background support materials, evidence, investigative reports, actions taken and
related correspondence.
Retention Period:
(a) Letters referring cases to the Attorney General’s Office: Permanent.
(b) Landmark or policy setting cases: Permanent.
(c) Non-jurisdictional or lack of probable cause records: Retain 3 years.
(d) All other records: Retain 6 years after final case closure or referral to Attorney General’s office unless
agency legal counsel requires a longer period.
Notes:
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1. Records are often retained longer than specified because the background information may be of use in
related cases or if further action involving the parties arises again.
2. See also record series “B3-2 Discrimination Investigation Case Files.”
2 Discrimination Investigation Case Files
Documents complaints and subsequent investigations into charges of discrimination by individuals in the
Commonwealth. Includes charges, interrogatories and responses, investigative notes, position
statements and rebuttals, complainant’s withdrawal or notice of deposition, public hearing documentation,
and final determinations and orders.
Retention Period:
(a) Landmark or policy setting cases: Permanent.
(b) Withdrawn, abandoned, or non-jurisdictional cases: Retain 3 years after closure.
(c) All other records: Retain 3 years after closure.
Note: Class action discrimination cases are handled by the Attorney General’s Office.
151B MGL 3.
3 Civil Investigation Records
Documents investigation of civil complaints. Includes complaints, research and attorney notes, and
related correspondence.
Retention Period:
Retain 6 years after case final action, unless a longer period is required by legal counsel.
See also record series “B6-10 Attorney General Litigation Files.”
4 Special Investigation Records
Documents investigations to respond to issues or concerns not met by normal investigatory work.
Includes scope of investigation charges, background support materials, investigators work product, final
reports, and related correspondence.
Retention Period:
Review by the Archives 6 years after case closure unless agency legal counsel requires a longer period.
5 Internal Investigation Records
Documents investigations into employee conduct or actions and any subsequent disciplinary actions
taken. Includes complaints, background notes and materials, investigation notes and materials, reports,
statements, formal discipline memoranda, and related correspondence.
Retention Period:
(a) Case referral correspondence to the Attorney General: Permanent.
(b) Noteworthy cases of historical interest: Permanent.
(c) All other materials: Retain 6 years after case closed unless agency legal counsel requires a longer
period.
151B MGL, 260 MGL 5B, 277 MGL 63.
B4 Regulatory and Compliance
1 Permits Records
Documents any permits or authorizing documents for maintaining a facility and its systems or for any
other special purpose. Includes inspection reports, permits, certifications, approvals and related
correspondence.
Retention Period:
(a) Where case files are kept by property, institution, building, or piece of equipment: Retain original filing
and a summary of subsequent filings for the life of the unit plus 3 years.
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(b) All other records: Retain 3 years from permit expiration or cancellation.
Note: Permits related to the environment, health, and public safety such as those involving land use,
hazardous materials, or weapons may require longer retention periods. Contact the Archives before
discarding any of these types of records.
2 Facilities Inspection, Monitoring, and Control Records
Documents inspections of facilities, sites, or equipment to determine if any violations of licensing rules
and regulations or other statutes have occurred. Includes site notes, reports, violation documentation,
responses, and related correspondence.
Retention Period:
Retain 3 years.
(a) Department of Mental Health (DMH) 6 years.
3 Facilities Licensing and Certification Records
Documents the process to license or certify facilities. Includes applications, inspection reports,
background support materials, variances, final approvals, and related correspondence.
Retention Period:
(a) Where summary lists of licenses and certificates are maintained: Permanent.
(b) Where case files are kept by institution or facility: Retain original filing and a summary of subsequent
filings for the life of the entity plus 3 years.
(c) All other records: Retain 3 years from license expiration or cancellation.
4 Licensure Complaints, Investigations, and Hearings Records
Documents complaints received and/or investigated relating to unregulated activities. Complaint types
include regulatory non-compliance, fraud and program abuse, administrative process, and citizen
requests for services. Includes intake documentation, complaint forms, interview notes, hearing
transcriptions, investigation reports, appeals, hearing proceedings, and related correspondence.
Retention Period:
(a) Abandoned, incomplete, non-jurisdictional, withdrawn, or dismissed complaints: Retain 3 years.
(b) Routinely resolved complaints: Retain 3 years.
(c) Landmark or policy setting cases: Retain entire file permanently.
(d) All other records: Retain 6 years after final resolution.
Note: Many agencies retain files as long as official licensing files are retained.
5 Professional Licensure and Certification Records
Documents the process to grant licenses or certifications to professionals. Includes applications, testing
documentation, background support materials, and related correspondence.
Retention Period:
(a) Applications granted by Board: Retain original filing or electronic copy for 40 years after date of
license award.
(b) Applications incomplete or withdrawn by applicant: Retain 3 years from last activity.
(c) Applications denied by the Board: Retain 3 years from last activity.
(d) Applications where Board granted partial credit: Retain 3 years from last activity.
(e) Applications for renewal: Retain original or electronic copy 6 years from cash date.
(f) General correspondence including continuing education audit and questionnaire responses retain
original or electronic copy one renewal cycle.
Note: The above retention period applies to all boards of registration under the supervision of the Division
of Professional Licensure with the exception of the Board of Registration of Professional Engineers and
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Land Surveyors, which may have different retention periods under Title 250 of the Code of
Massachusetts Regulations.
6 Complaints Against Agency Records
Documents complaints against agencies. Includes complaints, investigatory materials, and related
correspondence.
Retention Period:
(a) Complaints that lead to a change in official policy or procedures: Permanent.
(b) All other records: Retain 6 years.
See also record series “E5-1 Employee Complaint/Investigation/Disciplinary Records.”
B5 Litigation
1 Administrative Law Case Files
Documents the activities of the quasi-judicial agencies with authority to hear matters and appeals and to
hold hearings and make decisions. Includes appeals and requests, background support materials,
hearing notes, decisions and determinations, and related correspondence.
Retention Period:
(a) Case logs and summaries: Permanent.
(b) Landmark cases: Permanent.
(c) All other records: Retain 3 years after final case activity.
See also record series “M1-6 Workers Compensation Administrative Law Court Case Files.”
2 Administrative Law Appeals
Documents cases brought before Administrative Law Judges and bodies. Includes hearing notices,
complaints, appeals, transcripts, and related correspondence.
Retention Period:
(a) Summary dockets and logs, final findings and recommendations: Permanent.
(b) All other records: Retain 6 years after final case activity.
3 Litigation Case Files
Documents the agency’s role in the litigation of cases involving the agency or its business where a
complaint has been filed in court. Includes investigative materials, attorney work product, evidence,
motions and briefs, proceeding transcripts, decisions and determinations, court materials, and related
correspondence.
Retention Period:
(a) Letters referring cases to the Attorney General’s Office: Permanent.
(b) Landmark, policy setting, or newsworthy cases: Permanent.
(c) Summary case lists or dockets: Permanent.
(d) Cases involving children: Retain until child reaches age of 21 plus 6 years.
(e) Criminal Cases: Retain 35 years after final action.
(f) Civil Cases: Retain 20 years after final action.
(g) All other records: Retain 6 years after final case closure (including payment collection) or referral to
Attorney General’s office unless a longer period is required by agency legal counsel.
Notes:
1. Records are often retained longer than specified because the background information may be of use in
related cases or if further litigation involving the parties arises again.
2. See also record series “B6-10 Attorney General Litigation Files.”
3. See also record series “B6-11 District Attorney Case Files.”
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4. See also record series section “L5 Tax Collection.”
5. See also record series “C2-8 Construction Project Litigation Case Files.”
4 Litigation/Hearings Case Exhibits
Provides a record of exhibits presented as supporting documentation, evidence for litigation, hearings,
board docket cases, or other cases.
Retention Period:
(a) Exhibits that will not be a factor in appeals: Retain until case closes.
(b) All other materials: Retain as for case files.
5 Legal Briefs and Testimony Records
Documents individual staff or agency representative’s testimony before the courts, at hearings, or other
legal forum. Includes case background materials, formal written statements, and related correspondence.
Retention Period:
Retain until administrative use ceases if not included in litigation case file or legislation case files.
6 Tort Claim Records
Documents complaints that may result in accident or other claims made against the agency. Includes
incident/accident reports, investigation reports, photographs, depositions, settlement documentation, and
related correspondence.
Retention Period:
Retain 25 years after resolution.
B6 Attorney General
1 Attorney General Contract Review Records
Documents the Attorney General’s review and approval of legal services contracts. Includes contracts,
approval letters, substantive support materials, and related correspondence.
Retention Period:
Retain 3 years.
Notes:
The Comptroller’s Office and agencies maintain the official contract files.
2 Special Assistant Attorney General (SAAG) Records
Documents the appointment of private attorneys by the Attorney General to serve as Special Assistant
Attorneys General.
Retention Period:
Retain 20 years and then review by the Archives.
268A MGL 4.
3 Attorney General Conflict of Interest Disclosures
Documents disclosures by state employees as required by 268A MGL.
Retention Period:
Retain for term of employment.
4 Attorney General Opinion Records
Documents the Attorney General’s role in the process to develop, request, respond to, or present
opinions on legal matters directly relating to the office’s programs or functions. Includes request and
opinion, background and research materials, and related correspondence.
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Retention Period:
Permanent.
5 Attorney General Initiative Petition Review Records
Documents the Attorney General’s review of initiative petitions to be included on the ballot to see that
they apply to the constitution. Includes copies of petitions, press releases, comments, and letters of
certification.
Retention Period:
(a) Landmark or noteworthy opinions: Review by the Attorney General’s Office and the Archives after 6
years.
(b) All other records: Retain 6 years.
6 General Obligation Bond Records
Documents bond offerings of the Commonwealth. Includes all legal papers connected to the offerings of
General Obligation Bonds.
Retention Period:
(a) Attorney General summaries: Permanent.
(b) All other records: Retain 6 years after last activity.
7 Attorney General Inauguration Records
Documents completion of the election process and the taking of office. Includes memos, correspondence,
copies of speeches, daily schedule of events, guest lists, letters of congratulations from government
officials, citizens’ inaugural addresses, and other related materials.
Retention Period:
Permanent.
8 Open Meeting Law Investigation Records
Documents the monitoring of the state Open Meeting Law by the Attorney General. Includes complaints,
case file information, final outcomes and determinations, letter rulings, advisory opinions, and substantive
support materials.
Retention Period:
(a) Final determination letters, letter rulings, and advisory opinions: Permanent.
(b) All other records: Retain 3 years.
30A MGL 18-25.
9 Public Records Referrals from Supervisor of Public Records
Documents the referral of public records appeals received by the Attorney General from the Supervisor of
Public Records. Includes referral for enforcement letters, case file information, and final outcomes and
determinations, and substantive support materials.
Retention Period:
(a) Final determination letters: Permanent.
(b) All other records: Retain 3 years.
60 MGL 10.
10 Attorney General Litigation Files
Documents the preparation and litigation of cases on the behalf of the state by the office of the Attorney
General. Includes case-related materials, pleadings, legal research, correspondence, and other support
materials.
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Retention Period:
(a) Unprosecuted cases: Retain 6 years after final action.
(b) Landmark, policy setting, or otherwise noteworthy cases: Permanent.
(c) Criminal Cases: Retain 35 years after final action.
(d) Medicaid, Insurance, or Unemployment Fraud Cases: Retain 25 years after final action.
(e) Litigation involving fatalities: Retain 25 years after final action.
(f) Civil Cases: Retain 20 years after final action.
(g) Civil Citations, Division of Administrative Law Appeals (DALA) cases, personnel files, child labor,
waivers, bid protest hearings, safety, debarment: Retain 6 years after final action.
(h) Cases involving collections due to the Commonwealth: Retain until final settlement or the regular
retention period, whichever is longer.
Note: This record series includes Pre-Litigation cases.
11 District Attorney Case Files (formerly Schedule No. 45/89)
Documents District Attorney’s prosecution of adults, youthful offenders tried as adults, and juveniles for
District Courts or the State Supreme Court. Includes attorney work product, briefs and testimony,
documentary evidence, court decisions, appeals documentation, and related correspondence.
Retention Period:
(a) Landmark, policy setting, or otherwise noteworthy cases: Permanent.
(b) First Degree Murder: Retain 50 years after disposition or last entry.
(c) Second Degree Murder; Manslaughter; Negligent Homicide, and Sexual Offenders: Retain 25 years
after disposition.
(d) Superior Court Files: Retain 25 years after disposition.
(e) District Court Files: Retain 4 years.
(f) Jury of Six Files, Excluding Motor Vehicle Homicide: Retain 4 years after disposition.
(g) Disposed Non-Conviction Files: Retain 1 year after disposition.
(h) Youthful Offenders: Retain as for adults.
(i) All other juvenile cases: Retain 4 years after case closure.
(j) Investigatory Materials. Includes: Police records, Grand Jury records, forensic reports and agency files
not associated with categories (a)-(i): Retain 10 years after close of investigation.
12 Attorney General Civil and Criminal Investigations Records
Documents investigations of civil and criminal complaints. Includes complaints, investigative notes and
reports, substantive support materials, and related correspondence.
Retention Period:
6 years after final action.
Note: If investigation leads to civil or criminal litigation, these records should be integrated into the
litigation files and retained under the appropriate B6-10 records series.
13 Consumer Complaint Investigations Records
Documents complaints against businesses relating to business practices. Includes complaints,
investigative materials, and related correspondence.
Retention Period:
Retain 10 years.
14 Non-Profit Organizations/Public Charities Filings Records
Documents the activities of non-profits/public charities required to be registered with the Attorney
General’s Office. Includes annual financial reports (e.g. PC Forms, Federal Form 990s, audit materials);
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registration statements; dissolutions; mergers; probate files (e.g. trust instruments, annual accounts, wills,
probate court pleadings, filed actions); various other filings and submissions; and substantive support
materials, related correspondence.
Retention Period:
(a) Landmark, policy setting, or otherwise noteworthy cases: Permanent.
(b) All other records: Retain 10 years.
192 MGL 1A; 12 MGL 8G.
15 Non-Profit Organizations/Public Charities Investigation and Litigation Records
Documents the Attorney General’s Non-Profit/Public Charities Division monitoring of non-profits/public
charities and charitable trusts, and the enforcement of applicable laws. Includes investigative materials;
court pleadings and exhibits; motions and briefs; decisions and determinations; proceeding transcripts;
miscellaneous court records; and substantive support materials, related correspondence.
Retention Period:
(a) Landmark, policy setting, or otherwise noteworthy cases: Permanent.
(b) Litigation files: Retain 20 years after final action.
(c) Investigations files: Retain 6 years after final action.
12 MGL 8.
16 Insurance Rate Hearings Records
Documents the Attorney General’s role regarding insurance rate setting. Includes transcripts and records
of hearings, briefs, decisions, investigative materials, and related correspondence.
Retention Period:
Retain 20 years.
17 Contract Bid Award Investigation Records
Documents the monitoring of state contracts by the Attorney General’s Office. Includes bids, consultant
contracts, summaries, and related correspondence.
Retention Period:
Retain 20 years.
18 Attorney General Community Services Records
Documents the community-based programs at the Attorney General’s Office such as Victim
Compensation, Victim Witness Assistance, and Safe Neighborhood Initiative. Includes petitions,
investigative materials, contact and intake sheets, statistical reports, referral resource files, and related
correspondence.
Retention Period:
(a) Grant or program summary information: Permanent.
(b) Victim Compensation Files: Retain 25 years.
(c) All other records: Retain 3 years.
19 Fugitive Renditions Records
Documents demands for the return of fugitives to and from Massachusetts. Includes jurisdiction
documentation, fugitive crime activity information, and related correspondence.
Retention Period:
(a) Summary logs: Permanent.
(b) All other records: Retain 50 years.
276 MGL 11-20R.
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20 Usury Notices
Documents notices received by the Attorney General regarding intent by lenders of monies to engage in
transactions in excess of 20% interest. Includes identifying data, correspondence, and related
information.
Retention Period:
Retain 10 years.
271 MGL 49.
21 Notices/Reports Sent to the Attorney General
Documents copies of notices or reports sent to the Attorney General as required by statute. Includes
notices, reports, and other related information and correspondence. Includes: “OUI” notices consisting of
inquires made of defendants convicted of operating a motor vehicle under the influence of alcohol as to
the establishment at which last served; “Going Out Of Business Sale” notices consisting of the inventories
of goods on hand that have been filed with the cities/towns; notices consisting of complaints filed in and
judgments entered by the courts under sections 9 or 11 of chapter 93A (“Unfair Business Practices” ), and
letters sent indicating an intention to sue under those sections; and State Lottery Commission reports
consisting of total lottery revenues, prize disbursements, and other expenses.
Retention Period:
Notices/Reports: Retain 3 years.
All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Notes:
Copies of these notices or reports are also sent to various other state and municipal agencies and/or
entities.
90 MGL 24J; 93 MGL 28A-E; 93A MGL 10; 10 MGL 24.
22 National Association of Attorneys General (NAAG) Amicus Briefs and Sign-Ons
Documents the Attorney General’s decisions whether to sign onto NAAG sponsored briefs. Includes
support or opposition letters for legislative or other initiatives, final brief or resultant document, inter- and
intra-office memoranda, and related information and correspondence.
Retention Period:
(a) Final copies of amicus briefs: Retain until administrative use ceases. Permission from RCB not
required for destruction.
(b) All other records: Retain 3 years.
Note: Briefs from other sources are available through the relevant court or online.
23 By-Law and Charter Submissions
Documents requests for approval of by-laws adopted by the towns before the by-laws take effect and
requests by cities and towns for approval of charters or charter amendments. For each submission,
includes copies of proposed by-law or charter, report of charter commission where applicable, town
meeting vote where applicable, request for approval, and all related information and correspondence.
Where issued, includes copy of Attorney General approval letter.
Retention Period:
Approval/Decision letters: Permanent.
All other records: Retain 20 years.
Note: Along with a mint copy of each by-law, a copy of the Attorney General approval letter is required to
be retained permanently by the town (see Town Clerk Records Disposal Schedule).
40 MGL 32; 43B MGL 10.
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24 City Zoning Ordinances
Secondary copies of adopted or changed zoning ordinances that do not require Attorney General
approval.
Retention Period:
Retain 3 years.
Note: Primary copy is required to be retained permanently by the city (see Municipal Records
Management Manual) and is generally available online.
40A MGL 5.
25 Records Provided to Attorney General for Review
Records reviewed by the Attorney General that are provided by Federal or State agencies, or other
persons or entities, conditioned on a promise to return or destroy such records upon completion of
review, and that may be of importance to the Attorney General in the context of an investigation or
potential or actual litigation on behalf of the Commonwealth. Includes data, spreadsheets, memoranda,
correspondence, and other related paper and electronic records.
Retention Period:
(a) Records provided by other agencies, persons, or entities: Retain until administrative use ceases.
Permission from RCB not required for destruction.
(b) Results of Attorney General review and substantive support materials: Retain according to appropriate
records series by subject matter.
(c) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
26 Data Breach Records
Documents data breach notifications sent to the Attorney General as required by statute. Includes data
breach notifications directed to the Attorney General and copies of data breach notifications directed to
the Office of Consumer Affairs and Business Regulation, copies or samples of data breach notifications
directed to Massachusetts consumers, copies of Written Information Security Programs, implemented
pursuant to 201 CMR 17.03, and related correspondence. Also documents civil and criminal
investigations of data breaches pursuant to MGL c. 93H and MGL c. 93A, including complaints,
investigative notes and reports, civil investigative demands, substantive support materials, and related
correspondence.
Retention Period:
Retain 6 years.
93H MGL 3; 93I MGL 3; 93A MGL 6; 201 CMR 17.
B7 Cable Television Division
1 Division Appellate Decisions
Documents the findings and opinions rendered by the Division in administrative appeals regarding denials
of franchise license, renewals or transfers. The dockets for these decisions prior to June 1999 are
arranged numerically with an “A” preceding the number, thereafter they are designated by “CTV” the year
and case number.
Retention Period:
Permanent.
Note: Dockets are arranged numerically with an “A” or “CTV” preceding the number.
2 Appellate Dockets-Support Material
Documents the official record of an appellate proceeding including notice of hearing, pleadings, motions
memorandum, correspondence, transcript and exhibits. These records are generated by the parties to the
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proceeding, received and maintained by the Division in administrative appeals of denials of franchise
licenses, renewals and transfers.
Retention Period:
Permanent.
Note: Dockets are arranged numerically with an “A” or “CTV” preceding the number.
3 Rate Decisions
Documents the findings and opinions rendered by the Division in connection with rate regulation
proceedings. The dockets for cable operators arrange rate regulation decisions alphabetically: followed
by the year the rate proceeding is commenced, and type of filing. INC for basic service tier rates or ESQ
for equipment rates. (Y-99INC, Y99-EQU).
Retention Period:
Permanent.
Note: All parties involved receive copies.
4 Rate Regulation Proceedings-Support Material
Documents the official record of a rate regulation proceeding including: notice of hearing, state and
federal filing forms, pleadings, motions, memorandum, correspondence, transcripts and exhibits. Dockets
are arranged alphabetically by cable operator, followed by the year the proceeding is commenced, and
the type of filing. INC is for basic service tier rates, EQU for Equipment rates (Y-99INC, Y-99EQU).
Retention Period:
Permanent.
Note: Local Government receives a duplicate of the record.
5 Rulemaking Proceedings-Support Materials
Documents the official record of a rulemaking proceeding including: proposed rules, comments, and
notices of hearing, motions, memorandum, correspondence and exhibits. Dockets are arranged
numerically with an “R” preceding the number. Comments submitted by interested parties are collected
and maintained by the Division in connection with the rulemaking proceeding.
Retention Period:
Permanent.
6 Rulemaking Decisions
Documents the Findings and Opinions rendered by the Division in connection with rulemaking decisions.
Final rules are promulgated. Arranged numerically with an “R” preceding the number. Regulatory
decisions rendered by the Division in conjunction with adopting, amending or appealing regulations.
Retention Period:
Retain 30 years.
Note: Interested parties receive duplicate copies. Final rules published in the Massachusetts Register.
7 Form 500 Annual
Documents complaint filings, previously filed quarterly. As of January 1999, they are filed annually. This is
a report that allows Division and local communities to track the number and type of service complaints;
and specific service interruptions on an annual basis as required by 166A MGL 10.
Retention Period:
Retain 3 years after filing.
Note: Local communities and cable operators have an electronic copy.
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8 Form 500 Complaint Forms
(Form 500 A-Licensee Complaint Record Form, Form 500B-Quarterly Summary of Complaints, Form
500C-Significant Service Interruption Form). These items no longer apply; as of January 1999, forms are
filed annually. Report series that allows Division and local communities to track quarterly the number and
type of complaints the operator is receiving.
Retention Period:
Retain 3 years after filing.
Note: Local communities and cable operators maintain copies for 2 years. Division maintains an
electronic copy starting 5 years ago to the.
present.
9 Forms 200,300,400
Documents annual financial reports from each cable operator: filed by an individual cable system or
clusters of systems. Form 300 is a confidential files report series that allows Division and local
communities to track the financial status of each cable operator.
Retention Period:
Retain 3 years after filing.
Note: Local communities and cable operators retain copies.
10 Initial Franchise Agreements
These are contracts between Municipalities & Cable Operators, regarding cable service in that
municipality.
Retention Period:
Retain 16 years from date of execution.
Note: Local Community and cable operator maintain copies.
11 Renewal Franchise Agreements
A renewed contract between a cable operator and municipality regarding cable service in the municipality.
Retention Period:
Retain 10 years from date of execution.
Note: Local community and cable operator maintain copies.
12 Form 100
Applications for initial and renewal cable licenses filed by cable operators with municipalities and the
Division. This form allows the local community and the Division to evaluate an operator’s license
proposal.
Retention Period:
Term of license: 15 years for initial licenses and 10 years for renewal licenses.
Note: Local community and cable operator retain a copy.
13 Form 394
Documents the applications for the transfer of cable licenses filed by cable operators with municipalities
and the Division. These forms allow the local community and the Division to evaluate the operators’ ability
to assume the conditions of the current license.
Retention Period:
Term of license not to exceed 15 years for initial licenses and 10 years for renewal licenses.
Note: Cable operator and local community retain copies.
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14 Filling & Termination of Service Filing
Documents the cable operator’s annual filing, consisting of Rate Cards, Channel line-up, billing practices
notice, sample of s bill, and a sample of a work order. The purpose is to evaluate the cable operator’s
compliance with the Division’s billing and notice regulations. (207 CMR 10.00).
Retention Period:
Retain 3 years.
Note: Cable Operators and local communities retain copies.
15 Rate Cards and Channel Line-ups
Printed Rates and service offerings.
Retention Period:
Permanent.
Note: The local community government, local cable office, and the official rate docket all maintain copies.
B8 Agricultural Resources
1 Division of Animal Health Records
Documents all activities of the Massachusetts Department of Agricultural Resources. The Department is a
regulatory agency whose purpose is to ensure the quality of certain agricultural products and to prevent
disease through inspection and enforcement. The Divisions numbered forms included but not limited to
are: 3c; 9-3; 21; 25; 38; 61; 70; 107; 108; 109; 116; 136; 147; 148;1 49; 150; and 152.
The Division’s other forms are: Letter of Disinfection; Brucellosis Test Record; Nomination of Inspector of
Animals; Barn Book Tabulation Sheet,; Claim for Reimbursement-TB; and Health Charts from Out of
State (except small animal and Equine). The Division also uses the forms: Pet Shop Application for
License; EIA Test Reports; Fee Basis Reference Cards; Guard Dog Business License Stubs and
Application; Permit to Transport Swine into Massachusetts; and Rabies Positive Specimen Form.
The Division also uses the following forms: Notice of Exposure to Rabies; EVA Tests; Health Certificates
for Horses Entering the State; Ear Tag Report Form; Riding Inspector Renewal Applications and License
Stubs; Stable License Stubs and Renewal Applications. The Division also uses: Equine
Dealer/Transported Stubs and Applications; Store Egg (violation and non-violation); Summaries of Egg
Law Violations; PY-156 USDA Shell Egg Surveillance Reports; Pullorum and MS/MG/MM Testing
Reports; and General Correspondence.
Retention Period:
(a) Form 61, Form 70, Form 116, Form 148: Retain 5 years.
(b) Rabies Positive Specimen, Small Animal Health Certificates, Notice of Possible Exposure to Rabies,
VS 9-3 Forms, Barn Book Tabulation Sheet, and Form 38: Retain 3 years.
(c) Guard Dog Business License Stubs, Equine Dealer/Transporter License Stubs, PY-156: USDA Shell
Egg Surveillance Reports, Form 108, Form 137, Form 148, and Brucellosis Test Record: Retain 1 year.
(d) All other records: Retain 2 years.
B9 Weights and Measures
1 Division of Standards (Office of Consumer Affairs)
This Division documents and enforces laws relating to weights and measures, and the accuracy of
weighing and measuring devices. The division also regulates the retail sale of gasoline, and motor oil,
and enforces pricing on store scanners and registers. The Division also issues permits to manufactures
and distributors of antifreeze, and tests and approves coin-operated machinery, and licenses transient
hawkers and peddlers. The Division also grants licenses to auctioneers and motor vehicle damage repair
shops.
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Retention Period:
(a) Inspection Hawkers and Peddlers, Commodities Reweighing Records, Tank Truck Calibration,
Summary Record of Field Inspections, Field Inspections & Test, Field Fuel Delivery Inspections, Field
Merchant Equipment Records, Petroleum Delivery Inspection Record, Field Reports Summary of Trial
Weighing, Unit/Item Pricing/Price Verification Inspection: Retain 1 year.
(b) Records Sealing Adjustments, Meter Test Records: Retain 3 years.
(c) Taxi Inspections: Retain 5 years.
B10 Governor’s Council/Executive Council (formerly Schedule No. 23/88, 32/89,
72/88, 19/68)
1 Commutation Files, Granted
Includes petition, Advisory Board Report, Governor’s decision, letters of recommendation. These records
are not subject to audit.
Retention Period:
Retain 2 years after pardon is granted, then transfer to the Archives.
2 Commutation Files, Denied
Includes petition, Advisory Board Report, Governor’s decision, letters of recommendation. These records
are not subject to audit.
Retention Period:
Retain 6 years after date of denial, then transfer to the Archives.
3 Commutation File Index
Includes petition, Advisory Board Report, Governor’s decision, letters of recommendation. These records
are not subject to audit.
Retention Period:
Permanent.
4 Pardon
Includes petition, Advisory Board Report, Governor’s decision, letters of recommendation. These records
are not subject to audit.
Retention Period:
Permanent.
5 Veterans’ Appeal Case Files
Veterans’ Services Report, Governor’s Council decisions. These records are not subject to audit.
Retention Period:
Retain 6 years after resolution.
6 Rendition Files
Includes correspondence to and from Attorney General, District Attorney. Also includes memorandum,
returned warrants for individuals unable to be located or who have waived rendition proceedings. Original
copy of renditions retained by Secretary of the Commonwealth.
279 MGL s. 11-20R.
Retention Period:
Retain 20 years.
7 Rendition Index
Stored alphabetical by name.
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Retention Period:
Permanent.
8 Judge and Clerk Files
Includes nominating papers, resume, completed questionnaire form, letters of recommendation,
correspondence, notes of Councilors, roll call.
Retention Period:
Retain 10 years.
9 Notary Public and Justice of the Peace Applications
Includes notary public original applications, notary public reappointment applications, justice of the peace
original applications, and justice of the peace reappointment applications.
Retention Period:
Retain 6 months.
B11 Office of Campaign and Political Finance
1 Candidate Public Financing Request Records
Documents candidates’ requests for limited public financing. Includes request, statement of qualifying
contributions and qualifying contributions list and summary.
Retention Period:
Retain 6 years.
Note: Most information duplicated in candidates financial filings.
55C MGL 1-12.
2 Non-Statewide Office Candidate Finance Disclosure Records
Documents contributions and expenditures to persons running for non-statewide office. Includes related
correspondence.
Retention Period:
Permanent.
55 MGL 18.
3 Statewide Office Candidate Financial Filings
Documents filings of candidates for statewide offices designating a bank or trust company in which they
will be depositing campaign funds, and campaign finance reports. Includes certificate of appointment of
depository, campaign finance reports ad reports of general and fundraising contributions, and related
correspondence.
Retention Period:
Permanent.
55 MGL 18.
4 Referendum Committee Financial Filings
Documents filings of committees organized to promote the success or defeat of a question placed before
the people on a state.
ballot.
Retention Period:
Permanent.
55 MGL 18.
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5 Political Committee Statements of Organization Filings
Documents filings of all political committees of statements of organization pursuant to 55 MGL 5. Includes
statements, amendments, and related correspondence.
Retention Period:
Permanent.
55 MGL 5.
6 Contributor Ballot Question Expenditure Filings
Documents filings of corporations, associations, and (as of January 1, 2010) individuals that contribute
funds to influence the vote on questions submitted to the people. Includes report of disbursements and
outstanding liabilities.
Retention Period:
Retain 6 years.
Note: Information duplicated in referendum committee filings, unless independent expenditure.
55 MGL 22.
7 Ward and Town Political Party Committee Financial Filings
Documents filings of ward and town political parties of their finances.
Retention Period:
Retain 4 years.
Note: Documents filed with Director of Campaign Finance, Secretary of State, State parties, and town
clerks.
55 MGL 18.
8 Political Action Committee (PAC) Financial Filings
Documents filings of Political Action Committees of their financial status. Includes campaign finance
reports and related correspondence.
Retention Period:
Retain 4 years.
55 MGL 18.
9 PAC Cross Check
Documents review of PAC checks to determine to what candidates PAC has contributed. Includes copies
of cancelled checks and related correspondence.
Retention Period:
Retain 10 years.
10 Inspection Requests
Documents requests made for inspection of candidate and committee finance records.
Retention Period:
Retain 2 years.
11 Audit Work Papers/Correspondence
Documents audits of campaign finance records. Includes audit letters, account information, work papers,
and related correspondence.
Retention Period:
Retain 6 years after audit.
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12 Campaign Finance Monitoring and Investigation Records
Documents investigations and review of campaign financing, disclosure of expenditures and
contributions, or other campaign finance matters that may be subject to abuse. Includes audit materials,
interview notes, hearings and disposition agreements, and related correspondence.
Retention Period:
Retain 20 years.
55 MGL 3, 55C.
13 Non-Filer Referrals to Attorney General
Documents the referral to the Attorney General of candidates or committees who/which fail to file a report
as required by law. Includes spreadsheets, lists, and all correspondence between agency, non-filer,
and/or Office of the Attorney General.
Retention Period:
Retain 10 years.
55 MGL 3.
14 Late Fines/Collections
Documents include receipts, correspondence, copies of reports, and miscellaneous materials regarding
late fines, collection, and waiver requests.
Retention Period:
Retain 10 years.
55 MGL 3.
15 Landmark/Policy Setting Investigation Case Files
Documents the Office of Campaign Finance’s role relating to Landmark or Policy Setting investigations
into possible violations of the campaign finance laws. Includes background support materials, evidence,
investigative reports, actions taken, and related correspondence.
Retention Period:
Permanent.
55 MGL 3.
16 Rules and Regulations Records
Documents the development, review, and administration of the Office of Campaign Finance’s rules and
regulations as required by statute. Includes background support materials, drafts, public hearing
documentation, and final CMR submissions to the Secretary of State's office for official filing.
Retention Period:
(a) Final accepted rules and regulations and substantive support materials: Permanent.
(b) All other records: Retain 3 years.
111 MGL 31.
17 Legislation Records
Documents the Office of Campaign Finance’s role in the development, review, and administration of
program legislation and subsequent policy development. Includes research and investigative materials,
intergovernmental memoranda, legal research and attorney notes, drafts, and related correspondence.
Retention Period:
(a) Summary and substantive support materials: Permanent.
(b) All other records: Retain until administrative use ceases.
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18 Legal Opinion Records
Documents the Office of Campaign Finance’s role in the process to develop, request, respond to, or
present opinions on legal matters directly relating to agency programs or functions. Includes legislative
background materials, legal counsel opinions, notes, and related correspondence.
Retention Period:
Permanent.
19 Legal Issues Records
Consists of reference and background materials collated from different sources on policies, issues, and
topics of a potential legal nature related to the Office of Campaign Finance’s programs and functions.
Retention Period:
Retain until administrative use ceases.
20 Correspondence of the Director
Documents correspondence made or received by the Director of the Office of Campaign Finance relating
to administrative, decision-making, or policy matters.
Retention Period:
Retain 10 years.
21 Public Records and Fair Information Practices Act (FIPA) Requests
Documents requests for access to Office of Campaign Finance records by members of the public, the
press, or other persons or entities as allowed for in Massachusetts General Laws Chapter 66, 66A, or
other statutes. Includes requests, related correspondence, rationales for redaction or withholding of
information, response letters, Supervisor of Public Records opinions, summary listing of information
provided, and substantive support materials.
Retention Period:
Retain 3 years after last activity.
4 MGL 7(26); 66 MGL 10; 66A MGL.
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C Facilities, Transportation, and Construction
C1 Facilities Management
1 Facilities Management Records
Documents the daily routine administration of facilities, buildings, and grounds. Includes key control
documents, security monitoring records, hours of operation, parking assignments, visitor logs, water
testing, fire control, incident reports, shift supervisors logs, facilities scheduling, special event
preparations, regulatory reporting such as fire marshal reports, and related correspondence.
Retention Period:
(a) Department of Mental Health (DMH): Retain 6 years.
(b) All other agencies: Retain 3 years.
2 State Office Space Planning Records
Documents the coordination and planning between state offices and Division of Capital Asset
Management (DCAM) to evaluate and respond to project proposals. Includes planning documents for
state buildings, state-owned buildings occupancy reports, reconfiguration project files, and related
correspondence.
Retention Period:
Retain 3 years.
3 Facilities Disability Access Records
Documents an agency’s ongoing efforts to make its buildings and grounds accessible to, functional for,
and safe for use by persons with disabilities in compliance with the Massachusetts Architectural Access
Board (MAAD), the Americans with Disabilities Act (ADA), and other agencies’ requirements where
applicable. Records include analyses, studies, plans, reports, appeals and variances, policy
documentation, legal opinions, and agency correspondence.
Retention Period:
Retain 3 years after the completion of improvement of the building, facility, or area.
260 MGL 5B; P. L. 101-336.
4 Equipment Case Files
Documents the history of individual pieces of equipment purchased and/or maintained by the agency.
Includes secondary copies of invoices, requisitions and purchase orders, packing slips, vendor
information, instructions and manuals, warranties and guaranties, rental agreements, maintenance
agreements, maintenance and repair documentation, and final disposition records.
Retention Period:
Retain 6 years after final disposition of equipment.
5 Property, Vehicles, and Equipment Management Records
Documents the management, repair, and use of state owned equipment, vehicles, and other property.
Includes equipment inventory forms, vehicle usage and driver logs, maintenance reports, state motor
vehicle accident reports, and related correspondence.
Retention Period:
Retain 3 years.
6 Buildings and Facilities Informational Data
Consists of data about buildings and facilities maintained as a reference in site folders, listings, or other
formats.
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Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
7 Inventory Records
Documents the tracking of supplies and stores. Includes inventory work sheets and forms, and listings,
and related correspondence.
Retention Period:
Retain 3 years after superseded.
8 Facilities Hazardous Materials Monitoring Records
Documents each potentially dangerous chemical or other substance in use at a facility detailing its
hazards, symptoms, and other data regarding exposure, use, and storage risks. Includes Material Safety
Data Sheets (MSDS), inventory sheets, reports, and related correspondence.
Retention Period:
(a) Primary copy or unique records not held elsewhere: Retain 30 years.
(b) Secondary copies: Retain 3 years.
111 MGL 11, 14; 29 CFR 1910.1200.
9 Facility Safety Records
Documents the planning and review of safety in the workplace. Includes safety incident analysis,
background support, safety committee minutes and notes, and related correspondence.
Retention Period:
(a) Records supporting changes to policy: Permanent.
(b) All other records: Retain 3 years.
10 Facilities Fire, Safety, and Environmental Monitoring Records
Documents facility and institutional fire, safety, and environmental monitoring and reporting. Includes fire
and emergency drill reports, fire systems inspection reports, environmental cleanliness reports,
underground tank inspections, and related reports and correspondence.
Retention Period:
Retain 3 years.
11 Lease and Rental Administration Records
Documents activities related to lease, rental, or tenant or vendor agreements, certifications of insurance,
and contracts daily administration. Includes contracts, leases, and agreements, working papers, facility
layouts and plans, tenant/lessee payment histories, vendor certifications, and related correspondence.
Retention Period:
Retain 6 years after contract final payment or close.
C2 Construction Legal
1 Contractor State Qualification Certification Records
Documents DCAM’s evaluation, qualification, and certification of contractors applying to bid for specific
public building projects over $25,000. Includes Applications for Certification, historical and financial data,
references, contractor qualification statements, and related correspondence.
Retention Period:
Retain 3 years after bid process has closed.
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2 Contractor Debarment Actions Records
Documents legal actions taken against contractors by DCAM for failure to adhere to licensing provisions
and other regulations in order to place Contractor under suspension from public contracting. Includes
complaints, investigatory documentation, Division of Administrative Law Appeals (DALA) hearings, and
related correspondence.
Retention Period:
Retain 20 years from debarment.
3 Construction Project Designer Contract Records
Documents the process to determine contract awards for architectural or artistic designs of state
buildings, grounds, projects, or art. Includes bid guidelines, illustrations, plans, proposals, and related
correspondence.
Retention Period:
(a) Substantive artwork, designs, photos, and accompanying reports, plans, or narratives: Retain until
administrative use ceases. Permission from RCB not required for destruction.
(b) All other records: Retain 3 years after close of bid or award process.
4 Construction Project Contract Legal Records
Documents the core of legal documents of individual construction contracts. Includes signed contracts,
amendments, compliance with reporting requirements, and related correspondence.
Retention Period:
(a) Landmark or policy-setting contracts: Permanent.
(b) Sealed portions of contracts: Retain 20 years.
(c) Central Artery/Tunnel records: Retain 10 years after final project acceptance.
(d) All other records: Retain 6 years after project final acceptance.
Note: Records included in this series may be reviewed by the State Archives prior to destruction.
5 Construction Project Professional Services Contract Records
Documents the hiring of professionals for design or other pre-construction work.
Retention Period:
Retain 6 years after expiration or final payment.
6 Construction Claims and Disputes Records
Documents disputes between the state and contractors over change orders, contract compliance,
contractor certification, claims, and related correspondence. Includes requests for hearings, change order
files, submissions, and related correspondence.
Retention Period:
(a) DCAM record heard by Division of Administrative Law Appeals (DALA) over change orders: Retain 15
years after final action.
(b) DCAM record for minority and women: Retain 15 years after final action.
(c) All other records: Retain 6 years after final acceptance.
Notes:
1. Refer to appropriate statute and/or regulation.
2. See also record series “B6-17 Contract Bid Award Investigation Records.”
7 Construction Regulations Compliance Records
Documents the monitoring of construction projects for compliance with contract provisions, wage rates,
requirements for minority and women-owned enterprise participation. Includes investigation notes and
reports, workforce reports, wage rates, and related correspondence.
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Retention Period:
Retain 6 years after final acceptance.
8 Construction Project Litigation Case Files
Documents the litigation of cases involving state construction projects. Includes complaints, answers,
pleadings, memorandum of law, affidavits, exhibits, and other materials and correspondence.
Retention Period:
(a) Landmark or noteworthy cases: Retain until administrative use ceases. Permission from RCB not
required for destruction.
(b) All other records: Retain 15 years after final action or activity.
9 Property Settlements and Judgments Payment Records
Documents payment of monies owed due to settlements or judgments. Includes payment support
documents and related correspondence.
Retention Period:
Retain 20 years.
10 Minority/Women/Disadvantaged Business Certification Records
Documents the application and subsequent certification activity of a minority, woman/and/or a
disadvantaged-owned business relating to bidding for state and federally funded projects. Includes
applications, supporting documentation, personal taxes and financial information, field notes and
certification specialist reports, initial determinations, hearing notes, final determinations, decertifications,
withdrawals, and related SOMWBA/business correspondence.
Retention Period:
(a) Certification logs and summaries: Permanent.
(b) Denied or decertified businesses: Retain 6 years.
(c) Certification documentation: Retain 6 years after inactive.
7 MGL 40N; 23A MGL 39-45; Executive Order 237 superseded by Executive Order 390; 425 CMR 2.01;
49 CFR 1-99; 13 CFR 121.
Note: State Office of Minority and Women Business Assistance (SOMWBA) is a state regulatory
certification agency and a certification agent for the Massachusetts Highway Department (MHD), the
Massachusetts Bay Transportation Authority (MBTA), the Massachusetts Port Authority (MWRA), the
Massachusetts Turnpike Authority/Central Artery/Tunnel (MTA/CA/T), and the Massachusetts
Aeronautics Commission (MAC).
C3 Construction Planning
1 Master Plan for Development Records
Overall plan for development of state property to be disposed of; amendments to plan, approvals by
citizens’ advisory committee, reuse committee or other local entity as required by applicable laws.
Retention Period:
(a) Final adopted plan: Permanent.
(b) All other records: Retain 10 years after last action.
2 Capital Projects Planning Records
Documents efforts to determine agency capital facility needs to assist in making budget requests, and
overall planning needs.
Retention Period:
(a) Summary reports and substantive correspondence: Permanent.
(b) All other records: Retain 10 years.
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3 Construction Study Library Files
Documents final plans and studies relating to construction projects. Includes certified studies, traffic
plans, environmental and engineering plans, testing reports, consultant reports, feasibility studies, and
related correspondence.
Retention Period:
Review by the Archives 15 years after project is completed.
4 Capital Budget Request Records
Documents DCAM review of state agency annual requests for capital outlay appropriations. Includes
requests for funds, request support materials, long range plans, and related correspondence.
Retention Period:
(a) Substantive planning correspondence and minutes not found elsewhere: Permanent.
(b) All other records: Retain 10 years.
Note: Capital Budget Requests ultimately are published as part of the Governor’s Annual Budget
Recommendations and ‘House 1’ as required by 579 MGL.
C4 Pre-Construction
1 Construction Project Designer Selection Records
Documents the process to select designers for construction projects. Includes advertisement, scope of
work, applications, and Designer Selection Board finalists’ letters, Commissioner’s initialed selection, and
final evaluation of designer.
Retention Period:
Retain 6 years from final acceptance (E-2) of project.
2 Construction Project Bid Records
Documents the process to bid on state construction projects. Includes contractor qualification applications
for certification, securities for bids bonds, bid proposals, bid advertisements, bid reviews and awards, and
related correspondence. May also include emergency waivers of the bid process to allow emergency
repairs of state property and public works.
Retention Period:
(a) Contractors qualification documents: Retain 3 years from expiration.
(b) Bid bonds: Return to bidders after general bid or destroy if unreturnable.
(c) Bid drawings and specification security deposits: Retain until drawings returned.
(d) Non-awarded bids: Retain 3 years after end of bid process.
(e) Bid process advertisements and procedures documentation: Retain 6 years after final acceptance of
project or 10 years after final acceptance for Central Artery/Tunnel records.
(f) Awarded bids and advertisements: Retain 6 years after final acceptance of project or 10 years after
final acceptance for Central Artery/Tunnel records, or 15 years after final acceptance for DCAM records.
801 CMR 25.00; 800 CMR 2.14.
3 Construction Emergency Bid Waiver Records
Documents waiver of bidding procedures for emergency repairs of state property, public buildings or
public works.
Retention Period:
Retain 6 years after decision.
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C5 Construction Management
1 Construction Project Management Records
Documents all phases of the administration of construction projects involving improvements to land,
buildings and facilities, and waterways. Includes project manager’s project files such as contracts, plans
and specifications, work orders, subcontractor documentation, daily journal and schedule, and related
correspondence.
Retention Period:
(a) Archaeological materials and records, and historical designation documentation: Permanent.
(b) Final as-built plans, project summaries, and specifications books and reports: Permanent.
(c) Survey reports and surveyors’ field books: Permanent.
(d) Land disposition vital records including land disposition agreements, title certifications, deeds, or
easements acquired: Permanent.
(e) Construction photographs: Review by the Archives 6 years after final project acceptance or
abandonment.
(f) Landmark projects: Review by the Archives of all materials 6 years after final project acceptance or
abandonment.
(g) Central Artery/Tunnel Project Records: Retain 10 years after project close and subject to review by the
Archives.
(h) Scheduling and progress summary documentation including Gantt and PERT charts: Review by the
Archives 6 years after final project acceptance or abandonment.
(i) Status and other narrative reports including feasibility and consultants reports: Review by the Archives
6 years after final project acceptance or abandonment.
(j) Public relations records: Review by the Archives 6 years after final project acceptance or
abandonment.
(k) All other records: Retain 6 years after final project acceptance or abandonment.
(l) Materials testing samples such as concrete borings, grout samples, x-rays: Retain representative
sample for projects involving dams, tunnels, and bridges for the life of the structure; otherwise discard
after project acceptance.
(m) Environmental monitoring and reporting records: Review by the Archives 6 years after final
acceptance to identify unique documentation not held as permanent elsewhere.
See also record series “C5-7 Geologic Samples and Records.”
579 MGL; 149 MGL; 30 MGL; 39M MGL.
2 Construction Project Planning and Engineering Records
Documents state engineers’ role in the execution of construction projects. Includes plans, plan reviews,
issues documentation, reports, and related correspondence.
Retention Period:
Review by the Archives 6 years after final acceptance.
3 Construction Project Cost Oversight Records
Documents reports required of state facilities spending funds transferred to them by DCAM in order to
monitor project costs. Includes user agency request letters, Commissioner’s letter of transfer, Master
Oversight reports at commencement and completion, and quarterly updates.
Retention Period:
Retain 3 years.
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4 Construction Project Cost Accounting Records
Documents the fiscal account tracking and reconciliation of all phases of individual construction projects.
Includes proposals, payment documents, monthly expense reports, control sheets, detailed ledger
listings, financial status reports, owner controlled insurance program, and related correspondence.
Retention Period:
(a) Central Artery/Tunnel records: Retain 10 years after final project acceptance.
(b) Owner controlled insurance program 6 years after final project acceptance.
(c) All other records: Retain 6 years after final project acceptance.
5 Facility Memorials and Dedications Records
Documents records created as a result of naming a facility after an individual.
Retention Period:
Permanent.
6 Building Plans and Specifications Records
Documents facility or building plans and diagrams of structure or internal systems. Includes plans,
diagrams, schematics, specifications, and related correspondence. Provides a record of construction
plans and drawings of state facilities and building for the use of facilities staff in daily monitoring,
maintenance and upkeep.
Retention Period:
As-built drawing set or best available copies of plans, drawings and specifications: Permanent (where not
held as permanent elsewhere).
(b) Shop Drawings: Retain 6 years after project completion.
(c) Facilities management set: Retain for the life of the facility or building.
(d) As-bid plans and specifications: Retain one set 6 years after project completion.
(e) Duplicate convenience sets: Retain until administrative use ceases. Permission from RCB not required
for destruction.
(f) All other records: Retain for the life of the facility or building.
7 Geologic Samples and Records
Provides a record of the field investigation data used to determine the engineering characteristics and
suitability of the soil and bedrock for proposed construction, to identify mineral and water resources, to
determine subsurface environmental conditions, or for scientific and educational purposes. Materials
include cylindrical rock cores, rock specimens, cuttings, and thin sections; disturbed and undisturbed soil
borings and samples obtained from sub subsurface borings and soils. Records include drill logs,
instrumentation installation records, chemical and physical test results and analysis reports, field notes,
photographs, maps, and other related documentation.
Retention Period:
(a) Rock cores, rock specimens, cuttings and thin sections: Permanent.
(b) Soil samples: Review by engineers, the state geologist and the Archives to determine if representative
samples or all samples should be maintained permanently. Otherwise, retain until final project
acceptance.
(c) Geologic tests, reports, photographs, maps and drill logs: Permanent.
C6 Property Management
1 Highway and Bridge Maintenance Records
Documents the ongoing maintenance and monitoring of highways and bridges. Includes automobile
accident reports, damage to property, traffic signal reports, periodic maintenance inspection, dispatcher
reports, incident reports, scheduled maintenance, winter storm response reports, salt use reports, toll
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equipment, signage upkeep, drawbridge inspections, bridge maintenance and monitoring reports, and
related correspondence.
Retention Period:
(a) Contract related records: Retain 6 years after final completion of work.
(b) All other records: Retain 3 years.
(c) Background resource file on property, legal and activity history: Retain until administrative use ceases.
Permission from RCB not required for destruction.
C7 Real Estate and Land Use
1 State Property Management Monitoring Records
Documents the monitoring of management companies for the management of certain state office
buildings and in performance of DCAM responsibilities. Includes management contract, annual operating
budget, building services sub-contracts, use and occupancy agreements, subleases, and related
correspondence.
Retention Period:
Retain 6 years after expiration of the contract.
2 Housing Tenants Records
Documents the process to rent or lease housing to qualified applicants. Includes applications, needs
assessments, determinations, and leasing files.
Retention Period:
(a) Denied applicant records: Retain 3 years.
(b) All other records: Retain 6 years after final action.
24 CFR 982.158.
3 State Leasing Reports
Documents reports listing new lease and transaction information and required by 7 MGL.
Retention Period:
(a) Official copy: Permanent.
(b) All other copies: Retain 5 years.
4 State Property Inventory Reports
Documents every parcel of state-owned land in every city and town in the Commonwealth as prepared
annually for the Legislature.
Retention Period:
Permanent.
5 Authorities Real Estate Planning and Development Records
Documents ongoing planning and development of land and properties owned, leased, or managed by
MASSPORT, the MBTA, Highways or Turnpike Authorities. Includes, plans, development reports,
background support materials, project files on specific properties such as the Boston Fish Pier or the
World Trade Center, and related correspondence.
Retention Period:
Retain 6 years after final activity.
6 Real Estate Disposition Proposal Records
Documents proposals to sell or acquire property as mandated in 7 MGL 40H.
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Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
7 Real Estate Disposition Disclosure Records
Documents required disclosures of parties involved in the leasing or acquisition of state land as mandated
by 7 MGL 40J.
Retention Period:
Permanent.
8 Fixed Asset Recording Records
Documents the official acquisition, betterment, or disposal of fixed assets.
Retention Period:
Permanent.
9 Real Estate Disposition Records
Documents real estate disposition projects undertaken when mandated by legislation in compliance with
7 MGL 40 F 1/2. Includes background data, compliance data, project and property management data,
polling documents, Citizens Advisory Committee documents, development guidelines, appraisals,
photographs, master plan data, land disposition agreements, deeds, easements, and related
correspondence.
Retention Period:
(a) Land records: Permanent.
(b) All other records: Retain 10 years after close of final agreement.
10 Real Property Vital Records
Documents important land documents such as deeds, land disposition agreements, easements, title
certifications, and similar documents relating to land acquired by the Commonwealth or to the disposition
of state land with the grantee having continuing obligations.
Retention Period:
Permanent.
Note: Deeds and easements are recorded at applicable Registries of Deeds.
11 State Property for Sale Inquiries Records
Documents routine inquiries into the availability of state land for sale initiated outside the process in 7
MGL.
Retention Period:
Retain 3 years.
12 State Agency Lease Proposal Records
Documents agencies proposals for leases as reviewed by DCAM.
Retention Period:
Retain 3 years.
13 State Agency Lease Procurement Records
Documents leases procured on the behalf of user agencies. Includes lease and all amendments,
beneficial interest disclosure statements, certificates of tax compliance, estoppels, subordination
agreements, change of ownerships, and related correspondence.
Retention Period:
Retain 6 years after expiration of lease.
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14 State Property Access License Records
Documents licenses issued in order to provide access to state property for a limited time period.
Retention Period:
Retain 10 years after expiration of license.
Note: Licenses are not a disposition of property interest, therefore there is no 7 MGL process
requirement.
15 Land Title Examiner Reference Records
Documents indexes and lists created as a convenience for title examiners and the public. Includes
grantor/grantee indexes, lien indexes, bankruptcy lists, and other sources.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
16 Land Registration Records
Documents the recording and registering of documents with the Registry of Deeds relating to land
ownership. Includes deeds, mortgages, subdivision rules and regulations, executions, depositions, and
plans relating to registered land.
Retention Period:
Permanent.
36 MGL 1; 36 MGL 15; 16 MGL 15.
17 Land Survey Records
Documents land surveys undertaken by the state.
Retention Period:
Permanent.
C8 Transportation Management
1 Certificate Files (A&B) Truck or Bus
Documents the certification of commercial vehicles not limited to specific values, towers etc. Materials
must be held beyond the life of the company, per MGL c. 159 A&B. These files include core documents:
Original Applications, Certificate Transfer Certification, Amendments, Approval of Sale, and
Memorandum. Included is Correspondence regarding Sales or Transfers and Transcripts of Hearings.
Retention Period:
Retain 3 years after revocation, denial, cancellation or superseded.
2 Interstate License Certification Files
Certification records carries use by carriers engaging in interstate trade. These include Licensing Form,
United States Department of Transportation Authority statement, and renewal forms and permits.
Retention Period:
Retain 3 years after cancellation or superseded.
Note: United States Department of Transportation hold originals agency has copies only.
3 Vehicle Identification Devices and Applications for Drivers
These records include: vehicle information, driver information and physical medical forms. They also
include: Applications for Plate Decals, Stamps etc., and licensure identification items by commercial
vehicle owners or operators.
Retention Period:
Retain 3 years after receipt expiration.
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4 Complaint/Investigation/Hearing Records (A)
The records address consumer complaints, or investigating potential violations of commercial motor
vehicle companies or carriers. These documents include stenographic and typed transcript of hearing and
supporting correspondence and reports.
Retention Period:
Retain 2 years after closing if no litigation pending.
Note: Complaint number arranges all records chronological.
C9 Department of Housing Community Development
1 Local Housing Authorities
This office oversees and regulates the day-to-day operations of more than 243 local housing authorities
to assure that they use sound management practices, follow the General Laws of the Commonwealth,
and enforce compliance with the regulations of the department. These regulations cover a variety of
areas including: tenant selection, admission and eligibility criteria, and affirmative action. The office also
provides funds to housing authorities to build or buy structures for public housing.
(a) Cooperation Agreements.
(b) Final Development Cost Records including forms PHA-2152, PHA-2399.
(c) The General Depositary Agreement.
(d) Minutes of Meetings of Local Authorities.
(e) Property Ledger.
Retention Period:
Permanent.
2 Local Housing Authorities
(a) Analytical Tenant Ledger Control.
(b) Cash Receipts.
(c) Daily Statement of Operations.
(d) Miscellaneous Charge and Credit Tickets.
(e) Financial and Operating Reports derived from Project General Ledger.
(f) Balance Sheets.
(g) Analysis of Surplus from Operations.
(h) Statement of Land.
(i) Statement of Operating Receipts and Expenditures.
(j) Statement of Income and Expenses.
(k) Statement of Initial Operating Deficit.
(l) Computation of Payments in Lieu of Taxes.
(m) Annual statement of accruing annual contributions.
(n) Analysis of Fiscal Agent Funds.
(o) Analysis of debt service funds.
(p) Purchase Orders and Procurement copies.
(q) Reimbursable Rent Charge.
(r) Request for Refund of Security Deposit.
(s) Unearned Rent.
(t) Tenants Accounts Receivable.
(u) Rent Roll control and analysis of dwelling rent charges.
(v) Expense Analysis Register.
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(w) Income Analysis Register.
(x) Initial Operating Register.
(y) Inventory Supplies.
(z) Investment Register.
(aa) Labor Cost Distribution.
(bb) Management Reports.
(cc) PHA-2209,1227;1235;1245.
(cc) Materials and Supplies Stock Controls.
(ee) Petty Cash Vouchers.
(ff) Requisitions for Supplies and Materials.
(gg) Trial Balance.
Retention Period:
Retain 1 year after audit.
3 Local Housing Authorities
(a) Withdrawn and Ineligible Applications from Families of Servicemen and Displaced Families.
(b) Operating Budgets.
(c) Certified Reports of Audits.
Retention Period:
Retain 3 years.
4 Local Housing Authorities
Bank Statements.
(a) Reconciliations.
(b) Cancelled Checks.
(c) Cash Disbursement Register.
(d) Cash Receipts Register.
(e) Combined Cash Journal.
(f) Contract Register (from date of last audit).
(g) Journal Vouchers and supporting documents.
(h) Payrolls.
(i) Project General Ledger.
(j) Travel Expense Records.
(k) Voucher Check Copies with supporting documentation.
(l) Revolving fund.
(m) Tenant Accounts Receivable ledger sheets.
(n) Tenant Rental Register.
Retention Period:
Retain 7 years.
5 Local Housing Authorities (Miscellaneous)
(a) Adjustment Slips (rental fee): Retain 2 years after audit.
(b) Eligible Applications: Retain until apartment is allocated.
(c) Development Cost Analysis Register and Development cost ledger: Retain 7 years after completion of
project.
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(d) Employee reports, service records, earnings records, and leave records: Retain 5 years from
termination of employment.
(e) Schedule of Tenants Accounts Receivable: Retain until superseded.
(f) Tenant Files of vacated tenants: Retain 7 years following termination.
(g) Management Contracts for Utilities and other services: Retain 7 years after final payment.
(h) Non-expendable equipment record cards, after audit following disposition of audit.
(i) Purchase contracts and related papers: Retain 7 years from date of final payment.
(j) Schedule of Maximum income limits and related correspondence and schedules of PHA consolidated
supply contracts: Retain until superseded.
(k) Administration Contracts including amendments waivers and related correspondence: Retain 7 years
from completion of contract.
(l) Certificates of Cremation of Bonds and interest coupons, after audit following expiration of bond.
(m) Construction contracts: Retain 7 years from date of final payment.
(n) Fiscal agent’s agreement: Retain 7 years after completion.
(o) Housing surveys and census tabulations: Retain until administrative use ceases. Permission from
RCB not required for destruction.
(p) Insurance and Fidelity policies: Retain until after audit following expiration or cancellation date.
(q) Insurance register: Retain until superseded.
(r) Tenants security deposit record: Retain until after audit following termination of lease.
Retention Period:
As listed.
C10 MassHighway Department
1 Consultant Selection Documents
Includes the Scope of Work, Work hour Estimate, Request for Consultant Services, Announcement of
Intent, RFQ submittals, Proposals, Selection Committee scoring matrixes and correspondence with firms.
This series documents the procedures used to select the consultant.
Retention Period:
Retain 7 years.
2 Consultant Contract Book
Includes Standard Contract Form and Instructions, Scope of Services, Budget, Disclosure Statement,
(Income), Disclosure Statement (Persons), Affirmative Action Certificate, Standard Provisions, Special
Provisions, Consultant’s Final Fee Proposal and MMARS Data. This series is a binding agreement
between MassHighway and the Design Consultant for services.
Retention Period:
Retain 7 years.
Note: Office of Contracts and Records holds the “Record Copy” Duplicate in Consultant Contracts
Section.
3 Consultant Contract Amendments
Includes correspondence and Board Memos related to contract modifications such as Extension of Time,
Extra Work, Additional Funds, and Contract Completion etc. The purpose of this series is to document the
agreement by MassHighway and the Consultant of any changes to the terms of the contract.
Retention Period:
Retain 7 years.
Note: Office of Contracts and Records holds the “Record Copy.”
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4 Consultant Invoices
Includes PRC Form, Estimate of Fee Form, Certified Payroll Report, Certified Narrative, Consultant
Progress Report, Direct Expense Approval Letter, Direct Expense Summary, Direct Expense Back-up and
Record of Payment to DBE. This series provides the basis for calculating partial payments based on the
progress of the work.
Retention Period:
Retain 7 years.
Note: Fiscal Management and Consultant Contracts Section maintain copies.
5 Consultant Correspondence
This series includes: correspondence between MassHighway and the Consultant related to the execution
of the Consultant Contract, such as Notice to Proceed for assignments, approval of direct expenses, and
miscellaneous issues. This series provides written documentation of the resolution of minor contract
issues.
Retention Period:
Retain 7 years.
6 Project Correspondence (External)
Correspondence between MassHighway and entities outside of the agency including, municipalities,
abutters, other state agencies and federal agencies related to the project design. This series provides
written documentation of the design development process.
Retention Period:
Retain 7 years.
7 Project Correspondence (Internal)
Correspondence between various sections and districts within MassHighway. Typically for the purposes
of transmitting project designs and project review comments. This series provides written documentation
of the design development process.
Retention Period:
Retain 7 years.
Note: Duplicates of most documents are retained in other Sections of MassHighway.
8 Project Documentation and Reports
The purpose of these documents is to present a discussion and analysis of how various design features
are determined. This series includes: Functional Design Report, Design Exception Report, Geotechnical
Report, Hydraulics Report, Bridge Type Study, and Value Engineering Study.
Retention Period:
Permanent.
Note: Duplicates of most documents are retained in other sections of MassHighway.
9 Environmental Permits
Obtained as applicable in accordance with National Environmental Policy Act, Massachusetts
Environmental Policy Act, Wetland Protection Act, US Coast Guard, Clean Water Act, Rivers and Harbors
Act, Coastal Zone Management Act, Water Pollution Control Act, etc. These Permits are issued by
various Regulatory Agencies for the purposes of protecting the environment by defining the manner in
which various construction activities are to be performed.
Retention Period:
Retain 7 years.
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Note Copies of most permits are included in the Construction Contract. Environmental Section retain until
expiration.
10 Public Hearing Transcript
A verbatim transcript of the design public hearing including the sign in sheet and comment letters
received subsequent to the hearing. This series documents the public participation process.
Retention Period:
Permanent.
Note: Copies are retained in the Chief Engineer’s Office, Right of Way Bureau and the District Office.
11 Meeting Minutes
This series is for the purpose of recording the discussions, recommendations and action items resulting
from a project meeting. This series includes the list of meeting attendees as well as a narrative describing
the meeting.
Retention Period:
Permanent.
12 Construction Contract Awards
This series is for the purposes of documenting that the bid has been reviewed and if appropriate
recommend award. Also to provide the necessary information to encumber funds for the Construction
Contract. This series includes: Bid Tabulations, letter from consultant verifying quantities, Construction
Pars No. Form, FMISD Form, Construction Contract MMARS Encumbrance Form, FIN 681 Form, and
Interoffice Memorandum from the project Management Section to the Construction Section.
Retention Period:
Retain 7 years.
13 Construction Proposal Book
This series is a binding agreement between MassHighway and the Construction Contractor for the
construction of the project. This series includes: Addenda, Notice to Contractors, Supplemental
Specifications, M/WBE Requirements, EEO Regulations, Wage Rates, Scope of Work, Special
Provisions, Detailed Sheets, Sketches, Environmental Permits, Affidavit and Itemized Bid Proposal.
Retention Period:
Retain 7 years.
Note: The Construction Contracts Section retains a copy.
14 Surveying Services Contract Book
This series contains standard contract form, scope, budget, standard and special provisions, exhibits and
signed proposal documents. This series documents the binding agreement between MassHighway and
the survey consultant for services.
Retention Period:
Seven years after the date of the approval of the Contract Completion Form for the consultant contract,
and completion of the Audit Section Review.
Note: Office of Contracts and Records Holds the “Record Copy.” Consultant Contracts, Boston Survey,
District Survey, Construction and contractors’ office each maintain a copy.
15 Payment Commodity Forms (PRC)
This series provides the basis for bi-weekly billing for services as detailed in the contract provisions. It
consists of consultant invoice and cost breakdown, direct expense back-up, and estimate of fee record.
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Retention Period:
Seven years after the date of the approval of the Contract Completion Form for the consultant contract,
and completion of the Audit Section Review.
Note: Office of Contracts and Records Holds the “Record Copy.” Consultant Contracts, Boston Survey,
District Survey, Construction and contractors’ office each maintain a copy.
16 Daily Report of Contract Survey Party HED-121
These are postcards mailed to the District Survey Office signed by all survey party members. This series
provides signed documentation of personnel present on project site basis for bi-weekly billing.
Retention Period:
Seven years after the date of the approval of the Contract Completion Form for the consultant contract,
and completion of the Audit Section Review.
Note: The original is held at the District Survey Office.
17 Weekly Progress and Time Report HED-880
This is a weekly report by Chief of Party to District Survey Engineer and to contractor. This series
provides documentation of personnel, EEO reporting and weekly progress as basis for bi-weekly billing.
Retention Period:
Seven years after the date of the approval of the Contract Completion Form for the consultant contract,
and completion of the Audit Section Review.
Note: Two signed originals one to District Survey, Engineer, the other to contractor, a faxed copy to
Boston Survey.
18 Application for Employment Surveyors Field Personnel form HED-007
This series is a signed verification of education and experience. It provides proof of survey party
members qualifications, fulfills a contract requirement.
Retention Period:
Seven years after the date of the approval of the Contract Completion Form for the consultant contract,
and completion of the Audit Section Review.
Note: One signed original to District Survey Engineer.
19 Maintenance Fuel Receipts
This is a computer generated report, it is used to reference vehicle consumption by vehicle, fuel site or
fuel type.
Retention Period:
Retain 5 years.
20 Radio Logs
This series is used to reference incidents, accidents and road conditions on the highway system by time,
date and location. This series is made up of typed and electronic entries of radio communications.
Retention Period:
Retain 7 years.
Note: The district offices and operations center maintain copies.
21 Roadside Maintenance Contracts
This series is used to document adherence to procurement regulations and department policies. This
series is made up of; contract documents, financial forms, and correspondence from preliminary estimate
to award.
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Retention Period:
Retain 6 years after completion of contract.
Note: Contract Section and district offices maintain copies.
22 Equipment-Heavy & Light Repair Orders
This series is used to initiate and document vehicle repairs. This series is composed of written vehicle
repair work orders.
Retention Period:
Retain 5 years.
Note: The district equipment section maintains a copy.
23 Snow & Ice PV’s
This series is used to document payment for hired vendor for hours of services provided during Snow and
Ice Operations.
Retention Period:
Retain 6 years.
Note: The district headquarters and depots maintain copies.
24 Inmate Litter Assistance Information
This series is used to document adherence to department policies. This series is made up of
Interdepartmental Service Agreement (ISA) approvals, financial documents, and correspondence
pertaining to the litter inmate program.
Retention Period:
Retain 7 years.
C11 Motor Vehicles (formerly Series J5)
1 Motor Vehicle Operators Merit Rating Records
Documents operator’s record of driving infractions affecting status of license as determined by the courts
and the merit rating board.
Retention Period:
Retain 50 years.
2 Motor Vehicle Driver License Exams
Documents exams given to licensed drivers.
Retention Period:
Retain 1 year or until administrative use ceases. Permission from RCB not required for destruction.
3 Motor Vehicle Accident Investigation Records
Documents motor vehicle related investigations of hit and run, bodily harm, property damage, death, and
theft. Includes incident reports, witness statements, police reports, background support materials, and
related correspondence.
Retention Period:
(a) Fatalities: Permanent.
(b) Hit and run and personal injury: Retain 6 years after close of case.
(c) All other records: Retain 3 years.
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4 Motor Vehicle Title Registration and Renewal Records
Documents the process to register the owners of motor vehicles and to provide them with Certificates of
Title. Includes applications (RMV-1), registration renewal cards (RMV-2), surrendered title, application for
amendments, and any other supporting affidavits.
Retention Period:
Retain 25 years.
90 MGL 30.
5 Uniform Traffic Citations Records
Documents the issuance of traffic tickets.
Retention Period:
Retain 3 years after paid.
6 Motor Vehicle Accident Reports
Consists of Police Accident Reports (CRA-65) and Operator Accident Reports (CRA-23).
Retention Period:
(a) Registry of Motor Vehicles: Retain 6 years.
(b) Police Departments: Retain 6 years.
7 Motor Vehicle Operators Licensing and ID Card Records
Documents the process to register motor vehicle operators and to provide them with driver’s licenses and
to register individuals requiring photo ID. Includes auto and school bus applications and ID card
applications (RMV-30/34) and related correspondence.
Retention Period:
Retain 25 years.
8 Motor Vehicle Inspection Stations Records
Documents the inspection of vehicles to meet environmental and safety standards.
Retention Period:
(a) Program annual reports to the EPA: Retain 5 years.
(b) Test results: Retain 3 years.
310 CMR 7.20; 540 CMR 4.00.
9 Motor Vehicle License Plate Applications Records
Documents applications for license plates.
Retention Period:
Retain 25 years.
10 Motor Vehicle Reports
Documents stolen vehicles, license plate loss, and other reports required to be filed with the Registry of
Motor Vehicles.
Retention Period:
Retain 3 years.
11 Motor Vehicle Towing Reports
Documents reports of towed vehicles.
Retention Period:
Retain 3 years.
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12 Motor Vehicle Citations, Parking Records
Documents the issuance of parking tickets.
Retention Period:
Retain 3 years after final payment or incident closure.
13 Motor Vehicle Citations, Moving Violations Records
Documents moving violations involving motor vehicles that did not result in arrest.
Retention Period:
Retain 3 years.
14 Boat; Recreation Vehicle; Snow Vehicle Operator; Accident Reports
Consists of Operator Accident Reports.
Retention Period:
(a) Fatalities: Permanent.
(b) All other reports: Retain 6 years.
15 Boat; Recreation Vehicle; Snow Vehicle; Accident Investigation Records
Documents boat, recreation vehicle, and snow vehicle related investigations, of deaths, hit and run, bodily
harm, property damage, and theft. Includes incident reports, witness statements, police reports,
background support materials, and related correspondence.
Retention Period:
(a) Fatalities: Permanent.
(b) All other records: Retain 6 years.
16 Registry of Motor Vehicles (Revenue Operations) Revenue Reports
These reports are used to create an audit trail and to review transactions. These reports include: Daily
Activity Report, Sales Tax Report, Over/Short Report, Failed Cash Report, Interims Report, Daily Deposit
Listing, Override Report, CPR Report, Drawer Delete Report, MMARS RR/CT forms report, and MMARS
466c report.
Retention Period:
1 year after audit or 7 years whichever is sooner.
17 Registry of Motor Vehicles (Revenue Operations) Bad Check Information
These are the reports and supporting documentation for bad checks. These documents include: bad
checks, alars system printout, supporting documentation, and customer correspondence.
Retention Period:
Retain 7 years.
18 Registry of Motor Vehicles (Revenue Operations) Deposit Information
These are the reports and all the supporting documentation for bank deposits. This series includes:
deposit slips and attachments, alars cpe, ciz, cpc, cash transfer logs, and bank deposit logs, locking cash
bag logs, override logs, backup activity forms, letters of notification, monthly over/short, clerk over/short
form, clerk justification form, Sweda register tapes, daily revenue sheets, and bank statements.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
19 Registry of Motor Vehicles (Revenue Operations) Rebate Documentation
These are reports and all the supporting documentation for Rebates. These reports include: Refund
requests, customer correspondence, rebate denials, rebates issued, MMARS RF forms, funding request
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book, cashed rebate checks, bank statements, scanner transaction report, unused checks old account,
funding report, cross reference register, and funding requests reports.
Retention Period:
Retain 7 years.
C12 Registry of Motor Vehicles Revenue Operations (formerly Schedule No.
35/91)
1 Revenue Reports – Drawer Date Activity Report
Lists detail of all transactions processed. Report provides audit trail and is used to review transactions
and fees collected. Investigations may require use of this report.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
2 Revenue Reports – Drawer Date Activity Report on Microfiche
Lists detail of all transactions processed. Report provides audit trail and is used to review transactions
and fees collected. Investigations may require use of this report.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
3 Revenue Reports – Sales tax Report
Lists detail of sales tax transactions (included in 1 Revenue Reports – Drawer Date Activity Report).
Report provides audit trail and is used to review transactions and sales tax collected.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
4 Revenue Reports – Daily Over/Short Report
Lists clerical overages or shortages in the collection of fees. Report is used to record data onto clerks’
cards for evaluation of clerks’ cash handling performance. Supports data submitted to State Auditor per
Chapter 647, Acts of 1989.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
5 Revenue Reports – Failed Cash Report
Lists transactions updated where fees not reflected on clerks’ records on RMV System (ALARS). Report
used to confirm fees collected when they are not reflected on clerks’ records. Auditing tool.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
6 Revenue Reports – Interims Purged Report
Lists certain transactions that are purged from the RMV System (ALARS) after 3 days. Report provides
hard copy of transactions purged from RMV System (ALARS).
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
7 Revenue Reports – Daily Deposit Listing
Lists daily deposits by RMV Branch for Registry fees, Sales Tax and Inspection Sticker fees. Report
provides deposit information for all offices.
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Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
8 Revenue Reports – Override Reports
Lists all overrides performed for each day. Report is used to review clerical overrides and ensure
unauthorized overrides are not performed.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
9 Revenue Reports – CPR Report
Lists clerk cash drawers that are re-opened. Provides audit tool to control and monitor the re-opening of
clerk cash drawers.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
10 Revenue Reports – Drawer Delete Report
Lists clerk deposit data when purged from RMV System (ALARS). Provides information in hard copy form
when unavailable on RMV System (ALARS).
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
11 Bad Check Information – Outstanding Bad Checks
Checks maintained to pursue reimbursement.
Retention Period:
Retain 7 years.
12 Bad Check Information – RMV System Printouts of Bad Checks
Printouts confirm entry of bad checks on RMV ALARS System.
Retention Period:
Retain 7 years.
13 Bad Check Information – RMV System Printouts of Bad Check Payments and Supporting
Documents
Printouts confirm entry of bad check payments on RMV ALARS System and document substantiating
payment entry.
Retention Period:
Retain 7 years.
14 Bad Check Information – Correspondence with Customers
Maintained for justification of status of bad checks.
Retention Period:
Retain 7 years.
15 Bad Check Information – Correspondence Between RMV Offices Relating to Bad Checks
Correspondence for proper bad check status and suspension status on ALARS. SYSM used between
offices.
Retention Period:
Retain 7 years.
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16 Deposit Related Documents – RMV Computer System (ALARS) Documents
CPE: office deposit information; CIZ: clerks’ daily deposit information; and CPC: clerk cash drawer
closing. These documents display deposit information that supports totals on deposit slips.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
17 Deposit Related Documents – Deposit Slips and MPCA10 Attachment
Forms prepared for deposits. Receipted copies are maintained.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
18 Deposit Related Documents – Cash Transfer Log
Log documents transfer of RMV funds between employees when clerks close-out.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
19 Deposit Related Documents – Monthly Bank Deposit Log
Log documents transfer of funds to Law Enforcement personnel.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
20 Deposit Related Documents – Locking Cash Bag Logs
Log documents transfer of funds between RMV employees during the day.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
21 Deposit Related Documents – Override Log
Log documents clerks’ overrides of RMV System calculated fees.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
22 Deposit Related Documents – Back-up Activity Sheets
Sheets document transactions processed manually when RMV System is unavailable.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
23 Deposit Related Documents – Letters of Notification
Letters used to inform Boston Cashier’s Office of certain clerical shortages.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
24 Deposit Related Documents – Monthly Over/Short Report Used by Managers
Report used to evaluate clerks’ cash handling performance.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
25 Deposit Related Documents – Clerical Over/Short Acknowledgment
Documentation necessary for clerical discipline if required to correct clerical cash handling problems.
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Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
26 Deposit Related Documents – Clerk Over/Short Justification Form
Used to inform the Boston Cashier’s Office of justified clerical cash variances.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
27 Deposit Related Documents – Sweda Register Taps for Years 1985-86
These tapes are no longer generated. Used as a register tape to record transaction amounts and
generate a total.
Retention Period:
Retain 3 years.
28 Deposit Related Documents – Daily Revenue Sheets
Sheets used for entry of revenues listed by RMV Branch.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
29 Deposit Related Documents – Revenue Account Bank Statements (approximately 80 accounts)
Bank statements and reconciliations.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
30 Rebate/Refund Documents – Customer Refund Requests for Duplicate Payments 1986
These requests of approximately 400 were not honored due to a lack of supporting documentation.
Retention Period:
Retain 7 years.
31 Rebate/Refund Documents – Customer Correspondence
Correspondence for rebates and exceptions.
Retention Period:
Retain 7 years.
32 Rebate/Refund Documents – Customer Rebate/Refund Requests Denied
Requests from parties who were ineligible for a rebate or refund.
Retention Period:
Retain 7 years.
33 Rebate/Refund Documents – Rebates or Refunds Processed
Rebate/refund applications and supporting documents of refund/rebates processed.
Retention Period:
Retain 7 years.
34 Rebate/Refund Documents – Funding Request Books for 1985-86
Books list all rebates/refunds included on report whose rebate/refunds were approved for payment by the
Comptrollers Office.
119
Retention Period:
Retain 7 years.
35 Rebate/Refund Documents – Cashed Rebate/Refund Checks
Checks filed by check number. These are cashed checks issued to customers.
Retention Period:
Retain 7 years.
36 Rebate/Refund Documents – Bank Statements
Bank statements reconciled and filed for Rebate/Refund Account.
Retention Period:
Retain 7 years.
37 Rebate/Refund Documents – Reports of Transactions Processed Through RMV Optical
Scanning
Reports needed to confirm eligibility of rebate/refund requests and payments made.
Retention Period:
Retain 7 years.
38 Rebate/Refund Documents – Unused Checks of Obsolete Rebate/Refund Bank Account
Checking account closed – checks must be destroyed.
Retention Period:
Retain 1 year after audit or 7 years whichever is sooner.
39 Rebate/Refund Documents – Funding Reports for Automatic Rebates
Funding reports show approval of funding by Comptroller’s Office for a list of refunds/rebates
automatically produced by RMV ALARS System.
Retention Period:
Retain 7 years.
40 Rebate/Refund Documents – Cross Reference Check Register
Report shows physical check number and logical number assigned to the list of refunds/rebates being
processed.
Retention Period:
Retain 7 years.
41 Rebate/Refund Documents – Funding Request Reports
Funding reports show approval of funding by Comptroller’s Office for a list of rebates/refunds manually
entered into ALARS.
Retention Period:
Retain 7 years.
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D Fiscal
D1 Accounting
1 Independent Accounting/Payroll System Records
Documents the records of fiscal accounting systems that do not post individual line-item transactions to
the State Comptroller’s Fiscal Systems. Includes account ledgers and registers, year-end reports,
encumbrance and balance reports, fiscal transaction payment support materials, payroll registers, cash
accounting records, and related correspondence.
Retention Period:
(a) General ledgers (year-end final closing) reports: Permanent.
(b) Payroll registers (year-end) showing pay-stub detail for individual employees or other documentation
sufficient to document employee creditable prior service: Retain 75 years.
(c) Primary copies of payment support documentation and transaction postings: Retain 6 years.
(d) Lockbox or service providers’ records: Retain 6 years.
(e) Secondary copies of payment support documentation and account reconciliation materials: Retain 3
years.
2 Grant and Contract Cost Accounting Records
Documents the fiscal accounting of grants and contracts monies in compliance with federal, state, or
private contractual guidelines and reporting requirements. Includes budget plan, account set-up and
changes documents, encumbrance and payment backup supporting documentation, matching fund
documents, procurement documentation, monthly expense reports, time and effort reports, invoices and
related correspondence.
Retention Period:
Retain 6 years after last payment.
Note: For contract records associated with a project, see record series “C5-4 Construction Project Cost
Accounting Records.”
3 Contract and Agreement Negotiation Records
Documents the process to enter into a contract or agreement, or understanding. Includes background
support materials, drafts, memos, letters, and related correspondence.
Retention Period:
(a) Where contracts and agreements were finalized: Retain 6 years after contract expiration.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
See also record series “M2-2 Labor Relations Records.”
30B MGL; 260 MGL 1, 2.
4 Grant and Contract Administration Records
Documents all phases of the administration of federal and other grants, contracts, sponsored research
projects, and agreements from negotiation to final performance such as grants-in-aid, state contracted
services, and vendor contracts. Includes negotiation issues documentation, memos of understanding,
agreements, contracts, amendments, terms and conditions, budget proposals, and related
correspondence.
Retention Period:
(a) Research projects or those reflecting the mission or direction of the agency: Review by the Archives
Retain 6 years after final payment or close.
(b) Summary records such as proposal, award letter and selected deliverables and reports: Permanent.
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(c) All other records: Retain 6 years after contract final payment or end of litigation, whichever is later.
Notes:
1. Do not use this record series for contracts within a larger project such as a construction project. See
record series “C5-1 Construction Project Management Records.”
2. See also record series “D1-2 Grant and Contract Cost Accounting Records.”
5 Grant Development and Proposal Records
Documents efforts to develop and submit grant proposals for outside funding. Includes discussion notes,
lists of potential topics, sample grant proposals from outside agencies, secondary copies of rejected and
accepted grants proposals, and related correspondence.
Retention Period:
(a) Retain summary planning documents and proposals that reflect the direction of the agency:
Permanent.
(b) Unfunded grants: Retain 3 years.
(c) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
6 Grant Program Records
Documents the administration of programs to grant funds (including federal funds), or aid to individuals,
institutions, the community, or agencies based on predetermined qualifications and subsequent review.
Retention Period:
Grant program establishment and policy documentation: Permanent.
7 Routine Accounting Records
Documents the general administration and reconciliation of agency account expenditures and receipts as
posted to the State Comptroller’s systems and accounts. Includes small purchases that are not grants or
contracts.
Retention Period:
Retain 3 years.
Notes:
1. For grant and contract fiscal accounting use record series “D1-2 Grant and Contracts Cost Accounting
Records.”
2. For construction project fiscal accounting use record series “C5-4 Construction Project Cost Accounting
Records.”
3. See also record series “D1-1 Independent Accounting/Payroll System Records.”
26 CFR 31.3401(a)-1, 31.6001-1; 26 CFR 301.6501(a)-1.
8 Bank and Cash Records
Documents the handling of any cash transactions, including receipt and deposit of funds posted to the
State Comptroller’s systems and accounts. Includes receipt journals, cancelled checks, balance books,
receipts, bank deposit slips and wire transfers and reports and related correspondence.
Retention Period:
Retain 3 years.
9 Revenues and Sales Records
Documents the billing and receipt of unit revenues for services such as permit and license applications,
and ticket sales as posted to the State Comptroller’s systems and accounts. Also documents the handling
of any sales or other transactions where cash is received or disbursed. Includes applications, approvals,
daily journals and logs, balance tabulations, invoices, cancelled checks, revenue reports, and related
correspondence.
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Retention Period:
Retain 3 years.
10 Billing and Collections Records
Documents activities relating to the billing of customers for goods sold or services performed as posted to
the State Comptroller’s systems and accounts. Includes customer lists, work orders, sales invoices,
customer billing worksheets and edit documentation, account reconciliation materials, collection letters
and responses, and related correspondence.
Retention Period:
Retain 3 years after final payment, settlement, or write-off.
62 MGL 25, 26; 26 CFR 301.6501(a)-1; 26 USC 6501.
11 Claims and Disbursements Records
Documents payment claims made or received as part of an agency’s programs and functions as posted
to the State Comptroller’s systems and accounts. Includes claims, invoices, purchase orders, financial
reports, account reconciliation documentation, payment support materials, and related correspondence.
Retention Period:
(a) Claims and disbursement documentation involving contracted funds: Retain 6 years after contract
closes and after final payment, unless a longer period is specified in the contract.
(b) All other records: Retain 3 years.
12 Trust and Loan Disbursement Records
Documents the fiscal accounting of loan monies disbursed by the agency. Includes budget plan, account
set-up and changes documents, invoices, vouchers, monthly expense reports, and related
correspondence.
Retention Period:
Retain 6 years after last payment.
13 Signature Authorization Records
Documents the delegation of department head signature authorization. Includes authorization lists and
related correspondence.
Retention Period:
Retain 3 years after superseded.
See also record series “B1-5 Delegation of Authority Records.”
14 Bid and Procurement Records
Documents the solicitation and/or purchase of goods, supplies, services, materials, and equipment where
the purchase is made from general accounts and not contract account funds. Includes bid submissions,
bid appeals before the Operational Services Division, or the applicable agency, hearings documentation,
requisitions, purchase orders, invoices, payment vouchers, packing slips, and related correspondence.
Retention Period:
(a) Retain 6 years after last payment or litigation whichever is longer except for the following:
(b) Non-awarded bid records, or small procurements that are not grants or contracts: Retain 3 years from
bid close or bid appeal final determination.
808 CMR 2.04 (12); 260 MGL 5B; 26 CFR 301.6501 (a)-1; 48 CFR 4.
15 Vendor Resource Materials
Consists of materials referenced in order to purchase supplies, services, and products. Includes
advertisements, brochures, and catalogs, and vendor promotional literature not included in procurement
or bid records.
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Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
16 Vendor Relations Records
Documents the history of the relations between the agency and individual vendors or service providers.
Includes vendor background notes, secondary copies of bids and proposals, contact notes and logs,
copies of service contracts, profiles and histories, and related correspondence.
Retention Period:
Retain 1 year or until administrative use ceases. Permission from RCB not required for destruction.
17 Fixed Asset Records
Documents the fiscal tracking of fixed assets such as furniture, equipment, and vehicles for accounting
purposes. Includes acquisition, betterment, and final disposition records.
Retention Period:
Retain 3 years where fixed assets are permanently recorded elsewhere.
Notes:
1. See also record series “C1-4 Equipment Case Files.”
2. See also record series “C7-8 Fixed Asset Recording Records.”
D2 Development and Review
1 Fiscal Planning, Reports, and Surveys Records
Documents the planning, review and reporting of an agency’s fiscal operations. Includes spreadsheets,
background materials, calculations, salary surveys, plans, reports, spreadsheets, and related
correspondence.
Retention Period:
(a) Primary copies of final summary plans, studies, and reports: Retain until administrative use ceases.
Permission from RCB not required for destruction.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
2 Capital Improvement Plan Records
Documents major capital expenditure and project planning. Includes background support materials and
reports, working papers and notes, and related correspondence.
Retention Period:
(a) Final plan and substantive support materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
3 Budget Preparation and Monitoring Records
Documents the process to develop, estimate, propose, and monitor the yearly budget for the agency.
Includes budget guidelines, work papers, spreadsheets, internal analysis sheets, distribution reports,
estimates and projections, expense summaries, variance reports, final budget requests, budget
submission letters, and related correspondence.
Retention Period:
(a) Agency’s primary copy of budget guidelines and submission letters: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
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4 Fiscal Audit Records
Documents year-end or other audits of an agency’s programs, accounts, including internal or external
audits. Includes audit reports, work papers responses, and related correspondence.
Retention Period:
(a) Agency’s primary copy of final audit reports and responses: Permanent.
(b) Audit background materials and work papers: Retain 6 years.
5 Fiscal Monitoring Records
Documents the oversight of fiscal operations of specific programs within an agency and of the fiscal
system as a whole. Includes worksheets, spreadsheets, ad-hoc reports, notes, status reports and
recommendations, and related correspondence.
Retention Period:
Retain 6 years.
6 Fund Development Records
Documents efforts to develop additional or supplemental funding for agency programs. Includes
discussion notes, lists of potential topics, sample proposals from outside agencies, secondary copies of
rejected and accepted proposals, planning documentation, and related correspondence.
Retention Period:
(a) Summary planning documents and proposals that reflect the direction of the agency: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
7 Fiscal Systems Internal Control Records
Documents the internal monitoring and control of fiscal systems pursuant to 647 MGL. Includes
background support documentation, evaluation review notes, policy and procedure documentation, and
related correspondence.
Retention Period:
(a) Policy and procedure documentation and substantive correspondence: Review by the Archives after 6
years and inactive.
(b) All other records: Retain 6 years.
See also record series “F5-4 Systems Documentation Records.”
647 MGL (Acts of 1989); 7A MGL 9A.
D3 Grants and Aid
1 State Municipal Funding Records
Documents payments of local aid to municipalities. Includes budget analysis, applications, budget
allotments, and related correspondence.
Retention Period:
Retain 6 years.
2 State Economic or Development Grants Records
Documents aid given to programs to promote economic or other development in communities and the
state. Includes applications, evaluations, grant materials, and related correspondence.
Retention Period:
Retain 6 years after close of grant.
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D4 Payroll
1 Travel Expense Records
Documents travel expenses of staff as posted to State Comptroller’s systems. Includes receipts, credit
card statements, travel authorizations, mileage logs, and related correspondence.
Retention Period:
Retain 3 years.
2 Payroll and Benefits Case Files
Documents pay histories of employees. Includes deductions, credits due, benefits and insurance
enrollments, and any other materials affecting employee pay.
Retention Period:
(a) Payroll registers (year-end) showing pay-stub detail for individual employees or other documentation
sufficient to document employee creditable prior service: Retain 75 years.
(b) All other records: Retain 6 years after separation of employee.
See also record series “L11-7 Employee Retirement, Disability, and Benefits Case Files.”
3 Time and Attendance Records
Documents actual hours worked by unit employees and types and amounts of leave taken. Includes time
sheets, time cards, attendance forms, absence reports, leave reports, and related correspondence.
Retention Period:
(a) Fiscal/Payroll Office records: Retain 6 years.
(b) Originating office records: Retain 3 years if records contain unique documentation that is not
forwarded to the Payroll Office such as original signatures; otherwise retain until administrative use
ceases. Permission from RCB not required for destruction.
Notes:
1. For time and attendance records relating to grants, contracts, or federal aid see record series “D1-2
Grant and Contract Cost Accounting Records.”
2. Time and attendance records policy and procedures should be in writing and approved by the head of
division or department.
4 W-2s
Documents employee earnings for tax reporting purposes. Includes W-2 forms and attachments.
Retention Period:
Retain 3 years.
5 Payroll Administration Records
Documents the daily routine administration and reporting of payroll related matters. Includes payroll
warrants, monthly reports, and related correspondence.
Retention Period:
Retain 6 years.
D5 Public Employee Retirement Administration Commission
1 Financial Statements
Public Employee Retirement Administration Commission (PERAC) is required by statute to monitor the
investment performance of 106 retirement systems. The case file includes financial Statements, monthly
cashbook entries, trial balances, journal entries and broker confirm and custodial statements from 106
retirement systems and Pension Reserves Investment Trust Fund (PRIT).
126
Retention Period:
Retain 5 years.
Note: Retirement Board retains a duplicate copy.
2 Data Questionnaires
Related materials to prepare appropriation letters; used in the appropriation process.
Retention Period:
Retain 5 years.
3 Valuation Workpapers
Back up documents used to produce valuations; which includes valuation reports.
Retention Period:
Retain 5 years.
4 Valuation Data Workpapers
Analysis of data received from boards to produce valuation reports.
Retention Period:
Retain 2 years after final report.
5 Non-Valuated Data Workpapers
Analysis of data received from boards used to update records.
Retention Period:
Retain 1 year or until administrative use ceases. Permission from RCB not required for destruction.
Note: Retirement Board retains a duplicate copy.
D6 Office of the State Auditor (OSA)
1 Audit Work Papers
Documents communications and writings in connection to each audit performed by the Office of the State
Auditor. Includes communications detailing the work to be performed, engagement letters, independence
certificates, entrance conference forms, supervision logs, audit quality checklists, audit evidence
obtained, evidentiary sources, timing, extent, results, and conclusions reached.
Retention Period:
Retain 6 years.
2 Final Audit Reports
Documents audit results, findings, conclusions and recommendations. Includes a summary of the views
of responsible officials, compliance statements, and if applicable a statement pertaining to the nature of
any confidential or sensitive information omitted.
Retention Period:
OSA’s primary copy: Permanent.
3 Audits Detecting Fraud and Illegality
Documents the discovery of fraud or illegality committed by an audited entity. Includes internal
communications, planning responses, communications to the audited entity with regard to the fraud or
legality, and all referrals and other communications with parties external to the OSA.
Retention Period:
(a) Letters referring cases to the Attorney General’s Office, US Attorney’s Office, or District Attorney:
Permanent.
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(b) Letters reporting unemployment, pension, Medicaid, or insurance fraud: 25 years.
(c ) Team discussion on fraud risk forms, and all other records pertaining to fraud and illegality: Retain 6
years after final resolution.
4 Certifications, Training and Continuing Education Records
Documents the training of Audit staff in compliance with state laws or agency rules and regulations.
Includes documentation of the sponsoring organization, the location at which the program was given, title
of the program and brief description, dates attended, number of hours earned toward minimum
requirements, and any other related correspondence. .
Retention Period:
(a) If filed separately from personnel file: Retain 10 years.
(b) Where filed in personnel file: Retain as long as file kept.
5 Records of Non-Audit Services Performed by Audit Operations
Documents the performance of non-audit services performed by audit operations. Includes, planning
documents, written communications, and all other related correspondence and records.
Retention Period:
Documentation related to compliance of independence requirements. 6 years from conclusion of nonaudit service performed.
6 External Peer Review Records
Documents the findings of an external peer review evaluating the sufficiency of, and the OSA’s
adherence to, Audit Operations system of quality control.
Retention Period:
(a) All planning documents and communications with external peer review entity: Retain 6 years.
(b) Written reports communicating the results of the peer review: Permanent.
7 Bureau of Special Investigations Records (BSI)
Documents records and supporting materials accumulated within the course of a BSI investigation of
fraudulent claims or wrongful receipt of payment or services from public assistance programs. Includes
investigative reports, witness statements, bank, business, and employment records.
Retention Period:
(a) All investigative materials and investigative reports with no finding of probable cause: Retain 6 years
after case closure.
(b) All investigative reports referred for civil or criminal action: Permanent.
(c ) Letters referring cases to the Attorney General’s Office, US Attorney’s Office, or District Attorney:
Permanent.
(d) All other records: Retain 6 years.
8 Division of Local Mandate Records (DLM)
Documents collected in the course of determining if a proposed or existing state mandate imposes any
direct services or costs on a city or town. Includes requests made of DLM, subsequent correspondence,
as well as background and research materials.
Retention Period:
(a) Petitions for opinions and requests for cost analysis. Permanent.
(b) MGL 11 6B Mandate Determinations. Permanent.
(c ) MGL 126 Municipal Impact Studies. Permanent.
(d) All final opinion letters. Permanent.
(e) Work papers, and all other records. 6 years.
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E Personnel
E1 Program Administration
1 Human Resources Programs Records
Documents programs sponsored by Human Resources such as orientation, wellness, and training.
Includes program handouts and literature, attendance lists, reports, evaluations, employee newsletters
and related correspondence.
Retention Period:
(a) Program documentation and materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
2 Employee Awards and Recognition Records
Documents awards given to employees. Includes award description, qualification materials, and related
correspondence.
Retention Period:
(a) Summary documentation: Permanent.
(b) All other records: Retain 6 years after employee separation.
3 Agency Telephone Directories and Staff Listings
Provides a listing of staff and organizational units of an agency.
Retention Period:
Permanent.
E2 Recruitment and Hiring
1 Recommendation Letters
Documents letters sent out regarding employees or past employees. Includes letters or recommendation
and other correspondence.
Retention Period:
Retain 3 years.
2 Unsolicited Job Applications
Documents unsolicited requests for employment with the agency. Includes vitae, letters of application,
and related correspondence.
Retention Period:
When filed: Retain 1 year, otherwise discard.
3 Recruitment and Hiring Records
Documents the process to hire new employees. Includes job postings, eligibility lists, job descriptions, job
applications, resumes, interview notes, letters of recommendation, exam and test results, approvals to
hire, and related correspondence.
Retention Period:
(a) Executive position searches: Review by the Archives 3 years after hiring process is closed.
(b) Retain 3 years after hiring process is closed.
31 MGL 61; 151B MGL; 258 MGL 4; 260 MGL 5B; 29 CFR 1600, 1602.30, 1627.
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4 Job Position Administration Records
Provides a record and/or history of position descriptions and functions, compensation rate charts, position
advertisement formats, classifications, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Employment Eligibility Verification (I-9s) Records
Documents immigration and naturalization requirements for work in the United States in compliance with
the Immigration Reform and Control Act of 1986. Includes I-9 forms and related correspondence.
Retention Period:
Retain 3 years after date of hire or 1 year after employment is terminated, whichever period is later.
8 CFR 274a.2(b)(2).
E3 Affirmative Action/EEO
1 Protected Employee Records
Documents the identification of employees falling under the classification of disabled, woman, veteran, or
minority for the purpose of acquiring employment, job advancement, and job security. Includes selfidentification forms and support materials, approval and certification documentation, and related notes
and correspondence.
Retention Period:
Retain 6 years after separation.
See also record series “E4-6 Employee Medical and Personal Records.”
260 MGL 5B; Executive Order of the Governor 227, 235, 246, 253, 390; 29 CFR 1602; 29 CFR 1613.222;
41 CFR; 45 CFR 84; 29.
U.S.C. 794 (Rehabilitation Act of 1973 section 504).
2 Employee ADA Accommodation Records
Documents the agency’s (reasonable) accommodation and provisions for its employees with disabilities in
compliance with the American’s With Disabilities Act of 1990. Includes employee requests, medical
information, engineering and design plans, complaint and labor relations documentation, and related
correspondence.
Retention Period:
Retain 6 years after employee separation.
See also record series “C1-3 Facilities Disability Access Records.”
28 CFR 35.105c.
3 Affirmative Action/EEO Administration Records
Documents the administration of the program to promote an equal opportunity work environment.
Includes oversight documentation of practices such as hiring, equipment purchasing, and contracts and
may include ongoing analysis relating to the measurement of affirmative action program success and
compliance.
Retention Period:
(a) Internally produced reports, policies, and procedures: Permanent.
(b) All other records: Retain 3 years.
151B MGL; 260 MGL 5b; 258 MGL 4; 268 MGL 25; 29 CFR 1602; 29 CFR 1602.30; 29 CFR 1613.222 ;
29 CFR 1627; 149 CFR 24.
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4 Affirmative Action Plans and Reports Records
Documents reports and plans submitted to the State Office of Affirmative Action (SOAA). Includes plans,
reports, statistics, goals, and related correspondence.
Retention Period:
(a) Agency’s primary copy of final plans and substantive support materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Note: State Office of Affirmative Action is the office of record.
151B MGL 3A; 29 CFR 1602.30; 41 CFR; 29 CFR 1613.222; 260 MGL 5B; Executive Order of the
Governor 227, 235, 390.
5 Affirmative Action Monitoring/Compliance Records
Documents the monitoring of programs and activities relating to the functions of affirmative action
requiring oversight, review, opinion, or input. Includes information on the monitoring of contract bids for
EEO requirements, minority and women proposals, grants and contracts, facilities handicapped access,
hiring, purchasing, and related correspondence.
Retention Period:
(a) Contract related documentation: Retain 3 years after close of bid process.
(b) All other records: Retain 3 years or until administrative use ceases, whichever period is longer.
E4 Employee
1 Employee Confidentiality Statements
Consists of agreements signed by employees indicating that they will comply with the confidentiality
standards of the agency.
Retention Period:
Retain 3 years after inactive.
2 Employee Web Browsing Authorizations
Documents the authorization of employees to be connected to and to use the internet and the WEB for
state work.
Retention Period:
Retain 3 years after inactive.
(a) Department of Mental Health (DMH) 6 years.
3 Employee ID Card Records
Documents the process to produce ID cards for employees. Includes intake information, card production
dates, and related correspondence.
Retention Period:
Retain data and records until card expires or is voided.
(a) Department of Mental Health (DMH) 6 years.
4 Employee Contact Information Records
Consists of employee contact information cards or forms and employee emergency contact forms.
Retention Period:
Retain during period of employment.
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5 Employee Personnel Case Files
Documents individual employee work histories. Includes job application forms, resumes, job offer and
acceptance letters, personnel appointment and change forms, awards and commendations, performance
reviews, and related correspondence.
Retention Period:
(a) Information needed to calculate creditable prior service time, i.e. dates of service, rates of pay, payroll
action dates and summaries, and annual salary along with identifying information such as name and
social security number and date of birth: Retain 50 years after separation.
(b) Records relating to persons under medical surveillance or who have been awarded workers
compensation: Retain 30 years after separation.
(c) Supervisor or Departmental copy of personnel file: Retain 6 years after employee separation.
(d) All other records: Retain 6 years after employee separation unless stipulated as shorter in any
applicable bargaining unit contracts and agreements.
Notes:
1. After employee separates combine “Employee Medical and Personal File (E4-6)” with the “Employee
Personnel Case Files.
(E4-5).”
2. See also record series “E4-7 Employee History Cards.”
3. See also record series “B1-6 Ethics and Conflict of Interest Records.”
31 MGL 6.29; 35 MGL 48-56; 41 MGL 96B; 66A MGL 3; 149 MGL 24C, 24D, 52C; CFR 1627.3.
6 Employee Medical and Personal Records
Documents medical and personal materials of an employee. Includes affirmative action data, disabilities
documentation, health related insurance claims, accident and safety reports, medical leave documents,
medical (exposure) surveillance documents, employee ADA accommodation.
Retention Period:
(a) Medical records relating to exposure to hazardous substances: Retain 30 years from separation.
(b) Workers compensation awarded claims: Retain 30 years from separation.
(c) All other records: Retain 6 years after employee separation.
Note: File should be kept separate from the “Employee Personnel Case Files (E4-5)” until the employee
separates and then the two files should be brought together.
28 CFR 35.105c; 29 CFR 201,516,825, 1602, 1627, 1630, 1910.20; Pub. L. 101-336; EEOC ADA
Technical Assistance Manual section 6.5; 29 CFR 825; Pub L 93-579.
7 Employee History Cards
Provides summary information on the employment history of individual employees. Information includes
employees name, social security number, job title, dates of service, rate of pay, and any changes
affecting employment.
Retention Period:
(a) Records dating before 1950: Permanent.
(b) All other records: Review by the Archives 6 years after employee separation.
8 Employee Training and Certification Records
Documents the training of staff in compliance with state laws or agency rules and regulations. Includes
training program materials, session schedules, attendance reports, continuing education documentation,
in-service documentation, certification lists and documents, and related correspondence.
Retention Period:
(a) If filed separately from personnel file: Retain 10 years.
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(b) Where filed in personnel file: Retain as long as personnel file is kept.
29 CFR 1627.3.
9 Intern and Volunteer Records
Documents individual volunteer and intern involvement with agency. Includes resumes, applications,
agreements, work plans, and related correspondence.
Retention Period:
Retain 6 years after separation.
E5 Personnel Actions
1 Employee Complaint/Investigation/Disciplinary Records
Documents informal or formal investigations into alleged employee misconduct. Includes complaints,
notes, statements, and determinations and record of actions taken.
Retention Period:
Retain 6 years after last activity.
151B MGL; 260 MGL 5B; 356 MGL 48-56; 29 CFR 1602.30.
2 Employee Grievance/Complaint Records
Documents work related complaints from non-union employees and grievances from union employees
relating to their job environment. Includes complaints, grievances, hearing notices, arbitration findings,
meeting notes, dispositions, and related correspondence.
Retention Period:
(a) Landmark cases: Permanent.
(b) Case summaries and final decisions: 25 years.
(c) All other records: Retain 6 years final resolution.
Notes:
1. Maintain action summary documentation relating to individuals in their personnel file.
2. See also record series “M2-5 Grievance, Mediation, Arbitration Administration Records.”
149 MGL 24;151b MGL; 258 MGL 4; 260 MGL 5B, 6; 29 CFR 1602.30, 1627, 1904.6.
3 Personnel Action Records
Documents individual or class actions relating to reclassifications, promotions, demotions, transfers,
layoffs, reductions-in-force, severance agreements, and terminations. Includes justification
documentation, working notes, requests, employee notifications and responses, appeals, and related
correspondence.
Retention Period:
(a) Landmark or policy setting cases: Permanent.
(b) Case summaries and final decisions: Permanent.
(c) All other records: Retain 6 years final resolution.
Note: Maintain action summary documentation relating to individuals in their personnel file.
5 CFR 432, 752; 260 MGL 5B; 29 CFR 516, 621, 1602, 1620, 1627.
E6 Accident and Injury
1 Employee Illness and Injury Records
Documents state employee work-related accidents and injuries. Includes accident report forms, incident
reports, doctor’s reports, logs and summary reports, and related correspondence.
133
Retention Period:
(a) Occupational Illness and Injury Logs: Retain 75 years.
(b) All other records: Retain 6 years.
Notes:
1. See also record series “M1-7 Workers Compensation Insurance Claim Files.”
2. See also record series “M1-2 Occupational Safety and Health Reports.”
152 MGL 41, 69; 153 MGL 6; 258 MGL 4; 260 MGL 2A, 3A, 4; 29 CFR 1904.6, 1910, 6001.2-8.
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F Information and Records Management
F1 Unclassified
1 Blank Forms Stock
Consists of blank forms. Form types include business forms, letterhead, phone slip tablets, and card
stock.
Retention Period:
(a) Hardcopy master set of current and superseded forms: Permanent.
(b) All other materials: Retain until administrative use ceases. Permission from RCB not required for
destruction.
2 Publication Stock
Consists of copies of printed materials created and/or stored by an agency. Publications include books,
journals, catalogs, brochures, flyers, posters, business cards, and other stand-alone items.
Retention Period:
Create and follow a diminishing inventory schedule by publication title and publication date, where stock
is reduced each year.
See also record series “A5-5 Program Publication Records.”
3 Returned Mail
Consists of official business notifications or other mailings that were undeliverable and returned to the
agency where the agency may need to account for the mailed documents.
Retention Period:
(a) Records that need to be accounted for: Retain 1 year unless otherwise specified by statute.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
4 Dead Letter File
Consists of incoming mail that cannot be acted upon due to insufficient information such as lack of a
return address or sender name. Permission from RCB not required for destruction.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Unused Permits, Certificates, Decals, and Stickers
Consists of blank copies of damaged, returned, unsold, voided, or otherwise unused copies of permits,
licenses, certificates, decals, stickers, stamps, tickets, or checks that will not be used, but that need to be
accounted for.
Retention Period:
(a) Destroy immediately after audit unless otherwise specified by statute.
(b) Audit and destruction documentation: Retain 10 years.
Notes:
1. Destruction should be monitored and certified or otherwise audited according to written policy and
procedures.
2. See also record series “G3-7 Elections Ballots and Instructions Records.”
6 Damaged/Contaminated Files
Consists of files that were damaged to the point where they cannot be salvaged or may not be worth
salvaging. Includes the damaged materials, files inventories, assessments, and related correspondence.
Retention Period:
(a) Damaged materials: Contact the Archives for an assessment of damages, possible recourse, and
remedies to prevent future occurrences report. If destruction is recommended: Retain Archives
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F Information and Records Management
recommendation report, destruction certification and audit documentation, and inventory listings for 10
years.
7 Old Records
Consists of old state records that have been abandoned, stored without records disposition schedules, or
otherwise neglected.
Retention Period:
(a) Records older than 1870 must be retained permanently by statute.
(b) Records older than 50 years old: Review by the Archives to determine if the materials have historical
value.
See also record series “F7-7 Legacy Data Records.”
F2 Reference
1 Reference/Resource Material
Consists of general library-type reference materials collected from sources outside of the agency.
Includes reference manuals,.
directories, catalogs, books, articles, and other items.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Notes:
1. Review periodically to remove unnecessary or outdated items.
2. Provide an on-line or hard-copy listing of materials for office staff.
2 Systems Manuals and Technical Reference Materials
Consists of reference manuals for computer hardware and computer applications.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 Referral Resource Files
Consists of alternative sources of information related to an agencies functions and programs maintained
for the purposes of referral.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
F3 Facilitative
1 Information Routing and Tracking Records
Documents the routing and tracking of documents, reports, mail, and messages inside or outside the unit
for facilitative purposes. Includes telephone message slips, tracking logs, routing slips, fax cover sheets,
post-it cover slips and instructions, email cover messages, mailing lists, postal receipts, information
accompanying checks for routing purposes, and other related materials.
Retention Period:
(a) Where these materials relate to decision or policy making files or files of a legal or regulatory nature,
that are required as an audit trail, or other substantive nature: Retain according to the retention period for
record series of the file.
(b) Where these materials accompany or document routine or transitory matters: Retain until
administrative use ceases. Permission from RCB not required for destruction.
2 Transaction Transmission Receipts
Provides a quick reference or visual check that confirms that information or data has been successfully
received, transferred or otherwise handled. Includes transaction receipts, slips, or reports.
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F Information and Records Management
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 Drafts and Notes
Consists of drafts and notes relating to agency business.
Retention Period:
(a) Substantive materials that add to an understanding of the work done, the thought process or intent of
the subjects covered, or that show the process by which conclusions were drawn: Retain according to the
retention period of the related record series. For example: drafts of policy, legislation, decision-making,
legal opinions, and executive level notes may be of historical value to be retained permanently.
(b) Materials such as random notes, preliminary, and copy edit drafts that do not add significantly to an
understanding of the file: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Notes:
1. At the conclusion of specific work, files should be gone through and weeded to remove duplicate and
unnecessary materials and loose information should be consolidated into a summary format, a file
summary sheet produced, and all materials put into a logical order.
2. See also record series “F3-4 Document Composition Materials.”
4 Document Composition Materials
Consists of materials created during the process to draw-up, design, or develop layouts for individual
documents such as memos, letters, reports, plans, and publications. Includes informal notes, shorthand,
sketches, worksheets, outlines, design and layout trial sheets, and rough drafts.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Stenographers Notes
Consists of shorthand or typed notes taken by a stenographer at hearings, court proceedings, or
meetings from which written transcriptions will be made.
Retention Period:
(a) Legal proceedings and official boards, commissions, and committees notes: Retain 1 year and after
transcribed.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
4 MGL 7(26).
F4 Media/Format
1 Electronic Records
Electronic records created, used, or filed for the purposes of agency business are public record as
defined by 4 MGL 7(26). No additional paper or other hardcopy or eye-readable copy need be kept
except where specifically required by statute, Supervisor of Public Records Bulletin, or agency legal
counsel.
Retention Period:
(a) Publications. Contact the State Librarian for procedures and formats necessary for the transmission of
the electronic data.
(b) Archival Records (those designated as permanent). Contact the State Archivist for procedures and
formats necessary for the transmission of the electronic data to the Archives.
(c) Official copies of meeting minutes are required to be kept in hardcopy format by Supervisor of Public
Records Bulletin 2-92.
(d). Electronic Record-Keeping System Plan (RCB-1E) needs to be approved by the Records
Conservation Board before any hardcopy source documents are destroyed. Records to be scanned and
destroyed use RCB-2E.
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F Information and Records Management
(e) All other records: For retention requirements use the appropriate record series retention period in the
Statewide Records Retention Schedule or in the approved Electronic Record-Keeping Plan (RCB-1E).
4 MGL 7(26).
2 Micrographic Records
Micrographics records created, used, or filed for the purposes of agency business are public record as
defined by 4 MGL 7(26). No additional paper or other hardcopy or eye-readable copy need be kept
except where specifically required by statute, Supervisor of Public Records Bulletin, or agency legal
counsel. Typical formats include microfilm, microfiche, and aperture cards.
Retention Period:
Where the micrographic record has been determined to be the official business copy and the hard copy
source documents have been destroyed: Retain based on the appropriate record series retention period
as determined by the content and function of the data.
Notes:
1. For permanent records, maintain 3 copies of the film: a negative print master, a positive print master,
and a reference use copy. When transferring to the Archives, send all three copies.
2. For film with retention periods greater than 15 years: Film according to specifications of 950 CMR
39.00. At a minimum, maintain a master copy and a use copy in separate locations. Ideally, one copy
should be off-site.
3. See also record series “F7-8 Retrospective Data Conversion Source Records.”
4. Records to be microfilmed then destroyed use the RCB-2M.
3 Audio/Visual Tape or Digital Recordings
Consists of agency program data captured as sound or moving images. Includes intake or dispatch
telephone call recordings, digital messaging system messages, security video tapes, hearing testimony
tapes, investigators audio and video tapes, special projects videos, meeting minutes and proceedings
recordings, or other digital renderings.
Retention Period:
(a) Security and surveillance tapes: Retain 1 month.
(b) Dispatch, digital messaging, program intake tapes: Retain 1 year.
(c) Hearing and testimony tapes: Retain 3 years.
(d) Investigation tapes: Retain 6 years after case closed; Retain selected noteworthy cases for review by
the Archives.
(e) Committee proceedings or minutes: Retain tapes 1 year and until transcribed on suitable medium for
permanent retention.
(f) Press conferences or ceremonies: Retain until administrative use ceases. Permission from RCB not
required for destruction.
(g) Special projects or events recordings: Retain until administrative use ceases. Permission from RCB
not required for destruction.
(h) Work tapes used to facilitate work in progress for the convenience of the person working on the case
or project: Retain until administrative use ceases. Permission from RCB not required for destruction.
(i) Moving image films: Review by the Archives after administrative use ceases. Permission from RCB not
required for destruction subsequent to review by Archives.
See also record series “J4-4 Dispatch and Communications Recordings.”
4 MGL 7(26).
4 Photographs, Slides, and Illustrations
Consists of any materials produced or maintained for the purposes of state business including
photographs, lantern slides, glass plates, illustrations, and sketches.
Retention Period:
Review by the Archives after administrative use ceases. Permission from RCB not required for
destruction subsequent to review by Archives.
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4 MGL 7(26).
5 Maps, Drawings, and Plans
Consists of drawings, maps, and plans produced or used in the course of agency business.
Retention Period:
Review by the Archives after administrative use ceases. Permission from RCB not required for
destruction subsequent to review by Archives.
4 MGL 7(26).
F5 System Infrastructure
1 System Programs, Applications, and Code Records
Consists of the software used to run agency computer systems. Includes coding and applications.
Retention Period:
Retain while any related business data are retained in the system or on backup media.
2 Systems Maintenance, Monitoring, and Testing Records
Consists of various computer output reports and procedures, which serve as tools for diagnostic,
comparative, or retrospective analysis of systems integrity, performance, and use. The reports are used
to monitor changes that may be indicators of potential, developing, or actual conditions warranting
corrective actions. Includes report planning and design notes, report programming documentation,
reports, report production cycle schedules, and related correspondence.
Retention Period:
Retain 3 years.
Note: These records may be needed to demonstrate that proper procedures and controls for the
capturing of information are established and being followed consistently over a period of time.
3 Website Documentation Records
Documents the design, construction, and use of agency websites. Includes general description of
purpose of the site, descriptions of major features and sections, diagrams and descriptive lists of links,
description of data sources, screen dumps of major pages, Webpage electronic snapshots, and related
correspondence.
Retention Period:
(a) Summary documentation describing major aspects, use, design, content of the site, and major
changes and restructuring, major page screen dumps and Webpage electronic snapshots: Permanent.
(b) All other records: Retain until superseded.
Notes:
1. See also record series “F7-6 Website Content Records.”
2. See also record series “F5-4 Systems Documentation Records.”
4 Systems Documentation Records
Consists of documentation for all aspects of systems hardware, software, and systems use. Includes flow
charts, layouts, schematics, network diagrams, data structure trees, database field definitions and
parameters, content gathering instructions, business rules, policy and procedures, workflow, and
processes.
Retention Period:
Retain for the life of the system or while related machine readable records exist unless another system
can read the records.
5 Systems Contingency Records
Documents the development and implementation of plans to restore and maintain system availability in
the event of hardware or software failure due to internal system breakdown or faults or the physical
damage of equipment from external sources.
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Retention Period:
Retain until superseded.
6 Systems Technical Support and Assistance Records
Documents the installation, maintenance of computer system hardware and software as well as help-desk
requests for technical assistance from system users. Includes logs, job orders, requests and responses,
troubleshooting notes, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Notes:
1. Maintain major troubleshooting, installation, and other documentation records with the record series
“Systems Documentation Records (F5-4).”
2. Take any necessary statistics before discarding any files.
7 Systems and Applications Development Records
Documents plans, proposals, and ideas for new or reconfigured computer systems. Includes budget
guidelines and worksheets, plans, proposals, quotes and bids documents, reference data, statistics, and
related correspondence.
Retention Period:
Retain for the life of the system.
8 Systems Conversion, Enhancement, and Upgrade Records
Documents the planning and implementation of major system changes, restructuring or additions to add
functionality and to extend capabilities. Includes plans, schedules, implementation procedures, data
conversion details, summary reports, program code fixes, problem logs, and verification procedures.
Retention Period:
(a) Final plans, summary reports, and substantive materials relating to major changes: Retain for the life
of the system or while related machine readable records exist unless another system can read the
records.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
See also record series “F7-8 Retrospective Data Conversion Source Records.”
F6 System Operations
1 Records Management Records
Documents the storage, retrieval, and final disposition of agency records whether these are on-site, in the
records center, or in the archives. Includes box storage transmittal forms, file and box inventory lists,
retrieval requests and notes, records center delivery manifests, Records Conservation Board approved
disposal schedules (RCB-1), RCB transfer and destruction approvals (RCB 2, 2T), electronic records
deletion reports, and related correspondence.
Retention Period:
(a) Record disposal schedules: Permanent.
(b) Record disposal schedule case files: Retain until disposal schedule is superseded.
(c) Archival transfer documentation: Permanent.
(d) Record inventories and surveys: Retain until administrative use ceases. Permission from RCB not
required for destruction.
(e) Records Conservation Board copies of destruction documentation: Permanent.
(f) Agency copies of destruction documentation: Retain 10 years.
(g) All other records: Retain 3 years.
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2 Systems Data Deletion Records
Documents the deletion of electronic records and data from systems in compliance with 30 MGL 42.
Includes deletion policy and procedures, approved Applications for Destruction (RCB-2), deletion reports
(scratch reports), deletion audit trail, and related correspondence.
Retention Period:
Retain 10 years.
Notes:
1. Deletion policy and procedures should be maintained in systems documentation manual.
2. See also record series “F6-1 Records Management Records.”
3 System Job Order (Run) Records
Documents jobs to create and run reports for agency offices. Includes job logs and schedules, work
orders, payment documentation, job run source code, transaction logs, and related correspondence.
Retention Period:
Retain 3 years.
4 Systems Intermediate Work Files Records
Consists of facilitative data, code, notes, and reports created during information transfers, batch
processing, data input/scanning, file maintenance, and running of routine procedures and processes.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Systems Use Reports
Consists of reports documenting computer use for fiscal and administrative planning or cost recovery
purposes including internet use and website activity.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
See also record series “F6-6 System Audit Trail Records.”
6 System Audit Trail Records
Documents the monitoring of system use and activities to ensure the integrity and reliability of data, and
to determine system user needs. Data includes information on log-ins, log-offs, edit dates, and related
audit data fields.
Retention Period:
(a) Substantive audit trail information: Retain while any related business data are retained in the system
or on backup media.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
(c) Department of Mental Health (DMH): Retain 6 years.
Note: Audit trail policy and procedures should be outlined in agency documentation manual including
descriptions of substantive audit trail information.
7 Systems Security Records
Documents provisions to secure the system, its data, and any components from damage, intrusion, or
loss. Includes monitoring programs and physical preventative structure design plans, and related
correspondence.
Retention Period:
(a) Retain for the life of the system or while related machine-readable records exist if necessary to help
substantiate integrity of the data.
(b) Otherwise, retain until superseded.
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8 Data Processing, Verification, and Monitoring Records
Documents the activities done to process, verify, and monitor data captured or utilized by electronic,
microfilm, or other record-keeping systems. Includes processors’ work and shift schedules; information
tracking and routing logs; batch control and error reports, file maintenance and monitoring reports and
code, document quality control reports, data kept solely for quality assurance purposes, and related
correspondence.
Retention Period:
(a) Information and data that can be used to document that proper procedures and control methods are
established and are being followed consistently over a period of time: Retain 3 years.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
9 Systems Training Records
Documents the training of employees relating to their work with agency information systems. Includes
training materials and descriptions, session attendance records, and related correspondence.
Retention Period:
Retain 3 years.
Notes:
1. Maintain major troubleshooting, installation, and other documentation records with the record series
“Systems Documentation Records (F5-4).”
2. Take any necessary statistics before discarding any files.
3. These records may be needed to demonstrate that proper procedures and controls for the capturing of
information are established and being followed consistently over a period of time.
F7 System Data
1 Data Source Records
Consists of original data source materials such as data input forms, records received from outside
sources on non-standard or transitional formats, media, or software, or any other newly acquired
materials that are scheduled to be reformatted and/or captured in a uniform manner by the agency’s
micrographic or electronic record-keeping system.
Retention Period:
Retain source documents until data capture is verified on the electronic record-keeping system.
Notes:
1. Data capture and verification policy and procedures should be detailed in the agency’s systems
documentation manual.
2. The Archives may wish to preserve the hard copy source documentation for record series with
permanent retention periods. Contact the Archives before destroying any records with permanent
retentions.
3. See also record series “F7-8 Retrospective Data Conversion Records.”
3 Voice Mail Correspondence Files
Consists of information and communications sent or received by individuals connected to voice
messaging systems. Records include transmission messages.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
4 MGL 7(26).
4 Information Finding Aids, Indexes, and Lists
Consists of indexes, logs, lists and other control access to information, documents, and materials held by
the unit.
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Retention Period:
(a) Superseded copies: Retain until administrative use ceases. Permission from RCB not required for
destruction.
(b) All other records: Retain as long as related records exist.
5 Database Content Records
Consists of the business data input or otherwise captured by database applications.
Retention Period:
Retain based on the appropriate record series retention period as determined by the content and function
of the data.
Notes:
1. Databases, data warehouses, document management systems, GIS systems, and electronic recordkeeping systems may need to be appraised and scheduled individually and may not be fully covered by
this disposition schedule. Please contact the Records Management Unit of the Archives for further details.
2. See also record series “F5-4 Systems Documentation Records.”
6 Website Content Records
Documents the posting of program business on websites. Includes public announcements, publications,
policy, and other items.
Retention Period:
(a) Official public announcements and notifications: Retain 3 years.
(b) Contract related matters: Retain 6 years from contract close.
(c) Publications: Permanent. Make arrangements with the State Librarian to transfer a copy to the State
Library.
(d) All other web content: Retain based on the appropriate record series retention period as determined
by the content and function of the data.
Notes:
1. Records on the website with long retention periods do not have to remain on the website for the
duration of the retention period. Provide documentation of the location of any records removed from the
web.
2. See also record series “F5-3 Website Documentation Records.”
3. See also record series “F5-4 Systems Documentation Records.”
7 Legacy Data Records
Consists of data from superseded or defunct systems where upgrade or conversion has not occurred, or
may not occur. Materials include hardcopy, magnetic tapes, on-line data and program applications, floppy
disks, CD-ROM, DVD-ROM, data punch cards, or index cards.
Retention Period:
Retain data based on applicable record series. Where record series is unidentified such as for a defunct
and closed record series submit records to the Archives to determine proper retention periods and to
determine if reformatting is necessary to assure proper preservation of the data for the duration of the
retention periods.
Note: It may be necessary to retain original hardware and software along with the data to assure files can
be read and accessed for the duration of the retention periods.
8 Retrospective Data Conversion Source Records
Consists of records from existing files that have been selected for conversion into other formats or
systems, especially electronic scanning applications, databases, and microfilm. Includes documents,
images, audio-visual tapes, and data.
Retention Period:
Retain original source materials until verified as complete and legible on new system formats.
Notes:
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1. Data capture and verification policy and procedures should be detailed in the agency’s systems
documentation manual.
2. The Archives may wish to preserve the hard copy source documentation for record series with
permanent retention periods. Contact the Archives before destroying any of these records.
3. See also record series “F7-1 Data Source Records.”
9 Data “Archival” Storage Records
Consists of electronic records, which must be retained for their continuing informational value and not for
systems crash protection. Records may be on-line, near-line, off-line, or some combination.
Retention Period:
Retain based on the appropriate record series retention period as determined by the content and function
of the data.
Notes:
1. Data storage methods should be outlined in the systems documentation manual.
2. It is recommended that a minimum of three copies be kept for any important files and that one of these
is off-site.
3. Data should be tested yearly to assure no data loss, that data is migrated, and that proper storage is
being maintained.
4. See also record series “F5-4 Systems Documentation Records.”
5. See also record series “F7-5 Database Content Records.”
10 Data Backup Records
Consists of system data backups whether on-line, near-line, off-line, or some combination. Provides
systems crash protection in the event of lost or damaged files, or otherwise irretrievable files or
programming code.
Retention Period:
Retain media and data based on a backup system schedule.
Notes:
1. Backup cycle schedules should be maintained in the system documentation manual.
2. It is recommended that a minimum of three backups be kept for any important files and that one of
these is off-site.
3. It is recommended that some long term backups be kept in addition to dailies such as a monthly and a
yearly to guard against incremental or undetected data corruption.
4. Test backups at least yearly to assure capture is complete and that files are retrievable.
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G1 Election Candidates
1 Candidate Qualifying Records
Documents candidates’ application to be placed on ballots. Includes application, qualification materials,
nomination papers, and related correspondence.
Retention Period:
Retain 6 years.
2 Candidate Public Financing Request Records
Documents candidates’ requests for limited public financing. Includes request for limited public financing,
statement of qualifying contributions and qualifying contributions list and summary.
Retention Period:
Retain 6 years.
Notes:
1. Most information duplicated in candidates financial filings.
2. Documents filed with Director of Campaign Finance.
55A MGL 1-12.
3 State Primary and Election Nominations
Documents nomination of persons by political parties at state primaries.
Retention Period:
Retain 1 year from date of filing.
4 Federal Candidate Financial Reports
Provides a record of reports required to be filed by political campaigns and political action committees for
Presidential, Senatorial, and Congressional campaigns by order of the Federal Elections Commission.
Includes FEC forms 3, schedule A, schedule D, and organizational statements.
Retention Period:
Retain 1 year.
Notes:
1. Reports are available on the FEC website available in the Secretary’s office.
2. The federal government retains reports permanently.
Pub. Law 92-225 (b)(2).
5 Campaign Finance Disclosure Records
Documents contributions and expenditures to persons running for office. Includes earnings reports and
related correspondence.
Retention Period:
Permanent.
6 Campaign Finance Monitoring and Investigation Records
Documents investigations and review of campaign financing, disclosure of expenditures and
contributions, or other election process that may be subject to abuse. Includes audit materials, interview
notes, hearings and disposition agreements, and related correspondence.
Retention Period:
Retain 20 years.
55 MGL 3, 55A.
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7 General Court Candidate Financial Filings
Documents filings of candidates for seats in the General Court of their finances. Includes reports,
crosschecking materials, and.
related correspondence.
Retention Period:
Permanent.
Note: Documents filed with Director of Campaign Finance.
55 MGL 1.
8 Statewide Office Candidate Financial Filings
Documents filings of candidates for statewide offices designating a bank or trust company in which they
will be depositing campaign funds, and campaign finance reports. Includes certificate of appointment of
depository, campaign finance reports ad reports of general and fundraising contributions, and related
correspondence.
Retention Period:
Permanent.
Note: Documents filed with Director of Campaign Finance.
55 MGL 1.
9 Referendum Committee Financial Filings
Documents filings of committees organized to promote the success or defeat of a question placed before
the people on a state ballot of their finances.
Retention Period:
Permanent.
Note: Documents filed with Director of Campaign Finance.
10 Corporation Campaign Contributor Financial Filings
Documents filings of corporations that contribute funds to influence the vote on questions submitted to the
people. Includes report of disbursements and outstanding liabilities.
Retention Period:
Retain 6 years.
Notes:
1. Information duplicated in referendum committee filings, unless independent expenditure.
2. Documents filed with Director of Campaign Finance.
55 MGL 22.
G2 Lobbyists
1 Lobbyists’ Employers Financial Disclosure Filings
Documents the semi-annual filing of financial disclosure reports with the Secretary by employers of
lobbyists to effect legislative change.
Retention Period:
Retain 1 year.
3 MGL 47.
2 Political Committee Statements of Organization Filings
Documents filings of all political committees of statements of organization pursuant to 55 MGL 5. Includes
statements, amendments, and related correspondence.
Retention Period:
Permanent.
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Note: Documents filed with Director of Campaign Finance.
55 MGL 5.
3 Ward and Town Political Party Committee Financial Filings
Documents filings of ward and town political parties of their finances.
Retention Period:
Retain 4 years.
Note: Documents filed with Director of Campaign Finance, Secretary of State, State parties, and town
clerks.
4 Lobbyist/Organization Registration and Financial Disclosure Filings
Documents the annual registration of lobbyists (legislative agents) and organizations with the Secretary of
State’s Office and the subsequent semi-annual filing of financial disclosure reports. Includes identification
and photo, Notice of Employment or Agreement, Executive of Legislative Agent Registrations for Multiple
or Indirect Employers, Authorization of Executive of Legislative Agent, Executive and Legislative Agent
Reporting Statement, Reporting Statement for Campaign Contributions, Reporting Statement for
Employers of Executive and Legislative Agents, filing fee documentation, and related correspondence.
Retention Period:
Retain 1 year.
Notes:
1. Information is maintained in record series “Lobbyists and Employers Reports (G2-6)” as a permanent
record.
2. The Director of Political and Campaign Finance maintains files permanently.
3 MGL 41,44.
5 Lobbyist/Organization Filings Monitoring Records
Documents reports of violations of filing requirements by not filing or filing improperly. Includes financial
disclosure files, reports of violation of disclosure, and related information and correspondence.
Retention Period:
Retain 1 year.
3 MGL 43,44,47.
6 Lobbyists and Employers Reports
Provides a summary of lobbyist and employer registrations and financial disclosures. Titles include:
Massachusetts Lobbyists and Employers Registration Listing, Report of Disclosed Salaries and
Expenditures, and Statistical Report of Salaries and Expenditures.
Retention Period:
(a) Year-end reports: Permanent.
(b) Interim reports: Retain until year-end report is published.
Notes:
1. Copies are sent to the State Library.
2. Non-profit organizations disclosures and statistics are not included in the reports.
7 Political Action Committee Financial Filings
Documents filings of Political Action Committees of their financial status. Includes campaign finance
reports and related correspondence.
Retention Period:
Retain 4 years.
Note: Documents filed with Director of Campaign Finance.
55 MGL 1.
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G3 Election Voting
1 Electoral College Records
Documents the administration of federal Electoral College proceedings. Includes rosters of electors,
oaths, sample ballots, federal election procedure information, certification of electoral votes and
proceedings.
Retention Period:
Permanent.
54 MGL 148.
2 Election Districts Records
Documents any changes to voting districts in cities and towns as reviewed by the Local Election District
Review Commission. Includes precinct maps, census data, copies of votes from city councils and
selectmen authorizing precincts and LEDRC authorization letters.
Retention Period:
Permanent.
3 Voting Machine Certification Records
Documents the certification of voting machines for accuracy and reliability for use in local and state
elections. Includes notifications of types of machines used, specimen ballots, procedure manuals, test
results, and related correspondence.
Retention Period:
Retain 3 years after decertification.
54 MGL.
4 Voter Registration Records
Documents the registration of voters. Includes registration forms and listings.
Retention Period:
Retain 3 years after superseded.
5 Polling Place Registrations
Documents registered voters by polling place.
Retention Period:
Retain 3 years.
6 Election Returns of Town Officers
Documents annual reports from Town Clerks of Elections of Town Officers, including notices of
resignations and interim appointments.
Retention Period:
Permanent.
7 Election Ballots and Instructions Records
Documents ballots cast in state elections for state officials, petitions, and referendums. Includes ballot
preparation materials, notification of number of members to be elected, sample ballots, street lists for
information distribution, ballot instructions and penalties information, cast ballots, and ballot handling
documentation.
Retention Period:
(a) A sampling of ballots, instructions, voting machine specifications, and voter information pamphlets:
Permanent.
(b) Cast Ballots: Retain 30 days after finalization of ballot count.
(c) Unused Ballots: Retain 30 days after finalization of ballot count.
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(d) All other records: Retain 3 years after finalization of the ballot count.
53 MGL 70B; 52 MGL 9; 54 MGL 48; 383 MGL Acts of 2002 as of Feb 25, 2003.
8 Election Initiative, Petitions, and Referendums Records
Documents petitions to be considered for placement on ballots. Includes certified signatures of the first
ten signers, the certified summary of the petition text, Attorney General opinion’s as to the
appropriateness of the issues for vote, and related correspondence.
Retention Period:
(a) Petitions as certified whether approved by voters or not: Permanent.
(b) Non-qualified petitions: Retain 3 years.
(c) Signature sheets: Retain 30 days after election is finalized.
(d) Alcoholic Beverage License Petitions: Retain 3 years.
See also record series “B6-2 Attorney General Initiative Petition Review Records.”
9 Vote Returns Certification Records
Documents the reporting of election vote totals (tabulations) for federal, state offices, petitions, and
elected town officials, and referendums. Includes reports, and written certifications of votes by the
Governor and the Governor’s Council or the Town Clerk for municipal elections.
Retention Period:
(a) Certification of totals: Permanent.
(b) All other records: Retain 1 year.
10 Election Reviews and Challenges Records
Documents the review of elections where results may have been questioned.
Retention Period:
Review by the Archives 6 years after conclusion.
11 Access to the Ballot Case Files
Documents the decisions of the State Ballot Law Commission to resolve complaints of individuals
regarding access to the ballot through the nominating process or through placement of initiatives or
referendums on a state ballot. Includes complaints, objections, notice of public hearings, and commission
decisions.
Retention Period:
Permanent.
G4 Commissions and Appointments
1 Commissions and Boards Appointment Log Books Records
Provides a summary listing of appointments to boards and commissions and any changes such as
resignations or interim/recess appointments.
Retention Period:
Permanent.
2 Boards, Authorities, Councils, Commission Appointment Records
Documents the appointment of members to Housing Authorities, Mental Health and Retardation Boards,
Metropolitan Area Planning Council, and special commissions. Includes appointment notifications,
change in status, and related correspondence.
Retention Period:
Permanent.
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3 Appointment Qualification Signature Books
Documents the signature (at the Secretary’s Offices) before witnesses of notary publics, justices of the
peace, and other appointments in order to complete the appointment process.
Retention Period:
Permanent.
4 Appointment Performance Bond Filings
Documents the filing of bond files by certain state and county officials, members of commissions, boards
and authorities of the Commonwealth. Bonds protect the governmental body from fraudulent actions on
the part of the individual. Filing of bonds is a requirement before taking office.
Retention Period:
Retain 6 years after expiration.
Note: Attorney General’s office reviews and monitors bond contracts.
5 Appointment Qualification Certification Records
Documents completion of the election/appointment qualification process by ay appointee by their filing
and/or signing oaths of office at the Secretary’s Offices. Includes notifications of appointment, nomination
letters and oaths (form-O), interim appointments, and related correspondence. Appointments include
among others: Governor and Lieutenant Governor, classified civil officers, county officers, court clerks,
medical examiners, Governor’s appointments, Housing Authority board members, justices of the peace,
and notary publics.
Retention Period:
Permanent.
Note: Governor and Lieutenant Governor oaths of office are signed by the President of the Senate, the
Speaker of the House, and the Secretary.
6 Non-Residents and Resident Clergyman and Solemnization of Marriage Records
Documents the appointment of non-resident and resident clergymen and the one-time solemnization of
marriages.
Retention Period:
Retain 1 year.
7 City and Town Acceptance of General Laws Records
Documents the acceptance or rejection of state legislation by cities and towns. Includes acceptances,
rejections, and related correspondence.
Retention Period:
Permanent.
8 City and Town Appointment Notifications
Documents city and town appointment and resignation notifications and other notifications filed with the
Secretary that do not require appointment qualification certification filings.
Retention Period:
Permanent.
9 Notary Public Apostille Verification Records
Documents the verification of notary public signatures on documents sent to foreign countries in
compliance with the Hague Convention of Oct. 5, 1961. Includes carbonless copy of Apostille (form A-1).
Retention Period:
Retain 1 year.
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10 Notary Public Validation of Acts Certification Records
Documents the issuance of certificates by the State Secretary validating acts of notary publics where the
original notarization was invalid due to a failure to re-register after a change of name or due to expiration
of commission.
Retention Period:
Permanent.
9 MGL 15A; 39 MGL 59.
11 Form O Notary Public Filing
An appointee’s signature appears on Form O, along with residence, position, appointment date,
qualification date. his is done after having been sworn in to the position (i.e., Notary Public) before two
commissioners to qualify. Form O’s are scanned in as a Tiff image and saved on the local area network.
The system is backed up using the industry standard, Grandfather, Father, Son methodology for tape
rotation. The Secretary institutes a four-week on-site/off site weekly tape rotation from the main office
located at One Ashburton Place, Boston, MA 02108 to The Massachusetts State Archive located at 220
Morrissey Blvd. Boston, MA.
Retention Period:
Backup tapes are stored in a secure location in western Massachusetts for a period of 12 months. After
12 months, the tapes are returned to the Secretary’s main office for reinsertion into the tape queue.
12 Notary Public Re-Registration (name Change)
These documents are filed alphabetically by surname before the name change.
Retention Period:
Permanent. The certificates are bound and sent to the archive.
G5 Legislation and Policy
1 Rules and Regulations Filings
Documents the official filing of state agency rules and regulations. Includes submissions, public hearing
documentation, and related correspondence.
Retention Period:
(a) Rules and Regulation filings with Secretary of State’s Office: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
2 Acts and Resolves Filings
Documents the official filing of House and Senate Acts and Resolves with the Secretary’s office. Includes
engrossed copies and accompanying support materials.
Retention Period:
Permanent.
3 Request for Opinions
This is a log of Request for Opinions from the Governor’s Legislative Office to the Secretary of State’s
Legislative Office. The purpose of this series is to track the time when the Secretary of State response is
due at the Governor’s office.
Retention Period:
Keep until the end of the current administration.
4 Secretary of State’s Responses
This series is the Secretary of State’s responses to requests on legislation awaiting the Governor’s
signature. The purpose of this series is to comment on impact of legislation on the office of the Secretary
and the laws of the Commonwealth under which the Secretary has jurisdiction.
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Retention Period:
Keep until the end of the current administration.
5 Legislation Files-Passed Legislation (Record Copy)
This series is used to track agency input and progress of legislation of concern to the Secretary’s office
that was passed by the General Court. This series includes: copies of bills in various stages, agency
questionnaires and comments by staff, public hearings, community testimony, and correspondence. They
are arranged by bill number.
Retention Period:
Permanent.
Note: Duplicates of selected material is kept in the Governor’s Legislation Office.
6 Legislation Files-Unpassed
This series is used to track agency input and progress of legislation of concern to the Secretary’s office
that was not passed by the General Court. If the bill is reintroduced a new folder is created. This series
includes: copies of bills in various stages, agency questionnaires and comments by staff, public hearings,
community testimony, and correspondence. They are arranged by bill number.
Retention Period:
Permanent.
7 Legislative Liaison Correspondence
This series is correspondence documenting issues brought to the attention of the Secretary by a member
of the General Court, constituent referrals, casual and routine communications. These files are arranged
chronologically.
Retention Period:
Retain 3 years.
Note: Duplicates of selected material is kept in the Secretary’s files.
8 Reference Subject Files
This is a ready reference file on divisions of state government. This series is composed of: clippings,
agency/division publications, and administrative memorandum. This file is arranged alphabetically. None
of this material is original.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
9 Legislation Status Report
This is a monthly report tracking progress of bills through the legislative process. This series is arranged
chronologically.
Retention Period:
Retain 3 years.
Note: A duplicate is kept in the Secretary’s files.
G6 Corporations and Business
1 Corporations Service of Process Records
Documents the Secretary’s role as agent for service of process for certain corporations. Includes
summons, complaints, and compliance letters issued by the Secretary of the State.
Retention Period:
Retain 3 years.
2 Corporations and Businesses Regulation Records
Documents the registration of corporations, foreign corporations, limited partnerships, trusts, and public
charities. Includes applications, articles of organization and amendment, annual reports, change of
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officers and directors, bylaws, registrations, Department of Public Health, Department of Public Works, or
Board of Higher Education approvals, revivals of dissolved corporations, and related correspondence.
Retention Period:
Retain 85 years after microfilming and public hearing. Master microfilm transfer to Archives.
155 MGL 2B; 180 MGL 6; 69 MGL 30,31.
3 Universal Commercial Code Filings
Documents the filing with the Secretary’s office of Universal Commercial Codes. Includes amendments
and continuations.
Retention Period:
(a) 1 year after microfiche and verification.
(b) Master: 6 years from date of filing.
106 MGL.
4 Trademark Registration Filings
Documents the registration of trademarks with the state. Includes applications, support documentation,
and related correspondence.
Retention Period:
Retain 20 years and subject to review by the Archives.
G7 Securities
1 Registration, Exemption, and Notice Filing Register
Provides a summary listing of all notice filings made under subsection (b) of section 202 (federally
registered investment advising firms) and section 306 (investment companies/mutual funds) of MGL c.
110A and all applications for registration and registration statements which are or have ever been
effective under this chapter, all exemption filings under section 402 of this chapter, all exclusion notice
filings under 950 CMR 14.401, and all denial, suspension, or revocation orders which have been entered
under this chapter.
Retention Period:
Permanent.
Notes:
1. The Register is maintained on the Security Divisions database.
2. Most broker-dealer and investment advisor information is also retained on the Central Registration
Depository (CRD) and/or the Investment Adviser Registration Depository (IARD), both operated by the
National Association of Security Dealers (NASD).
110A MGL 413.
2 Broker-Dealer Registration and Exclusion Notice Filings
Documents the registration of NASD-member broker/dealers, non-NASD broker-dealers, and the
exclusion notice filing by certain Canadian broker-dealers when claiming an exclusion from the definition
of broker-dealer as found in 950 CMR 14.401. Includes initial application Form BD, amendments to Form
BD, financial statements, registration renewal materials, withdrawal notice Form BD-W, disciplinary
information, and related support materials and correspondence.
Retention Period:
Retain 3 years after current registration or exclusion period ends.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing.
2. Materials, which are also retained on the Central Registration Depository (CRD) or the Investment
Advisor Registration Depository (IARD), and materials that were unnecessarily sent to the Division need
not be retained.
110A MGL 202,203; 950 CMR 12.202, 12.203, 14.401.
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3 Investment Adviser Registration and Federal Covered Advisor Notice Filings
Documents the registration of investment advisers and the notice filings of federal covered advisers.
Includes initial registration Form ADV, amendments to ADV, disclosure brochures, surety bonds and
financial statements, advisory contracts, registration renewal materials, Form ADV-W, disciplinary
information, and related support materials and correspondence.
Retention Period:
Retain 3 years after current registration or notice filing period ends.
Notes:
1. Carry forward any materials from previous registrations or notice filings necessary to complete the
current filing.
2. Materials, which are also retained on the Central Registration Depository (CRD) or the Investment
Advisor Registration Depository (IARD), and materials that were unnecessarily sent to the Division need
not be retained.
110A MGL 202, 203; 950 CMR 12.205.
4 Broker-Dealer Agent and Investment Adviser Representative Registration
Documents the registration of agents of broker-dealers and representatives of investment advisers.
Includes initial application Form U-4, amendments to Form U-4, section 202(a) affidavits, evidence of
meeting examination or certification requirements, registration renewal materials, termination notice Form
U-5, disciplinary information, and related support materials and correspondence.
Retention Period:
Retain 3 years after current registration ends.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing.
2. Materials, which are also retained on the Central Registration Depository (CRD) or the Investment
Advisor Registration Depository (IARD), and materials that were unnecessarily sent to the Division need
not be retained.
110A MGL 202,203; 950 CMR 12.202, 12.203, 12.205.
5 Securities Registration and Exemption Filings
Documents the registration of securities for entities offering securities for sale. Includes Massachusetts
notice form or federal notice form (SEC Form D), consent to service of process (Form U-2), and may
include offering materials and related correspondence.
Retention Period:
(a) Documents duplicated on the federal Securities and Exchange Commission’s EDGAR Database:
Retain until administrative use ceases. Permission from RCB not required for destruction.
(b) All other records: Retain 3 years after final determination.
110A MGL.
6 Investment Company Notice Filings
Documents the filing of notices by investment companies (investment companies, face amount certificate
companies, closed-end management companies, and unit investment trusts) offering mutual funds for
sale but exempted from registration. Includes notice form (Form NF), Consent to Service of Process
(Form U-2), cover letters, and related correspondence.
Retention Period:
Retain until data is verified on database.
7 Issuers Consent to Service of Process Filings
Documents the filing of Uniform Consent to Service of Process notices by issuers (non-investment
companies) of securities who are exempted from registration. Includes Uniform Consent to Service of
Process (Form U-2) and related support materials and correspondence.
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Retention Period:
Retain until data is verified on database.
110A MGL 414(g).
8 Sales and Advertising Literature Filings
Documents the filing of sales and advertising literature from brokerage firms for review by the Securities
Division to determine that advertising and promotional materials are not false or misleading pursuant to
110A MGL 403 and that materials reflect full and fair disclosure and readability. Includes prospectus,
pamphlet, circular, form letter, advertising or other sales literature intended for distribution to prospective
investors, and related correspondence.
Retention Period:
Retain until review is completed.
Note: A destruction application does not need to be filed with the Records Conservation Board before
discarding these.
records.
9 Interpretative Opinion Records
Documents the General Counsel of the Securities Division’s responses to public inquiries or requests for
legal clarifications, opinions, or explanations of the Securities Act and Rules in order to assist persons in
complying with the law. Includes initial requests for information, background support materials and notes,
formal legal opinion releases or other products, and related correspondence.
Retention Period:
(a) Final products and substantive support materials: Permanent.
(b) All other records: Retain 3 years.
10 Inquiries and Complaints Records
Documents the handling of routinely disposed of inquiries and complaints from individual investors or
potential investors relating to security firms, agents, or transactions. Includes inquiries, letters of
complaint, support materials, and related correspondence.
Retention Period:
(a) Withdrawn, non-jurisdictional, or incomplete inquiries and complaints: Retain 1 year.
(b) All other records: Retain 3 years.
11 Investigation and Enforcement Records
Documents the investigation of public or private firms, agents, or persons and any subsequent
enforcement of violations of the Uniform Securities Act 110A MGL, Blue Sky Law). Includes letters of
complaint, subpoenas, background and evidentiary materials, depositions, oaths and affirmations,
requests for opinions, administrative sanction documentation, and related correspondence.
Retention Period:
(a) Landmark or policy setting cases: Permanent.
(b) All other records: Retain 6 years after final settlement or action.
Note: Some cases may be referred to the Attorney General or other enforcement bodies.
110A MGL.
12 Administrative Hearing Enforcement Action Case Files
Documents the adjudicatory proceedings of investigations initiated by the Secretary of State’s filing of an
administrative complaint. Includes administrative complaints, requests for hearings, answers, pre-hearing
conference materials, background support materials, motions, subpoenas, orders and answers, exhibits,
evidence, settlement or consent order documentation, decisions and final orders, notices of appeal, and
related correspondence.
Retention Period:
Permanent.
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110A MGL; 950 CMR 10.06.
13 Investor Education Program Records
Documents the Securities Division program created to provide potential investors with information on
methods to protect themselves against unnecessary risks, determining their personal financial situation
and needs, and setting realistic investment objectives. Includes investor education forum materials,
publications, program administrative records, testimonials, and related correspondence.
Retention Period:
(a) Substantive planning documentation and summary presentation materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
G8 Deeds
1 Deed Registration Records
Documents the registration of deeds to commonwealth land. Includes applications, lien histories,
easements and right of ways, and related correspondence.
Retention Period:
Permanent.
G9 State Matters
1 State Seal and Other Records
Documents the Secretary’s keeping of the State Seal including any determinations or complaints about its
use as regulated by 2 MGL 5. Includes complaints, determinations, and related correspondence.
Retention Period:
Permanent.
2 MGL 5.
2 Abolished County Records
Consists of any records left over from counties that have been abolished.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 State Citations and Awards Records
Documents awards by the state to the public for achievement or merit.
Retention Period:
Permanent.
G10 Historic Property
1 Property Appraisers Certification Records
Documents the registration of property appraisers.
Retention Period:
Retain 3 years.
2 Historic Preservation Information Source Files
Documents the development of preservation planning and resources in the community. Includes field
reports, photographs, inventory forms, pre-registry inquiries, and related correspondence.
Retention Period:
Permanent.
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3 Historic Preservation Restrictions Agreement Records
Documents the agreements between owners of land and the Massachusetts Historical Commission or a
non-profit organization regarding the future use of historic and archeological properties.
Retention Period:
Permanent.
Note: Some records duplicated at the Registry of Deeds.
4 National Historic Preservation Act Compliance Records
Documents the monitoring and review of public projects and their effects on historic and archeological
properties.
Retention Period:
Retain 5 years in office, then 40 years in the State Records Center.
National Historic Preservation Act of 1966; 9 MGL 26-27C.
5 National Register of Historic Places Compliance Records
Documents the monitoring of properties in, or eligible for inclusion in, the National Register of Historic
Places. Includes written summaries, photographs, drawings, and related correspondence.
Retention Period:
Permanent.
6 Historic Preservation Certification Records
Documents Massachusetts Historical Commission help to property owners, developers, architects, and
preservation consultants apply for certification that qualify them to apply for federal tax credits for the
rehabilitation of historic buildings. Certifications are granted by the National Park Service. Includes
historic preservation certification applications, photographs, architectural drawings, and related
correspondence.
Retention Period:
Permanent.
Tax Reform Act of 1976, the Revenue Act of 1978, the Tax Treatment Extension Act of 1980, the
Economic Recovery Tax Act of 1981 amended by the Tax Reform Act of 1984, and the Tax Reform Act of
1986.
7 Archeology Records
Documents state archeological programs to find and protect archeological remains.
Retention Period:
Permanent.
G11 Library/Archives
1 Library/Archives Accession Log
Documents the acceptance of materials into libraries, archives, or special collections.
Retention Period:
Permanent.
2 Archives and Records Center Vault Records
Documents the monitoring of records storage areas for security purposes. Includes security logs and
environmental data sheets.
Retention Period:
Retain 3 years.
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3 Library/Archives Reference Requests
Documents patron requests for information or materials from the holdings of the State Library or the
Massachusetts Archives or other agency where the researcher is using permanent archival materials from
vaults or closed stack areas. Includes request and response communications, fee payment
documentation.
Retention Period:
(a) Archival collections request forms: Permanent.
(b) Where payments are made: Retain 3 years.
(c) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Notes:
1. Gather any necessary statistics before discarding any materials.
2. See also record series “B2-1 Public Records Request Records.”
4 Library/Archives Call Slips
Documents in-house movement of materials from shelves.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: Take any necessary statistics before destroying any records.
5 Archives Researcher Registers
Documents the registration of researchers to the Massachusetts Archives or other agency facility for
identification, security and statistical purposes.
Retention Period:
Permanent.
6 State Publications Listing
Consists of a listing of state publications received by the State Library, published quarterly with an annual
compilation.
Retention Period:
Retain 2 copies permanently in the State Library collection.
7 Librarian Certification Records
Documents the certification of public librarians in the Commonwealth pursuant to 78 MGL 19B; 605 CMR
4; 78 MGL 22-31; 605 CMR 3.
Retention Period:
Retain 75 years.
78 MGL 19B; 605 CMR 4; 78 MGL 22-31; 605 CMR 3.
8 Reference Activity Reports/Statistics
Periodic compilation of statistics of reference requests, researcher visits, collection use, and fees
received.
Retention Period:
Permanent.
9 LSTA (Library Services and Technology Act)
The LSTA State Program has a five-year funding cycle that starts with the submission and approval of the
Five Year Plan, continues with the awarding of five consecutive Grant Awards and their respective
Reports, and ends with a Five-Year Evaluation. All of these parts are directly related and cannot function
independently of the others.
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Retention Period:
Since the entire five-year package of documents is pertinent to the State Program, records for all
documents associated with that five-year period must be kept until seven years after the last report is
submitted. Typically, the last report to be submitted for a given five-year is the fifth year’s Annual Report.
Notes:
(a) In 45 CFR 1183.42 (a) and (b), Federal regulations state that records must be kept for three years
after the grantee (a.k.a., the State Library Administrative Agency) submits the last expenditure report for
that period.
(b) Audits for any of the state’s fiscal year LSTA activities can extend the records retention period;
documents must be retained for a period of three years following the resolution of an audit.
10 LSCA (Library Services and Construction Act) Title II-Public Library Construction
The period of use for LSCA Title II funds is not limited, and federal regulations maintain that a “Federal
Interest” is attributable to all state projects funded in part by Title II for a period of twenty years after the
completion of those projects. For state construction projects that have already been completed, IMLS will
maintain completion reports; the states, however, must maintain all records pertaining to their projects,
including blueprints. Accurate records are always important, but they become critical when a library that is
constructed with Title II funds outgrows the facility and needs to be remodeled or moved to another
building, or is no longer used as a library and needs to be sold. Approval for any changes to the property
must be approved by IMLS, and the percentage of federal interest must be updated.
Retention Period:
20 years after completion of project.
11 State Records Center: Records Request Sheet
Used by state agencies to request information stored within the State Record Center.
Retention Period:
Retain 5 years.
12 State Records Center: Assessment
Consists of information that assists the State Record Center in managing the inventory of records.
Retention Period:
Retain 5 years.
G12 Corporations (formerly Schedule No. 39/87, 48/87)
1 Annual Reports of Corporations AKA Mass Conditions (Filed Pursuant to MGL c. 156A, 156B,
and 181)
Includes corporate name, name and addresses of officers and directors, principal office, stock
information, and federal identification number. Duplicates are available at the Corporations Division or the
State Records Center.
Retention Period:
(a) Annual report paper copy (MGL c. 156): Retain 6 months after microfilming and verification.
(b) Annual report microfilm master copy (MGL c. 156): Retain 10 years.
(c) Annual report microfilm duplicate copy (MGL c. 156): Retain 10 years.
2 Annual Reports of Non-Profit Corporations (Filed Pursuant to MGL c. 180)
Includes corporate name, name and addresses of officers and directors, principal office, and federal
identification number. Duplicates are available at the Corporations Division or the State Records Center.
Retention Period:
(a) Non-profit annual report paper copy: Retain 6 months after microfilming and verification.
(b) Non-profit annual report microfilm master copy: Retain 10 years from filing.
(c) Non-profit annual report microfilm duplicate copy: Retain 10 years from filing.
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3 Uniform Commercial Code (UCC) Financing Statements (including amendments and
continuations) filed pursuant to MGL c. 106
Includes name and address of debtor and secured party, a description of collateral, and signatures of
debtor and secured party.
Retention Period:
(a) Paper copy: Retain 6 years from filing.
(b) Microfilm master copy: Retain 6 years from filing.
(c) Microfilm duplicate copy: Retain 6 years from filing.
(d) Microfilm second duplicate copy: Retain 6 years from filing.
4 Termination Statements Filed Pursuant to MGL c. 106
Terminates a financing statement. Includes the name and address of the debtor and secured party, the
original file number, date of termination and signature of secured party.
Retention Period:
(a) Paper copy: Retain 1 year from filing.
(b) Microfilm master copy: Retain 1 year from filing.
(c) Microfilm duplicate copy: Retain 1 year from filing.
5 Certificates of Organization for Limited Liability Companies Filed Pursuant to MGL c. 156C
Retention Period:
(a) Paper copy: Retain 85 years after microfilming and public hearing.
(b) Microfilm master copy: Permanent.
(c) Microfilm duplicate copy: Retain until administrative use ceases.
6 Certificates of Organization for Limited Liability Partnerships Filed Pursuant to MGL c. 108A
Retention Period:
(a) Paper copy: Retain 85 years after microfilming and public hearing.
(b) Microfilm master copy: Permanent.
(c) Microfilm duplicate copy: Retain until administrative use ceases.
7 Annual Reports for Limited Liability Companies and Limited Liability Partnerships Filed
Pursuant to MGL c. 156C and 108A
Retention Period:
(a) Paper copy: Retain 6 months after microfilming and verification.
(b) Microfilm master copy: Retain 10 years.
(c) Microfilm duplicate copy: Retain 10 years.
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H1 Administration
1 HEGIS Report Records
Documents reports on the institution sent to the U.S. Department of Education.
Retention Period:
Permanent.
2 Dean’s Records
Document’s the Dean’s activities. Includes subject or correspondence files maintained for monitoring and
decision making purposes.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
See also record series “A3-1 Executives’ Correspondence/Subject Files.”
3 Satellite Campus Oversight Records
Documents the management of satellite campuses. Includes reports, memos, directives, and related
correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
H2 Admissions
1 Student Admissions/Registration Records
Documents applications to the school and subsequent progress. Includes transcripts, acceptance letters,
transfer records, course credit sheets and evaluations, veteran information, and related correspondence.
Retention Period:
(a) Matriculated students’ records: Retain 5 years after graduation or separation from institution.
(b) All other records: Retain 3 years.
See also record series “H5-8 Official Course and Grade Records.”
2 Student Immunization Records
Documents the immunization of students entering the institution. Includes immunization record and
related correspondence.
Retention Period:
(a) Students entering health training programs: Retain 5 years after separation from the program.
(b) All other records: Retain 10 years.
See also record series “H9-5 Student Health Clinic Records.”
105 CMR.
3 Tuition and Fees Records
Documents tuition and fee structure, analysis, and policy.
Retention Period:
(a) Policy documentation: Permanent.
(b) Actual payments: Retain 3 years after settlement.
4 Student Financial Aid Records
Documents aid given to students to help pay for schooling. Includes financial aid applications, federal
student aid forms, federal tax forms, award letters and confirmations, verification records, and interview
documentation.
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Retention Period:
Retain 5 years after separation.
34 CFR.
5 Student Scholarships, Fellowships, and Awards Records
Documents the process to give scholarships and other aid awards.
Retention Period:
(a) Summary records: Permanent.
(b) All other records: Retain 5 years.
6 Student Record Transcript Requests Records
Documents requests for student transcripts.
Retention Period:
Retain 1 year.
H3 Academic Program
1 Academic Program Administration Records
Documents the routine daily administration of courses and programs of the institution. Includes referral,
orientation, facilitative and other administrative correspondence and materials.
Retention Period:
Retain 3 years.
2 Academic Advisement Records
Documents faculty or academic advisors advisement of students.
Retention Period:
Retain 3 years after student graduates or separates from academic program.
3 Student Internships and Practicums Records
Documentation of field experience.
Retention Period:
Retain 5 years after separation. Record with registrar.
4 Independent/Cooperative or Alternate Study Records
Documents alternative course programming.
Retention Period:
Retain 3 years.
5 International Studies Program Records
Documents programs of foreign study sponsored or in conjunction with other colleges.
Retention Period:
Review by the Archives after 6 years.
6 Award Establishment Records
Documents the establishment of awards.
Retention Period:
(a) Summary documentation: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
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7 Commencement and Awards Records
Documents graduation ceremonies and awards given to outstanding students. Includes programs,
program revisions, logistical support documentation, and related correspondence.
Retention Period:
(a) Final programs with edits: Permanent.
(b) All other records: Retain 3 years H Education H.
H4 Course and Curriculum
1 Curriculum Development Records
Documents the development of courses.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
2 Class Schedule Records
Documents courses scheduled to be taught.
Retention Period:
Official copy: Permanent.
3 Course Outlines and Descriptions Records
Documents descriptions of courses taught by institution.
Retention Period:
Permanent.
H5 Testing and Grades
1 Student Tests and Examinations
Documents tests taken by students as part of course requirements.
Retention Period:
(a) Final tests taken as requirements for degree programs: Permanent.
(b) All other records: Retain 1 year.
2 Student Evaluations of Teachers
Documents student evaluations of courses and instructors. Includes questionnaires and summary reports.
Retention Period:
(a) Where information is summarized: Retain summary report 6 years and discard data forms, otherwise:
(b) Retain data forms 6 years.
Note: Records may be used for tenure review.
3 Masters Theses
Documents papers completed as partial fulfillment of degree requirements.
Retention Period:
Permanent.
4 Academic Degree Audit Records
Documents review of student coursework to determine if they have met the requirements to receive their
degree. Includes degree applications, degree audits, credit evaluations, course substitution forms, honors
recommendations, and related notes and correspondence.
Retention Period:
(a) Approved degree application documents: Retain 5 years after graduation or separation.
(b) Denied or withdrawn application materials: Retain 1 year.
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Note: Denied students are required to reapply and submit a new application to be considered for
graduation.
5 General Educational Development (GED) Certification Records
Documents the certification that an individual has passed the GED test as equivalent of a high school
education.
Retention Period:
(a) Official copy: Retain 60 years.
(b) All other records: Retain 3 years.
6 Academic Degree Audit Records
Documents review of student coursework to determine if they have met the requirements to receive their
degree. Includes degree applications, degree audits, credit evaluations, course substitution forms, honors
recommendations, and related notes and correspondence.
Retention Period:
(a) Approved degree application documents: Retain 5 years after graduation or separation.
(b) Denied or withdrawn application materials: Retain 1 year.
Note: Denied students are required to reapply and submit a new application to be considered for
graduation.
7 General Educational Development (GED) Certification Records
Documents the certification that an individual has passed the GED test as equivalent of a high school
education.
Retention Period:
(a) Official copy: Retain 60 years.
(b) All other records: Retain 3 years.
8 Official Course and Grade Records
Provides a permanent record of student’s courses taken and grades received as maintained by the
Registrar.
Retention Period:
(a) Official courses taken and transcripts: Permanent.
(b) Transcript requests: Retain 1 year.
H6 Faculty
1 Faculty Personal and Professional Papers
Consists of faculty research or other materials where left in the institutions care.
Retention Period:
Review by the Archives if left in custody of institution.
2 Tenure and Promotion Records
Documents changes in faculty employment.
Retention Period:
Retain 6 years.
3 Teacher Certification Records
Documents the certification of teachers by the Department of Education in compliance with 71 MGL 38G.
Retention Period:
(a) Records before 1980: Retain 40 years.
(b) All other records: Retain 6 years after expiration.
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Educational Reform Act of 1993. 71 MGL 38G.
4 Faculty Appointment Records
Documents the appointment and subsequent history of individuals to join the institution’s faculty.
Retention Period:
(a) Summary record: Permanent.
(b) All other records: Retain 6 years after separation.
5 Faculty Workload Records
Documents work assignments of individual faculty.
Retention Period:
Retain 3 years.
Note: These records may be used for tenure review.
6 Sponsored Research Records
Documents grants to pursue academic research.
Retention Period:
Review by the Archives after 6 years after close.
H7 Student Activities
1 Student Event/Activities Applications Records
Documents student participation in special activities.
Retention Period:
Retain 3 years.
2 Student Clubs and Associations Records
Documents the activities of student run clubs and associations.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
3 Student Government Records
Documents activities of student government groups.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
4 Student Newspaper
Documents the publication of the student newspaper.
Retention Period:
(a) Final publications: Permanent.
(b) Photographs and artwork: Retain until administrative use ceases. Permission from RCB not required
for destruction.
(c) Newspaper staff memorabilia: Permanent.
(d) Summary policy and administrative records: Permanent.
(e) All other records: Retain 3 years.
5 Student Athletic Participation Records
Documents student participation in sports.
Retention Period:
(a) Retain summary documentation, films, and photos: Permanent.
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(b) All other records: Retain 6 years after separation.
H8 Student Affairs
1 Student Grievance/Complaint Records
Documents student complaints.
Retention Period:
Retain 3 years after closure.
2 Student Discipline Records
Documents the discipline of students for infraction of school policy.
Retention Period:
(a) Expulsion records: Retain 25 years.
(b) All other records: Retain 3 years after separation.
3 Student Disability Records
Provides a record of disability information on students.
Retention Period:
Retain 5 years after student graduates or withdraws.
4 International Students Case Files
Documents international students enrolled at the school.
Retention Period:
Retain 5 years after separation.
H9 Student Services
1 Student Support Services Records
Documents programs to support student life.
Retention Period:
(a) Substantive summary data: Permanent.
(b) All other records: Retain 3 years.
2 Special Services Program Records
Documents special programs for students not within normal course schedule.
Retention Period:
(a) Summary records: Permanent.
(b) All other records: Retain 3 years.
3 Student Counseling Records
Documents social services provided to students.
Retention Period:
Retain 6 years after separation.
4 Student Career/Placement Records
Documents records kept on file for placement purposes.
Retention Period:
Retain 10 years.
5 Student Health Clinic Records
Documents student clinic health histories. Includes visit documentation and charts, medical notes, and
related correspondence.
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Retention Period:
Retain 20 years.
111 MGL 70.
H10 Library and Learning Center
1 Borrowers Records
Documents library use by patrons.
Retention Period:
Retain until items are returned.
H11 Department of Early Education & Care: Licensing (formerly Schedule No.
16/88)
1 Substitute Care Program Files (A)
Includes Regional Office files (Office of Record), arranged alphabetically by corporate name.
Retention Period:
Retain 27 years after creation of document.
2 Substitute Care Program Files (B)
Includes Central Office files, arranged alphabetically by corporate name.
Retention Period:
Retain 5 years after creation of document.
3 Group Day Care/SACC Program Files (A)
Includes school age Child Care, Regional Office files (Office of Record), arranged alphabetically by
corporate name.
Retention Period:
Retain 27 years after creation of document.
4 Group Day Care/SACC Program Files (B)
Central Office files, arranged alphabetically by corporate name.
Retention Period:
Retain 5 years after creation of document.
5 Family Day Care Program Files (A)
Regional Area/Office files, (Office of Record) arranged alphabetically by corporate name.
Retention Period:
Retain 27 years after creation of document.
6 Family Day Care Program Files (B)
Central Office files, arranged alphabetically by corporate name.
Retention Period:
Retain 5 years after creation of document.
7 Investigation Files (A)
Regional/Area (FDC) Office files. Includes a copy of the complaint, copies from licensing files, collateral
contacts, reports, resolution form or referral to Central Office. Arranged alphabetically.
Retention Period:
Retain 27 years after creation of document.
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8 Investigation Files (B)
Central Office files. Includes a copy of the complaint, copies from licensing files, collateral contacts,
reports, resolution form or referral to Central Office. May also include therapist reports, medical records,
interim/final reports, memos, investigation notes, legal documents and orders. Arranged alphabetically by
program.
Retention Period:
Retain 27 years after creation of document.
H12 Charter School Application Records
Documents the application process for awarding charters to establish charter schools. Includes
documents created or received by the Department and the Board of Elementary and Secondary
Education during the course of the application process for charter schools.
Retention Period:
(a) Documents submitted by applicants, public comments, reviewers’ comments formally collected by the
Department of Elementary and Secondary Education, synopses of consensus discussions and interviews,
and documents provided to the Board of Elementary and Secondary Education in connection with the
Board's deliberation and vote regarding the award of charters. Includes prospectuses, applications,
correspondence, memoranda, reports, synopses, plans, and publications: Retain 5 years after vote by
Board of Elementary and Secondary Education.
(b) All other records created during the process of developing documents in (a). Includes notes,
worksheets, outlines, design and layout trial sheets, and rough drafts: Retain until administrative use
ceases.
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I1 Environmental Conservation and Protection
1 Environmental Natural Resources Management Records
Documents plans and studies for state facilities on how best to manage the natural and recreational
resources at those facilities. Includes project documentation, studies, areas of environmental concern
(ACEC) records, surveys, site assessments, GIS maps, resource plans and related correspondence.
Retention Period:
Review by the Archives 6 years after inactive.
2 Environmental Historic Preservation Program Records
Documents projects, including grant projects, proposals, studies, and programs to conserve, preserve
and protect historic landscapes and regions. Includes plans, proposals, final products and reports,
photographs and slides, archaeological surveys, restoration guidelines, structural studies, specifications
and drawings, curatorship documentation, and related correspondence.
Retention Period:
Review by the Archives 6 years after completion.
3 DEP and Brownfields Grant Program Records
Documents the process to grant monies to clean up polluted brown fields sites. Includes applications,
attorney notes, site materials, grant program materials, and related correspondence.
Retention Period:
Review by the Archives 25 years after closure.
4 Environmental Disaster Planning and Relief Records
Documents efforts to protect areas from environmental disasters.
Retention Period:
(a) Summary documentation: Permanent.
(b) All other records: Retain 10 years.
5 Conservation District Election Certificates Records
Documents areas that have been designated as protected.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
6 Coastal Community Relations Records
Documents the coordination and planning between state and coastal communities for the purposes of
environmental protection. Includes issues and problems notes and reports, technical assistance given,
and summaries of work and projects undertaken.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
7 Coastal Resources and Wetlands Deed Restriction Case Files
Documents land deed restrictions placed on inland and coastal wetlands for the purpose of protection of
natural resources. Includes restriction orders, aerial photos, plans and related correspondence. The
management and monitoring of areas that have been designated as protected.
Retention Period:
Permanent.
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8 Wetlands Project Approval Records
Documents appeals to DEP regarding applications for construction projects within wetland restricted deed
areas as determined by local municipal Conservation Commissions. Includes notices of intent, order of
conditions, determinations of applicability, denials, and appeals.
Retention Period:
(a) Unappealed determinations of applicability and orders of conditions: Retain 30 days following
municipal decision.
(b) Appealed orders of condition: Retain 1 year after certificate of compliance has been issued.
(c) Appealed determinations of applicability: Retain 3 years from DEP’s final determination.
I2 Construction and Engineering
1 Environmental Maps, Plans, and Photos
Documents resources required for planning and implementation of policies. Includes aerial photos, GIS
maps, and other related materials.
Retention Period:
Review by the Archives after administrative use ceases. Review by the Archives after administrative use
ceases. Permission from RCB not required for destruction subsequent to review by Archives.
2 Environmental Impact Studies, Site Analyses, and Reports
Documents reports and studies summarizing environmental impact of proposals and plans.
Retention Period:
Permanent.
3 Environmental Systems Records
Documents the regulation of the design, building, and operation of environmental systems such as
wastewater sludge and septic sewage and septic systems. Includes permit applications, engineering
plans, variance requests, and related correspondence.
Retention Period:
Retain 10 years.
4 Environmental Engineering Reports and Plans
Documents the use of appropriate technology, the proper operation and maintenance of equipment and
to determine site suitability. Includes descriptions of pollution control equipment, design criteria, site
plans, system schematic diagrams, construction drawings and specifications, and related
correspondence.
Retention Period:
Retain 15 years after final acceptance of project.
111 MGL 142A-142M; 21 MGL 27(13).
I3 Laboratory
1 Environmental Lab Certification Records
Documents the certification of labs under the USEPA Laboratory Certification Program, DEP, or other
agency, and also documents daily quality assurance monitoring. Includes logs, equipment calibration and
testing, data reports and workbooks, and related correspondence.
Retention Period:
Retain 3 years.
310 CMR 22.17; 310 CMR 42.00, 42.14.
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2 Environmental Laboratory Records
Documents the laboratory testing of environmental samples containing contaminants, toxins, and
pollutants. Includes bacteriological and chemical samples, tests and reports, lab log books,
chromatograms, data reports and workbooks, and related correspondence.
Retention Period:
(a) Analytical reports, logs, and charts: Retain 10 years.
(b) Proficiency tests: Retain 3 years.
310 CMR 7.00; 310 CMR 22.17; 310 CMR 42.00; 40 CFR part 58.
I4 Regulation and Compliance
1 Environmental Administrative Law Appeal Case Files
Documents non-criminal cases relating to environmental regulations and laws. Includes administrative
record, pleadings, and final decisions.
Retention Period:
Retain 15 years after closure or last action.
2 Environmental Licensing Course Approval Records
Documents the contracting of services relating to the offering of courses suitable for the continuing
education requirements of professionals with environmental licenses.
Retention Period:
Retain 6 years after contract expires.
3 Mass Environmental Protection Act (MEPA) Review Records
Documents comments and inputs submitted in accordance with MEPA review requirements prior to
EOEA permit issuance. Includes MEPA documents, engineering reports, environmental assessments,
Clean Water Act (Watershed) documents NPDES permit applications and documentation, and related
correspondence.
Retention Period:
(a) Agency copy: Retain 2 years after EOEA decision.
(b) EOEA copy: to be determined.
Note: EOEA is the office of record.
30 MGL 61-62H; 310 CMR 7.01(1); 301 CMR 11.00.
4 Environmental Strike Force Case Files
Documents complaints about possible criminal violations.
Retention Period:
(a) Landmark or noteworthy cases: Permanent.
(b) Case referral and screening notes: Retain 10 years.
(c) Non-investigated cases: Retain 10 years.
(d) Investigated cases: Retain 20 years after case is closed.
(e) Attorney General civil judgments: Retain 20 years.
5 Environmental Licensed Site Professional (LSP) Licensing and Disciplinary Records
Documents related to the licensing and discipline of Hazardous Waste Cleanup Professionals.
Retention Period:
(a) Applicant and licensee files: Retain 10 years after application is denied or license ends.
(b) Disciplinary Complaint Files: Retain 10 years after file is closed.
(c) Licensing Denial Appeal Files: Retain 10 years after appeal is concluded.
(d) Meeting Files: Retain final minutes permanently; retain all other records 10 years.
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(e) Continuing Education Course Files: Retain 10 years after Board’s approval of course.
(f) Litigation Files: Retain 6 years after litigation is concluded.
(g) Contract Files: Retain 6 years after contract expiration.
(h) Licensing examinations: Retain 3 years.
(i) Program Administration Records: Retain 3 years.
(j) Regulation Promulgation Files: Retain final accepted regulations and substantive support materials
permanently; retain all other records 3 years.
21A MGL 19.
6 Environmental Facilities Licensing, Permits, and Certification Records
Documents the licensing of environmental facilities covering operating procedures, facility design,
emission limits, groundwater discharge, holding tanks, handling of hazardous waste, recycling, and
compliance review. Includes applications, transcripts, fact sheets and plan approval letters, license
issuance letters, disciplinary action letters, inspection reports, and related correspondence.
Retention Period:
Retain 15 years.
310 CMR 7.00; 111 MGL 142A-142M; 21 MGL 43.
7 Environmental Regulation and Licensing Records
Documents the licensing, permitting, and subsequent status updating of buildings, facilities, or operations
that could adversely impact the environment. Includes applications, site plans, operations and procedures
reviews, testing, hazardous waste handling change of status forms, hazardous waste state generator
registration forms, and related correspondence.
Retention Period:
Retain 15 years.
310 CMR 7.00.
8 Environmental Monitoring and Inspection Records
Documents the ongoing monitoring of environmental conditions such as air emissions or water
discharges to determine and document a facility’s compliance status. Includes facility activity descriptions,
operating status of pollution control equipment, test results, discharge monitoring reports, and recordkeeping evaluations.
Retention Period:
Retain 15 years.
111 MGL 142A-142M; 21A MGL 16; 310 CMR 5.13; 310 CMR 30.00; 21C MGL; 21 MGL 27(7).
9 Environmental Investigation and Enforcement Records
Documents the investigation into licensing violations or other activity adversely impacting the
environment. Used to enforce the requirements of 21 MGL as stated in 21A MGL 16; 310 CMR 5.13; and
111 MGL 142A-142M. Includes notices of non-compliance, enforcement orders, penalty assessment
notices, return to compliance documents, notice of enforcement conference, includes Ad judicatory
hearings and related correspondence.
Retention Period:
Retain 15 years.
21A MGL 16; 310 CMR 5.00, 5.13; 111 MGL 142; 91 MGL; 131 MGL 40.
I5 Hazardous Waste Management
1 Hazardous Waste Cleanup Cost Recovery Records
Documents DEP invoicing to recover costs incurred by the State in the cleanup of oil and/or other
hazardous materials. Includes invoices, site specific reports, annual compliance fees support, and related
correspondence.
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Retention Period:
Retain 15 years after costs recovered or written off.
21E MGL; 310 CMR 40.0000; 310 CMR 4.00.
2 Federal Superfund Sites Records
Documents the cleanup of sites designated as Federal Superfund Sites on the National Priorities List
(NPL). Superfund sites consist of the most toxic waste sites in the US. 31 had originally been identified in
Massachusetts. Includes feasibility studies, proposed plans, remedial design, progress documentation,
and delisting documentation.
Retention Period:
Permanent.
21E MGL; 310 CMR 40.000; 42 USC 9605 as amended; 40 CFR 300-399.
3 Hazardous Materials Right-To-Know Records
Provides hazards information for the purpose of chemical spill and other emergency planning. Includes
hazardous materials user lists, substances lists, and related other listings.
Retention Period:
Retain 3 years.
Note: Official copy is held by the Local Emergency Planning Commission.
42 USCA 11021; 639 MGL.
4 Hazardous Materials Contingency Plan Records
Documents facility plans to respond hazardous waste emergencies to prevent and minimize hazards to
public health, safety, and the environment. Plans are reviewed during inspections, compliance reviews,
and enforcement investigations. Includes plans, support materials, and related correspondence.
Retention Period:
Retain 15 years after inactive.
Note: Contingency Plans are filed with local authorities as defined in 310 CMR 30.522.
21C MGL; 310 CMR 30.000; 310 CMR 30.522.
5 Hazardous Waste Sites and Spills Records
Documents the process to apply for, maintain and/or delist (from National Priorities List) hazardous waste
sites in compliance with Superfund site regulations. Includes applications, engineering plans, variances,
log of materials deposited, and related correspondence.
Retention Period:
Permanent.
42 USC 9605.
6 Contaminated Site Cleanup Records
Documents cleanups of involving hazardous waste spillage or leaks.
Retention Period:
(a) Summary reports: Permanent.
(b) All other records: Retain 10 years.
(c) Non-Reportable: Includes Less than’s, Retract’s, NOT21E’s, and Complaints and Inquiries, Etc.:
Retain 3 years.
7 Hazardous Materials Regulation Records
Documents the licensing or other regulation of buildings, areas, or activities that could impact the
environment.
Retention Period:
Retain for the life of the structure or installation plus 6 years.
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8 Facilities Hazardous Substances Records
Documents hazardous materials use at facilities such as toxic, caustic, flammable and combustible
materials. Includes material safety data sheets and related lists and reports.
Retention Period:
Retain 30 years.
Note: Reports are sent to DEP and to local Fire Marshals.
9 Toxics Use Reduction Records
Documents programs to encourage industry and others to lower toxic byproducts created during industrial
processes. Includes data from industries relating to developments in the control and reduction of toxins
and generic summaries of developments in the control and reduction of toxins.
Retention Period:
(a) Generic Summary reports: Permanent.
(b) All other records: Retain until summary report is produced, then destroy.
Note: Data may contain trade secret and other exempted materials.
10 Asbestos Regulation Records
Documents the process to inspect, review, and enforce asbestos regulations. Includes inspection/test
reports, decontamination plans, blanket approvals, waiver requests, field notes, asbestos sampling
results, and related correspondence.
Retention Period:
(a) Notification forms: Retain 3 years.
(b) All other records: Retain 15 years.
Note: DEP is the office of record.
310 CMR 7.15.
11 Hazardous Waste Transport and Disposal Records
Documents the transportation and disposal of hazardous waste shipments from generator to final
disposal. Includes Uniform Hazardous Waste Manifests (US EPS form 8700-22) and monthly operating
report summaries from each transporter.
Retention Period:
(a) Manifests and receipts: Retain 3 years.
(b) Waste disposal sites: Retain summary data permanently.
12 Radioactive Waste Disposal Records
Documents the transportation and disposal of hazardous waste.
Retention Period:
(a) Manifests and receipts: Retain 30 years.
(b) Waste disposal sites: Retain summary data: Permanent.
I6 Waste and Emissions
1 Air Quality Testing and Monitoring Records
Documents testing of air quality for reporting to the federal EPA as required by 310 CMR 7.99 and 40
CFR 58.
Retention Period:
Retain 6 years.
310 CMR 7.00; 40 CFR 58.
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2 Environmental Equipment Quality Assurance Records
Documents the status of equipment and proper operation and maintenance. Includes site log books,
monitoring equipment calibration forms, quality control forms, precision and accuracy, data records, and
related correspondence.
Retention Period:
Retain 6 years.
40 CFR 58.
3 Air Quality Public Health Studies Records
Documents special studies of air quality in areas of special concern for the protection of public health.
Includes log books, reports, field notes, and other related documents.
Retention Period:
Retain 15 years.
310 CMR 7.00; 40 CFR 58.
4 Clean Air and Water Records
Documents the regulation, monitoring and control of facilities that may produce air or water pollution or
other areas of special concern for the protection of public health. Includes facility design and equipment
design, operating procedures, permit applications, tests, inspections, field reports and log books,
enforcement orders, assessment notices, and related correspondence.
Retention Period:
Retain 15 years.
310 CMR 6-8,60; 21 MGL 111; 40 CFR part 58.
5 Medical, Biological, and other Waste Disposal Records
Documents the disposal of materials from hospitals, laboratories, and other facilities.
Retention Period:
Retain 3 years.
105 CMR 480.400.
I7 Water Resources
1 Drinking Water Certification, Permits, and Approval Records
Documents the process to review and approve drinking water sources and uses, water withdrawal in
excess of threshold, system operators, vending machines, and other. Includes submission review
materials, approvals, waivers, monitoring and compliance, and related correspondence.
Retention Period:
(a) Central Office Copy (DWP Boston): Retain for active period plus 3 years.
(b) Other DWP copies: Retain for active period plus 3 years.
Note: Records may be duplicated in PWS history file.
2 Safe Water Act Monitoring and Compliance Records
Documents the monitoring of PWS and private systems for compliance with the Safe Drinking Water Act.
Includes water chemical analysis and testing, lead and copper analysis reports, schedule of sampling and
analysis, fluoridation reports, sanitary surveys and reports, and related correspondence.
Retention Period:
(a) Retain 12 years.
Notes:
1. Materials partially duplicated in PWS history files.
2. Essential data is entered onto database.
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3 Safe Water Act Investigation and Enforcement Case Files
Documents the investigation and enforcement of drinking water standards pursuant to Safe Drinking
Water Act. Includes complaints, field notes, support materials, actions taken, and related
correspondence.
Retention Period:
Retain 6 years from final action.
Note: Records may be partially duplicated in PWS history files.
4 PWS History Records
Documents all substantive activities and events relating to individual public water systems. Includes
permits, certifications, approvals, land acquisition, surveys and inspections, complaints, enforcement
documentation, clippings, and related correspondence.
Retention Period:
(a) Central office copies (Boston DWP): Permanent.
(b) Town and regional copies: Retain 12 years.
Note: Boston DWP is the Office of Record for all documentation except correspondence between the
Public Water System and the public.
310 CMR 22; 40 CFR 1.
5 PWS Construction Plan Review Records
Documents the process to review and approve new construction, modifications and improvements
pursuant to 310 CMR 22.04 and the Department’s “Guidelines and Policies for Public Water Supplies.”
Retention Period:
(a) Consultant’s Engineering Reports: Permanent.
(b) Plans and Specifications: Retain 6 years after project is completed.
(c) Denied or otherwise unapproved projects: Retain 3 years.
6 PWS/Cross Connection Records
Documents the program to approve permits and to monitor compliance relating to cross connections or
other plumbing that may adversely impact with PWS water. Includes Cross Connection Testers
certifications, permit approvals, waivers, credits and exemptions, inspection materials, enforcement
notices, filter backwash records, underground injection control records, annual reports, and related
correspondence.
Retention Period:
(a) Central Office Copy (DWP Boston): Retain for the life of the connection plus 3 years.
(b) Other DWP copies: Retain 3 years.
7 Water Management Annual Reports, Surveys, and Statistics Records
Documents the annual water consumption and long-term water usage and trends.
Retention Period:
(a) Final reports, maps, and substantive unique documentation: Permanent.
(b) All other records: Retain 3 years.
8 Water Supply Protection Program Records
Documents any programs set up to help locate and protect sources of drinking water. Programs include
groundwater protection, aquifer land acquisition, wellhead protection, community technical assistance,
drinking water compliance awards. Includes grant documentation, reports, general administration records,
and related correspondence.
Retention Period:
(a) Award winners list, water consumption reports, final reports, and substantive unique data and
correspondence: Permanent.
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(b) All other records: Retain 6 years after grant or last activity.
Note: Records may be partially duplicated in PWS history files.
9 Water Supply Contamination Records
Documents the monitoring of contamination or potential contamination of drinking water due to release of
hazardous waste or other toxins into the environment. Includes federal superfund site reports, 21-E
hazardous waste site monitoring records, and related correspondence.
Retention Period:
Retain 12 years.
Note: DEP Bureau of Waste Site Cleanup is the office of record for cleanup enforcement.
10 Water Emergency Program Records
Documents the declaration of Water Emergencies pursuant to 21G MGL 15, 17 as amended by 240 MGL
Acts of 1989. Includes determination of emergency, water conservation plan, public notices and order
letters of determination, reports, water conservation plan checklists, and related correspondence.
Retention Period:
(a) Central Office Copy (DWP Boston): Permanent.
(b) Other DWP copies: Retain for active period plus 3 years.
Note: Records may be duplicated in PWS history file.
I8 Public Utilities and Energy
1 Energy Conservation Services and Assistance Records
Documents programs to assist the public to conserve energy. Includes grant applications, field notes, and
related correspondence.
Retention Period:
Retain 6 years after close of grant.
2 Public Utilities Case Files
Documents the hearing of cases relating to the regulation of public utilities creation, operation, and use as
brought before the public utility through the Public Utilities Commission pursuant to 159-164 MGL.
Matters may include licensing, rate and tariff setting, land use, accidents, consumer affairs, and other
matters. Includes annual returns petitions, applications, hearing notice, exhibits, notice of appearance,
briefs, transcripts, Commissioner orders and decisions and related correspondence.
Retention Period:
Permanent.
159-164 MGL.
3 Utility Company Annual Returns Reports
Documents final required reports of utility companies.
Retention Period:
Permanent.
Cable Television.
For Cable Television Please See B7.
I9 Forestry, Parks, and Recreation
1 Parks Shift Records
Documents incidents and activities on state owned recreational lands. Includes incident reports, shift log
books, day use permits, assignments, inventories, and related correspondence.
Retention Period:
(a) Shift log books (Red-Books): Review by the Archives 6 years after inactive.
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(b) All other records: Retain 3 years.
2 Timber Harvesting Licensing Records
Documents the process to issue licenses for persons to harvest lumber. Includes applications, support
materials, exams, licenses, and related correspondence.
Retention Period:
(a) Summary list of licensees: Permanent.
(b) Denied or withdrawn applications: Retain 3 years.
(c) Approved license materials: Retain 3 years after license expires.
3 Fishing and Hunting Licensing Records
Documents the process to issue licenses for persons to hunt or fish. Includes applications, support
materials, licenses, and related correspondence.
Retention Period:
(a) Summary list of licensees: Permanent.
(b) Denied or withdrawn applications: Retain 3 years.
(c) Approved license materials: Retain 3 years after license expires.
4 Forester Licensing Records
Documents the process to issue forestry licenses for persons to offer their professional services such as
forest inventory forest management planning, and timber appraisal. Includes applications, support
materials, exams, licenses, and related correspondence.
Retention Period:
(a) Summary list of licensees: Permanent.
(b) Denied or withdrawn applications: Retain 3 years.
(c) Approved license materials: Retain 3 years after license expires.
Note: Carry forward any materials from previous applications as deemed necessary.
132 MGL 47.
I10 Well Driller Program
1 Completion Reports
The submission of a Completion Report is required by St 1962, c513, the Well Driller submits these
reports to the appropriate agency, they are generally one-page reports, and some are submitted with
attached maps. Since 2000, the data from these reports has been entered into a MS Access database.
Retention Period:
(a) Paper Reports: Permanent at office of deposit.
(b) Database: Permanent at office of creator.
2 Initial Registration Well Driller Application
This series includes: the driller’s credentials, licensing test scores, social security number and or federal
id number and affidavits.
Retention Period:
Retain for the life of the driller.
3 Renewal Applications
The Well Driller Renewal Application is filed annually, and documents the well driller’s pattern. These
applications include the driller’s social security number, and or federal id number, and copies of checks.
This series is arranged by year then by renewal application number. This is a separate series from the
Initial Application.
Retention Period:
Retain 10 years.
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I11 Energy Facilities Siting Board (formerly Schedule No. 47/89)
1 Regulatory Case Files
Utility Forecast Dockets: Includes maps, plans, photos, environmental impact reports, notices of intent,
hearing transcripts, exhibits, and decisions. Arranged by case number. These records are not subject to
audit.
Retention Period:
Retain 10 years.
2 Adjudicatory Case Files
Facility Site Dockets. Includes maps, plans, photos, environmental impact reports, notices of intent,
hearing transcripts, exhibits, and decisions. Arranged by case number. These records are not subject to
audit.
Retention Period:
Retain 10 years.
3 Hydroelectric Generating Facilities Licensing Case Files
Includes correspondence, maps and plans, field notes, depositions, hearing transcripts, relevant court
decisions or DEQE decisions, letter of approval/disapproval. These records are not subject to audit.
Retention Period:
Retain 10 years.
4 Federal Energy Regulatory Commission (FERC) Filing Files
Includes maps, plans, photos, environmental impact reports, notice of intent, hearing transcripts and
decisions. These records are not subject to audit.
Retention Period:
Retain 10 years.
5 Regulation Review Files
Includes drafts of regulations, testimony, hearing notices, hearing transcripts and decisions. These
records are not subject to audit.
Retention Period:
Retain 10 years.
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J1 Administration
1 Uniform National Crime Reports
Documents the production of federally mandated reports. Crime data are, for the most part, supplied by
federal, state, and local law enforcement agencies to the FBI on a monthly basis. The FBI assembles,
publishes, and distributes the data to contributing agencies, state UCR programs, to government bodies,
and to others interested in the nation’s crime problem.
Retention Period:
Retain 3 years.
2 Crime Reports
Documents reports of crimes as sent to State Crime Office.
Retention Period:
(a) Murder reports: Permanent.
(b) All other reports: Retain 10 years.
3 Special Events and Activities Records
Documents the agency’s role in the caring out of special events or activities such as parades, sporting
events, or concerts. Includes planning documentation, logistical reports, incident reports, narrative and
summary reports, and related.
correspondence.
Retention Period:
(a) Summary reports: Permanent.
(b) All other records: Retain 3 years or until administrative use ceases, whichever period is longer.
4 Emergency Planning and Response Records
Documents planning and reaction to major emergency or disaster situations. Includes plans, background
support materials, and related correspondence. Documents official reaction to disasters and
emergencies. Includes incident reports, field reports, notes, and related correspondence.
Retention Period:
(a) Summary reports and substantive correspondence: Permanent.
(b) All other record: Retain 6 years.
5 Criminal History Files
Includes information collected on subjects such as arrests, detentions, convictions, acquittals,
indictments, corrections history, fingerprints, photographs, and related correspondence.
Retention Period:
Permanent.
6 Sexually Dangerous Person Case Files
Documents petitions for release of sexually dangerous persons. Includes pleadings, legal research,
psychiatric records, investigator materials, and correspondence.
Retention Period:
Retain 35 years.
123A MGL 9; 6 MGL 167; 66A MGL.
J2 Licensing and Regulation
1 Special Licenses and Permits Records
Documents special licenses and permits such as firearms license to sell and carry, permits and
registrations, private detective licenses, gunsmith licenses.
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Retention Period:
Licenses and Permits: Retain until expiration of license.
140 129b, 131, 122, 122a.
J3 State Police
1 Death Investigations and Reports Records
Documents investigations into sudden or unexplained deaths. Includes death reports, investigation work
product, and related correspondence.
Retention Period:
Permanent.
2 Criminal Investigation Case Files
Documents investigations pursued for the purposes of obtaining evidence relating to criminal acts in the
Commonwealth. Includes police reports, field interrogation and observation reports, investigation notes
and research data, evidence, attorney notes, and related correspondence.
Retention Period:
(a) Any cases involving noteworthy persons or which set precedent: Review by the Archives after
retention period has elapsed.
(b) Death cases such as homicides, suicides, and sudden or unattended deaths: Retain 50 years after
case is closed.
(c) Attorney General’s prosecution files: Retain 35 years after case is closed.
(d) Attorney General Files not prosecuted: Retain 25 years after case closed.
(e) Sexual assault: Retain 15 years after case is closed or if involving a minor victim retain 15 years after
minor becomes 16 years old.
(f) Felonies: Retain 10 years after case is closed.
(g) All other cases: Retain 6 years after case is closed.
6 MGL 167; 265 MGL 17,18,19,21; 22, 22A, 23, 24, 24B; 272 MGL 17; 277 MGL 63 as amended 1996.
3 Special Investigation Records
Documents the investigation of jurors, missing persons, businesses, and other situations that criminal
activity may be present.
Retention Period:
(a) Any cases involving noteworthy persons or which set precedent: Review by the Archives after
retention period has elapsed.
(b) All other records: Retain 6 years after case is closed.
234 MGL 4.
4 Criminal Activity Surveillance Records
Documents the monitoring of sources and locations of potential criminal activity. Includes background
materials and notes, reports, tapes, photographs, and related correspondence.
Retention Period:
Retain 3 years or until administrative use ceases, whichever period is longer.
5 Incident/Complaint Investigation Records
Documents responses to incidents that did not require formal charges.
Retention Period:
Retain 3 years.
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J4 State Police Shift
1 Missing Persons Reports Records
Documents reports of missing persons.
Retention Period:
Retain while active plus 6 years.
2 Evidence/Property Control Records
Documents the control of evidence, confiscated materials, and lost and found materials. Includes chain of
custody logs and sheets, controlled substances seizure reports, Notice of Sale of Unclaimed Property
Control, disposal certifications, and related correspondence.
Retention Period:
(a) Murder and rape evidence: Retain 50 years.
(b) All other evidence: Retain 6 years after case and appeals closed.
(c) Found or confiscated property: Retain 1 year.
3 Crime Scene Documentation Records
Documents the recording of crime scenes through photography and fingerprint taking.
Retention Period:
(a) Noteworthy cases: Review by the Archives after retention period elapses.
(b) Murder and rape evidence: Retain 50 years.
(c) All other evidence: Retain 6 years after case closed.
4 Dispatch and Communications Recordings
Documents all radio, telephone, or electronic communications received or generated during a shift
relating to incidents, complaints, patrols, or response. Includes digital, audio, or video recordings of
dispatch calls, ambulance calls, E-911 calls, field response, and communications between units and/or
command centers.
Retention Period:
Retain 1 year.
6A MGL 18A-F.
5 Shift Logs
Provides supplemental tracking of shift activities in addition to the central activity log.
Retention Period:
Retain 3 years.
See also record series “J4-11 Central Activity Log Blotter Records.”
6 Shift Administration Records
Documents the internal administration of shifts. Includes work schedules and assignments, roll calls,
premises inspections, equipment and weapons inventories and check out logs, equipment and vehicles
maintenance checks, and related materials.
Retention Period:
Retain 3 years.
7 Lost and Recovered Property Records
Documents property where the owner cannot be determined.
Retention Period:
Retain 1 year.
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8 Firearm/Gunshot Wound Reports
Documents any incidents involving weapons that resulted in wounds. Includes reports and related
correspondence and notes.
Retention Period:
Retain 50 years.
9 Arrest Records
Documents the process to arrest and book individuals for alleged violations of civil or criminal law.
Includes warrants, subpoenas, booking sheets, fingerprint cards, RMV Reports, vehicle inventories, and
related reports and correspondence.
Retention Period:
(a) Official posting of adult records: Permanent.
(b) Official posting of juvenile records: Retain 35 years.
(c) Sexual assault records: Retain 15 years after final appeal.
(d) All other records: Retain 10 years after final case activity or appeal.
22B MGL 7; 90 MGL 24N.
10 Cell Monitoring Records
Documents the monitoring of detainees as part of routine or special watch such as medical or suicide
watch. Includes log postings, reports, or other notes.
Retention Period:
Retain 3 years.
11 Central Activity Log/Blotter Records
Documents all incidents, investigations, and activities of each shift.
Retention Period:
Permanent.
12 Officers Daily Journal
Documents notes taken by individual officers in the course of routine shift assignments.
Retention Period:
Retain until all required reports and narratives are completed and filed.
13 Protective Custody Records
Report containing name and address of citizen placed in protective custody, results of field sobriety test,
breath analyzer test results (if applicable) and narrative. In order to record and document the process of
placing a citizen into protective custody.
Retention Period:
Retain 3 years.
See also record series “J4-9 Arrest Records.”
111B MGL 8.
14 Detainee Property Records
Documents a detainee’s personal possessions placed in safekeeping.
Retention Period:
Retain 3 years after release.
15 Use of Force Reports
Documents the use of force by officers in the response to incidents while on patrol or otherwise. Includes
discharge of weapons reports, K-9 use reports, injuries sustained, justifications, and related
correspondence.
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Retention Period:
Retain 10 years.
140 MGL 155A.
16 Ramp Permits
Documents vehicle information used to record ramp stickers from various airlines and tenants at Logan
airport. These files are used for reference purposes.
Retention Period:
Retain 2 years.
’.
J5 State Laboratory
1 Laboratory Quality Assurance Records
Documents crime laboratory quality control monitoring and reporting.
Retention Period:
Retain 3 years.
2 Crime Lab Case Records
Documents laboratory testing to find forensic evidence of arson, drugs, explosives, toxins, personal or
material identification, or other related areas. Includes evidence samples, continuity sheets, chain of
evidence custody logs, inventories, and receipts, test results and reports, background support materials,
and related correspondence.
Retention Period:
(a) Criminal activity testing: Retain 15 years or 6 years after case closed and appeals exhausted.
(b)Non-criminal activity testing such as fabric safety tests: Retain 1 year after analysis.
3 Forensic Lab Reports
Documents lab work relating to the identification of confiscated drugs or crime scene analysis. Includes
chain of custody receipts and logs, samples for analysis, laboratory test reports and results, and related
support materials and correspondence.
Retention Period:
Retain 15 years.
Note: Information may be needed to support court testimony.
4 Medical Examiners Autopsy Case Files
Documents the investigation process to determine the cause of death where an individual met death by
violence, such as suicide, murder, gunshot, automobile accident, under the authority of 38 MGL 6,7.
Includes history sheet describing medical history and fatal incident, hospital and police reports, final
Autopsy Report, a detailed narrative describing the examination, drawings, and examiner’s conclusions.
Retention Period:
(a) Medical Examiner’s copy: Permanent.
(b) District Attorney’s copy: Retain 50 years.
J6 Fire Marshal
1 Massachusetts Fire Incident Reports
Documents reports from Fire Chiefs to State Fire Marshal regarding all fires with a dollar loss or human
casualty as required by 148 MGL 2.
Retention Period:
Retain 7 years.
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2 Massachusetts Burn Injury Reports
Documents reports by treating Physicians of burns involving 5% or more of the body surface as required
by 112 MGL 12A.
Retention Period:
Retain 7 years.
3 Massachusetts Property Insurance Loss Reports
Documents reports by insurance companies regarding claims of $1,000 or more for structure as required
by 148 MGL 32.
Retention Period:
Retain 7 years.
4 Massachusetts Burned/Recovered Motor Vehicle Reports
Documents the compilation of reports pursuant to 266 MGL 29B.
Retention Period:
Retain 7 years.
5 Fire Services Statistical Reports
Documents the compilation of reports and data received by the Department of Fire Services.
Retention Period:
Permanent.
6 Fuel Tank Facility Permit Records
Documents the application for permits for underground storage tanks, above ground storage tanks,
marine fueling facilities, and self-service gas stations.
Retention Period:
Retain for the life of the tank plus 6 years.
7 Fire Professional Certificates/Licensing Records
Documents the application of individuals to engage in fireworks, special effects displays, cannon and
mortar operations, blasting operations, users and possessors of explosives or black/smokeless powder,
fire equipment testing, and maintenance activities. Includes applications, test scores, supporting
documents, renewal documents, background checks, and license status documents.
Retention Period:
(a) Exams and testing materials: Retain 3 years.
(b) All other records: Retain 10 years after inactive.
8 Fire Marshal Inspection Records
Documents regulatory inspections of facilities or individuals certified, permitted, or licenses by the State
Fire Marshal.
Retention Period:
(a) If civil, administrative or criminal action is taken: Retain 10 years after case is closed.
(b) If no civil, administrative or criminal action is taken: Retain 3 years after last activity.
9 Fire Code Investigation Records
Documents investigations conducted by civilian compliance officers relating to alleged or actual fire code
violations.
Retention Period:
(a) Cases involving noteworthy persons or a death: Permanent.
(b) All other records: Retain 3 years after case is closed.
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10 Firefighting Academy Course and Curriculum Records
Documents the training of Massachusetts firefighters. Includes curriculum and course records and
student admissions and registrations.
Retention Period:
(a) Official copies of scheduled courses and course descriptions: Permanent.
(b) Instructor and training manuals: Permanent.
(c) Curriculum development records: Retain 10 years.
11 Firefighting Academy Admissions/Registration Records
Documents the application and subsequent histories of students. Includes applications, acceptance
letters, course rosters, medical /injury reports, testing and evaluations, and related correspondence.
Retention Period:
(a) Recruit summary records: Retain 75 years.
(b) In-service summary records: Retain 75 years.
(c) Pre-screening materials, tests, and quizzes: Retain until 6 months after separation from program.
(d) All other records: Retain 3 years after program end date.
12 State Fire Station Administration Records
Documents activities while on shift, reporting, and other administrative functions. Includes incident
reports, shift summaries, shift log journals, environmental inspection summaries, emergency response
reports, and related correspondence.
Retention Period:
(a) Shift logs and reports: Permanent: Where not held elsewhere as permanent.
(b) All other records: Retain 3 years.
J7 Corrections/Inmate
1 Inmate Commitments/Discharges Logs and Indexes
Documents the posting of inmate commitments and discharges for the institution. Includes commitment
and/or discharge logs or registers, and register index cards.
Retention Period:
Permanent.
2 Inmate Booking Records
Documents the official booking and registration of an individual inmate. Includes booking sheets,
fingerprint cards, and photographs.
Retention Period:
(a) Fingerprint cards and photographs: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Note: Substantive booking information becomes incorporated into the “Inmate Institutional Case File (J85).”
127 MGL 23, 28.
3 Inmate/Detainee Personal Property Records
Documents inmate/detainee personal property received in, sent out, stored, or in the possession of.
Includes property sheets, changes, and related correspondence.
Retention Period:
Retain 3 years after final release.
127 MGL 3.
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4 Inmate Account Records
Documents any inmates personal monies or savings kept under their own account for purchases from the
canteen, store or other. Includes receipts, release authorizations and receipts, balance reports, stipend
records, and related correspondence.
Retention Period:
Retain 3 years.
127 MGL 3. 96A MGL.
5 Inmate Institutional Case File
Documents the history of individual inmates within a given facility. Folders subcategories include legal,
classification, institutional programming, community programming, health, and parole.
Retention Period:
(a) State prison records: Permanent.
(b) House of Correction records: Retain 25 years after release.
(c) Jail records: Retain 6 years after release.
127 MGL 135.
6 Inmate Central Case File
Provides a secondary record of individual inmates as retained by the Central Records Office of the
Department of Corrections.
Retention Period:
Retain 25 years.
Note: The “Inmate Institutional Case File (J8-5)” is the primary inmate file.
7 Inmate Medical Records
Documents inmate medical histories while incarcerated. Includes initial screening, medical background
materials, doctor or clinic visit documentation, prescriptions, dental records and x-rays, special diets, and
related information.
Retention Period:
Retain 30 years from close of file.
111 MGL 70; 127 MGL 17; 105 CMR 205; 103 CMR 918.06, 932.07.
8 Inmate Program Records
Documents institutional programs for inmates such as the Correctional Recovery Academy (CRA), the
sex offender program, and the education program. Includes program administration materials, program
volunteer files, inmate program acceptances, background materials, progress notes and plans,
evaluations, attendance rosters, course completions, and related correspondence.
Retention Period:
(a) Program routine administration records including program volunteer files: Retain 3 years.
(b) Inmate GED scores: Permanent.
(c) All other records: Retain 5 years after inmate final release.
Note: Be sure no substantive policy, decision-making, or other important records are contained within
these files before discarding any records.
27 MGL.
9 Inmate Earned Good-Time Rosters (129-D)
Documents support for inmate good-time determinations.
Retention Period:
Retain 60 years.
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10 Inmate Industrial and Institutional Work Records
Documents inmate participation in work for compensation programs. Includes acceptance documentation,
job assignments, work status reports, hours, and related correspondence.
Retention Period:
Retain 5 years after final release.
127 MGL 51.
11 Inmate Furlough/Work Release Files
Documents inmate temporary release from the institution for work or other reasons. Includes
authorizations, background materials, reports and notes, transportation and arrangement documentation,
and related correspondence.
Retention Period:
Retain 10 years after final release.
12 Inmate Parole Records
Documents the release on parole of an inmate from the institution. Includes Parole Board decisions and
discussions, release documentation, and related correspondence.
Retention Period:
Permanent.
13 Inmate Pardons and Commutations Records
Documents decisions to grant or deny pardons or commutations of individuals sentenced to serve time in
correctional institutions. Includes requests, background materials, discussion notes, and related
correspondence.
Retention Period:
Permanent.
14 Inmate Drug Testing
Documents testing of inmates for use of contraband substances.
Retention Period:
Retain 3 years.
15 Awaiting Action Unit (AAU) Records
Documents the special temporary housing of individuals under protective, sanctioned, or other type of
custody.
Retention Period:
(a) Weekly/monthly AAU status review reports: Retain 3 years.
(b) Daily AAU sheets: When filed separately from Inmate Institutional Case File: Retain 10 years.
16 Inmate Restraint, Seclusion, and Monitoring Records
Documents orders to authorize and regulate chemical and non-chemical restraint and/or seclusion or
isolation administered to inmates who may be a danger to themselves or others. Includes restraint and
seclusion orders, logs, and related correspondence.
Retention Period:
Retain 10 years when filed separately from “Inmate Institutional Case File (J8-5).”
127 MGL 4.
17 Inmate Disciplinary Records
Documents infractions of rules and regulations leading to official disciplinary charges being presented to
inmates. Includes notices to appear before Disciplinary Board or Committee, findings, appeals, summary
of evidence.
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Retention Period:
(a) Primary copies: Retain 10 years when filed separately from “Inmate Institutional Case File (J8-5).”
(b) Secondary copies: Retain 3 years.
(c) Hearing tapes: Retain 1 year.
18 Inmate Surveillance Records
Documents general monitoring and investigation of inmates in order to identify possible infractions
warranting special investigation. Includes surveillance tapes, background materials and notes, and
related correspondence.
Retention Period:
(a) Materials maintained as evidence in disciplinary action, use of force incident, or civil/criminal litigation:
Retain 10 years.
(b) All other materials: Retain until administrative use ceases. Permission from RCB not required for
destruction.
27 MGL.
19 Inmate Investigation Records
Documents investigations of inmates for misconduct or illegal activities. Includes incident or shift reports,
investigation notes and reports, and related correspondence.
Retention Period:
Retain 10 years.
20 Inmate Visitor Records
Documents requests to visit inmates. Includes request to visit inmate forms, visitor background
information, inmate visitor cards and related correspondence.
Retention Period:
(a) Request to visit inmate forms: Retain 3 years.
(b) Barred visitor case files: Retain 20 years.
(c) Inmate visitor cards ( itemizing all visits per inmate): Permanent in “Inmate Institutional Case File (J85).”
(d) Jail visitor records: Retain 5 years.
126 MGL 16.
21 Inmate Grievance Logs and Records
Documents inmate written complaints filed by an inmate in accordance with 103 CMR 491.00. Includes
grievance logs, grievances, resolution documents, and related correspondence.
Retention Period:
Retain 7 years.
Notes:
1. Secondary copies with support materials are maintained by the Institutional Grievance Coordinator.
Primary copies are filed in the “Inmate Institutional Case Files (J8-5).”
2. The grievance log tracks all formal grievances filed at the institution.
103 CMR 491.00.
22 Inmate Institutional Correspondence
Documents correspondence to and from inmates.
Retention Period:
Retain 3 years.
23 Inmate Telephone System Number Requests
Documents inmate requests to add or delete persons from the Inmate Telephone System.
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Retention Period:
Retain until entered onto system.
24 Inmate Marriage Records
Documents the marriage of an individual who is incarcerated.
Retention Period:
Permanent.
J8 Corrections Institutional
1 Shift Commanders Daily Reports/Package
Documents shift activity, significant occurrences, security shift post/daily assignments, time off, etc. for
that specific day for all 3 shifts. Includes shift reports, significant occurrences, incident reports, disciplinary
reports, master shift rosters, roll call information, daily activities, and related materials.
Retention Period:
Retain 7 years.
260 MGL 3A.
2 Unit Log Books
Documents the daily activities in institution units such as inmate movement into and out of unit and
incidents.
Retention Period:
Retain 10 years.
127 MGL 5.
3 Shift Post Orders
Documents instructions to guide staff in the performance of their duties. Orders are signed off by
individual staff each shift.
Retention Period:
Retain 7 years.
4 Shift Assignment Bid and Swap Records
Documents the completion of swap slips by staff members requesting to swap one of their shifts with
another staff member with the understanding that each staff member is responsible to cover each other’s
shift. Also documents security staff bidding on an available shift and days off, or available job, or vacation
week that becomes available. Includes swap slips, swap log books, bid slips, and time-off log books.
Retention Period:
(a) Swap Slips: Retain 1 year.
(b) Swap Log Books: Retain 5 years.
(c) Bid Slips: Retain 1 year.
(d) Time-off Log Books: Retain 5 years.
Notes:
1. Swap log books accurately account for the approved swap between two staff members: noting their
names, and the date and shifts the swaps are to occur.
2. Time-off log books are used by security staff to request time off in advance by writing their name in the
log book. It will also note what they are requesting to use for time (Vacation, Personal, and Comp.).
These requests are reviewed and signed off on in this book.
5 Dietary/Meal Records
Documents the provision of food and meals to persons under care in state facilities. Includes menu plans,
special diet plans, and related correspondence.
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Retention Period:
Retain 3 years.
6 Census and Population Counts
Documents the tracking of the population of persons under care of DOC.
Retention Period:
Retain until information is captured on electronic record-keeping system.
7 Authorization to Enter Forms
Documents authorizations for non-institutional persons to enter facility. Includes background support
materials, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
8 Vehicle and Persons Trap Logs
Documents movement of vehicles and persons into and out of prison grounds.
Retention Period:
Retain 10 years.
103 CMR 924.01.
9 Inmate Movement Records
Documents the daily population and movement tracking of inmates within the institution.
Retention Period:
Retain 3 years.
10 Mittimus Records
Consists of court writs instructing the jailor to hold the prisoner.
Retention Period:
(a) When kept in institutional case file: Permanent.
(b) Otherwise: Retain 6 years after release.
127 MGL 7; 103 CMR 155.
11 Habeas Corpus Records
Documents court orders requesting the presence of an inmate.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
12 Code or Alert Records
Documents routine events requiring emergency response such as medical incidents, fights, or small fires.
Retention Period:
Retain 3 years.
13 Use of Force Reports/Package
Documents the use of force by employees within DOC. Includes use of force reports, incident and dreports, summary from shift commander, cover letter from Superintendent to Special Operations, and
applicable video.
Retention Period:
Retain 10 years.
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14 Corrections Emergency Planning and Response Records
Documents planning and reaction to emergency or disaster situations. Includes plans, background
support materials, and related correspondence. Documents official reaction to disasters and
emergencies. Includes incident reports, field reports, notes, follow-up, final reports, and related
correspondence.
Retention Period:
(a) Summary reports and substantive correspondence: Permanent.
(b) All other records: Retain 10 years.
15 Urgent Matter Reports
Documents filing of reports with the Secretary of State’s office regarding public safety communications
relating to major emergencies or events such as riots, escapes, or serious injury to or by department
personnel.
Retention Period:
(a) Secretary of State copy: Permanent.
(b) Commissioner’s copy: Permanent.
(c) Other copies within Public Safety: Retain 10 years.
16 Certification and Notification Records
Documents notifications to certified petitioners of changes in inmate incarceration status such as lower
security transfer, escape, release, or death.
Retention Period:
Retain 4 years.
17 Overtime Call Lists
Documents notification of available overtime to union employees. Information includes staff member who
was hired for overtime, date, shift, number of hours hired for, reason for hire, no phone contact made,
refusal to take overtime, and person who made calls.
Retention Period:
Retain 3 years.
J9 Middlesex Sheriff’s Office
1 Inmate Commitments/Discharges Logs and Indexes
Documents the posting of inmate commitments and discharges for the institution. Includes commitment
and/or discharge logs or registers and register index cards.
Retention Period:
Permanent on an electronic record keeping system.
2 Inmate/Detainee Central Case Record
Documents the official booking and registration of an individual inmate. Includes fingerprints, FBI official
response to fingerprint identification, commitment mittimus, booking memos, any warrants or habeas
corpus documents, discharge and property slip.
Retention Period:
(a) Fingerprint Cards and photographs: permanent on an electronic record keeping system.
(b) All other records: Retain 6 years then move to electronic record keeping system.
3 Inmate/Detainee Personal Property Records
Documents inmate/detainee personal property received in, sent out, stored or in the possession of.
Includes property sheets, changes, and related correspondence.
Retention Period:
Retain 3 years after final release then move to electronic record keeping system.
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4 Inmate/Detainee Account Records
Documents any inmates personal monies or savings kept under their own account for purchases from the
canteen, store or other. Includes receipts, release authorizations and receipts, balance reports, stipend
records and related correspondence.
Retention Period:
Retain 3 years after final release then move to electronic record keeping system.
5 Inmate/Detainee Institutional Case File
Documents the history of individual inmates within a given facility. Folders subcategories include legal,
classification, institutional programming, community programming, health and parole.
Retention Period:
(a) House of Correction records: Retain 6 years after release then move to electronic record keeping
system.
(b) Jail Records: Retain 6 years after release then move to electronic record keeping system.
6 Inmate/Detainee Medical Records
Documents inmate medical histories, including but not limited to initial screening, medical background
materials, x-rays, and psychiatric evaluations and visits.
Retention Period:
Retain 10 years after final release then move to electronic record keeping system.
7 Shift Commanders Daily Reports/Package
Documents shift activity, significant occurrences, security shift posts/daily assignments, etc.
Retention Period:
Retain 5 years.
8 Mittimus Records
Consists of court writs instructing the jailor to hold the prisoner.
Retention Period:
Retain 6 years after release.
J10 All Sheriffs
1 Annual Report to the Commissioner
This is an annual report to the Department of Corrections, pursuant to c. 127 s. 10 103 CMR 915.14.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: Department of Corrections maintains a copy.
2 Application to Conduct Social Research
This series is to record and provide access to inmate’s records pursuant to c. 127 ss. 1A , 1B: c. 127 ss.
1(d), 1(q) 103 CMR 918.02.
Retention Period:
Retain 5 years after request.
3 Arsenal Log
This series is used to record items in the arsenal and identify the personnel who received them.
Retention Period:
Retain 5 years after date of last entry.
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4 Calendar of Inmates (Inmate log or Convict Register)
This series is used to track admittance and activity of inmate, pursuant to c. 126 s.5, c. 127 s. 7 103 CMR
915.05.
Retention Period:
Transfer to Archives for Selective Retention.
5 Calendar of Inmates (Prepared for Superior Court)
This series is used to track inmates for appearance in court pursuant to c. 126 s. 5, 103 CMR 915.05.
Retention Period:
Destroy after closure of court session.
6 Daily Court Lists
This series is used to track inmates for appearance in court.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
7 Day Sheets
This series is used to track activity of inmates.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
8 Disapproval of Correspondence
This series is used to monitor inmate correspondence Pursuant to 103 CMR 948.07.
Retention Period:
Retain 5 years, unless pending litigation.
9 Health Records
This series is used to record physical exams of inmates pursuant to, c. 127 s. 17, 103 CMR 915.03.
Retention Period:
Retain 5 years after release or termination of parole.
Note: Department of Corrections maintains a copy.
10 Individual Institutional Case Records (Case Files)
This series is used to record information on inmates pursuant to c. 127 s. 135.
Retention Period:
Retain 5 years after release or termination of parole.
Note: Parole Board maintains a copy.
11 Index to Inmates
This series records admission and discharge of inmates.
Retention Period:
Transfer to archives for selective retention.
12 Industries Records
This series is used to record the activities of industries pursuant to c. 127, s. 51.
Retention Period:
Retain 1 year after audit.
Note: The Department of Corrections maintains a copy.
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13 Inmate Cash Receipts
This series records the amount of money in the procession of an inmate upon commitment pursuant to c.
127, s. 3.
Retention Period:
Retain 1 year after completion of audit following release.
14 Inmate Personal Property Record
This series records personal property in the procession of an inmate upon commitment pursuant to c.
127, s. 3.
Retention Period:
Retain 1 year following release of inmate.
15 Inmate Cash Records
This series is used to record interest accrued from money that was deposited after it was received from
an inmate upon commitment pursuant to c. 127, s. 3, c. 96A.
Retention Period:
3 years after following release, escape, or death of inmate provided an audit has been completed.
Note: The State Treasured maintains a copy.
16 Institution Logs
This series is used to record daily inmate and isolation counts, incidents and duty logs pursuant to c. 127,
s. 5.
Retention Period:
Retain 5 years after date of last entry.
17 Isolation Log
This series records inmates punished by isolation pursuant to c. 127, s. 4.
Retention Period:
Retain 5 years from date of last entry.
Note: A copy is located in the Institution Log.
18 Media Waivers
This series is used to record an inmates consent to be interviewed by the news media pursuant to 103
CMR 131. 10.
Retention Period:
Retain 5 years after release or termination of parole.
Note: Department of Corrections maintains a copy.
19 Mittimus File
This series is used to record and process the admission, transfer and release of an inmate pursuant to c.
127, s. 7 103 CMR 155.
Retention Period:
Retain 10 years after release or termination of parole.
20 Monthly Report of Admissions and Releases
This series is used to record admissions and release of inmates pursuant to c. 127, s. 5.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: A copy of this information is in the Institution Log.
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21 Noncompliance Files
This series is used to record actions taken to comply with the Department of Corrections standards
pursuant to c. 127, s. 1B.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: Department of Corrections maintains a copy.
22 Orders of Removal
This series is used to record the removal or transfer of an inmate to another institution pursuant to c. 127,
s. 120.
Retention Period:
Retain 5 years after release or termination of parole.
Note: Department of Corrections maintains a copy.
23 Personnel Files
This series is used to record all activities related to an employee’s service.
Retention Period:
Retain 75 years following termination of employment or until termination of employment and after
microfilm.
23a Personnel Files Master Microfilm
See record series “J10-23 Personnel Files.”
Retention Period:
Retain 75 years following termination of employee.
23b Duplicate Microfilm
See Item 23.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
24 Personnel Trap Log
This series is used to record people entering and exiting the institution 103 CMR 924.01.
Retention Period:
Retain 5 years after date of last entry.
25 Petitions to Visit
This series is used to record and identify people requesting to visit an inmate pursuant to c. 126, s. 16.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
26 Photographs
This series is to provide a photographic record of the inmate’s appearance at time of Incarceration
pursuant to c. 127, ss. 23, 28.
Retention Period:
Retain 10 years until superseded.
27 Procedures Manual
This series is used to the detailed operating procedures for the institution pursuant to 103 CMR 910.04.
Retention Period:
Transfer to archives for selective retention.
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28 Reports of Noncompliance
This series is used to record violations of Department of Corrections regulations noted during state
inspections of institution pursuant to c. 127, s. 1B.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: Department of Corrections maintains a copy.
29 Transportation Log
This series is used to record the condition and use of security transport vehicles.
Retention Period:
Retain 5 years after date of last entry.
30 Vehicle Trap Log
This vehicle is used to record vehicles entering and departing the institution.
Retention Period:
Retain 5 years after date of last entry.
31 Visitors Cards
This series is used to record the name, relationship, or purpose of person visiting an inmate pursuant to c.
127, s.36.
Retention Period:
Retain 5 years after release or termination of parole.
32 Visitors Log
This series is used to record all visitors to the institution pursuant to c. 127, ss. 36, 37.
Retention Period:
Retain 5 years after date of last entry.
198
K Health and Human Services
K1 Administration
1 Safety and Health Records
Documents the monitoring and planning for a safe and healthy work environment within the agency.
Includes safety minutes, studies, and other support materials and notes.
Retention Period:
(a) Substantive reports and summary materials: Permanent.
(b) All other records: Retain 5 years.
2 Health Studies and Surveys Records
Documents special studies of medical research or practices.
Retention Period:
(a) Summary Reports: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
See also record series “H6-6 Sponsored Research Records.”
3 Long Term Care Cost Reports
Documents reports on costs of medical institutions and programs as required by mandate.
Retention Period:
Retain 20 years.
4 Guardianships and Conservatorships Records
Documents situations where the state becomes guardian of persons within institutions or in the
community.
Retention Period:
Retain 6 years after final action, or until child reaches age of 21, and plus 6 years, whichever period is
longer.
5 Controlled Substances Destruction Records
Documents controls over drugs and other narcotics to prevent mishandling, loss, or theft. Includes
inventory sheets, dispersion sheets, and related correspondence,.
Retention Period:
Retain 3 years.
6 Medicaid Utilization Review Records
Documents the utilization review of MassHealth providers.
Retention Period:
Retain 8 years.
7 Cemetery, Grave and Burial Records
Documents any records of cemeteries and burials that identify individuals and their final resting place.
Retention Period:
Permanent.
K2 Social Services
1 Health and Insurance Claim Records
Documents claims by employees to receive benefits or insurance payments.
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Retention Period:
Retain 3 years.
2 Social, Medical, and Economic Assistance Case Files
Documents the state economic assistance in the form of benefits monies, food stamps, welfare
payments, food or clothing, or other type or disbursement. Includes eligibility and acceptance
documentation, special conditions, claims and disbursements, and related correspondence.
Retention Period:
Retain 3 years.
66 MGL 17A requires destruction within 10 years after discontinuance of aid granted under 69,117, and
118.
3 Client Advocacy Case Files
Documents agency assistance to clients requiring help navigating the state system. Includes contact
information, notes, problem resolution, referral, and related correspondence.
Retention Period:
Retain 3 years.
Note: Take any necessary statistics before discarding files.
4 Social Services Appeals Case Files
Documents client appeals when eligibility for services is denied. Includes appeals, eligibility support
materials, and related correspondence.
Retention Period:
Retain 6 years after final resolution.
5 Social Services Case Files
Documents the referral, application, and subsequent issuance of services and or supplies, or other aid
outside of direct economic relief.
Retention Period:
Retain 6 years after last activity.
6 Disabled Persons Abuse and Neglect Records
Documents cases of abuse against disabled persons from age 19 to age 59.
Retention Period:
(a) DPPC file: Retain 10 years.
(b) All other records: Retain 6 years after case closed.
7 Elder Abuse and Neglect Case Files
Documents abuse of elders. Includes complaints, investigation notes, determinations, and related
correspondence.
Retention Period:
(a) Elder Affairs copy: Retain 10 years.
(b) All other records: Retain 6 years after case closed.
8 Institutional Abuse and Neglect Records
Documents complaints and investigations of abuse of institutionalized persons.
Retention Period:
Retain for life of institution plus 6 years and subject to review by the Archives.
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9 Disability Rehabilitation Case Files
Documents the application for and subsequent issuance of services, supplies, and other aid to assist in
the rehabilitation of disabled individuals through programs such as Employment Service Program and the
Statewide Head Injury Program. Includes referrals, applications, application support materials, service
plans, follow-up documentation, and related correspondence.
Retention Period:
(a) Statewide Head Injury Program Case Files: Retain 25 years after case closure.
(b) Employment Service Case Files: Retain 6 years after case closure.
(c) All other program case files: Retain 3 years after case closure.
Note: Aid does not include direct economic relief.
K3 Child and Family Services
1 Child Abuse and Neglect Case Files
Documents complaints and investigations into alleged child abuse and neglect. Includes reports,
screening and investigation materials, consumer registration data, medical reports, evaluations of children
and family, and related correspondence.
Retention Period:
(a) Unsupported reports of abuse and neglect: Destroy and/or expunge identifying information 1 year after
51A report is found to be unsubstantiated.
(b) All other records: Retain until child reaches age 21 plus 6 years.
119 MGL 51E.
2 Children in Need of Services (CHINS) Case Files
Documents social services investigations into family situations, which may require assistance in order to
protect children within the home. Includes assessments and other intake materials, examinations,
evaluations, narratives and reports, and related correspondence.
Retention Period:
Retain 3 years.
3 Family and Child Protective Services Case Files
Documents social services assistance given to families to protect children’s welfare within the home.
Includes assessments and other intake materials, service plan and authorizations, narratives,
examinations, evaluations, legal documents and other materials on child and family receiving services in
the home where the initial contact was a 51 A report (These cases do not involve state custody).
Retention Period:
(a) Intact family records: Permanent.
(b) Volunteer family records: Retain 3 years.
(c) Single service such as day care, homemaking, and babysitting: Retain 3 years.
(d) Services refused, found ineligible, referred, or otherwise deferred: Retain 3 years.
4 Child Substitute/Foster Care Case Files
Documents the removal of children from the home and subsequent placement with substitute care
facilities. Includes assessments and other intake materials, service plans and authorizations,
correspondence, narrative, examinations, evaluations, legal documents, and other materials.
Retention Period:
Permanent.
Notes:
1. The HHS regional office is the office of record.
2. Substitute Care Facilities are licensed by HHS.
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5 Adoption Legal Tracking Records
Documents DSS tracking of legal actions relating to the separation of a child from its birth parents and its
adoption by others. Includes legal action log, copies of court documents, reports, and related support
materials and correspondence.
Retention Period:
(a) Where child was placed: Permanent.
(b) Where child was not placed: Retain 30 years.
6 Adoption and Foster Home Studies Records
Documents evaluations of child placement situation for submission to the court for consideration. Includes
evaluations, reevaluations, references, background materials on family seeking to adopt, service
provision documents, and related correspondence.
Retention Period:
(a) Where child was placed: Permanent, where file is not part of adoption or foster care case file.
(b) Where child was not placed: Retain 5 years.
7 Adoption Case Files
Documents the process to approve adoptions and subsequent care. Includes applications, background
support materials, petitions, court rulings, Adoption Home Studies of adoption family, legal documents,
narratives, follow-up documents, and other materials on the adoptive child, and related correspondence.
Retention Period:
(a) Where child was placed as ward of state: Permanent.
(b) Independent adoptions where child was placed through relatives or private agencies: Permanent.
Note: Independent adoptions require DSS evaluation since 1931.
210 MGL 5D.
K4 Laboratory
1 Patient Autopsy Records
Documents the forensic examination of patients to determine the cause of death. Includes transport and
identification materials, examination reports, and related correspondence.
Retention Period:
(a) Final reports: Permanent.
(b) All other records: Retain 30 years.
See also record series “J5-4 Medical Examiners Autopsy Case Files.”
2 Laboratory Licensure and Certification Records
Documents the certification and monitoring of medical laboratories by the state and by federal agency
CLIA.
Retention Period:
(a) Original license and licensing summary: Retain for the life of the lab plus 6 years.
(b) Inspection reports, complaint investigations, and related correspondence: Retain 6 years after closure.
(c) All other quality assurance records: Retain 3 years.
111 MGL D; 105 CMR 180.000; P. Law 100-578; 42 CFR 493.
3 Blood, Tissues, and Organs Administration Records
Documents the monitoring and control of blood maintained for use during medical emergencies and
operations.
Retention Period:
Retain 3 years.
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4 Health Laboratory Tests, Clinical
Documents biological and medical tests performed as part of patient care.
Retention Period:
Retain 3 years.
5 Quality Assurance Records
Documents efforts to monitor and recommend areas of care that can or should be improved. Includes
patient variance reports, client status studies, and related correspondence.
Retention Period:
(a) Summary reports: Permanent.
(b) All other records: Retain 3 years.
6 Childhood Lead Poisoning Test Program
To establish if lead is present in blood sample.
Retention Period:
(a) Retain 6 years.
K5 Vital Records
1 Birth Index
Consists of birth indexes to birth returns.
Retention Period:
Permanent.
Note: Municipalities retain their own indexes.
374 MGL; 486 MGL 17.
2 Birth Returns
Documents the official recording of all births in Massachusetts as reported to the Registry of Vital
Records. Includes registers, transcripted certificates, copies of certificates, or any other formatted
information that officially captures birth information for the Commonwealth.
Retention Period:
Permanent.
Note: Municipalities also retain official birth records for their localities.
374 MGL; 486 MGL 17.
3 Birth Certificate Risk Data Consent Forms
Documents mother consents to have birth risk data forwarded to be assessed for service needs.
Retention Period:
Retain until entered onto Registry of Vital Records First Link data base, then destroy.
4 Marriage Index
Consists of marriage indexes to marriage returns.
Retention Period:
Permanent.
Note: Municipalities retain their own indexes.
374 MGL; 486 MGL 17.
5 Marriage Returns
Documents the official recording of all marriages in Massachusetts as reported to the Registry of Vital
Records. Includes registers, transcripted certificates, copies of certificates, or any other formatted
information that officially captures marriage information for the Commonwealth.
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Retention Period:
Permanent.
Note: Municipalities also retain official marriage records for their localities.
374 MGL; 486 MGL 17.
6 Death Index
Consists of death indexes to death returns.
Retention Period:
Permanent.
Note: Municipalities retain their own indexes.
374 MGL; 486 MGL 17.
7 Death Returns
Documents the official recording of all deaths in Massachusetts as reported to the Registry of Vital
Records. Includes registers, transcripted certificates, copies of certificates, or any other formatted
information that officially captures death information for the Commonwealth.
Retention Period:
Permanent.
Note: Municipalities also retain official death records for their localities.
374 MGL; 486 MGL 17.
8 Live Birth Certificates R3
Documents the indexing or other compiling of live birth information for reference or statistical purposes
and not for official recording purposes.
Retention Period:
(a) Final index or compilation: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Note: Information may be included in annual report.
374 MGL; 486 MGL 17.
9 Change of Name Reports R600
Documents the indexing or other compiling of name change information for reference or statistical
purposes and not for official recording purposes.
Retention Period:
(a) Final index or compilation: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Notes:
1. Probate Courts keep official records.
2. Information may be included in annual report.
374 MGL; 486 MGL 17.
10 Divorce or Annulment Reports R408
Documents the indexing or other compiling of divorce information for reference or statistical purposes and
not for official recording purposes.
Retention Period:
(a) Final index or compilation: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
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Notes:
1. Probate Courts keep official records.
2. Information may be included in annual report.
374 MGL; 486 MGL 17.
11 Abortion Summary Reports R109
Documents the indexing or other compiling of abortion information for reference or statistical purposes
and not for official recording purposes.
Retention Period:
(a) Final index or compilation: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
Notes:
1. Information may be included in annual report.
2. Summaries do not include personal identifiers.
374 MGL; 486 MGL 17.
K6 Patient
1 Drug Reactions, Adverse Records
Documents reactions to medications and drugs.
Retention Period:
Retain 3 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
2 Mental Health Inpatient Files
Documents the inpatient care of individuals for mental health care in state facilities. Includes commitment
papers and background support documentation, medical charts, progress reports, evaluations, and
related correspondence. Also, any other materials considered part of the individual’s inpatient medical
record.
Retention Period:
Retain 30 years.
3 Patient X-Ray Records
Documents laboratory test results or recordings that are filed separately from a patients’ main case file.
Retention Period:
(a) Radiation exposure films (X-Rays): Retain 10 years.
(b) Digital X-Rays: Retain 10 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
4 Patient Admission and Discharge Records
Documents the admission and discharge of inpatients. Includes admission and discharge forms, support
documentation, logs and registers, and related correspondence.
Retention Period:
(a) Logs and registers: Permanent.
(b) Discharges where patient has died: Permanent.
(c) All other records: Retain 20 years after discharge.
Notes:
1. Logs and registers may be useful as indexes to patient files.
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2. Where patient has died onsite there may be separate death registers and accompanying files.
3. Note: 3 DMH, if filed in the client/patient record see K6-2 or K6-5 as applicable.
111 MGL 70.
5 Mental Health Client Outpatient Clinic and/or Community Service Records
Documents the mental health care of patients/clients provided by state operated outpatient clinics,
emergency services, crisis stabilization and/or the provision of mental health care by state operated
mental health Community services (including Case Management/Case Coordination, residential services,
transitional housing and any other state operated Community Service). Includes eligibility determination
records, medical information, Individual Service Plans and/or other treatment plans evaluations,
assessments, progress notes, correspondence, and any other materials considered part of the
patient/client record.
Retention Period:
Retain 30 years after close.
6 Dental Records
Documents dental work on residents.
Retention Period:
Retain 30 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
7 Patient/Resident Accounts Records
Documents cash accounts of patients/ residents.
Retention Period:
Retain 3 years after separation.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
8 Medical Patient Case Files
Documents the medical histories of patients admitted to hospitals, long term care facilities, soldiers’
homes, and nursing homes. Includes eligibility, admittance, medical charts and notes, prescriptions, diet,
reports, evaluations and plans, death reports, discharge papers and related correspondence.
Retention Period:
Retain 20 years after discharge.
Note: For mental health records see K6-2.
111 MGL 70.
9 Patient Rehabilitation Program Records
Documents programs within the institution to promote recovery or well-being.
Retention Period:
(a) Summary documentation: Permanent.
(b) All other records: Retain 3 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
10 Institutional Client Property and Valuables Records
Documents patient personal property held in storage for them by the institution. Includes inventory
listings, releases, additions, or changes, and related correspondence.
Retention Period:
Retain 3 years after final release.
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Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
11 Resident/Patient Consent Decree Records
Documents consents for medical assistance, care, or surgery. Includes consent decrees, court orders,
and Office of Quality Assurance correspondence.
Retention Period:
When not filed with patient case files: Retain 6 years and subject to review by the Archives.
Note: Copy is sent to the Attorney General’s Office.
Note: Where these records are part of a client’s DMH inpatient or community records, Refer to K6-2 or
K6-5, as applicable.
12 Resident Emergency Fact Sheets
Provides information on patients such as personal contacts to be used in case of emergency.
Retention Period:
Retain until patient separates.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
13 Resident Commitment Papers
Documents the legal commitment of individuals to institutions. Includes mittimi, legal docs authorizing
commitments and transferals, applicant statements, physician certifications, and other papers, voluntary
admissions.
Retention Period:
Permanent.
Note: Probate Courts may retain copies.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
14 DMH Client Human Rights Complaint/Investigation Records
Documents complaints of a “dangerous, illegal or inhumane” nature from or pertaining to DMH patients,
clients, or other “recipient of services” and also documents any subsequent follow-up, investigation, or
referral. Includes complaints, support materials, interview notes, fact-finding reports, decisions, referral for
action, and related correspondence.
Retention Period:
(a) Public Log of complaints with redacted personal identifiers: Permanent.
(b) Out-of scope, incomplete, or withdrawn complaints: Retain 3 years.
(c) Departmental Case File: Retain 6 years after final case activity including any referred case activity.
(d) Central Office of Investigations File: Retain 6 years after final case activity including any referred case
activity.
(e) Cases involving children: Retain 6 years after child reaches age 22 and after final case activity
including any referred case activity. If age of child cannot readily be determined: Retain 30 years.
Notes:
1. Record series applies to all programs and facilities licensed, contracted for, or operated by the
Department of Mental Health.
2. Cases may be required to be referred to other agencies if criminal activity, abuse and neglect, death, or
where licensing infractions may have occurred.
19 MGL 1, 10; 19A MGL 15; 19C MGL; 30A MGL 1(1); 38 MGL 3; 119 MGL 51A; 104 CMR 32.00.
15 MH Forensic Evaluation Records
Documents forensic mental health services provided by the Department of Mental Health including
evaluations performed (and supporting materials) by DMH pursuant to court orders or statutory mandate.
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Retention Period:
(a) Court ordered evaluations (statutory and non-statutory) and Parole Reports/Evaluations: Retain 10
years after latest evaluation.
(b) Forensic Transition Team Records. Mandatory Forensic Reports, MI/PSB reports, and Jail Treatment
Reports: Retain 6 years, where not otherwise part of a DMH record.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
16 External Reviews
Documents the appeals filed by consumers under MGL chapter 1760. Includes patient demographic
information, patient medical records, health plan grievance files, and supporting documentation from
physicians and other clinicians, decisions by the external review agencies.
Retention Period:
Retain 4 years after case closure.
Note: Some or all of the information contained in these cases is also maintained by the external review
agency, the health plan, and in many cases, by the appellant. OPP only acts as the administrator and in
many cases, does not have the complete file in its possession. In addition, OPP maintains an electronic
database of cases including patient demographics, case summaries, the health plans involved, and the
outcomes. It is also important to note that most of the information contained in these records is not public
information as it contains personal and medical information.
17 Managed Care Inquiries Through the Office of the Managed Care Ombudsman
This series documents inquiries filed by consumers regarding health plan denials of care appeals for
services. Includes records of phone calls, facsimiles, copies of bills, medical records and related
correspondence.
Retention Period:
Retain 2 years after case closure.
Note: in many of the above inquiries, OPP provides the consumer with information about the appropriate
state agency or organization that can assist with the situation being described. Most of the information is
not a public record. OPP has no enforcement authority but will refer callers to the appropriate agency or
organization.
18 Health Plan Inspections
OPP periodically conducts random on-site inspections of health plan grievance and appeal files.
Retention Period:
(a) OPP check list and supporting documentation: Retain 1 year.
(b) Summary letters and health plan corrective action plans: Retain 5 years.
K7 Pharmacy
1 Pharmacy and Prescriptions Records
Documents the filling of individual prescriptions for patients. Includes prescriptions, inventories, and
related logs, reports, and correspondence.
Retention Period:
Retain 3 years.
Note: Prescriptions may also be kept in individual patient files.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
260 MGL 4a.
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K8 Program Administration
1 Insurance Policies and Rate Setting Records
Documents rate setting for health care and insurance programs.
Retention Period:
(a) Hearing Transcripts: Permanent.
(b) All other records: Retain 10 years.
2 Social Needs Assessments Reports
Documents assessments for planning and policy determinations.
Retention Period:
(a) Final reports: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
3 Program Monitoring and Review Records
Documents the monitoring of programs and individual case work to insure quality care. Includes sampling
studies, interviews, field notes, statistical reports, notes, recommendations, and related correspondence.
Retention Period:
Retain 3 years.
Note: Excludes monitoring done to make decisions about treatment of an individual that is done for
research.
4 Medical Rate Setting Case Files
Documents the setting of rates to be paid to providers of health services such as Medicaid and other state
insurance programs and to determine charges for state care and services. Includes hearing transcripts,
public comment, and related correspondence.
Retention Period:
(a) Final hearing transcripts: Permanent.
(b) All other records: Retain 10 years.
5 Service Provider Monitoring and Investigation Records
Documents the monitoring of contracted service providers for the state.
Retention Period:
Retain 3 years.
K9 Public Health
1 Infectious Disease Case Files
Documents Department of Public Health identification of cases of infectious disease and any subsequent
follow-up. Includes intake documents, laboratory reports, physician notes, outreach notes, preventative
actions, and related correspondence.
Retention Period:
(a) Verified cases: Retain 10 years.
(b) Withdrawn, non-jurisdictional, or revoked cases: Retain 1 year.
2 Medical Staff Complaints/Discipline Records
Documents complaints against medical staff or personnel.
Retention Period:
(a) Medical doctors: Retain 25 years.
(b) All other practitioners and staff: Retain 6 years after final activity.
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3 Infectious Disease Outbreak Records
Documents Department of Public Health identification of infectious disease outbreaks and any
subsequent follow-up. Includes intake documents, laboratory reports, physician notes, interview notes,
questionnaires, data analysis, summary reports, preventative actions, and related correspondence.
Retention Period:
(a) Summary reports and substantive analysis and support data: Permanent.
(b) All other records: Retain 10 years.
4 Immunization Records
Documents the immunization of staff, patients, students, or the general public where the facility provided
the immunization.
Retention Period:
Retain for the life of the immunization.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
5 Community Sanitation Inspection Records
Documents inspections of recreational camps, minimal housing, correctional facilities, farm labor camps,
lockups. Includes complaints, inspectional reports, responses, and related correspondence.
Retention Period:
Retain 6 years after close.
111 MGL 127A; 111 MGL 5; 140 MGL 32A; 111 MGL 20; 11 MGL 128G; 105 CMR 420.00, 470.000.
6 Food and Drug License and Permits Records
Documents the process to grant and monitor licenses and permits to individuals and business handling
food and drugs.
Includes permit applications, inspection reports, labels, corrective action plans, interstate shellfish forms,
and related correspondence.
Retention Period:
Retain 6 years after inactive.
105 CMR 533.000.
7 Animal Care Regulation and Monitoring Records
Documents care of animals kept for research purposes in compliance with 9 CFR 2.75. Includes
individual care charts, animal id, diets, brooder charts, and related correspondence.
Retention Period:
Retain 3 years.
9 CFR 2.75.
8 Human and Animal Subjects Protection Records
Documents the monitoring of humans and animals for research purposes. Includes research protocols,
background support materials, animal conditions reports, and Institutional Review Board decisions and
notes.
Retention Period:
(a) IRB minutes: Permanent.
(b) Materials kept as part of sponsored research projects: Retain 6 years after close of grant.
(c) All other materials: Retain 3 years.
9 Quarantine Health Records
Documents the quarantine of patients or staff due to fear infection or disease spreading to others.
Includes quarantine orders, background materials, and related correspondence.
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Retention Period:
(a) Retain summary documentation: Permanent.
(b) All other records: Retain 10 years.
10 Infection and Communicable Disease Control Records
Documents the monitoring and control of infectious disease within the institution. Includes monitoring and
reporting documents, reports, and related correspondence.
Retention Period:
(a) Retain summary documentation: Permanent.
(b) All other records: Retain 10 years.
11 Radioactive Materials Monitoring and Control Records
Documents the control of radioactive materials in state institutions and facilities.
Retention Period:
(a) Materials inventories: Permanent.
(b) All other records: Retain 30 years.
12 Ambulance Licensure Records
Documents licensure of ambulances and drivers.
Retention Period:
(a) Candidate exam sheets: Retain 1 year.
(b) All other records: Retain 6 years.
13 Community Based Services Case Files
Documents individuals serviced by programs created to provide public health services to local
communities. Includes needs assessments and profiles, services case files, and related correspondence.
Retention Period:
(a) Children’s files: Retain 20 years after discharge or final treatment.
(b) All other case files: Retain 6 years after close.
(c) Denied or withdrawn applicants files: Retain 3 years.
14 Epidemiology Case Records
Documents the positive results of communicable reportable diseases. Test results of communicable
diseases: Malaria, Typhoid, Measles, Mumps, Rubella, Leprosy, Salmonellas, Rabies, and Encephalitis.
Doctors and hospitals submit samples.
Retention Period:
30 years.
Note: A duplicate resides in a database (electronic) at the Local Board of Health.
15 Report of Infectious Diseases
This is a record of incidence of infectious disease reported by a doctor, laboratory, clinic or hospital.
These reports from the Boards of Health of cities and towns listing: name, data, age, sex, address and
disease. Towns list them alphabetically.
Retention Period:
Retain 7 years.
16 Forensic Test Results
These results confirm identity of drug samples confiscated by police. This information may be used in
court proceedings to support testimony of a chemist. They are mass spectra of drug analyses. Laboratory
number identifies them. This series includes any electronic records.
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Retention Period:
Retain 10 years.
Note: A certificate is sent to the court and to the police department.
17 Initial EMT Certification Files
Documents the certification of basic and advanced EMTs and tracks testing performance, which also
includes challenge and reinstatement candidates pursuant to 105 CMR 170.000. This series includes
memos correspondence, application forms and fees, exam answer sheets, exam group rosters,
reinstatement applications and exam challenge applications. Arranged numerically.
Retention Period:
Retain 3 years.
Note: This series is contained in a computer system.
18 Initial Course Approval Files
Documents approved courses for initial certification of basic and advanced EMTs pursuant to 105 CMR
170.900. This series includes: application forms, letter of approval, and class roster. Arranged
numerically.
Retention Period:
Retain 3 years.
(a) Candidate Exam Sheets 1 year.
Note: This series is contained in a computer system.
19 Recertification Application Files
Documents the rectification of basic and advanced EMTs pursuant to 105 CMR 170.900. This series
includes: memos, correspondence, application form and fee, CPR card, special credit letters, and
discrepancy letters. Arranged alphabetically.
Retention Period:
Retain 2 years from expiration date.
Note: In-house computer system.
20 Continuing Education Files
This series documents the approved training programs for EMTs pursuant to 105 CMR 170.960. Included
in this series are: memos, correspondence, application for a course, course approval notice, roster of
course attendees, and EMT numbers. Arranged numerically.
Retention Period:
Retain 3 years.
Note: In-house computer system.
21 Ambulance Licensing Files
This series documents license ambulance services and certify ambulances pursuant to MGL c. 111C and
105 CMR 170.200. Included in this series are: memos, correspondence, applications for
licenses/renewals and fee, inspection reports, and copies of licenses. Arranged alphabetically.
Retention Period:
Retain 7 years.
Note: In house computer system.
K10 Shift
1 Resident Death Report Records
Documents deaths of residents under the care of a state institution.
Retention Period:
Permanent.
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2 Restraint and Seclusion Records
Documents forcible restraint and/or seclusion of patients.
Retention Period:
Retain 3 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
3 Death Records
Documents deaths of individuals. Includes doctor’s report, death certificates, logs and registers, and
related correspondence.
Retention Period:
Permanent.
4 Ambulance Trip Institutional Records
Documents movement of patients to or from facility.
Retention Period:
Retain 3 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
5 Birth Records
Documents the recording of the birth of individuals. Includes standard certificates of live birth, corrections,
logs and registers, and related correspondence.
Retention Period:
Permanent.
6 Shift Code Emergency Response Records
Documents any emergencies taking place during a shift where a code was called. Includes incident
reports, notes, and related correspondence.
Retention Period:
(a) Retain summary documentation: Permanent.
(b) All other records: Retain 10 years.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
7 Shift Reports
Documents the activities of shifts. Includes logs, inspection reports, inventories, shift reports, and related
correspondence.
Retention Period:
Retain 3 years.
8 Visitors Records
Documents visitors to institutions to see patients.
Retention Period:
(a) Permanent, where patient files are kept as permanent.
(b) Otherwise, retain 3 years.
9 Intern and Resident Training Records
Documents the training files of interns and resident doctors.
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Retention Period:
Retain 6 years after separation.
10 Daily Census
Documents the recording of the number of institutionalized persons.
Retention Period:
(a) Summary data reports: Permanent.
(b) All other records: Retain 3 years.
11 Paramedics Communication Logs
Documents communications between ambulances and paramedics and the institution.
Retention Period:
Retain 1 year.
Note: Where these records are part of a client’s DMH inpatient or community records, refer to K6-2 or K65, as applicable.
K11 Division of Health Care Finance and Policy
1 Hospital Field Audit Work Papers (report RSC403)
Retention Period:
Retain 10 years.
Note: This series is subject to audit.
2 Hospital Cost Reports (report RSC403)
Retention Period:
Retain 10 years.
Note: This series is subject to audit.
3 Long Term Care Cost Reports
This series includes the reports HCF 1, 2, 3, 4.
Retention Period:
Retain 20 years.
Note: This series is subject to audit.
4 Ambulatory Care Reports
This series also includes: Adult Day Health, Adult Foster Care, Community Health Center, and Nursing
Services Cost Reports.
Retention Period:
Retain 10 years.
Note: This series is subject to audit.
5 Hospital Charge Books
These books list the charges for hospital services.
Retention Period:
Retain 4 years.
6 Intermediate Care Facilities for the Mentally Retarded Cost Reports
Retention Period:
Retain 10 years.
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7 Hospital Annual Financial Filings
Retention Period:
Retain 10 years.
Note: This series is subject to audit.
8 Certified Nursing Assistants (CNA) Add-On Reports
This series is made up of Reports and audits.
Retention Period:
Retain 20 years.
Note: This series is subject to audit.
9 Blue Cross Blue Shield Contracts
This series is made up of Blue Cross Blue Shield contracts with Ambulatory Care providers.
Retention Period:
Retain 10 years.
10 Public Hearing Records
This series is made up of Public Hearing Records and Business Meeting folders.
Retention Period:
Permanent.
11 Credit and Collection Policies
This series includes Acute Hospitals Credit and Collection Procedures.
Retention Period:
Retain 10 years.
Note: This series is subject to audit.
12 UCP/Health Safety Net Audits
Retention Period:
Retain 10 years.
13 Nursing Facility Petitions
This series includes Petitions filed by nursing facilities regarding rates.
Retention Period:
Retain 30 years.
14 Substance Abuse Treatment Program Licensing Records
Documents the process to license treatment programs. Includes applications, inspection reports,
deficiency correction orders, background support materials, license approvals and related
correspondence.
Retention Period:
(a) Summary list of licenses: Permanent.
(b) All other records retain 6 years.
105 CMR 164.00.
15 Alcohol and Drug Counselor Records
Documents the process to grant licenses to alcohol and drug counselors. Includes applications,
background support materials and related correspondence.
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Retention Period:
(a) Retain original filing and a summary of subsequent filings for the potential licensing period of the
individual plus 3 years.
(b) All other records: Retain 3 years from expiration or cancellation of license.
105 CMR 168.000.
16 Licensure Complaints, Investigations and Hearing Records
Documents complaints against licensed programs or licensed counselors, and includes investigations,
reports and findings, agency actions, hearing proceedings [non-methadone], transcriptions and related
correspondence.
Retention Period:
(a) Abandoned, incomplete, non-jurisdictional, withdrawn or dismissed complaints: Retain 1 year.
(b) All other records: Retain 3 years after final resolution.
17 Methadone Appeals
Documents appeals submitted to the State Methadone Authority from clients discharged from Opioid
Treatment Programs including the record of the program hearing including audiotape and the
determination on appeal.
Retention Period:
Retain 3 years after final resolution.
105 CMR 164.309.
18 Site Visits to Substance Abuse Treatment Programs
Documents financial, contractual and statistical program evaluation of contracted sites and includes
reports and findings.
Retention Period:
Retain 3 years.
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L1 Tax Policy and Administration
1 Uniform Commercial Code Financial Statements
Documents reports for regulation purposes.
Retention Period:
(a) Official copy: Permanent.
(b) All other records: Retain 6 years.
2 Tax Policy and Analysis Reports
Documents DOR analysis of potential impacts of tax law changes including forecasts for Commonwealth
tax collection. Reports may also analyze impacts of special internal programs such as tax amnesty.
Reports may be written for internal use or as special projects for Administration and Finance, the
Legislature, or the Governor.
Retention Period:
(a) Final reports: Permanent.
(b) Report data and notes: Retain until administrative use ceases. Permission from RCB not required for
destruction.
3 Tax Issues and Policy Proposal Records
Documents the recommendation or proposal of tax policy or procedural changes to internal or external
rules and regulations or legislation. Includes issues background information, recommendations, proposed
legislation, and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
L2 Tax Customer Service
1 Taxpayer Advocate Case Files
Documents agency help for individuals with tax problems or issues referred to the taxpayer advocate,
problem resolution, or customer services. Includes intake documents, support and background materials,
audit papers, rate and calculation sheets, adjustments and corrections, and related correspondence.
Retention Period:
Retain 6 years after final case activity.
2 Taxpayer Customer Service Records
Documents the intake and handling of taxpayer inquiries or complaints. Includes intake documents,
background and support documentation, audit papers, rate and calculation sheets, adjustments and
corrections sheets, and related correspondence.
Retention Period:
Retain 3 years.
Note: Some cases may be referred to other units of DOR depending on the nature of the problems to be
addressed.
3 DOR Problem Resolution Case Files
Documents the handling of taxpayer inquiries, disputes, and complaints. Includes intake documents,
background support, rate and calculation sheets, corrections sheets, and related correspondence.
Retention Period:
Retain 6 years after final activity.
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4 Tax Practitioner Electronic Filing Authorizations
Documents that individual income tax clients have given the tax practitioner, such as H&R Block,
authorization to file their returns electronically. Consists of Individual Income Tax Declaration for
Electronic Filing (M-8453) forms. This is a defunct series.
Retention Period:
Retain 3 years.
Note: Forms are now held by the practitioners and not sent to DOR.
L3 Tax Filing
1 Tax Return Filings
Documents the monthly, quarterly, or annual filing by individuals, corporations, employers, or other
entities of taxes owed to the Commonwealth of Massachusetts. Tax categories include Income Tax
(Personal and Corporate), Corporate Excise, Excise, Exempt Property, Meals Tax, Room Occupancy
Tax, Sales and Use, and Withholding Tax. Includes tax forms, postmarks, form support receipts, checks
payable to DOR, and related correspondence.
Retention Period:
(a) Intake tax filings source documents scanned into MASSTAX system: Retain until verified as captured
onto MASSTAX system.
(b) Electronic filings: Retain until verified as captured onto MASSTAX system.
(c) Hardcopy records that have not been scanned or not fully scanned (partials): Retain 6 years.
(d) All other records: Retain 6 years.
839 CMR 62C.24; 62C MGL 24; 62-64 MGL; 138 MGL.
2 W4s
Consists of W-4 forms received by DOR, which employees must complete before claiming withholding
allowances on income tax returns or changing their tax status.
Retention Period:
Discard hardcopy after information is captured on MASSTAX System.
3 Taxpayer Estimated Tax Payment Forms
Documents payments to DOR during the year to alleviate an especially large payment at time of official
tax filing. Includes Estimated Tax Payment Form 1-ES.
Retention Period:
Discard hardcopy after information is captured on MASSTAX System.
4 Employer Wage Reports
Documents employers reporting of employee wages to DOR. Includes Employer’s quarterly Report of
Wages Paid (WR-1).
Retention Period:
Retain hardcopy until captured on MASSTAX System.
62E MGL.
5 Estate and Inheritance Tax Case Files
Documents the process to determine and collect payments relating to the annual filing of estate and
inheritance taxes. Includes tax forms, postmarks, estimated payments documentation, commissioner
determinations of value, probate court materials, copies of wills, abatement and appeals documentation,
and related correspondence.
Retention Period:
Retain 10 years.
830 CMR 65C; 65A-C MGL.
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6 Taxpayer Payment Voucher Slips
Consists of slips that accompany taxpayer check payments to insure that checks are credited to the
correct individual when posted to the computer system. Includes Income Tax Payment Vouchers (Form
PV).
Retention Period:
Discard hardcopy after information is captured on MASSTAX System.
7 Business Tax Status Registrations
Documents business registrations of their applicable tax categories such as for meals or sales tax.
Includes Application for Original Registrations (Form TA-1) and Organization Information (TA-3).
Retention Period:
(a) Retain hardcopy until information is captured onto MASSTAX System.
(b) Hardcopy that predates MASSTAX may be discarded due to its obsolete nature.
L4 Tax Collection
1 Taxpayer Appeal Case Files
Documents formal appeals by taxpayers to correct tax assessments. Includes appeals requests, hearing
documentation including typed hearing notes, dispute resolution support documents, tax support
documents such as receipts, final settlement agreements, final letters of determination, and related
correspondence.
Retention Period:
Retain 10 years after final settlement or determination.
L5 Tax Collection
1 Profession, Trade, or Business License Listings
Consists of annual lists sent to DOR by Commonwealth agencies of all professional, trade, and business
licenses issued or renewed during the preceding year.
Retention Period:
Retain 2 years.
62C MGL 47A.
2 Taxes in Litigation Certification Records
Documents the Commissioner’s response to a tax collector’s request for certification that an unpaid tax is
presently uncollectible because of litigation or certain other reasons. The Commissioner’s certification
authorizes the collector to transfer the uncollectible amounts to a ‘Taxes in Litigation’ account. Includes
written request from local tax collector with supporting documentation where appropriate, and letter of
certification from the Commissioner.
Retention Period:
Retain 6 years.
60 MGL 37A, 95.
3 Potential Taxpayer Locator Records
Documents attempts to identify and locate taxpayers not currently registered on the MASSTAX system.
Includes lists, background support materials, and related correspondence.
Retention Period:
Retain 1 year.
4 Promoter’s Business Rental Reports
Consists of reports provided by promoters who rent space to businesses for the purpose of conducting
retail sales. The businesses may have sales tax obligations.
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Retention Period:
Retain 2 years.
5 Bankruptcy Claim Records
Documents files on taxpayer bankruptcy maintained to assist state revenue agents request their fair
share of disbursements. Includes copies of federal petitions for bankruptcy, proof of claim forms,
background support documentation, and related correspondence.
Retention Period:
Retain 6 years after closed, dismissed, or when no further action can be taken by administrative (nonlitigation) means.
6 Tax Litigation Case Files
Documents cases brought before DOR and/or the Appellate Tax Board, or the courts to resolve tax
payment issues. Includes investigation and evidence materials, motions and briefs, proceeding
transcripts, decisions and determinations, probate court materials, and related correspondence.
Retention Period:
(a) Letters referring cases to the Attorney General’s Office: Permanent.
(b) Landmark or policy setting cases: Permanent.
(c) Cases involving payment agreements: Retain until expiration of the payment agreement or until the
amount owed is paid off, or 10 years, whichever period is longer.
(d) All other records: Retain 10 years after case closing and all appeals are exhausted unless a longer
period is required by legal counsel.
7 Appellate Tax Board Appeals Records
Documents appeals to the Board to hear and decide an individuals’ or entity’s claim for a tax abatement.
Includes pleadings, exhibits, hearing transcripts, briefs, notices of decision, notices of appeal, requests for
Findings of Fact and Report, notice of extension of time to issue Findings of Fact and Report, and related
correspondence.
Retention Period:
(a) Appeal Decision Books: Permanent.
(b) Findings of Fact and Report Books: Permanent.
(c) Exhibits: Retain until appeal is closed, appeal period has expired, and all appeals through the Court of
Appeals and the Supreme Judicial Court are exhausted.
(d) Dismissed and otherwise withdrawn appeals: Retain 3 years.
(e) All other records retain 6 years after appeal is closed, appeal period has expired, and all appeals
through the Court of Appeals and the Supreme Judicial Court are exhausted.
58 MGL 7,7A, 7B.
8 Tax Collection Case Files
Documents the Commissioner’s attempts to collect unpaid taxes due to non-filing or other circumstance
as allowed for in 62C MGL 46 and other statutes. Includes taxpayer notifications, levy and seizure
documentation, payment agreements, financial worksheets, staff case worker supplemental files, and
related correspondence.
Retention Period:
(a) Tax lien documentation: Retain 10 years after date of assessment or 6 years after final action:
whichever period is longer.
(b) All other records: Retain 6 years from declaration of uncollectible, payment, or other final settlement.
62C MGL 65; House Bill 4744.
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9 Tax Warrant Listings
Documents the signing off of assessment lists by authorized DOR employees indicating that DOR is
authorized to assess the listed taxes and has begun the process to collect the amounts shown. Listing is
a computer generated printout with the addition of an inked signature.
Retention Period:
Retain 6 years.
10 Uncollectible Tax Records
Documents the write-off of unpaid taxes not warranting collection as allowed for in 62C MGL 43. Includes
listings, support documentation and work papers, and related correspondence.
Retention Period:
Retain 6 years.
62C MGL 43.
11 Tax Liability Settlement Agreement Records
Documents agreements between the Commissioner and taxpayers to settle unpaid tax cases. Lists of
settlement are included in the commissioner’s annual report. Includes offers and final settlements,
background support materials, attorney general reviews, and related correspondence.
Retention Period:
Retain 6 years from final settlement, or 20 years, whichever period is shorter.
62C MGL 37A.
12 Tax Revenue Accounting Records
Documents the management of cash and revenues as part of the state tax collection process. Includes
cash transactions, electronic funds transactions, bank deposit documentation, cancelled checks,
reconciliation reports, and related correspondence.
Retention Period:
(a) Account general ledger (year-to-date) and monthly Blue Book revenue summary reports: Permanent.
(b) All other records: Retain 10 years.
L6 Tax Investigation and Research
1 Tax History Inquiry Records
Documents responses to inquiries from bureaus within DOR, elected officials, the Governor’s Office, and
outside agencies related to tax filing histories or other tax related information.
Retention Period:
Retain 6 years.
2 Tax Information Transmittal Records
Documents any receipts or transfers of information between DOR Federal/State Exchange Unit and the
IRS, other states, or other units within DOR. Includes transmittal documentation such as IRS
memorandum, letters, forms 3210 and M3210, DOR Unit requests, information routing and tracking
documentation, the transferred tax information, destruction of transferred tax information documentation,
and related correspondence.
Retention Period:
Retain 6 years.
Note: All information is channeled through the Exchange office before being distributed to appropriate
locations.
IRS publication 1075 “Tax Information Security Guidelines for Federal, State, and Local Agencies.”
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3 Taxpayer Audit Case Files
Documents audits of taxpayers. Includes copies of tax returns, bank statements, hearing notes, audit
reports and responses, and related correspondence.
Retention Period:
Retain 6 years after final resolution or determination.
62C MGL 26B; 30 MGL 7C.
4 State/Federal Tax Information Exchange Records
Documents the exchange of information between DOR and IRS and IRS monitoring of the use and
handling of IRS data by the state. Includes agreements, arrangements, reports, yearly audit review
documentation, process support documentation, and related correspondence.
Retention Period:
(a) Agreements and understandings: Retain 6 years after expiration.
(b) All other records: Retain 6 years.
IRS publication 1075 “Tax Information Security Guidelines for Federal, State, and Local Agencies.”
5 Tax History Research Records
Documents responses to inquiries from bureaus within DOR, elected officials, the Governor’s office, and
outside agencies related to tax filing histories or other tax related information.
Retention Period:
Retain 6 years.
6 Special Tax Research Records
Documents special research on areas such as DOR and Governor’s office employees' tax filing histories.
Includes certificates of filing (form CC-1, SR-1, SR-2, SR-3), background checks, and related
correspondence.
Retention Period:
Retain 6 years.
7 Tax Criminal Investigation Records
Documents investigations into tax system abuse. Includes tax returns and submissions, investigatory
documentation, audit reports, and related correspondence.
Retention Period:
Retain 6 years after closure.
8 Employee Tax History Records
Documents research into DOR, Governor’s office or other employees. Includes certificates of filing (form
CC-1, SR-1, SR-2, SR-3), background checks, and related correspondence.
Retention Period:
Retain 6 years.
Note: Bargaining unit employees may not need to complete certificates of filing.
L7 DOR Bureau of Accounts
1 County Budget Records
Documents the Departmental Budget request and allotment process for the purposes of monitoring and
analysis. Includes departmental budget requests, budget review documents, approval votes, Financial
Committee correspondence, departmental budget appropriation, and related support materials and
correspondence.
Retention Period:
Permanent.
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Note: Includes information on the abolished counties of Berkshire, Essex, Franklin, Hampden,
Hampshire, Middlesex and Worcester and the active counties of Barnstable, Bristol, Dukes, Nantucket,
Norfolk, Plymouth, and Suffolk.
2 City Town Debt Sale Records
Provides a record of the bidding process of city or town debt for the purpose of sale to securities brokers.
Includes city and town debt publications, disclosure statements, applications for credit rating, and
competitive sealed bid documentation.
Retention Period:
Retain 3 years.
3 Municipal Schedule A Report Records
A year-end statement from the municipality detailing revenues, expenditures, financial sources and uses,
changes in fund balance and certain balance sheet information. It is entered into the Municipal Data Bank
for the use of various agencies interested in analyzing the scope of services provided and in making
policy decisions.
Retention Period:
Retain 3 years.
4 Municipal Cash Reconciliation Report Records
Documents the year-end reconciliation of cash for all municipal funds. Report is submitted by
communities to DOR for monitoring and analysis purposes.
Retention Period:
Retain 3 years.
5 Municipal Tax Rate Certification Records (Recap Sheets)
Documents submissions by local officials to DOR for approval and certification of the (recapitulated) rate
of taxation to be levied upon taxable property. After approval, a community may issue its property tax
bills. Includes Tax Rate Recapitulation Sheets, annual levy growth calculations, tax rate calculations, and
related correspondence.
Retention Period:
Retain 3 years.
59 MGL 23.
6 Municipal Audit Report Records
Documents the Bureau of Accounts’ review and approval of municipal audit reports of a city or town’s
financial statements as prepared by an independent certified public accountant. Includes a combined
balance sheet; a combined statement of revenues, expenditures and changes in fund balance; a
combined statement of revenues and expenditures, approval documentation, and related
correspondence.
Retention Period:
Retain 3 years.
7 County Financial Reports
Documents reports submitted by municipalities detailing treasurer’s receipts, disbursements and cash
balances, registers of deeds receipts, sheriff receipts and disbursements. Used for monitoring and
analysis purposes.
Retention Period:
Retain 3 years.
8 Municipal Proposition 2 1/2 Records
Documents DOR monitoring of yearly changes to local levy limits, including overrides and debt exclusion,
debt service timing shifts by votes of city or town in compliance with Proposition 2 1/2 (59 MGL 21C)
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which places a limit and other restrictions on the amount of property taxes a community can levy each
year. Used for monitoring and analysis.
Retention Period:
Permanent.
Notes:
1. A levy is the amount a community can raise through real and personal property tax.
2. The Commissioner of Revenue has the authority to issue guideline requirements to communities for
the purposes of Proposition 2 1/2. (59 MGL 21 C Note 3. Authority of commissioner).
59 MGL 21C, 40 MGL 56.
9 State House Note Certificate Records
Documents the sale of short-term debt through State House serial notes, which are certified by DOR
Bureau of Accounts rather than a bank. Details type of loan, purpose, supporting documentation of
authorization. Note certificates are filed by city, town, and district clerks.
Retention Period:
Retain 3 years.
10 Municipal Compensating Balance Report Records
Documents compensatory payments to a bank for treasury services rendered regarding the deposit,
investment, and disbursal of monies collected by the municipality. Submitted by the municipality, it is used
by the DOR Bureau of Accounts for monitoring and analysis purposes.
Retention Period:
Retain 3 years.
11 County Government Finance Review Board Records
Documents the activities of the board that oversees county fiscal matters. Includes agendas, minutes,
and related support materials and correspondence.
Retention Period:
Permanent.
Note: These records are maintained by DOR Bureau of Accounts on the behalf of the Undersecretary of
Administration and Finance.
12 Municipal Balance Sheet Reports
Documents a community’s financial position at the end of the fiscal year. Includes summary information
on assets, liabilities, and fund equity. Submitted by the municipality to DOR, it is used by the Bureau of
Accounts to calculate and certify a community’s free cash (available funds for appropriation) and for
monitoring purposes.
Retention Period:
Retain 3 years.
L8 DOR Local Assessment
1 Tax Exemption Reimbursement Request Records
Documents local government requests for reimbursement from the state for property tax exemptions
granted to veterans, surviving spouses, blind persons, and the elderly.
Retention Period:
Retain 3 years.
58 MGL 5, 8.
2 Municipal Budget Schedules (Cherry Sheets)
Schedules form the basis for municipal budgets, subject to revision during the course of the year, setting
forth estimated state aid to be paid and charges to be assessed. Schedules are used to determine the
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portion of local budgets supported by state aid, which is used to calculate the annual property tax rate.
Sheets are distributed to municipalities by DOR after final enactment of the state budget or Legislative
Local Aid Resolution. Records consist of notifications to each town by the Commissioner of Revenue to
local assessors of the estimated receipts to be paid to the town by the state during the next fiscal year
(CS 1-ER); estimated assessments and charges which the town must pay for the services performed by
the state, county, and certain regional districts (CS 1-EC); state aid for education (CS 2-ER).
Retention Period:
Retain 3 years.
Note: Cherry sheets are named for the cherry colored paper on which they were originally printed. The
sheets are computer printouts generated from the Municipal Data Bank Database.
58 MGL 20A, 25A.
3 Education Reform Waiver Records
Documents local government applications for waivers of the requirements imposed by the Education
Reform Act of 1993.
Retention Period:
Retain 3 years.
4 Municipal Emergency Aid Records
Documents the application for emergency aid from the state.
Retention Period:
Retain 5 years.
5 State Owned Land (SOL) Valuation Records
Documents the identification and valuation of state owned land (SOL). Municipalities are reimbursed
annually by the state for the subsequent lost tax revenues as legislated. Reimbursement is made through
municipal budget schedules (Cherry Sheets) or through direct billing if it is MDC watershed land. Includes
eligible parcel listings; quinquennial valuation summaries by community; flood control land
documentation; site appraisal and review reports; eligibility determination documentation such as deeds,
property record cards, land schedules, zoning maps; field staff notes, and related correspondence.
Retention Period:
(a) Parcel eligibility listings, quinquennial valuation summaries, flood control land documentation:
Permanent.
(b) Site appraisal and review reports: Retain until administrative use ceases. Permission from RCB not
required for destruction.
(c) All other records: Retain 5 years.
58 MGL 13-17B; 59 MGL 5G.
6 Unassigned Assets and Property Reports
Documents information relating to abandoned property, undistributed funds, unidentified collections, or
otherwise undesignated assets and property held by the agency.
Retention Period:
Retain until disposition determination has been made plus 6 years.
See also record series “L13-18 Abandoned Property Program Records.”
7 Municipal Land Valuation Records
Documents the Identification and valuation of land in one municipality owned by another municipality.
Used by the Bureau of Local Assessment during the property valuation certification process to review
current values of parcels based on the historical figures.
Retention Period:
Permanent.
Note: 1988 was the last year of state valuation of these properties.
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59 MGL 5D-F.
8 Property Valuation Certification Records
Documents the review process of city and town local assessment classification and valuations of taxable
property to certify that they represent full and fair cash value. Includes LA-3 sales reports and analysis;
LA-9-12 certification audit forms; LA-10 assessment adjustment list and the locally assessed utility
certification summary, certification LA-4, community submissions, field advisors’ notes and folders, and
related correspondence.
Retention Period:
Retain 3 years.
58 MGL 1, 1A, 4-4C; 59 MGL 2, 2A, 3F, 18, 38.
9 Tax Abatement Authority Requests Records
Documents DOR Local Services processing and response to specific requests from local officials for the
Commissioner of Revenue’s authorization to abate locally assessed taxes or excises, interest or
penalties; rates or other charges. Includes initial written request from petitioner, requests for additional
information from the Commissioner, and related correspondence.
Retention Period:
Retain 3 years.
58 MGL 8.
10 Land of Low Value (Affidavit to Foreclose) Records
Documents the Commissioner’s action upon a request for an affidavit of land of low value for foreclosure
purposes and, where appropriate, the execution and issuance of such an affidavit. Includes written
requests, statements and documentation from applicant demonstrating essential facts, affidavit if
approved or letter of denial.
Retention Period:
Permanent.
60 MGL 79.
11 Property Valuation Compliance Program Records
Documents ongoing efforts to assure that municipalities are in compliance with full and fair cash value
standards. Includes local studies and initiatives, interim year adjustment reports, program
recommendations, and related correspondence.
Retention Period:
Retain 6 years.
58 MGL 1, 1A, 4-4C; 59 MGL 2, 2A, 3F, 18, 38.
12 Equalized Property Valuations (EQVs)
Documents the Bureau of Local Assessments establishment of Equalized Valuations every 2 years.
These are the estimate of the full and fair cash value of all taxable property in the Commonwealth as of a
certain taxable date. Includes for each municipality: appraisal reports, community sales report
submissions, summary analysis forms and proposed and final EQV determinations. Also includes biennial
report as accepted by the legislature.
Retention Period:
(a) Biennial Reports: Send copies to the State House Library.
(b) All other records: Retain 4 years.
58 MGL 9-10C.
13 Utility Valuation Certification Records
Documents the valuation process of certain taxable utility personal property to establish the full and fair
cash value. Includes annual reports of telephone, gas, and petroleum pipeline values; company returns;
bureau analysis and valuation determinations; and related notes and correspondence.
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Retention Period:
(a) Utility Valuation Reports: Permanent.
(b) All other records: Retain 3 years.
59 MGL 38A; 59 MGL 39-42.
14 Farmland Valuation Advisory Commission Records (FVAC)
Documents the activities of the five member multiagency commission, which is responsible for
determining and publishing annually the acre value ranges for agricultural and horticultural land. Includes
minutes, valuation reports, and related notes and correspondence.
Retention Period:
Permanent.
Note: DOR is chair and holds the official minutes.
61A MGL 11.
15 Omitted and Revised Assessments and Rollback Tax Records
Provides a record of annual information reports of Omitted and Revised Assessments and Rollback taxes
submitted by municipalities with supporting documentation. Used for monitoring purposes.
Retention Period:
Retain 1 year.
59 MGL 75, 76; 61A MGL 13.
16 Owners Unknown Assessment Records
Documents the Commissioner’s certification that a board of assessors after reasonable diligence cannot
ascertain the true owner of a parcel of taxable real estate. The certification authorizes the Board of
Assessors to make an assessment to Owners Unknown. Includes a written request from the board of
assessors, a report of the board’s efforts to determine the true owner with appropriate supporting
documentation, and a letter from DOR firmly authorizing the assessment of owners unknown.
Retention Period:
Permanent.
59 MGL 11.
17 Assessor Training Records
Documents the training of local assessors as required by DOR regulations. Includes applications, test
results, and summary list of certified assessors.
Retention Period:
(a) Summary list of certified assessors: Permanent.
(b) All other records: Retain for the potential licensing period plus 3 years.
L9 Child Support
1 Child Support Enforcement Case Files
Documents cases relating to applications from individuals seeking to establish or enforce orders for child
support. Includes application for Child Support Enforcement Services, parent’s support agreements,
copies of court orders, financial background support materials, levy and lien documentation, and related
correspondence.
Retention Period:
(a) Hardcopy intake source documents scanned into COMETS IM system: Retain until verified as
captured onto COMETS IM system.
(b) Hardcopy intake source documents that have not been scanned: Retain 3 years after close of case.
14 MGL 1A; 119A MGL; Title IV, Part D of the Social Security Act (42 USCA 651); 273 MGL; 273A MGL;
45 CFR 74.53; 45 CFR.
301, 302.15, 303.2.
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2 Child Support Unassigned Assets and Property Records
Documents information relating to abandoned property, undistributed funds, unidentified collections, or
other undesignated assets in Child Support accounts.
Retention Period:
Retain 10 years.
Note: Review report titles before any destruction to determine if any reports warrant a longer retention
period.
3 DOR Child Support Problem Resolution Case Files
Documents the review and enforcement of child support payment provisions. Includes inquiries, wage
attachments, worksheets, support, and related correspondence.
Retention Period:
Retain 6 years after final activity.
4 Child Support Account System Monitoring and Control Reports
Documents information relating to the processing and monitoring of Child Support accounts. These
reports are computer generated.
Retention Period:
Retain 3 years or until administrative use ceases, whichever period is longer.
Note: Review report titles before any destruction occurs to determine in any reports warrant a longer
retention period.
L10 Underground Tank
1 Municipal Underground Storage Tank Reimbursement Program Records
Documents the program that grants funds to municipalities as reimbursements for costs incurred in
removing and/or replacing underground storage tanks. Reimbursements are met by matching municipal
funds. Includes reimbursement requests and approvals, background support materials, and related
correspondence.
Retention Period:
Retain 6 years after final claim activity.
Note: Files of the ‘Underground Storage Tank Petroleum Product Cleanup Fund Administrative Review
Board’ are maintained by the Department of Revenue.
21J MGL.
2 Underground Storage Tank Claim Records
Documents claims for reimbursement from underground tank owners for environmental cleanup costs.
Includes reimbursement claims, proof of payment of all cost obligations, inspection field notes and
reports, board approvals and denials, claim appeals, claim litigation records, reimbursement payment
vouchers, and related correspondence.
Retention Period:
Retain 6 years after final claim activity.
Note: Files of the ‘Underground Storage Tank Petroleum Product Cleanup Fund Administrative Review
Board’ are maintained by the Department of Revenue.
21J MGL.
3 Underground Storage Tank Fees Records
Documents the payment of fees imposed on the use of a dispensing facility at the site of delivery of
petroleum product. Fees are assessed for each delivery and an annual fee per tank. Includes fee
collected and payable documentation, fee deposit documentation, and related correspondence.
Retention Period:
Retain 6 years after final claim activity.
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Note: Files of the ‘Underground Storage Tank Petroleum Product Cleanup Fund Administrative Review
Board’ are maintained by the Department of Revenue.
21J MGL.
L11 Bank
1 New Charters and Holding Company Acquisition Records
Documents petitions for which public hearings are required and involve the Board of Bank Incorporation’s
decisions relative to depository institutions. Includes petitions and support materials, hearing transcripts,
board decisions, and related correspondence.
Retention Period:
(a) New bank and credit union charters: Retain 4 years.
(b) Holding company acquisitions and other related transactions: Retain 4 years.
2 Annual Report Submissions
Documents reports required to be submitted to the commissioner of banks by banks, credit unions,
consumer finance companies, financial services companies, mortgage companies, and other fiscal
entities. Includes locations of offices and branches, operating officers, directors or trustees, and conduct
and condition.
Retention Period:
Retain 3 years.
167 MGL 13.
3 Bank and Credit Union Structure Records
Documents the process to petition changes to the organization or physical structure of banks and credit
unions such as office closure or relocation, adding branches, mergers, acquisitions, bank reorganization
into mutual holding company, asset purchase-liability assumptions, charter changes, stock conversions or
by-law changes. Includes petitions legal briefs, public comments, public hearing documentation, approval
or denial letters or “decisions” and related supporting materials.
Retention Period:
(a) Office closures, office relocations, and new branches: Retain 3 years.
(b) By-law changes: Retain 3 years.
(c) Mergers, acquisitions (not holding company), and asset purchases-liability assumptions: Retain 3
years.
(d) Conversions from state to federal charter or from federal to state charter: Retain 4 years.
(f) All other transactions: Retain 3 years.
Note: Changes will be reflected in annual reports.
4 Bank and Credit Union Examination Records
Documents the commissioner of banks’ annual examination of all banks and credit unions under his
supervision to determine if they can fulfill their obligations and if they are in compliance with applicable
law. Includes examination reports by Division of Banks examiners, returns to the commissioner, records
of examinations, certificates and acknowledgements, and related correspondence.
Retention Period:
(a) Bank examination work papers: Retain 3 years.
(b) All other records: Retain 6 years.
Note: Records may be subject to court proceedings and must be kept for 6 years under the provisions of
167 MGL 9.
167B MGL; 167 MGL 2; 167 MGL 9.
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5 Special Examinations Records
Documents examinations that may be required to respond to important situations that may require
remedial action by entities under Division of Banks oversight such as Y2K. Includes reports and
background work papers.
Retention Period:
(a) Reports: Retain 6 years.
(b) Work papers: Retain 3 years.
6 Licensing Records
Documents the process of issuing and monitoring licenses to all Division of Banks licensed entities such
as check cashiers, collection agencies, mortgage brokers, and small loan agencies. Includes applications,
financial disclosures, surety bond copies, regulatory oversight documents, fees and revenues
documentation, and related correspondence.
Retention Period:
(a) Summary logs or listings of current and former licenses as well as unsuccessful applications with
status cited: Permanent.
(b) Original licenses and substantive support materials: Retain 3 years from decision date.
(c) Routine license renewal records: Retain 3 years.
(d) Surrendered, Withdrawn, Non-renewed, Exempt, or Denied Applications: Retain 3 years.
169A MGL.
7 Licensee Examination Records
Documents the annual examination of Division of Banks licensed entities for compliance with regulations
and statutes. Includes examiners work papers and final reports.
Retention Period:
(a) Licensee Examination Reports: Retain 6 years.
(b) Work papers: Retain 3 years.
93 MGL 140 MGL; 167 MGL; 167F MGL; 169 MGL; 169A MGL; 255B MGL; 255C MGL 255D MGL; 255E
MGL.
8 Banks and Credit Unions Under Regulatory Order Records
Documents banks and credit unions whose status has been suspended due to dire circumstance or crisis.
Retention Period:
Retain 6 years after administrative use ceases.
9 Liquidation Records
Documents the case histories of banks and credit unions that have failed, or liquidated. Includes a
consolidation of substantive information and documents about the banks and credit unions.
Retention Period:
Retain 10 years or until all significant issues of the receivership have been resolved.
10 Consumer Complaint Records
Documents consumer complaints into regulated entities business practices. Includes complaints, hearing
materials and transcripts, and related correspondence.
Retention Period:
(a) Routinely disposed of complaints: Retain 3 years.
(b) Complaints referred to other agencies: Retain 6 months.
(c) All other records: Retain 6 years after case closes.
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11 Loan Appeal Board Case Files
Documents consumer and financial institution appeal to the Division of Banks loan review board
regarding mortgage and small business loan denials. Includes appeals, case materials, determinations,
and related correspondence.
Retention Period:
Retain 3 years.
167 MGL.
12 Research Reports and Work Papers
Analysis is performed in support of proposed legislation and regulations, policy initiatives and responses
to legislative and executive branch inquiries.
Retention Period:
Retain 6 years.
13 Commissioner’s Documents
Files generated by and for the bank commissioner and deputy bank commissioners.
Retention Period:
Permanent.
L12 Insurance
1 Insurance Licensing and Filings Register
Provides a listing of agent/broker producers of insurance policies and sales. Lists include individual
advisors licensed in Massachusetts, agencies licensed in Massachusetts, A and H agencies, Public Fire
Loss Adjusters, Surplus Line Brokers, Life Agencies, Motor Vehicle Damage Appraisers, P and C
agencies, and others.
Retention Period:
Permanent.
Note: An insurance producer is a person required to be licensed to sell, solicit, or negotiate insurance in
the state.
2 Insurance Company Licensing Records
Documents the licensing of insurance companies such as property and casualty, life accident and health,
title, fraternal, and health insurance companies to issue policies or contracts in Massachusetts. Includes
insurance company applications, examinations of companies (including out of state foreign doing
business in Massachusetts), history and activities, personnel and earnings, annual report submissions,
financial statements, renewal materials, withdrawal notifications, Articles of Organization, foreign
corporate certifications (showing licensure in another state), partnership agreements, Amended Articles of
Organization and dissolution, corporate merger documents, and related correspondence.
Retention Period:
(a) Routine facilitative processing materials: Retain 1 year.
(b) Denied applications: Retain 3 years.
(c) Insurance Company Licensing documentation: Retain 6 years after current licensing period ends.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing.
2. Annual Statements also retained by National Association of Insurance Commissioners. 175 MGL 25.
3. Viatical Settlement or Loan Corporations (who sell the policies of individuals who are dying) must
submit filings but are not required to be licensed. Retain records as per above.
175 MGL 25, 32, 151.
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3 Insurance Company Powers of Attorney Records
Allows an insurance company to insure an applicant for registration of a motor vehicle. Includes powers of
attorney and related business transactions and correspondence.
Retention Period:
Retain 6 years after inactive.
90 MGL 34 A, B.
4 Surplus Lines Company Licensing Records
Documents the licensing of surplus lines insurance companies to sell insurance not handled well by
standard carriers and aids in the collection of a premium tax on premiums written by the agent and placed
with a surplus lines company. Includes company applications, affidavits, examinations of companies
(including out of state foreign doing business in Massachusetts), history and activities, personnel and
earnings, financial statements, renewal materials, withdrawal notifications, Articles of Organization,
foreign corporate certifications (showing licensure in another state), partnership agreements, Amended
Articles of Organization and dissolution, corporate merger documents, and related correspondence.
Retention Period:
(a) Routine facilitative processing materials and affidavits: Retain 1 year.
(b) Denied applications: Retain 3 years.
(c) Insurance Company Licensing documentation: Retain 6 years after current licensing period ends.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing.
2. Annual Statements also retained by National Association of Insurance Commissioners.
5 Risk Retention/Purchasing Group Registration Records
Documents the application to form a Risk Retention Group as required by 176L MGL. Includes
applications, support materials such as annual statements and related correspondence.
Retention Period:
(a) Routine facilitative processing materials: Retain 1 year.
(b) Denied, incomplete, or withdrawn applications: Retain 3 years.
(c) Licensing case files and all other records: Retain 6 years after current licensing period ends.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing.
2. Annual Statements also retained by National Association of Insurance Commissioners.
176L MGL.
6 Workers Compensation Self-Insurance Group Registration Records
Documents the application to form a workers’ compensation self-insurance group as required by 152
MGL e-u. Includes applications, support materials such as annual statements and related
correspondence.
Retention Period:
(a) Routine facilitative processing materials: Retain 1 year.
(b) Denied, incomplete, or withdrawn applications: Retain 3 years.
(c) Licensing case files and all other records: Retain 6 years after current licensing period ends.
Note: Carry forward any materials from previous registrations necessary to complete the current filing.
152 MGL E-U.
7 Business Entity Insurance Licensing Records
Business entity producer licensing documents the application, examination, and licensing of insurance
business entity producers; allowing them to sell, solicit or negotiate insurance in the state, this includes
both resident and non-resident producers. Business entity licensing records also include new applications
and renewal applications. Business entity records may include the following: banks, auto clubs, public
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insurance adjusters, advisers, reinsurance intermediaries, viatical settlement or loan brokers and viatical
representatives, agent batched appointments, agent renewals. Business entity records may include
articles of organization, foreign corporate registrations, certificates of existence, letters of good standing,
partnership agreements, corporate member lists, complaint, and disciplinary, summaries and related
correspondence.
Retention Period:
(a) Batched agent appointments, faxes articles of dissolution, foreign corporate registration, certificate of
existence, letters of good standing, partnership agreements, corporate member lists, complaint and
disciplinary summaries, name changes and terminations: 1 year.
(b) Business entity agent renewals: 3 years.
(c) Duplicate license requests: 1 month.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing
including the original licensing application.
2. Information on producers is also maintained by the insurance companies, the National Association of
Insurance Commissioners (NAIC). the Producers Database PDB (NIPR), and the DOI PDB database.
Any information in files duplicating information in the NAIC or PDB database may by discarded after
administrative use ceases. Permission from RCB not required for destruction.
3. An insurance agent is an individual who is licensed by a state to sell insurance for one or more specific
insurance companies.
4. A broker is an independent agent who represents the buyer, rather than the insurance company, and
tries to find the buyer the best policy by comparison shopping.
5. An insurance producer (formerly referred to as insurance agent/broker) is an individual who is required
to be licensed to sell, solicit, or negotiate insurance in the state.
6. Viatical Settlement or Loan agent/brokers (who sell the policies of individuals who are dying) must
submit filings but are not required to be licensed. Retain records as per above.
8 Individual Insurance Licensing Records
Individual producer licensing documents the application, examination and licensing of insurance
procedures allowing them to sell, solicit or negotiate insurance in the state; includes both resident and
non-resident producers. Individual licensing records also include public insurance adjusters, reinsurance
intermediaries, advisors, viatical settlement or loan brokers, viatical representatives and motor vehicle
damage appraisers. Records may include new applications, renewal applications, exam score report,
results, complaint and disciplinary summaries, and related correspondence.
Retention Period:
(a) Batched individual appointments, faxes, individual name changes, individual name changes, and
individual terminations: Retain 1 year.
(b) Batched individual appointment renewals: Retain 3 years.
(c) All individual renewal applications: Retain 6 years.
(d) Original broker applications, original producer applications, original transitional applications: 20 years.
(e) Duplicate license requests: Retain 1 month.
(f) Motor vehicle damage appraiser original applications: Retain 20 years, renewals: retain 6 years.
Notes:
1. Carry forward any materials from previous registrations necessary to complete the current filing
including the original licensing application.
2. Information on producers is also maintained by the insurance companies, the National Association of
Insurance Commissioners (NAIC), the Producers Database PDB (NIPR), and the DOI PDB database.
Any information in files duplicating information in the NAIC or PDB database may by discarded after
administrative use ceases. Permission from RCB not required for destruction.
3. An insurance agent is an individual who is licensed by a state to sell insurance for one or more specific
insurance companies.
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4. A broker is an independent agent who represents the buyer, rather than the insurance company, and
tries to find the buyer the best policy by comparison shopping.
5. An insurance producer (formerly referred to as insurance agent/broker) is an individual who is required
to be licensed to sell, solicit, or negotiate insurance in the state.
6. Viatical Settlement or Loan agent/brokers (who sell the policies of individuals who are dying) must
submit filings but are not required to be licensed. Retain records as per above.
175 MGL 8G, 25; 175 MGL 163-166.
9 Special Risk Broker Licensing Records-Surplus Lines
Documents the licensing and subsequent filings of special risk brokers surplus lines brokers who sell
insurance that standard carriers cannot handle effectively, such as for floods or earthquakes. Includes
applications, examination, and licensing of both domestic and foreign (out of state) brokers, complaint
and disciplinary summaries, filings such as Surplus Lines Company Annual Business Activity Report and
Special Brokers Annual Return of Business Filings.
Retention Period:
All documents: including applications: 20 years.
175 MGL 168.
10 Insurance Policy Forms and Rate Filings
Documents the approval of life, property, and casualty insurance policies (including workers
compensation) for sale by licensed insurance companies and all subsequent policy form, rule and rate
filings. Includes policy forms, rule and rate filings, support materials, authorizations and certifications, and
related correspondence.
Retention Period:
(a) Approved policy documentation: Retain 6 years after inactive.
(b) Disapproved policy materials: Retain 3 years.
Notes:
1. Approved policies have no renewal or expiration date.
2. Carry forward any materials from previous filings to complete the current filing.
175 MGL 22A, 108, 132; 152 MGL.
11 Health Insurance Policy Forms, Rates, and Statistical Filings
Documents the process to approve and/or accredit health insurance plans and any subsequent filings as
required by statute for insurance companies, nonprofit hospital and medical services corporations, dental
service corporations, fraternal organizations, and optometric service corporations offering managed care
plans. Includes policy forms, applications, rates, statutory, regulatory, and statistical filings support
materials, and related correspondence.
Retention Period:
(a) Approved policy forms, applications, rate, statutory and regulatory filings: Retain 6 years.
(b) Rate and statutory, regulatory, and statistical filings reporting: Retain 3 years.
(c) Disapproved or inactive policy form; rate; statutory, regulatory, and statistical filings and reporting, and
support materials: Retain 3 years.
(d) Individual long-term care insurance form and rate filings: Retain 50 years.
Note: Carry forward any materials from previous applications as deemed necessary.
12 Group Marketing Plan Records
Documents the approval of group marketing plans for automobile and homeowners insurance that allows
for group discounts pursuant to 175 MGL 193R. Includes submissions and support materials,
authorizations and certifications, and related correspondence.
Retention Period:
(a) Approved filing documentation: Retain 6 years after inactive.
(b) Disapproved plan materials: Retain 3 years.
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Notes:
1. Plan renewal period is 3 years.
2. Carry forward and materials from previous filings to complete current filing.
175 MGL 193R.
13 Workers Compensation Preferred Provider Arrangement (PPA) Records
Documents the filing and approval of contractual arrangements between insurers, employers, and
managed care entities to allow injured workers to be directed to participating managed care facilities
pursuant to 211 CMR 112. Includes arrangements and support documentation, review materials,
Commissioner’s approvals, arrangement monitoring documentation, and related correspondence.
Retention Period:
(a) Approved arrangements documentation: Retain 6 years after inactive.
(b) Disapproved arrangement materials: Retain 3 years.
Note: Arrangements are renewed annually.
152 MGL 30; 176I MGL 8(a); 211 CMR 112.
14 Consumer Insurance Education Program Records
Documents the DOI program created to provide potential insurance clients with information on methods to
protect themselves against unnecessary risks, determining needs, and setting realistic objectives.
Includes education materials, publications, program administrative records, testimonials, and related
correspondence.
Retention Period:
(a) Substantive planning documentation and summary presentation materials: Permanent.
(b) All other records: Retain until administrative use ceases. Permission from RCB not required for
destruction.
15 Insurance Company Market Conduct Records
Documents the on-going periodic examination, review, and analysis of insurance companies, selfinsurance groups, and small mutual insurance groups’ relating to their business practices, fiscal solvency,
and fraud potential. Reports may be used to help determine the standing of out-of-state companies
wishing to do business within their state. Includes final market conduct reports, support documentation,
and out-of-state market conduct reports, letters of good standing, and other information gathered under
the authority of 175 MGL 4.
Retention Period:
(a) Market conduct reports and materials from other states but impacting Massachusetts: Retain 6 years.
(b) All other records: Retain until potential for licensing has elapsed plus 6 years or 10 years after
inactive, whichever period is longer.
174 MGL 4.
16 Continuing Education Course Review Records
Documents approval by the Commissioner of continuing education courses to be taken by producers to
maintain licensure.
Retention Period:
Retain 3 years (The licensing period).
17 Insurance Company Fiscal Review/Audit Records
Documents the ongoing monitoring and review of licensed companies,( including fraternal benefit
societies’ such as fraternal orders and lodges) and producers’ financial practices. Includes company
filings, review documentation, final audit reports, and related correspondence.
Retention Period:
Retain 6 years after review closed or until next review is completed: whichever period is longer.
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18 Prohibited Persons Business Application Records
Documents applications for written consent to engage in the business of insurance from individuals
deemed prohibited persons under 18 U.S.C. 1033, by virtue of state or federal convictions for crimes of
dishonesty of breach of trust.
Retention Period:
Retain 20 years.
18 USC 1033.
19 Consumer Inquiries and Complaints Records
Documents the handling of routinely disposed of inquiries and complaints from individual insured clients
or potential clients relating to insurance firms, agents, or transactions. Includes inquiries, letters of
complaint, support materials, and related correspondence.
Retention Period:
(a) Withdrawn, non-jurisdictional, or incomplete inquiries and complaints: Retain 6 years.
(b) Routinely disposed of complaints: Retain 6 years.
(c) Commissioner’s complaint files: Retain 6 years.
(d) All other records: Retain 6 years after case closure.
Note: Files may contain restricted information.
20 DOI Legal Process Records
Documents the receipt of a complaint and summons served to a foreign company via the Division (service
of process), and other legal process documentation. Includes complaint, summons, small claims,
subpoenas, keeper of records correspondence, and other related correspondence.
Retention Period:
Retain 6 years after inactive.
Note: The Commissioner has authority to accept service of legal process in lawsuits involving insurance
companies organized out of state but who are licensed to do business in Massachusetts. Copies of the
legally served documents are forwarded to the foreign insurance company.
175 MGL 151(3), 154.
21 Insurance Investigation and Enforcement Case Files
Documents the investigation and subsequent prosecution by the DOI Special Investigations Unit (SUI) of
brokers, advisors, adjustors, insurance companies, and health maintenance organizations for violations of
insurance law and regulations. Includes letters of complaint, subpoenas, background and evidentiary
materials, depositions, oaths and affirmations, requests for opinions, foreign service of process filings,
administrative action documentation, and related correspondence.
Retention Period:
(a) Landmark or policy-setting cases: Permanent.
(b) All other records: Retain 20 years after final settlement or action.
Note: Some cases may be referred to the Attorney General or other enforcement bodies.
26 MGL 7.
22 Motor Vehicle Insurance Appeal Records
Documents appeals cases heard by the DOI Board of Appeal on motor vehicle liability policies and
bonds. Appeals include motor vehicle accident surcharges, license revocation decisions, and automobile
insurance cancellations. Records include appeal applications, witness testimony, documentary and
physical evidence, board proceedings, decisions, and related correspondence.
Retention Period:
(a) Case files: Retain 90 days from final disposition.
(b) Cases appealed to the Supreme Court: Retain 6 years from final disposition.
(c) Case logs and decision summaries: Permanent.
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L 8A; 175 MGL 113B, P; 90 MGL 28; 175 MGL 113D; 801 CMR 1.00. 30A MGL 14.
23 DOI Administrative Law Case Files
Documents insurance rate setting cases as well as cases relating to the administration and enforcement
of insurance laws. Includes administrative complaints, requests for hearings, answers, background
support materials, motions, orders and answers, exhibits, evidence, settlement or consent order
documentation, decisions and final orders, notices of appeal, notices of hearings, hearing transcripts, and
related correspondence.
Retention Period:
(a) Routine court procedural administration records such as Docket Clerk correspondence: Retain until
administrative use ceases. Permission from RCB not required for destruction.
(b) Exhibits that will not be a factor in appeals: Retain until final case closure.
(c) Decisions: Permanent.
(d) Landmark or newsworthy cases that set benchmarks or precedent: Permanent (for all records and
materials).
(e) Cases involving fiscal acquisition, merger, or reorganization: Retain 20 years and then subject to
review by the Archives.
(f) Rules and regulations cases: Retain 20 years.
(g) Rate setting cases: Retain 20 years.
(h) All other records: Retain 6 years after final action or appeal.
(i) Hearing proceedings tapes: Retain 3 years.
26 MGL 1; 175 MGL 113P; 90 MGL 28.
24 Insurance Company Restructuring Records
Documents transactions relating to the restructuring or reorganization of insurance companies
necessitating review and approval by DOI such as mergers, acquisitions, re-domestications, demutualizations, and conversions. Includes applications, review support materials, hearing documentation,
final DOI decisions and orders, post-decision civil docket information of state or federal court, and related
correspondence.
Retention Period:
Retain 20 years and then subject to review by the Archives.
L13 Treasurer
1 Treasurer Accounting Systems Records
Documents posting of account activity to Treasurer’s accounts. Includes deposit sheets, bank statements,
bank reconciliation reports, daily transaction register, cash receipt and disbursement records, checks and
warrants, and related records and correspondence.
Retention Period:
(a) Account Establishment records: Permanent.
(b) Treasurer General Ledgers, Subsidiary Ledgers, Trial Balances, Treasurer/Comptroller year-end
reconciliation reports, and reports mandated by statute: Permanent.
(c) All other records: Retain 6 years.
See also record series “L13-2 Treasurer Cash Management Records.”
2 Treasurer Cash Management Records
Documents the flow of funds within cash management department accounts. Funds originate from federal
grant and aid disbursements and matching state funds, general revenues such as lottery sales (State
Lottery Fund), are deposited into appropriate treasurer accounts or trusts and then disbursed to
appropriate places such as for local aid to municipalities. Includes bank statements, deposit slips,
cancelled checks, check registers, electronic funds transfers, cashiers register, and related reconciliation
worksheets, reports, and correspondence.
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Retention Period:
(a) Cancelled checks and warrants registers: Permanent.
(b) Cancelled checks and warrants: Retain 15 years.
(c) All other records: Retain 6 years.
3 Cash Forecasting and Positioning Records
Documents the physical receipt, placement, and tracking of Agency (Authority) revenues and income into
Agency designated accounts or short-term investment vehicles. Accounts include current expenditure,
trust, maintenance, or debt-service. Includes Daily Cash Sheets, Cash investment documentation,
transfer approvals, Trustee Reports: Monthly Journal Entries, Interest income work papers, Investment
Holding Reports, electronic files transfers.
Retention Period:
(a) Retain 6 years.
(b) Work papers and facilitative transactions such as wire transfers and confirmations: Retain 3 years.
4 State Depository Agreement Records
Documents banks wishing to become approved as depositories of state funds. Applications must be
approved by State Treasurer who issues a Certificate of Qualified Public Depository upon approval.
liability agreements, security agreement, authorized representatives,.
Retention Period:
Retain 6 years after withdrawal from program.
5 Treasurer Investment Records
Documents the administration and monitoring of state investments for performance. Up to 20% of state’s
moneys may be invested in US Treasury and US Agency Securities. Includes re-purchase agreements,
marketing, domestic equity, and trade reports.
Retention Period:
(a) Summary reports: Permanent.
(b) All other records: Retain 10 years.
6 Treasurer Land and Deed Records
Documents lands deeded to the Commonwealth through [escheatment, reverting to the State], eminent
domain, gift, or bequest. Includes transfer of title, original recorded deeds, title insurance policies, legal
support materials, and related correspondence.
Retention Period:
Permanent.
29 MGL 40.
7 Public Protection Performance Bond Filings
Documents bonds filed with the Treasurer to ensure the public and the state are fiscally protected from
losses, damages, or injuries relating to those who handle monies, blast rock, put on fireworks displays,
and other individuals required to file with the Treasurer per various statutes. Includes bonds and
associated correspondence.
Retention Period:
Retain 6 years after bond becomes inactive.
8 Public Official Performance Bond Filings
Documents the filing of original executed bonds by officeholders, before entering office, for faithful
performance of duty as set forth by statute. Sureties guaranteeing payment in case of officeholder default.
Retention Period:
(a) Official Bond Registers or other summaries: Permanent.
(b) All other records: Retain 6 years after expiration.
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Notes:
1. Bonds for municipal officials are filed with the city or town clerk.
2. Oaths of office are retained by the Secretary of State’s Office.
11 MGL 1.
9 Deferred Compensation Plan Records
Documents the program to provide an alternative and/or supplemental retirement plan for state
employees and contract employees. Plan is voluntary for state government workers except for certain
temporary and seasonal employees. Includes bid documentation, negotiation documentation, final
authorized deferred compensation plan, and monitoring and compliance support materials, filings, and
reports.
Retention Period:
(a) Contract plan establishment and approval: Permanent.
(b) All other records: Retain 6 years after contract expires and all claims under the contract have been
finalized.
Note: Daily administration of the plan is performed by various payroll offices.
10 Games Establishment, Development, and Review Records
Provides a record of the development of games. Includes planning documentation, notes, legal
considerations, and related correspondence.
Retention Period:
Permanent.
11 Games Administration Records
Documents the Treasurer’s role in the daily administration of games. Includes distribution documentation
of tickets and books to agents, lost and stolen tickets information winnings summaries, drawing
verification of winning numbers, regional offices documentation, lockbox provider records, routinely
disposed of inquiries and complaints, and related correspondence.
Retention Period:
Retain 6 years.
12 Lottery Sales Agent Licensing Records
Documents the licensing of persons to sell lottery tickets. Includes applications, support materials,
background checks, and related correspondence.
Retention Period:
Retain 6 years after licensing potential expires.
Note: KENO sales agents are included in this record series though they fall under separate legislation 10
MGL 22.
13 Charitable Gaming Licensing Records
Documents the licensing of persons to run games of chance, such as bingo, in order to benefit a nonprofit charity. Includes applications, support materials, background checks, and related correspondence.
Retention Period:
Retain 6 years after licensing potential expires.
Note: KENO sales agents fall under separate legislation 10 MGL 22.
14 Lottery Claim Records
Documents routine and/or disputed claims for prize winnings. Includes claims, background materials,
[claim validation form] decision support materials, and related correspondence.
Retention Period:
Retain 6 years.
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15 Lottery Liens, Levies, and Orders Records
Documents any legal instructions or orders relating to claim payments such as assignments to a trust or
estate, or intercepted in the case of child support payments.
Retention Period:
Retain 6 years after inactive.
16 Lottery Investigation and Enforcement Records
Documents the investigation of gaming agents, individuals, or entities for improper activities relating to
games and gaming and any subsequent enforcement or prosecution actions. Includes complaint letters,
subpoenas, background and evidentiary materials, depositions, requests for opinions, administrative
sanction information, and related correspondence.
Retention Period:
(a) Landmark, noteworthy, or policy setting cases: Permanent.
(b) All other records: Retain 6 years after final settlement or action.
17 Lottery Administrative Hearing Case Files.
Documents Hearings and appeals for any and all aspects falling under delegated powers. Typically
claims, agent licensing, agent fiscal solvency.
Retention Period:
Retain 6 years after close.
10 MGL 32.30A MGL.
18 Abandoned Property Program Records
Documents the tracking of yearly unclaimed property from financial institutions, cities and towns,
insurance companies and corporations, Co-op Banks, National Banks, Trust Companies, Credit Unions,
Corporations, Public Utilities, Savings Banks, Savings and Loans, and state agencies holding public
funds such as Department of Revenue, as required by statute. Also documents claims to recover the
property from potential owners. Includes Unclaimed Property Reports, tangible property and securities,
claim documentation, and related correspondence.
Retention Period:
(a) Unclaimed Property Reports: Permanent.
(b) Abandoned Property Claims-Successful: Permanent.
(c) Abandoned Property Claims-Denied: Retain 6 years after final claim activity.
(d) Unclaimed tangible property and securities: Permanent.
Notes:
1. The State obtains the use of abandoned property assets for investment purposes under custodial law
but does not receive title. Title remains open indefinitely until claimed. There is no statute of limitations on
abandoned property claims.
2. Successful claims need to be retained in case another claim is made for the same property in the
future.
200A MGL.
19 Estate Public Administration Records
Documents the tracking of probate estates for which a public administrator has been appointed to serve
as the fiduciary of the estate pursuant to 194 MGL. In accordance with law when a public administrator is
appointed, the state treasurer is made a party to the petition for administration and shall be given due
notice of subsequent proceedings. Documents received by the treasurer include all probate filings and
other documents ascertained by the administrator in furtherance of the administration of the probate
estate. When a public administrator probates an estate for which there are no heirs, the balance of the
probate estate escheats to the commonwealth and is held in the abandoned property fund. Prior to 1996,
the function was performed by the attorney general’s office.
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Retention Period:
(a) All probate documents received by the Treasurer from Attorney General subsequent to transfer of
oversight function: Retain 7 years from the date estate was closed, or if closed at date of transfer, 7 years
after date of transfer.
(b) Probate documents received by the Treasurer for estates administered by public administrator when
there are probate heirs: Retain 7 years from date the estate is closed.
(c) Probate documents received by the Treasurer for estates administered by public administrators when
there are no probate heirs and funds are escheated to the Commonwealth: Permanent.
Note: Probate Court has the official probate record.
20 Treasurer Registered and Bearer Bond Program Records
Documents the Treasurer’s issuance of public bonds and subsequent cancellation of Commonwealth
debt to bond holders. Includes bond issuance data, amount owed as principal, and on accrued interest
basis, rights and obligations of the bond holder and of the Commonwealth, ownership transfers, bonds of
indemnity (duplicate bonds), and coupon or payment support documentation.
Retention Period:
(a) Bond establishment documentation such as official statements, legal documentation, and financial
outlines: Permanent.
(b) Comprehensive Annual Financial Report (CAFR): Permanent.
(c) Central Registry of bonds issued and redeemed: Permanent.
(d) Report of Bond Indebtedness: Permanent.
(e) Debt-service fund handling, investment, and reporting documentation including for commercial paper
and notes: Retain 6 years after all bonds issued under a particular bond title and payment duration reach
defeasance.
(f) Individual bond issuance debt-service histories: Retain 6 years after defeasance.
(g) Facilitative transactions and work papers such as Debt Service drawdowns: Retain 3 years.
Notes:
1. Commercial paper and notes are payments in anticipation of bond issuance.
2. Individual bond issuance histories may be maintained by contracted service providers.
21 Obligation Bonds and Notes Program Records.
Documents the program to issue and manage loans to cities and towns in the form of general obligation
bonds, special obligation bonds, commercial papers, and revenue notes for construction, public works, or
other purpose. Includes bond issuance data, amount owed as principal, and on accrued interest basis,
[debt service documentation] and payment support documentation.
Retention Period:
(a) Summary listing or register of bonds and notes issuances: Permanent.
(b) Bond establishment documentation such as official statements, legal documentation, and financial
outlines: Permanent.
(c) Comprehensive Annual Financial Report (CAFR): Permanent.
(d) Debt-service fund handling, investment, and reporting documentation including for commercial paper
and notes: Retain 6 years after all bonds issued under a particular bond title and payment duration reach
defeasance.
(e) All other records: Retain 6 years after final payment or settlement.
22 Water Pollution Abatement Bond Program Records
Documents the fiscal portion of the DEP program to loan money to cities and towns for construction
projects relating to the reduction of water pollution. Federal Funds held in trust by the Treasurer to be
disbursed to qualified applicants relating to reducing water pollution in local communities. Documents the
application for bonds loans and subsequent disbursements of monies. Includes legal loan approvals and
administration documents, Requests for Qualifications (RFQs), accounts payable documentation,
disbursement materials, and related correspondence.
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Retention Period:
(a) Program establishment, development, and review documentation: Permanent.
(b) Comprehensive Annual Financial Report (CAFR): Permanent.
(c) Loan documentation: Retain 6 years after final loan payment or activity. Typical loans are paid out
over a 30-year period.
(d) Denied loan application materials: Retain 3 years after process is closed.
29C MGL.
23 Veterans Bonus Program Records
The documents the program established to grant bonuses to qualified veterans for military service.
Includes applications, support documentation, and fiscal payment reconciliation records, and related
correspondence.
Retention Period:
(a) Summary Records: Permanent.
(b) Denied applicants: Retain 3 years.
(c) All other records: Retain 6 years after application process ends.
Note: Official bonus record held permanently by the Adjutant General’s office of Military Affairs.
24 Arts and Humanities Grant Program Records
Documents the arts lottery program to grant funds for local arts and or humanities projects per 10 MGL.
Includes grant applications and support materials, and decision documentation by local arts lottery
councils.
Retention Period:
(a) Summary records and establishment documentation: Permanent.
(b) Denied applicants: Retain 3 years.
(c) All other records: Retain 6 years after application process ends.
25 Treasurer’s Savings Bond Program Records
Documents the program to provide savings bonds to state employees.
Retention Period:
(a) Program summary records and establishment documentation: Permanent.
(b) All other records: Retain 6 years.
L14 Retirement and Benefits
1 Retirement Fiscal System Records
Documents the administration and management of the Retirement financial system for state employees.
Retention Period:
(a) General Ledger and other summary reports: Permanent.
(b) All other records: Retain 6 years.
2 Retirement Administration Records
Documents state employees’ benefits and retirement coverage from contracted group insurance bodies.
Includes applications, personnel enrollment forms and payment histories, and acceptances, conditions
and provisions, beneficiary documentation, election and changes to coverage, withdrawals or termination
of coverage, COBRA documentation, superannuation retirement documents, disability retirement medical
and other qualifying records, and related correspondence.
Retention Period:
(a) Official records with the Board of Retirement: When filed as a group: Retain 20 years.
(b) Otherwise, retain as for benefits case files.
32 MGL 1-28; 115 MGL 5; 29 CFR 1627.3(b)(2).
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3 Beneficiary Verification Forms
Documents the Board of Retirement’s mailings of forms to retirees to request any changes in address or
other information.
Retention Period:
Retain 5 years.
4 Pension Fraud Investigation Case Files
Documents investigation by the Pension Fraud Unit of the Public Employee Retirement Administration
Commission (PERAC) into alleged abuses of state pension payments. Includes complaints, copies of tax
returns, testimony, investigator notes, and related correspondence.
Retention Period:
Retain 10 years after close.
306 MGL.
5 Retirement System Account Audit and Monitoring Records
Documents the monitoring of state retirement accounts to ensure quality fiscal practices. Includes system
audits, reports, notes, and related correspondence as required by PERA.
Retention Period:
Retain 6 years.
6 Employee Retirement, Disability, and Benefits Case Files
Documents employee enrollments in retirement, life insurance, and other insurance and benefits plans.
Includes retirement applications, salary request forms, beneficiary options form, birth certificate, medical
records, change of beneficiary forms, claims and payments, death certificates, furlough documentation,
buyback and creditable service time documentation, refund and rollover documentation, superannuation
documentation, federal tax returns of retirees, annual earning reports, and related correspondence.
Retention Period:
Retain 6 years after final payment or 75 years from date of retirement.
7 Retirement Pension Reserves Investment Management Records
Documents the contracting of Master Trust Custody Services, Mass State Teachers Employees
Retirement Systems Trust, Domestic Equity Managers, International Equity managers, and to record and
monitor the performance activity of the same, and to documents trading and payments into and out of the
systems.
Retention Period:
(a) Summary reports: Permanent.
(b) All other records: Retain 6 years after close of contract.
Note: Managed by the Pension Reserves Investment Management Board (PRIM).
8 Employee Group Insurance Files
Documents the Group Insurance Commission’s administration of life, health, long-term disability
insurance, and dental/vision coverage for employees and retirees of the Commonwealth and their
survivors and dependents. Includes GIC Application and Change Forms (Form 1), Insurance Data Forms
(IDF), life insurance beneficiary forms (Form 319 and Form G-500), long term disability forms,
dental/vision forms and accompanying documents such as marriage, birth, and death certificates, and
related correspondence.
Retention Period:
Retain 6 years after final payment or 75 years, whichever period is shorter.
32A MGL.
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9 Approval Letters
These are letters sent to boards with calculation approvals to determine benefits. This series includes:
submission forms, worksheets, pro-ration letters and calculations.
Retention Period:
20 years.
10 Appropriation Letters
This series is used to set appropriation amounts for all systems. Annual orders to appropriate sum to pay
benefits. Produced annually. C. 32 s. 22c.
Retention Period:
Retain 50 years.
Note: The Retirement Board retains a copy.
11 Reimbursement Letters
This series documents letters to boards notifying them of their pro-rated share of pension benefits due the
State and Teachers’ Retirement Systems.
Retention Period:
Retain 20 years.
Note: The Retirement Board retains a copy.
12 Local Actuarial Valuation Reports
This series documents the demographic study of the work force. These reports are required by c.32, s
22c, 22d.
Retention Period:
Retain 50 years.
Note: The Retirement Board retains a copy.
13 Commonwealth’s Total Pension Obligation
This series includes state and teachers’ valuations and it is used to create Valuation Reports as required
by C32 s. 21c.
Retention Period:
Retain 80 years.
Note: State and Teachers Retirement Boards retain copies.
14 Data Questionnaires
This series is made up of related materials to prepare appropriation letters. This series is also uses in the
appropriation letter process.
Retention Period:
Retain 5 years.
15 Valuation Work Papers
This series includes the valuation runs, but is made up of the back –up documents used to produce
valuations.
Retention Period:
Retain 5 years.
16 Valuation Data Work Papers
Analysis of data received from board to produce valuation reports.
Retention Period:
2 years after final report.
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17 Non Valuated Data Work Papers
Analysis of data received from boards used to update records.
Retention Period:
Retain 1 year.
18 PRIM Election Ballots
Election of State and Teachers Retirement Board Representatives to the PRIM Board, pursuant to G. L.
c.32, s 23. These election are held every three years.
Retention Period:
Retain 90 days after election certification.
19 Disability Unit File
This series provides documentation of disability approvals. This series contains: Medical Panel File,
Comprehensive Medical Evaluation Files, Rehabilitation and Restoration to service file, and Restoration
to Service Files.
Retention Period:
Retain 38 years.
20 Annual Statements from Retirement Boards
Boards must submit annual statements to PERA. PERA verifies systems books to annual statement
during audit.
Retention Period:
Retain 15 years.
Note: Retirement Board retains a copy.
21 Audit Reports of Retirement Boards
Chapter 32 requires PERA to audit all retirement systems once every three years.
Retention Period:
Retain 3 years.
Note: Retirement board retains a copy.
22 Audit Work Papers
This series is work papers resulting from PERA’s Audit of Retirement Boards. Chapter 32 requires PERA
to audit all retirement systems once every three years.
Retention Period:
Retain 9 years.
23 Supplementary Schedules
This series is a listing of supplementary schedules of member accounts in the retirement systems.
Retirement boards are annually required to file supplementary schedules.
Retention Period:
Retain 9 years.
24 Annual Statement of Earned Income
This series is a monitoring tool used to determine the income of retirees.
Retention Period:
Retain 10 years.
25 Investigatory Files
This series are materials documenting possible criminal violations according to c 32, s. 91, 92. This series
may include 91a forms, copies of tax returns, affidavits and third party records and testimony.
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Retention Period:
Retain 10 years.
26 Investigative Docket/Log
This series is used to record all acts of pension fraud pursuant to C.427 of the acts of 1996. This series
includes mechanism of case referral in chronological order, which list includes date the case was
referred, name of the caller or correspondent, subject, investigator, action, status and date of
completion/file closed.
Retention Period:
Retain 10 years.
27 Financial Statements
PERA is required by statute to monitor the investment performance of 106 retirement systems. This
series includes: monthly cashbook entries, trial balances, journal entries, broker confirms, and custodial
statements from 106 retirement systems and PRIT. These records are used to develop investment
analysis report each year.
Retention Period:
Retain 5 years.
Note: Retirement Board maintains a copy.
28 Year End Files
These files are used in preparation of annual report. This series includes: performance reports,
appraisals, and income accruals.
Retention Period:
Retain 5 years.
29 Revoked Waivers
Investment waivers (for investment managers of retirement boards) that have been revoked/terminated
by PERA.
Retention Period:
Retain 5 years.
30 Manager Waiver Files
Boards must obtain Waiver approval from each investment manager under the provisions of G. L. c. 32,
s. 23 (2) (g).
Retention Period:
Permanent in office.
31 Review of Investment Holdings
Review of system portfolio to assess compliance with law/regulation.
Retention Period:
Retain 5 years.
32 Legal Opinions
PERA provides legal assistance to retirement boards in the form of written opinions. This series includes,
general correspondence for individual named board.
Retention Period:
Permanent.
Note: Retirement Boards and PERA retain bound copies.
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33 Disability Remand Files
Applications for accidental disability and death, and ordinary disability not approved by PERA and
remanded to Board for further proceedings. C32, s.21.
Retention Period:
20 years.
Note: The Retirement Board retains a copy.
34 Certificates
These certificates are used to establish the system and units as part of the retirement system.
Retention Period:
Permanent in office.
Note: The Retirement Board retains a copy.
35 Litigation/Administration Files
These files contain all pleadings filed by or served upon PERA, notes from hearings and often research
materials utilized to prepare pleadings or to prepare oral arguments before the administrative agency.
Retention Period:
Retain 10 years.
Note: Administrative agencies are the office of record.
36 Judicial Litigation Files
This series contains pleadings, official documents official documents served on PERA and research
materials to prepare pleadings or arguments for court. These files are for litigation in both federal and
state courts.
Retention Period:
Retain 10 years.
37 Subpoenas
This series is for Worker’s Compensation records and subpoenas for PERA records.
Retention Period:
Retain 5 years.
Note: Office of the attorney who served the subpoena retains a copy.
38 Gulf War Files
Information is used to determine creditable service of affected persons and has direct bearing on the
liability of the system. This series is used to determine amount to be appropriated to the Special Fund for
Military Service Credit for CY 1990 and 1991. c. 32 ss 22 (4) (a) and (7).
Retention Period:
50 years.
Note: The Retirement Board retains a copy.
39 Acceptance Letters
This series is for the provisions of G. L. c. 254 of the Acts of 1990. This is also the Boards acceptance of
ss. 90G 3/4 and 90J (over age 70).
Retention Period:
Permanent in office.
Note: Retirement Board retains a copy.
40 Legislative Comments
Comments on proposed and pending legislation.
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Retention Period:
Retain 3 years.
41 Department of Industrial Accidents Correspondence
Contains notification from Industrial Accident Board on all decisions, orders and agreements regarding
workers compensation benefits for public employees (state and local). These are arranged by calendar
year of notification and alphabetically by name, benefit, and recipient.
Retention Period:
Retain 3 years.
Note: Retirement Board retains a copy.
42 Medical Panel Appointment Case Files
PERA is responsible for scheduling medical panel appointments and paying physicians. This series
contains completed physicians reports and invoice warrants.
Retention Period:
Retain 7 years.
Note: Retirement Board retains a copy.
43 Disability Retirement Case Files
PERA is responsible for approving all disability retirements granted by retirement boards.
Retention Period:
Retain 10 years.
Note: Retirement Board retains a copy.
44 Supplementary Regulations
PERA approves supplementary regulations governing retirement system operations.
Retention Period:
Permanent in office.
L15 Alcoholic Beverages Control Commission
1 Commission Documents
The Alcoholic Beverages Control Commission (ABCC) is the general supervisor of the alcoholic
beverages industry in Massachusetts. The ABCC documents licensed manufacturers, wholesalers,
importers, agents, brokers, solicitors, farmer-wineries and farmer-breweries, railroads, airlines,
steamships, and other statewide activities including liquor transportation companies and storage
warehouses.
Retention Period:
(a) Retail Licensing Case Files: 7 years after business closes.
(b) Price Filing Compliance Files: 1 year.
(c) Wholesale Price Filing Compliance Files: 1 year.
(d) Credit Delinquents Lists: 1 year.
(e) Producer Wholesaler Licensing Files: 2 years.
(f) Corporate Certification Files: 2 years.
Indices: Destroyed after entering into database, or 2 years from last entry.
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M1 Industrial Accidents and Injuries
1 Workplace Hazard Investigation Records
Documents investigations by the Division of Occupational Safety into potential hazards found at the
workplace. Includes complaints, field reports and notes, air monitoring results, radiation results,
recommendations, employer abatement verifications, employer responses, medical surveillance records,
and related correspondence.
Retention Period:
Retain 6 years after close.
2 Occupational Safety and Health Reports
Documents safety and health at the workplace including reporting and inspection for compliance. Includes
Occupational Injury and Illness reports and logs including OSHA forms 100,101,102,200 as prescribed in
29 CFR 1960 and OSHA pamphlet 2014 to document all recordable occupational injuries and illnesses
for each establishment, and inspection notes and reports.
Retention Period:
(a) OSHA accident logs: Permanent.
(b) All other records: Retain 6 years.
149 MGL 3-6.
3 Workers Compensation Claim Impartial Medical Report (IMR) Records
Documents the processing of IMR requests as ordered by the Administrative Judge under 152 MGL 11A
(Weld Reform Act of Workers Compensation, 1992). IMRs are used to assist the Judge in the settling of
medical claim appeals. Includes appeal for IMR form 121, appeal filing fees checks, filing fee refund
documentation(where request was withdrawn before report was produced), IMR with signed Conflict
Disclosure Form, and payment vouchers.
Retention Period:
(a) Completed requests and refunded requests: Retain 10 years.
(b) Filing fee support documentation: Retain 10 years.
(c) Incomplete or non-jurisdictional requests: Retain until administrative use ceases. Permission from
RCB not required for destruction.
Note: IMR Reports and medical information are retained in the “Workers Compensation Administrative
Law Court Case Files (M1-5)”.
4 Workers Compensation Trust Fund Records
Documents the administration of a trust fund used to pay for non-insured worker’s compensation claims
from monies paid by insurers on a percentage basis. Includes appropriation amounts, payment support
materials, fiscal reports, and related correspondence.
Retention Period:
(a) General ledger reports: Review by the Archives after 75 years.
(b) Primary copies of payment support documentation and transaction postings: Retain 6 years.
(c) Lockbox or service providers’ records: Retain 6 years.
(d) Secondary copies of payment support documentation and account reconciliation materials: Retain 3
years.
5 Workers Compensation Self-Insurers Records
Documents filings from businesses providing their own insurance for their employees. Includes selfinsurers identification documentation and support materials, and related correspondence.
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Retention Period:
Retain for the life of the business plus 6 years.
6 Workers Compensation Administrative Law Court Case Files
Documents determinations of the Industrial Accident Board regarding compensation for accident or jobrelated illness of any worker employed in the Commonwealth of Massachusetts.
Retention Period:
Retain 40 years.
Notes:
1. Second Reports of injury may be placed at any time after first report of injury for the life of the claimant
although for practical purposes reclaims occur within a 20 year period.
2. See also record series “E4-6 Employee Medical and Personal Records.”
7 Workers Compensation Insurance Claim Files
Documents insurance compensation claims by state employees for injury or illness incurred during the
performance of agency business. Includes incident reports, accident reports, physicians reports,
administrative court determinations, hearings and appeals determinations, claims paid with invoice
warrants, Department of Industrial Accidents correspondence, and other related correspondence.
Retention Period:
(a) Human Resources Workers Compensation Unit copies: Retain 40 years. (b) Agency Human
Resources copies: Retain 6 years unless a longer period is required by agency legal counsel.
(c) All other copies: Retain 6 years.
Notes:
1. Second Reports of injury may be placed at any time after first report of injury for the life of the claimant
although for practical purposes reclaims occur within a 20 year period.
2. See also record series “E4-6 Employee Medical and Personal Records.”
32 MGL 152.
8 Workers Compensation Litigation Case Files
Documents the representation of state agencies in worker’s compensation cases brought before the
Department of Industrial Accidents. Includes IAB documents, medical reports, attorney work product,
investigatory surveillance, and related correspondence. Contains all pleadings filed or served upon the
Workers Compensation Division of Human Resources, notes from hearings and often research materials
utilized to prepare pleadings or to prepare oral arguments before the administrative agency.
Retention Period:
Retain 40 years.
Notes:
1. Second Reports of injury may be placed at any time after first report of injury for the life of the claimant
although for practical purposes reclaims occur within a 20 year period.
2. See also record series “E4-6 Employee Medical and Personal Records.”
152 MGL.
9 Industrial Accident Investigation Case Files
Documents the investigation of labor accidents within the Commonwealth, especially those involving
serious injury or death. Includes incident reports, medical information, clippings, photos, police reports,
autopsy reports, and related correspondence.
Retention Period:
Review by the Archives after 6 years.
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10 Disability Unit File
The Disability Unit File contains Medical panel file Comprehensive Medical Evaluation Files,
Rehabilitation and Restoration to service file; and the Restoration to Service Files. The Disability Unit File
is the documentation of disability approvals.
Retention Period:
Retain 38 years.
Note: MGL C 32, s. 6, 7, 8, 9, 21, 22D, 94, 94A, 94B.
11 Valuation Work Papers
The purpose of these papers is to back up documents to produce valuations. Included in these papers
are the valuation runs.
Retention Period:
Retain 5 years.
Note: MGL C 32 s. 21c.
12 Valuation Data Work Papers
Documents the analysis of data received from boards to produce valuation reports.
Retention Period:
Retain 2 years after final report.
Note: MGL C32 s. 21c.
M2 Labor and Employment
1 Labor and Industries Statistics and Reports
Documents labor and industries in the Commonwealth through reports such as labor distribution reports.
Retention Period:
(a) Official copies: Permanent.
(b) All other records: Retain 3 years.
2 Labor Relations Records
Documents the agency’s role in the negotiation of labor union contracts and any subsequent interaction
with union representatives. Includes background support materials, notes, discussion papers, issues
documentation, contract proposals, union contracts, and related correspondence.
Retention Period:
(a) Summaries of attempts to establish unions: Permanent.
(b) Union contracts and substantive policy and issues materials: Permanent.
(c) Main table negotiation notes: Permanent.
(d) Executive Session Minutes: Retain 5 years, then transfer to Archives.
(e) Case Files. Includes cases of all docket classifications. May contain complaints, petitions, decisions,
briefs, exhibits, motions, investigatory notes, correspondence and certifications. Permanent.
(f) Transcripts: Retain 7 years from close of case.
(g) Case Status Cards: Contains chronology of actions. Permanent.
(h) Docket Books: Retain 2 years.
(i) Master Index: Permanent.
(j) Master Schedule Book. Includes all staff appointments, arranged chronologically: Retain 2 years.
(k) All other records: Retain 3 years.
See also record series “E5-2 Employee Grievance/Complaint Records.”
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3 Union Contract Negotiation Mediation Records
Document’s the Board of Conciliation and Arbitration’s role in the mediation of union contract or collective
bargaining agreement impasses during the negotiation process. Includes Request for Grievance
Mediation forms, hearing notifications, and related notifications and correspondence.
Retention Period:
Retain 1 year after case is closed and all appeals are exhausted.
Note: The Board has quasi-judicial authority to make final binding decisions.
Proposition 2 1/2; 150 MGL 10A.
4 Apprenticeship Records
Documents the program to train individuals in different trade jobs. Includes applications and support
materials, training schedules, final apprenticeship certifications, and related correspondence.
Retention Period:
(a) Summary listings of apprenticeships: Permanent.
(b) All other records: Retain 6 years.
5 Grievance, Mediation, and Arbitration Administration Records
Documents complaints brought by labor against the commonwealth. Includes complaints, background
materials, proceedings of mediation and arbitration, and related correspondence.
Retention Period:
(a) Summary case listings and abstracts: Permanent.
(b) All other records: Retain 6 years after case closed.
6 Prevailing Wage Rate Records
Documents the setting of labor wage rates. Includes rate setting hearings and materials, and related
correspondence.
Retention Period:
(a) Final hearing transcripts: Permanent.
(b) All other records: Retain 10 years.
7 Employment Services Case Files
Documents individuals’ eligibility and receipt of social services programs. Includes eligibility
documentation, case plans, progress reports, and related correspondence.
Retention Period:
Retain 3 years after close.
8 Unemployment Insurance Claims
Documents claims for unemployment with the state, includes claims, payment information, and related
correspondence.
Retention Period:
Retain 3 years.
9 Vocational Rehabilitation Case Files
Documents programs to improve job opportunities and placements for individuals. Includes applications,
support materials, acceptance within programs, and subsequent progress.
Retention Period:
(a) Retain final summary documentation adequate to report individuals’ completion of programs:
Permanent.
(b) All other records: Retain 3 years after case closure.
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M3 Division of Occupational Safety: Asbestos and Lead Program
1 Asbestos Violation Files
This division investigates workplace conditions as they relate to health hazards and occupational
diseases. The services provided by the division assist employers, unions and state and local agencies in
creating healthier and safer workplaces for Massachusetts workers. This division administers the
Asbestos and Lead Program for schools and public buildings and evaluates asbestos problems in
commercial buildings. The Asbestos Violation Files record violations of asbestos statutes and regulations
pursuant to 453 CMR 6.00. This series includes notice of violation, name and address of company,
license number statement of violation, inspectors report, and consent orders. Company arranges this
series numerically.
Retention Period:
Retain 7 years.
Note: Copies are maintained in the inspectors and contractors files.
2 Lead Paint Violation Files
Documents violations of lead paint statutes and regulations pursuant to 454 CMR 22.00. This series
includes: notice of violation, name and address of company, license number, statement of violation,
inspectors report, and consent orders. Company arranges the series numerically.
Retention Period:
Retain 7 years.
Note: Copies are kept in the inspectors and contractors files.
3 Asbestos Work Notification Files
Documents the notification of Labor and Industries 10 days prior to an asbestos abatement project
pursuant to MGL C149, S6~SF and 453 CMR 6.12. Included in this series are: name address and license
number of contractor, address and type of project, completion date, insurance information, and
description of decontamination and disposal. Arranged chronologically by company.
Retention Period:
Retain 6 months.
4 Deleading Work Notification Files
Documents the notification to Labor and Industries at least 5 days prior to removal of lead paint pursuant
to MGL C. 111 S197, 454 CMR 22.00 and 105 CMR 460.000. This series includes: name of inspector,
date of inspection, address and nature of work, deleading method, and name and address and
completion date. Arranged chronologically by company.
Retention Period:
Retain 6 months.
Note: The occupant of the building in question, the local boards of health, Lead Poisoning Prevention
Program, and the Massachusetts Historical Commission all have copies.
5 Deleader-Supervisor Application Files
This series documents all those who apply for certification as a deleader supervisor pursuant to 454 CMR
22.00. This includes: name date and address of applicant, social security number, employment, and
statement of compliance, and medical proof of training exam, and blood lead level. Arranged
alphabetically by last name.
Retention Period:
Retain 1 year after audit.
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6 Approved Deleading Contractor for Lead Removal: Application Files
This series documents the application for certification as a Training Provider for lead removal pursuant to
454 CMR 22.06. Included in this series are: name date and address of applicant, type of company
ownership, description of courses to be offered, and qualifications of instructors. Arranged Alphabetically.
Retention Period:
Retain 1 year after audit.
7 Deleader-Contractor Application Files
Documents the application for certification as a Training Provider for lead removal pursuant to 454 CMR
22.06. This series includes name and address of applicant, name and address of business, number of
employees, proof of employee medical exams, and blood lead levels, also insurance information and
statement of compliance. Arranged alphabetically.
Retention Period:
Retain 1 year after audit.
8 Asbestos Contractor Application Files
Documents the application for certification as an asbestos contractor pursuant to MGL C149, S6-6F, and
453 CMR 6.04. These files include: name and address of applicant, type of ownership, references,
evidence of training, worker protection and compensation, and a statement of compliance. Arranged
alphabetically.
Retention Period:
Retain 1 year after audit.
9 Asbestos Inspector Application Files
Documents the application for certification as an Asbestos Inspector pursuant to MGL C149, S6-6F, and
453 CMR 6.07. This series includes: name and address of applicant, social security number, history of
employment in asbestos field and any violations, and the applicants statement of compliance.
Retention Period:
Retain 1 year after audit.
10 Asbestos Management Planner Application Files
Documents the application for certification as an asbestos management planner pursuant to MGL C149,
S6-6F and 453 CMR 6.07. This series includes: name and address of applicant, education, employment
experience in asbestos field, any violations, and the applicant’s statement. Arranged alphabetically.
Retention Period:
Retain 1 year after audit.
11 Asbestos Abatement Project Monitor Application Files
Documents the application for certification as an asbestos abatement project monitor pursuant to MGL
C149, S6-6F, and 453 CMR 6.05. This series includes name and address of applicant, education,
employment experience in asbestos field, any violations, and the applicant’s statement.
Retention Period:
Retain 1 year after audit.
12 Asbestos Abatement Project Designer Application Files
Documents the application for certification as an asbestos abatement project designer pursuant to MGL
C149, S6-6F, and 453 CMR .07. This series includes: name and address of applicant, education, and
professional experience in asbestos field, violations, and the applicant’s statement. Arranged
alphabetically.
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Retention Period:
Retain 1 year after audit.
13 Approved Asbestos Training Provider Application Files
Documents the application for certification as an asbestos training provider pursuant to MGL C149, S6-6F
and 453 CMR 6.09. This series includes: name and address of business, type of ownership, description
of courses to be offered, and qualifications of instructors. Arranged alphabetically.
Retention Period:
Retain 1 year after audit.
14 Asbestos Analytical Services Application Files
Documents the application process for certification as a provider of asbestos analytical services pursuant
to MGL C149, S6-6F and 453 CMR 6.08. This series includes: name and address of applicant, business,
laboratory documentation, air and bulk sampling documentation, and statement of compliance.
Retention Period:
Retain 1 year after audit.
15 Asbestos Abatement Worker Application Files
Documents the application process for certification as an asbestos abatement worker pursuant to MGL
C149, S6-6F, and 453 CMR 6.06. This series includes: name and address of applicant, social security
number, history of past violations, and statement of compliance. Arranged alphabetically.
Retention Period:
Retain 1 year after audit.
16 Supervisor/Foreperson for Asbestos Application Files
Documents the application for certification as an asbestos supervisor/foreperson pursuant to MGL C149,
S6-6F, and 453 CMR 6.05. This series includes: name and address of applicant, social security number,
history of any violations, and statement of compliance. Arranged alphabetically.
Retention Period:
Retain 1 year after audit.
17 Asbestos Inspection Files
This division investigates workplace conditions as they relate to health hazards and occupational
diseases. The services provided by the division assist employers, unions and state and local agencies in
creating healthier and safer workplaces for Massachusetts workers. The Asbestos Inspection Files record
observations and site conditions documented by Division of Occupational Safety inspectors pursuant to
453 CMR 6.00. This series includes inspector reports, name and address of the company/entity, license
number, names and license numbers of workers found at the work site, and various other documents and
information related to the inspection or investigation.
Retention Period:
Retain 7 years.
18 Lead Paint Inspection Files
Documents inspections pertaining to lead paint statutes and regulations pursuant to 454 CMR 22.00. This
series includes inspector reports, name and address of the company/entity, license number, names and
license numbers of workers found at the work site, and various other documents and information related
to the inspection or investigation.
Retention Period:
Retain 7 years.
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19 Deleader-Worker Application Files
This series documents all those who apply for certification as a Deleader Worker pursuant to 454 CMR
22.00. This includes: name date and address of applicant, social security number, employment,
statement of compliance, training certificate, medical proof of training exam, and blood lead level.
Arranged alphabetically by last name.
Retention Period:
Retain 1 year after audit.
20 Lead-Safe Renovator Worker Application Files
This series documents all those who apply for certification as a Lead-Safe Renovator Worker pursuant to
454 CMR 22.00. This includes: name date and address of applicant, social security number, employment,
statement of compliance, training certificate, medical proof of training exam, and blood lead level.
Arranged alphabetically by last name.
Retention Period:
Retain 1 year after audit.
21 Lead-Safe Renovator Supervisor Application Files
This series documents all those who apply for certification as a Lead-safe Renovator Supervisor pursuant
to 454 CMR 22.00. This includes: name date and address of applicant, social security number,
employment, statement of compliance, training certificate, medical proof of training exam, and blood lead
level. Arranged alphabetically by last name.
Retention Period:
Retain 1 year after audit.
22 Lead-Safe Renovator Contractor Application Files
This series documents the application for certification as a lead-Safe Renovator Contractor pursuant to
454 CMR 22.00. This series includes names and addresses of applicant, name and address of business,
number of employees, proof of employee medical exams and blood lead levels, also insurance
information and statement of compliance. Arranged alphabetically.
Retention Period:
Retain 1 year after audit.
23 Occupational Lead Poisoning Registry: Laboratory Blood Lead Reports
These reports are collected pursuant to MGL c. 149 § 11A and 454 CMR 23.00. They consist of blood
lead reports from laboratories filed by laboratory and the month and year reported. They contain the
patient’s name and address, date of birth, blood lead level, date of report, and may contain the
employer’s name.
Retention Period:
Retain 7 years.
24 Occupational Lead Poisoning Registry: Reports of Interviews of Physicians and Registrants
These reports are filed alphabetically by registrant (patient) and contain blood lead report information,
source of lead exposure, employer name and address, occupation and reason for the blood lead test.
Retention Period:
Retain 7 years.
M4 Massachusetts Labor Relations Commission
1 Case Files
Includes cases of all 17-docket classifications. Case files may contain complaints, petitions, decisions,
briefs, exhibits, motions, investigatory notes correspondence and certifications.
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Retention Period:
Retain 10 years.
Note: Decisions are duplicated in published volumes, since 1974.
2 Transcripts
Transcripts of cases are removed and discarded when case is 7 years old, absent any litigation.
Retention Period:
Retain 7 years,.
3 Case Study Cards
Contains chronology of actions. Arranged by docket classification then chronologically by date of filling.
Retention Period:
Retain 20 years from date of last entry.
4 Docket Books
Arranged by docket classification, then chronologically by date of filling.
Retention Period:
Retain 2 years.
Note: An electronic copy exists.
5 Master Index
Arranged by docket classification, then chronologically by defendant.
Retention Period:
Retain 20 years.
6 Collective Bargaining Agreements
These are the actual paper agreements.
Retention Period:
Retain until expiration of agreement.
7 Master Schedule Book
All staff appointments arranged chronologically.
Retention Period:
Retain 2 years.
M5 Division of Occupational Safety: Employment Agency Program
1 Employment Agency License and Service Agency Registration Records
Documents the application process for certification as an Employment Agency or Registered Service
Agency pursuant to MGL c. 140, §§ 46A-46R and regulations promulgated thereunder. These files
include: agency name, address, parent or affiliate company, type of ownership, officers’ names,
addresses, official titles, and agency’s federal I.D. number, and various other documents and information
related to the operation of the business. Arranged alphabetically by business name.
Retention Period:
Retain 5 years.
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2 Employment Agency License and Service Agency Registration Violation Files
This series of documents includes notice of violations, civil administrative penalties, name and address of
the business, license or registration number, statement of violation, inspection report, decisions, and all
documents pertaining to the violation file.
Retention Period:
Retain 7 years.
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N1 Aviation Operations Administration
1 Daily Operational Reports
Documents the report of unusual occurrences at Logan Airport. The staff uses this report for informational
reference.
Retention Period:
Retain 6 years.
2 Tenant Alterations Files
Documents the operational division comments, applications and correspondence on tenant construction
projects relating to Aviation facilities.
Retention Period:
Retain 6 years.
3 Daily Operations Reports
Documents the daily incidents reported at the airport, including logs, morning reports, and daily
operations checklist used for reference and backup.
Retention Period:
Retain 6 years.
4 Incident Reports
Included in these reports are, aircraft incident and bomb threat and other security incident reports
occurring at Logan Airport.
Retention Period:
Retain 5 years.
5 Violations
Documents and records the violations of Airport Rules and regulations. This form is used when anyone
on the ramp violates airport rules and regulations.
Retention Period:
Retain 5 years.
6 Accident Reports
These reports are a record of injury for passengers and employees hurt at Logan. These forms are kept
for a reference in case of litigation.
Retention Period:
Retain 5 years.
7 Supervisor Terminal Reports
Documents concession checks of tenant space in the airport. This form is also used for, reports on
violations of rules by the tenants.
Retention Period:
Retain 5 years.
8 Violations File
Correspondence concerning files issued to companies for violation of MPA rules and regulations on the
Air Operations Area, including hearings & payment receipts. Tracking of paid and unpaid fines.
Retention Period:
Retain 2 years.
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N2 Noise Abatement
1 Sound Insulation Program
Correspondence, application forms, homeowner agreements, warranties, & engineering reports relative to
the soundproofing program.
Retention Period:
Active plus 10 years.
N3 Aviation Planning and Construction
1 Tenant Alteration Applications
Record of approved and disapproved TAA’s for reference purposes.
Retention Period:
Active plus 6 years.
2 Tenant Application Log Book
This record is a logbook of approved and disapproved TAA’s.
Retention Period:
Active plus 6 years.
3 TAA Drawings
Tenant alteration application blueprints & plans for reference purposes.
Retention Period:
Active plus 6 years.
4 Drawings Other
Drawings of existing conditions and planning studies for reference purposes.
Retention Period:
Active plus 6 years.
N4 Public Information
1 Interpreter Program
Documents the general information on the interpreter program, including foreign language translations,
interviews & personnel records. These records are used for reference purposes.
Retention Period:
Retain 3 years.
2 Daily Logs
These logs include, Reports of Public Service representatives on terminal activity. Included in this series
are copies of Terminal Supervisor’s Reports.
Retention Period:
Retain 3 years.
3 Public Information Agents Files
General information. This series includes forms pertaining to the job: trade forms, lunch breaks etc. This
series is held for reference.
Retention Period:
Retain 3 years.
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4 Public Information Service Reports Files
Daily report includes job descriptions, policies, procedures, and meetings attended. This series is kept for
reference.
Retention Period:
Retain 3 years.
5 Airlines Files
Current information on airlines, included in this series are roving logs. This series is used for reference.
Retention Period:
Retain 2 years.
N5 Parking Facilities
1 Inventories
Documents the inventory of vehicles parked nightly in Logan Airport’s parking facility. This inventory
includes Summary of Security checks of parked vehicles, an inventory of all Vandalism Reports, Inventory
of PECK, and an inventory of parking days for statistical use.
Retention Period:
Retain 2 years.
2 Log Books
This record series includes: Record of Vehicle Log Book, Safe Log, Money Denominations Exchange
Log, Supervisors Daily Incidents, Vehicles Towed, and Employee Vehicle Substitution Log Books.
Retention Period:
Retain 2 years.
N6 Transportation
1 Contract Files
Documents contracts for MASSport Shuttle Bus Service, Logan Express Services for Framingham and
Braintree, and consultant contracts. These files are used for reference.
Retention Period:
Active plus 7 years.
2 Department Correspondence Files
Correspondence and general ground transportation related files used on a regular basis for reference.
Retention Period:
Retain 2 years.
N7 Utilities Management
1 Meter Readings File
These sheets are from the Meter Technician’s book. Each listing is for a separate meter and contains a
year’s list of readings. These files are used for reference.
Retention Period:
Retain 6 years.
2 Meter Records Log Books
Record of the particular utility meter installed at each service location. Each listing contains the meter’s
manufacturer’s data and service characteristics. These log books are used for reference.
Retention Period:
Retain 6 years.
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3 Utility Account Log Books
These logbooks contain a Record of all consumption and payment, for all utilities/energy purchased by
MASSport.
Retention Period:
Retain 6 years.
4 System Account Log Books
These logbooks document a listing of all utility accounts distributed and sold to both tenants and
MASSport. Within this series are meter drawings at all facilities.
Retention Period:
Retain 6 years.
5 Utility Account Computer Input
This series documents a Record of all meter readings, calculations, fuel adjustment charges, and
purchased utilities. These figures are submitted to the Service Bureau for a generation of the utilities
reports, tenant bills, and energy use report.
Retention Period:
Retain 6 years.
6 Utility Account Usage Report
This is a monthly report, which details a listing for each purchased and distribution system account, the
current readings, rates, budgetary units, dates and generated consumption costs.
Retention Period:
Audit plus 1 year.
7 Budgetary Unit Usage Report
A monthly Report listing: each budgetary unit, the utility accounts with associated usage, and the cost
charged in the current month.
Retention Period:
Retain 3 years.
8 Energy Use Reports
A monthly report listing: monthly actual, monthly budget, year to date actual, year to date budget
consumption, and costs of all utilities/energy used by each budgetary unit.
Retention Period:
Retain 3 years.
9 Budgetary History (Fiscal Year End)
A report listing: monthly actual, and budget utility consumption, and costs for each budgetary unit. Retain
only period #12 copy (entire fiscal year).
Retention Period:
Retain 3 years.
Note: Destroy monthly copies when superseded.
10 Utility Accounts/Budget Unit Master Files
This is a report listing the detail data, (utility type, tenant number, budgetary unit, rates, etc.) for all utility
accounts, and budgetary units currently “set up” in the computer.
Retention Period:
Retain 6 years.
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11 Tenant Utility Report
Monthly report listing the identical meter readings, rates, consumption, and costs that that appears on
each tenant’s utility reports.
Retention Period:
Audit plus 1 year.
12 Utility G/L Journal Report
This is a monthly Report listing the monthly utility charges for each budgetary unit/location.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: The department has convenience copies.
13 Utility Systems Accounts
Revisions to utility account logbooks, utility account billings, metering drawings, rate changes.
Retention Period:
Retain 2 years in office and 4 years off site.
14 Department Subject Files
Tenant/Contractor utility problems, meter maintenance reports, purchase requisitions, etc.
Retention Period:
Retain 2 years in office.
15 Utilities Budget
Record of Calculations, unit costs, and memoranda used to generate the MASSport utilities budget each
fiscal year.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: The Department has convenience copies.
N8 Aviation Marketing
1 Concession Monitoring Files
Inspection reports, correspondence, memos, forms, and other information used to monitor concessions.
Retention Period:
Retain 2 years in office, 3 years off-site storage.
2 Trade Show Files
Application forms, correspondence, fax, memos, and other reference material on the shows.
Retention Period:
Retain 5 years.
N9 Private Carrier
1 Ground Transportation Files
These files document all reference information on contract, amendments, permits, license, insurance, and
all correspondence pertaining to private carrier.
Retention Period:
Destroy when material is no longer active.
2 Monthly Revenue Forms
These are documents that track monthly trips by private carrier for accounting purposes.
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Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
N10 Ground Transportation
1 Daily Reports
Planning reports of transportation services to and from Logan airport. These reports include MBTA
counts, and limousine and taxi statistics.
Retention Period:
Retain 2 years.
2 Taxi Pool Ticket Log
Taxi Log and sheet used by agent in taxi pool for identification. The logs also contain the number of
taxicabs when released to the terminals for the public.
Retention Period:
Retain 2 years.
3 Personnel Files
These files are convenience copies of all correspondence and reports relating to current employees.
Retention Period:
Kept in office while employee is active, then they are forwarded to human resources.
Note: Also, see section E-4-5.
4 Ground Transportation Agreements
Documents the agreements for ground transportation operating services at Logan Airport. These files are
used to track operations.
Retention Period:
Active plus 7 years.
N11 Parking Revenue Audit
1 Check Information
Mailing address and car registration of patron whose parking fees were paid by check in order to verify
funds.
Retention Period:
Retain 2 years.
2 Lost Ticket Vouchers
These vouchers contain information on airport patrons who have misplaced their parking tickets in order
to verify refunds.
Retention Period:
Retain 3 years.
3 Parking Fee Reports
Information on patrons with partial and insufficient funds, as well as paid parking fees. These reports are
generated in order to collect outstanding monies.
Retention Period:
Audit plus 1 year.
4 Inventories
This record documents the daily recordings and comparison of vehicles entering and exiting the parking
facilities. These inventories are used to determine monthly statistics.
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Retention Period:
Retain 2 years.
Note: There is a tape backup.
5 Shuttle Buses and Taxi Pool
Deposit summaries and related statistics for Logan, Braintree, Framingham, and etc. to keep track of
tickets.
Retention Period:
Retain 1 year.
6 Audit Problems
These files document variance between monies recorded on cashier’s reports and monies deposited in
the bank in order to reconcile reports.
Retention Period:
Retain 2 years.
7 Cashier’s Daily Work (Database)
Daily recordings of cashier’s work shifts, lane and revenue collected for reconciliation of cashier’s
operations.
Retention Period:
Retain 1 year after audit.
8 Parking Tickets
These records document airport patron parking tickets from all airport-parking facilities. These tickets are
used for a record of activity.
Retention Period:
Retain 1 year.
9 Void Tickets
Complimentary tickets issued to MPA officials, employees, facilities and maintenance workers,
technicians, and contractors.
Retention Period:
Retain 6 years.
10 Credit Card receipts
All credit card receipts from parking patrons at Logan Airport, Braintree, Framingham, and Woburn.
Retention Period:
Retain 1 year in the office, 5 years off-site.
N12 Hanscom Field
1 Inspections Files
These files include, T-hanger and fuel farm inspections, also hydrant flow tests in order to note any
deficiencies.
Retention Period:
Retain 4 years.
2 Nighttime Field Use Records
These records document the Operations Supervisor’s report of aircraft operations between 11:00 p.m.
and 7:00 a.m. Included in these records is payment of night field use fees. These records are used for
accounting purposes.
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Retention Period:
Retain 2 years.
3 Noise Complaints File
Copies of responses prepared for residents who have complained about aircraft noise in the Hanscom
Field area. These copies are kept for reference purposes.
Retention Period:
Retain 5 years.
4 Noise Monitoring Procedures
This series contains letters, and memos generated while getting permission to install monitors. These
documents are used for reference purposes.
Retention Period:
5 years in office.
5 Noise Rule Proceedings
This file is documentation of noise rule and regulation development.
Retention Period:
Permanent, 5 years in office then sent to Massachusetts state archive.
6 Noise and Operations Data
Computer files for aircraft operations; they are printouts of noise and operations data. These files, which
are based on computer files, are used for reference.
Retention Period:
Retain 6 years in office.
7 Tenant Files
These files include: correspondence to and from tenants in the Civil Terminal, and LG Hanscom Field.
These files are used to check information on space rented.
Retention Period:
Active plus 6 years.
8 Hanscom Manifests
These manifests are reports on hazardous waste generated at and removed from Hanscom. These
manifests also identify off-site disposal facilities.
Retention Period:
Retain 6 years then microfilm.
9 Hanscom Access Stickers
These files contain filing cards with information on an individual, their address, their vehicle registration,
etc., for access on to Hanscom Air Force Base. The files are used in office to answer Air Force reference
questions.
Retention Period:
Retain 2 years.
10 Snow Removal Summaries
These files are a record of snow removal expenses. These files are used for reference.
Retention Period:
Retain 2 years.
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11 Ramp Permit Files
These files contain vehicle information used to record ramp stickers. These files are used for reference
purposes.
Retention Period:
Retain 2 years.
12 Notams File
This file contains notices to airmen on the condition of the field. This file is used for reference.
Retention Period:
Retain 5 years.
13 Maintenance Files
These are reports of weekly maintenance duties performed at the Airport. These files are used for
reporting and for reference.
Retention Period:
Retain 5 years.
14 Loss Control Reports
These Reports are used to correct insurance deficiencies. These are Reports of Loss Control at the
airport.
Retention Period:
Retain 3 years in office.
15 Monthly Statistical Reports
These files are reports to Hanscom Field Advisory Commission, advising the Commission about
operations and activities during the hours of 7 AM and 11 PM.
Retention Period:
Retain 5 years.
N13 Maritime Administration
1 Association Files
Correspondence relating to the following organizations, American Association of Port Authorities, National
Association of Authorities, Boston Shipping Association, and Longshoreman’s Association. This file is
used for reference purposes.
Retention Period:
Retain 1 year.
2 Facility Files
These files are reference records relating to the Revere Facility, Army Base, Cruise Terminal, Conley
Terminal, and Moran Terminal.
Retention Period:
Retain 2 years.
3 Tariff Files
These are the Tariff charges filed as required by the Federal Maritime Commission to enforce collection of
pier charges.
Retention Period:
Superseded, 3 years off-site.
4 Lease Files
These are convenience copies of lease agreements and back up for Maritime facilities.
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Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
5 Maritime Damage Claims
These files are reports and correspondence relating to equipment and /or cargo damage at Maritime
piers. These files are used for reference.
Retention Period:
Active plus 6 years.
6 Capital Projects Files
These are copies of reference material relating to capital projects on Maritime facilities.
Retention Period:
Active plus 6 years or until administrative use ceases.
7 Terminal Reports/Statistics
These are file records of pier operations, tonnage and arrivals. These files are used for reference.
Retention Period:
Active plus 6 years.
8 Consultants/Contractors File
This is back-up information relating to consultant contracts and contractors work. This material is kept for
reference.
Retention Period:
Destroy after office use.
N14 Property Management Fish Pier
1 Contract Files
These are small construction contracts initiated by property management. These contracts are used to
track construction worked performed.
Retention Period:
Active plus 7 years.
2 Prospective Tenant Files
Lease applications for possible tenants. These forms are used to solicit possible tenant space.
Retention Period:
Retain 2 years.
3 Electrical Work Orders File
These forms are used to document written request for electrical repairs, they are also used to track work
that has been performed and outstanding work projects.
Retention Period:
Retain 5 years.
4 Fish Pier Log Books
These are security logbooks; they are kept for reference purposes.
Retention Period:
Retain 5 years.
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N15 Maritime Operations (Unit Number 4300)
1 Facility Files
These are subject files containing reference documentation on Maritime facilities owned and operated by
MPA.
Retention Period:
Retain 8 years.
2 Personnel Files
These files are reference Copies of Union Personnel files relating to units 4210, 4610, 4220,
4240,4370,4640,4320, and 4310. These files include all union documents.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
Note: Labor Relations is the office of record.
3 Security Files
These are files relating to MASSport Maritime Security Services Unit-Port Police (Local 810) for reference
of incidents.
Retention Period:
Retain 3 years.
4 U.S. Government Files
These are records of U.S. rules and regulations. They are used for reference purposes.
Retention Period:
Keep in office until superseded.
5 Equipment Interchange Receipt/Transfer Interchange Receipt Files
These are receipts of contents brought by truckers into the terminal; they are also receipts of transfer to
and from the terminal. These receipts are used for reference.
Retention Period:
Retain 2 years.
6 Maintenance Record Files
These documents are records of all terminal equipment maintenance. These documents are used for
reference and for monitoring purposes.
Retention Period:
Active plus 6 years.
7 Inventory Records Files
This is a computer database and backup materials. Contained in this database are terminal parts, this
database is used for reference and for inventory.
Retention Period:
Active plus 6 years.
8 Ship Log Files
These files document a record of ship calls at Moran Terminal. Included in these files is billing
information. These files are used for reference.
Retention Period:
Active plus 6 years.
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9 ILA Clerk Files (Internal Records Series Code 4300.08)
Records documenting container activity at Conley Terminal. Includes TIR files, dock receipts, delivery
orders, Plan Clerk records and related correspondence.
Retention Period:
Active plus 6 years.
10 Vessel Files (Internal Records Series Code 4300.11)
Records documenting container activity at Conley terminal. Includes planning and operational recaps and
related correspondence.
Retention Period:
Active plus 6 years.
11 ILA Payroll Records (Internal Records Series Code 4300.12)
Time and attendance records for ILA members. Includes timesheets, time cards and related
correspondence.
Retention Period:
Retain 3 years.
12 Lay-Berth Vessel Files (Internal Records Series Code 4300.16)
Records documenting the activity of vessels berthed at other Maritime properties. Includes lay-berth
applications, operation summaries and related correspondence.
Retention Period:
Active plus 6 years.
13 Injury/Incident Report Files (Internal Records Series Code 4300.17)
Records documenting work-related accidents/incidents and injuries. Includes accident reports, claims and
related correspondence.
Retention Period:
Active plus 6 years.
14 ILA Personnel Files (Internal Records Series Code 4300.18)
Records documenting the work histories of ILA members. Includes trainings, qualifications/licensing, ID
documentation, drug/alcohol testing and related correspondence.
Retention Period:
Active plus 5 years.
15 Environmental Files (Internal Records Series Code 4300.19)
Convenience copies of environmental plans, policies, manifest, permits and related correspondence.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
N16 Black Falcon Cruise Terminal
1 U.S. Government Permits
This file contains various permits and inspections of waterfront terminals. This file is used for reference.
Retention Period:
Active plus 3 years.
2 Leased Areas File
These are records of the Conley Terminal, the Army Base, and North Jetty tenants’ space.
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Retention Period:
Active plus 7 years.
3 Port of Boston Union File
This file contains documents pertaining to the International Longshoreman’s Association, and Local 809
MASSport Union facilities. This file is used for reference.
Retention Period:
Keep in office until superseded.
4 Ship Log Files
These files contain detailed information of ships/vessels, which call at Harbor Gateway/SB facilities.
These files are used for informational record keeping purposes.
Retention Period:
Active Plus 6 years.
5 Purchasing Files
Copies of vendor and service contracts along with purchase orders for said products. These files are
used for reference.
Retention Period:
Retain until administrative use ceases. Permission from RCB not required for destruction.
N17 Maritime Sales and Marketing
1 Steamship Lines
These are files kept on different steam lines and their operations and calls on Boston. Sales notes are
included in the files; these files are used for reference.
Retention Period:
Files are kept until superseded.
2 Brochure Files
These are brochures are from different Cruise Lines, they are used for informational purposes.
Retention Period:
Files are kept until superseded.
3 RRP (Recruitment and Referral Program)/Tenant Files
These files document the tenants at Logan Airport, the contact dates, applications and correspondence.
These files are used for reference, and are updated regularly.
Retention Period:
Retain 2 years.
N18 External Affairs Logan Airport
1 Emergency Procedures/Public Safety
These are the Rules and Regulations pertaining to safety at the airport. Also included in these files are
information, which is given to the media for aircraft gates and incidents, also VIP arrivals and departures.
Retention Period:
Active plus 10 years.
N19 Government and Community Affairs
1 Impacted Communities Files
Documents all correspondence pertaining to impacted communities, including Charlestown, Revere,
Chelsea, South and East Boston, and Winthrop. This file is used for informational purposes.
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Retention Period:
Retain 3 years.
2 Neptune Road Program Files
These are various files pertaining to MASSport’s Neptune Road Program. This file includes all phases of
the program. This file is used for research and informational purposes.
Retention Period:
Permanent.
N20 General Accounting
1 Chart of Accounts
This file contains individual account codes, unit account or natural account number. This file was created
to track functioning accounts.
Retention Period:
Audit plus 1 year.
2 Year End Schedule/ Work Papers
This file provides supporting documentation in assembling the Annual Financial Statement.
Retention Period:
Retain 2 years, then microfilm.
N21 Central Services
1 Repair and Use Logs
These are various logs for repair and use of equipment and services. These logs document a record of
repair and use of services.
Retention Period:
Retain 2 years.
2 Charge Back Source Documents
These are source documents such as: parking coupons, gasoline credit card slips, cleaning reports,
courier services, taxicab slips, and catering requests.
Retention Period:
Retain 1 year in office 5 years off site.
3 Real World Inventory File
This file documents the record of stockroom inventory. This file is used to charge back stock to different
departments.
Retention Period:
Retain 2 years.
N22 Capital Accounting
1 Landing and Passenger Fee Reports
This is a report of landing and passenger fees to be billed to a tenant. Within this report is the landing and
gate activities.
Retention Period:
Retain 6 years.
2 Fixed Assets Register
This register calculates depreciation of fixed assets. This register contains: project title, type, location,
acquisition date, value, useful life, depreciation, and net book value of assets.
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N Massachusetts Port Authority
Retention Period:
Office of record is General Accounting. 1 year after audit.
3 Fiscal year Cumulative Job Sheets
This is an account for project activities. This file contains beginning and ending balances, project and
payment totals.
Retention Period:
Active, then 6 years off-site.
4 Monthly Job Sheets
This is an account for project activity by fund. This account contains beginning and ending balances, and
current activity.
Retention Period:
Audit plus 1 year.
5 Monthly Summary Trial Balance Books
This is a summary of general ledger accounts, used to summarize and test balance the general ledger.
Retention Period:
General Accounting is the office of record, retain until administrative use ceases or audit plus 1 year.
6 Project Payment Files/ Contracts Under Seal
This file contains vouchers and supporting detail, invoices, and payment request memos.
Retention Period:
Permanent.
7 Monthly Journal Entries
This is an account for activity posted to the general ledger. This file contains account activities posted,
with rational therefore. The record series is arranged chronologically.
Retention Period:
Retain 6 years.
N23 Labor Relations
1 General Union Files
Records supporting union dues, increases union officials status, rules/policy and contract issues.
Retention Period:
Retain until administrative use ceases.
2 Seniority Rosters
List of union employees produced on a monthly basis containing job history information and used to
determine the total length of continuous service relating to reclassifications, promotions, demotions,
transfers, layoffs, reduction in force, severance agreements and terminations.
Retention Period:
Permanent.
N24 Administration and Finance
1 Rates and Charges Filed
These are current rates and charges for landing and parking fees at each facility. This file is used for
reference and tracking purposes.
Retention Period:
Retain 2 years.
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N Massachusetts Port Authority
N25 Maritime Security Services (Unit Number 4280)
1 MTSA Files (Internal Records Series Code 4280.02)
MTSA security plans, supporting documentation and related correspondence for all maritime facilities.
Retention Period:
Retain 5 years.
2 Security Badge Files (Internal Records Series Code 4280.05)
Records documenting application eligibility and issuance of Maritime security badges at all maritime
facilities.
Retention Period:
Retain 4 years.
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O Department of Youth Services
O1 Unit Records/Community Records
1 Client Sign In Sheets
Documents clients reporting to district offices and programs.
Retention Period:
Retain until administrative use ceases.
2 Daily Census/Daily Bed Count
Documents the clients on each unit including: name, date of birth, date of admittance, race, commitment
date, region, level, and projected discharge.
Retention Period:
Retain until administrative use ceases.
3 Drug Testing Results
Documents drug testing results of clients.
Retention Period:
Primary copy: in client file. See record series “O2-1 Client Files.”
Secondary copy retain until administrative use ceases.
4 Electronic Monitoring (ELMO) Reports
Documents electronic monitoring tracking of client.
Retention Period:
Primary copy: in client file. See record series “O2-1 Client Files.”
Secondary copy: retain until administrative use ceases.
5 Fire Safety Reports
Documents fire drill reports at programs and facilities, weekly and monthly fire report inspections.
Retention Period:
Retain 5 years.
6 Intake/Discharge Log
Documents clients in DYS units including their names, charges, prior placements and staff involved in the
intake and discharge. Also documents medical information.
Retention Period:
Retain 10 years.
7 Internal Investigative Reports
Documents the filing of 51As and 51Bs, Internal Reviews, Incident Reports, Witness Statements, Internal
Investigations and subsequent Corrective Action Plans.
Retention Period:
Retain 15 years.
8 Licenses/Certificates
Documents licenses for each DYS facility including Department of Early Education and Care, Department
of Public Safety, Fire Department Inspections, Department of Public Health, Building Inspections, and
Servsafe.
Retention Period:
Retain 5 years.
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O Department of Youth Services
9 Medical Log
Documents all medical information about clients in DYS units including medication orders, schedules for
any medications, dressing changes, or other treatments, potential side effects, allergies, cautions and
other important information about a client's health status, medications received and destroyed, and name
of staff involved in receipt and destruction, clinical treatment and all clinical notes.
Retention Period:
Retain 45 years after discharge.
10 Medical Files
Documents the treatment of clients including regular medical visits, hospital visits, dental visits and
routine medical care. Includes prescription records, immunization records and clinical notes.
Retention Period:
Retain 45 years after discharge.
11 Summary of Consultations
Documents Minutes included from staff, supervisor, clinical, educational consultations that are not public
bodies.
Retention Period:
Retain until administrative use ceases.
12 Monthly Reports/Facilities
Documents the program name, Agency name, Director, Supervisor, report period, client groups
conducted, client groups cancelled, clinical services, educational days cancelled, vocational
programming, recreational programming, religious programming, community services, special events/
activities, visits, mail, phone calls, food services, complaints and investigations, medical services,
psychotropic meds on last day of the month, medication occurrences, off site medical/dental
appointments, program group meetings, community connections, fire drills, unit lockdowns, shakedowns,
and searches, emergency calls to program, safety inspections, unannounced visits by management,
assistance calls, staff schedule changes, staff incidents, injuries, terminations, suspensions, promotions,
disciplinary action, new hires, terminations, and grievances, sick days, extended leave, overtime,
corrective action plans, and additional comments .
Retention Period:
Retain until administrative use ceases.
13 Monthly Reports/Community
Documents location name, client placement and level of community supervision, caseworker assignment,
services, including education and employment, training, clinical services and clinician, substance abuse
treatment, rewards and sanctions, employment history, community services, programming, safety and
security, including fire drills and serious incidents, staffing, management comments and meeting,
administration and any additional events.
Retention Period:
Retain 5 years.
14 Operations Log
Documents all operational functions in a DYS unit including equipment transfers, client population and
room assignments, staff count, shift summaries, shift changes, fire duty staff assignments and all
equipment transfers (keys, mechanical restraints, radios, phones, flashlights, etc.). Documents staff
duties for each shift and client behavior summaries. Documents medication and medical issues for each
client, client restrictions, client behavior issues including suicide watches, and the use of mechanical and
physical restraints. Also documents room checks, unit searches, outside area searches, and
shakedowns, fire drills, including evacuations.
Retention Period:
Retain 20 years.
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O Department of Youth Services
15 Program Activity Attendance Sheet
Documents client attendance at community program activities.
Retention Period:
Retain until administrative use ceases.
16 Regional Review Team Records
Documents client assessments, placements, time assignments and appeals,.
Retention Period:
Primary copy: in client file. See record series “O2-1 Client Files.”
Secondary Copies: retain until administrative use ceases.
17 Restraint Report
Documents the number and location of restraints in programs.
Retention Period:
Retain until administrative use ceases.
18 Room Confinement Observation Sheets
Documents the name of client, program, date, reason for confinement, items allowed, start time, end
times, bedtime hours start, bedtime hours end, medical services, clinical services, food and drink allowed,
and hygiene breaks, written approval for use of room confinement beyond 6 hours.
Retention Period:
Retain 5 years.
19 Room Check Sheets
Documents room checks including the name of staff, when the check was conducted and what was
viewed.
Retention Period:
Retain 5 years.
20 School and Group Attendance Logs
Documents client attendance in school and group counseling meetings.
Retention Period:
Retain until administrative use ceases.
21 Search Log
Documents the date and time as well as the type of search and the staff members conducting the search.
Any contraband discovered is documented as well as the staff who discovered the contraband, the
location of the item when found, the name of the client or visitor who had possession of the contraband,
and the details of how staff have stored, transferred, returned or disposed of the items. Includes chain of
custody documentation.
Retention Period:
Retain 2 years.
22 Telephone Log
Documents client calls including the phone number, relationship between client and person calling,
name(s) of staff approving call and monitoring call, and length of call.
Retention Period:
Retain 2 years.
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O Department of Youth Services
23 Unit Condition Reports (UCRs)
Documents the interior and exterior security checks from each shift includes all security devices and
equipment, including locks, security screens, doors, windows, fences, alarms, metal detectors, audio
communications equipment, and mechanical restraints, for damage, tampering, and proper functioning,
silverware counts, weekly inspections by managers, unannounced visits from managers.
Retention Period:
Retain 10 years.
24 Unit Files
Documents daily client activities on the unit including serious incidents, incidents, counts, grievances,
daily activities, staff notes, restraints, levels and progress notes.
Retention Period:
Retain until administrative use ceases.
25 Video Review Log
Documents the date and time of video reviewed, the managers that reviewed the video, content of video
reviewed.
Retention Period:
Retain 5 years.
26 Visitor Log
Documents the visitors to the DYS unit including the date of the visit, name of visitor(s) and client visiting,
relationship to client, time in and out, purpose of visit, admitting staff, where visit took place, name of staff
supervising visit, and name of staff who searched client after visit.
Retention Period:
Retain 2 years.
27 Victim Services File
Documents the victims and witnesses to be notified regarding a client’s transfer or release from DYS.
Includes notification forms.
Retention Period:
Primary copy: retain 10 Years.
Secondary copies: Retain until administrative use ceases.
O2 Client Records
1 Client Files
Documents client information including client photograph, intake assessments and forms, police reports,
court records, birth certificates, RRT (Regional Review Team) forms, physical examinations,
immunizations, service delivery plan, parole violation warrants, detainers, staffing notes general
correspondence, releases, psychological and psychiatric history and treatment, Narrative case history,
DYS assessments treatment plans, and monthly progress reports, incident reports and Serious Incident
Reports, completed body maps, and level reviews, clinical notes from individual and group sessions,
passes, educational records (past and present - to include health and immunization records; IEPs, special
education records, and evaluations for identified clients; testing information; and grades and transcripts,
mitts, habeas, DCF (Department of Children and Families) history including 51As and 51Bs, DMH
(Department of Mental Health) and DMR (Department of Mental Retardation) records, levels of
supervision and Assignment worksheets and forms.
Retention Period:
Retain 45 years from discharge from DYS.
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O Department of Youth Services
2 Client/Program Unit File
Documents client stay on a hardware secure, staff secure, or program unit. Documents are merged into
Client file upon discharge from a unit or program.
Retention Period:
Retain 7 years after discharge from Unit.
3 Grievance Forms
Documents client grievance and appeals.
Retention Period:
Primary copy: in client file. See record series “O2-1 Client Files.”
Secondary copy: Retain until administrative use ceases.
4 Incident Reports
Documents the date, time and location of incidents that occur in a unit or program. Describes the location,
youth involved, staff involved, witnesses, narrative description, number of clients, staff, action taken,
additional comments, writer’s name and signature, supervisor’s name and signature.
Retention Period:
Retain 10 years.
5 Detention File
Documents intake forms, CORI (Criminal Offender Record Information) records, fact sheets, photograph,
MAYSI (Massachusetts Youth Screening Information) forms, Lamb warnings, PREA (Prison Rape
Elimination Act) information, bail review notification, body map, mittimus, court documents.
Retention Period:
Retain 10 years after release from detention.
O3 Program Monitoring
1 Program Reports and Visit Summary Reports
Documents the monthly and quarterly reports of a program, including annual staff reviews and
programming, program monitoring evaluations of program facilities. Includes summary of programming,
evaluation of staff, conditions, and interviews with staff and clients.
Retention Period:
Retain 3 years.
O4 Communication Information Center (“CIC”) Reports
1 Active Warrant Report
Documents the warrants and detainers that are still active in the DYS system by Region.
Retention Period:
Retain 5 years.
2 Bail Report
Documents all youths brought into DYS custody on bail status. It shows charges, remand date, bail
amount, court, etc.
Retention Period:
Retain 5 years.
3 Nightly Return Report
Documents the youths that have returned to either DYS custody or picked up on a DYS warrant by
another agency.
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O Department of Youth Services
Retention Period:
Retain 5 years.
4 Nightly Situation Report
Documents serious calls coming into CIC (Communication Information Center) includes serious incidents
that occurred over a 24 hour period from 7:00 a.m. to 7:00 a.m.
Retention Period:
Retain 5 years.
5 Open Return Report
Documents the warrants that have been returned but something is missing. This report is sent to the
Regional and District Manager.
Retention Period:
Retain 5 years.
6 Room Confinement Report
Documents all youths in DYS facilities that have been in involuntary room confinement, how long, and the
reason.
Retention Period:
Retain 5 years.
7 Risk Assessment Report
Documents the assessments of bailed youth brought into DYS custody.
Retention Period:
Retain 5 years.
8 Serious Incident Reports
Documents serious incidents that occur in a unit or a program and include the date, time and description
of the incident and the staff and youth involved.
Retention Period:
Retain 10 years.
9 Warrants and Warrant Returns
Documents the issuing of a apprehension order and the return of the warrant after DYS youth is
apprehended.
Retention Period:
Retain 2 years.
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Electronic Records Management Guidelines
Contents
Section 1: Authority........................................................................................................................ 1
Section 2: Purpose and Scope ......................................................................................................... 1
Section 3: Records Custodian Responsibilities............................................................................... 2
Section 4: Information Systems that produce, use or store Electronic Records ............................. 4
Section 5: Electronic Mail Message Records ................................................................................. 6
Section 6: Admissibility of Electronic Records.............................................................................. 8
Section 7: Security of Electronic Records ...................................................................................... 9
Section 8: Selection and Maintenance of Electronic Records Storage Media................................ 9
Section 9: Retention and Disposition of Electronic Records........................................................ 11
Section 10: Destruction of Electronic Records............................................................................. 12
Section 11: Accessibility to Public Information for Persons with Disabilities............................. 12
Section 12: Conclusion ................................................................................................................. 13
Appendix A .................................................................................................................................. 14
Definitions for the Purpose of these Guidelines ..................................................................... 14
Section 1: Authority
These Guidelines are hereby jointly issued by the Supervisor of Records, the Records
Conservation Board and the Information Technology Division under the authority of G. L. c. 66,
§ 1; G. L. c. 30, § 42; and G. L. c. 110G, § 17.
Section 2: Purpose and Scope
Purpose The purpose of these Guidelines is to help ensure that government electronic records are
created, maintained, disseminated and destroyed in a manner consistent with the transparency
and accountability requirements of the Massachusetts Public Records Law, G. L. c. 66, § 1, et
seq. and the standards set by the Records Conservation Board.
While many concerns are the same as those that exist with other, more traditional forms of public
records, the prevalence of electronic records raises some new issues. Therefore, government
records custodians must be mindful of how business, technical and legal standards apply to
electronic records.
Scope It is the responsibility of government officers who create, receive and maintain public
records to ensure their safekeeping and availability to the public.
These Guidelines are intended to provide actionable recommendations to all entities subject to
the provisions set by the Records Conservation Board in applying the requirements surrounding
management of public records to the unique aspect of electronic records as defined by the
Uniform Electronic Transactions Act, in addition to information systems, regardless of format or
location.
These Guidelines are not intended to supersede, overwrite, establish policy or otherwise change
any existing legal, statutory or other requirement that may apply to government data, information
systems or records of any other nature.
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For purposes of these Guidelines, electronic records include, but are not limited to, records
created, generated, sent, communicated, received, or stored by electronic means.
Section 3: Records Custodian Responsibilities
Each officer in charge of a government office or department is the custodian of the records held
by that office or department and therefore is responsible for managing the entity’s electronic
records.
It is advised that Records Custodians adopt and implement a formal Electronic Records
Management Program that, at a minimum, incorporates the following elements:
Administrative Management
(1)
Assignment of the responsibility to develop and implement a program for the management
of all records created, received, maintained, used, or stored on electronic media;
(2)
Establishment of formal procedures that address records management requirements,
including recordkeeping requirements and disposition;
(3)
Method, controls or mechanisms for addressing electronic records that are exempt from
disclosure under G. L. c. 4, § 7(26), or any other applicable statute;
(4)
Establishment of procedures that will reasonably ensure that the provisions of these
Guidelines are applied to electronic records that are created or maintained by contractors or
other agents;
(5)
Establishment of procedures that require departing public entity officials, employees, and
other agents return or destroy, as appropriate, all portable storage media or any other device
capable of storing data in said individual’s possession that may contain the public entity’s
electronic records;
(6)
Preventative controls to ensure that no public entity electronic records are copied or
transferred by or on behalf of the departing individual or agent without supervisory review
to make certain that such copying or transfer will not violate records retention,
confidentiality or security requirements and ensures compliance with G. L. c. 66, § 14;
(7)
Validation that new electronic information systems or enhancements to existing systems
support established Electronic Records Management Program requirements and associated
Procedures;
(8)
Integration and alignment of the management of electronic records with other records and
information resources management programs of the public entity and of any over-arching
authority’s programs;
(9)
Compliance with all policies, procedures, and standards such as those issued by the
Supervisor of Records; the Records Conservation Board; and, with respect to the Executive
Department, those issued by ITD as Policies, Standards and Procedures; or other offices
empowered to regulate electronic records as well as any other applicable laws or statutes;
(10) Review of electronic information systems for conformance to established agency
procedures, standards, and policies as part of a periodic review, which should include an
assessment of whether the records have been properly identified and described, and
2
whether the schedule descriptions and retention periods reflect the current informational
content and use;
Notification & Education Elements
(11) Written notification to the Supervisor of Records (Form RMU-4) and Records
Conservation Board (Form RCB-4) of the name and title of the person assigned the
responsibility of managing electronic records;
(12) Incorporation of the electronic records management program’s objectives, responsibilities,
and authorities in pertinent agency directives and dissemination of the directives
throughout the entity as appropriate;
(13) Establishment of a program that encourages and supports work in conjunction with the
Records Conservation Board to ensure compliance with the Statewide Records Retention
Schedule by:
a. Developing and maintaining appropriate records disposition practices;
b. Securing the Records Conservation Board’s approval of records disposition
schedules; and
c. Validating the implementation of the Record Conservation Board’s provisions.
(14) Ensures that adequate training is provided on meeting the requirements of an entity’s
electronic records management program for:
a. End -users of electronic mail systems, websites, social media and desktop documents
on recordkeeping requirements, and moving or copying records for inclusion in an
agency recordkeeping system; and,
b. Users who have control of electronic information systems or in the operation, care,
and handling of the equipment, software, and media used in the system.
Documentation
(15) Development and maintenance of up-to-date documentation about all electronic
information systems that will allow entities to:
a. Specify all technical characteristics necessary for reading or processing the records;
b. Identify all defined inputs and outputs of the system;
c. Define the contents of the files and records;
d. Determine restrictions on access and use;
e. Understand the purpose(s) and function(s) of the system;
f. Describe update cycles or conditions and rules for adding information to the system,
changing information in it, or deleting information; and
g. Ensure the timely, authorized disposition of the records;
(16)
Specification of the location, manner, and media in which electronic records will be
maintained to meet operational and archival requirements, and maintenance of
inventories of electronic information systems to facilitate disposition; periodic
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refreshment of media on which electronic records are stored to ensure against media
degradation and loss of interoperability with current information technology systems.
Section 4: Information Systems that produce, use or store Electronic Records
The Records Conservation Board and the Supervisor of Records require some assurances from
agencies that their record-keeping systems produce accurate, secure, and reliable records.
Agencies must be able to demonstrate consistent, controlled data handling during the active and
inactive life of the data.
In order to comply with existing requirements, it is advised that entities that utilize electronic
information systems to produce, use or store data files address the following:
System Design
(1)
Incorporate disposition instructions for the data into the system’s design.
Note: Systems that are subject to G. L. c. 93I must adhere to the special disposition rules
pertaining to personal information as identified in that statute.
(2)
Require manual commands entered by agency personnel to approve disposition of
identified records. This will help to prevent inadvertent disposition that is likely when
systems rely solely on automated, age-based disposition of electronic records.
System Documentation
(3)
Develop and maintain adequate and up-to-date technical documentation for each
electronic information system that produces, uses, or stores data files. It is recommended
that to comply with current minimum documentation requirements, entities include a
narrative description of the system comprised of:
(a) The physical and technical characteristics of the records, including a record layout
that describes each field, including its name, size, starting or relative position, and a
description of the form of the data, such as alphabetic, zoned decimal, packed
decimal, or numeric, or a data dictionary, or the equivalent information associated
with a data base management system, including a description of the relationship
between data elements in data bases; and,
(b) Any other technical information needed to read or process the records.
Electronic recordkeeping systems that maintain the official file copy of a record
(4)
Prior to being used to maintain official file copies, electronic recordkeeping systems
should:
(a) Support provisioning that allows all authorized users of the system to retrieve desired
documents, such as an indexing or text search system;
(b) Enforce an appropriate level of security to ensure the integrity of the documents;
Note: Executive Department agency systems must meet ITD’s security policies and
standards.
(c) Ensure that a standard interchange format is provided, when necessary, to permit the
exchange of documents on electronic media between agency computers using
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different software/operating systems and the conversion or migration of documents
on electronic media from one system to another;
(d) Address disposition of documents in accordance to these guidelines and overarching
regulations, including, when necessary, the requirements for transferring permanent
records to the State Archives facility or other facility for the safekeeping of
permanent records;
(e) Maintain sufficient information to allow for identification of each document within a
given electronic information system. Identifying information should include: office of
origin; file code; key words for retrieval; addressee, if any; signatory; author; date;
authorized disposition, coded or otherwise; and security classification, if applicable;
and,
(f) Correlate official file copies maintained in electronic recordkeeping systems with
related records on paper, microform, or other media as appropriate.
Website-Related Documents
Public entities are advised that records created or posted to websites, including externally hosted
websites, are subject to the same electronic records requirements as records created or
maintained on internal, non-web-based electronic recordkeeping system. Therefore, public
entities need to ensure:
(5)
Retention of technical documentation of the design, construction, and use of the website,
including a general description of the site’s purpose, descriptions of major features and
sections, diagrams and descriptive lists of links, descriptions of data sources, periodic
screen dumps of major pages and electronic snapshots of web pages;
(6)
Websites that offer users transactional opportunities are able to retain and provide access
to all data related to such transactions. Examples of transactional opportunities may
include but are not limited to: submission of payments, applications or other on-line
business.
Social Media Records
Public entities that use social media should be aware that social media sites contain
communications sent to or received by state employees that are subject the same electronic
records requirements discussed throughout these Guidelines.
Note: Public entities that use social media should be aware that most social media sites are
hosted by third party providers. Consequently, the physical hardware and software that enable
the social media site are located at, and under the control of, an entity other than the
Commonwealth. Therefore, public entities have limited control over the functionality or business
practices offered by such sites and the legal terms to which they are subject. These terms may
impact adequacy of accessibility for people with disabilities, documentation, recordkeeping
requirements, records management responsibilities, and records disposition. Public entities
should be aware that the social media provider is unlikely to change features and functionality
that do not meet all of the public entity’s recordkeeping and records management obligations.
Therefore, public entities need to ensure procedures are implemented to allow for:
(7)
Review of third party social media service provider’s terms of service for its records
retention practices.
5
Note: While third party social media providers will most likely save the public entity’s
content for some period of time, they generally will not save it indefinitely.
(8)
Retention of a copy of the social media content in accordance with the Statewide Records
Retention Schedule.
Note: To the extent that the social media provider’s policies are inconsistent with the
Statewide Records Retention Schedule, the public entity is obligated to take affirmative
steps to retain copies of social media posts, such as taking a periodic screenshot of the
social media sites in order to meet their agency’s records retention obligations.
Desktop Documents
In order to ensure compliance with existing requirements, public entities need to ensure
procedures are implemented that address the following unique aspects of records created or
received through desktop applications such as Microsoft Office and Open Office.
(9)
Ensure that word-processing, spreadsheet, presentation, task list, contact, calendar and
other desktop documents are identified, preserved and disposed of in a manner consistent
with the Statewide Records Retention Schedule;
(10)
Identify and capture desktop documents created and received by employees in remote
locations or on external devices, such as in the field or employee home offices, portable
devices, such as tablets, notebooks, laptops, personal digital assistants and portable
storage devices.
Section 5: Electronic Mail Message Records
In Massachusetts, the term "public record" is broadly defined to include all documentary
materials or data created or received by any officer or employee of any governmental unit,
regardless of physical form or characteristics, unless it falls under one of the statutory
exemptions to the Public Records Law. G. L. c. 4, § 7(26). Consequently, email is subject to the
disclosure, retention, and maintenance provisions as required by law. G. L. c. 66.
To be compliant with existing regulations, public entities need to address the following unique
aspects of electronic mail:
Preservation of Transmission Data
(1)
The Statewide Records Retention Schedule requires that public entities retain specific
information for each electronic mail message including:
(a) The names of the sender and addressee(s), including addressees who are cc’d to an
electronic mail message;
(b) The date the message was sent;
(c) Message metadata;
(d) Any attachment to the electronic mail message must be preserved in order for the
context of the message to be understood; and
(e) Any other transmission data that is necessary for the purpose of providing the context
of the record.
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(2)
If an electronic mail system identifies users by codes or nicknames, or identifies
addressees only by the name of a distribution list, names on directories or distributions
lists should be retained to ensure accurate identification of the sender and addressee(s) of
messages that are records.
(3)
Provide instructions to electronic mail message users specifying when to request receipts
or acknowledgments that indicate that a message has reached a recipient’s mailbox that it
has been opened for recordkeeping purposes and how to preserve them in electronic mail
systems that support such functionality.
(4)
Public entity records sent or received using an external electronic mail system should
ensure that these records are preserved in the appropriate recordkeeping system and that
reasonable steps are taken to capture available transmission and receipt data needed by
the public entity for recordkeeping purposes.
Additional Consideration for Proper Maintenance of Electronic Mail Messages
(5)
Public entities should develop procedures for the maintenance of electronic mail records
in any recordkeeping systems, regardless of format, that accomplish the following:
(a) Provide for the grouping of related records into classifications according to the nature
of the business purposes the records serve;
(b) Permit easy and timely retrieval of both individual records and files, or other
groupings of related records;
(c) Recognize that draft documents circulated on electronic mail systems are considered
to be records;
(d) Retain the records in an accessible format for their required retention period as
specified by a Records Conservation Board or Supervisor of Records approved
records schedule;
(e) Be easily obtained by agency employees, agents, or those properly authorized by the
agency who have a business need for information in the system;
(f) Preserve all transmission and receipt data as specified in Section 5.1. above; and
(g) Permit transfer of permanent records to the State Archives facility or other State
authorized permanent storage facility.
(6)
Public entities are prohibited from using any electronic mail system to store the
recordkeeping copy of electronic mail messages unless that system has all of the features
specified in this section (Section 5) of these Guidelines.
(7)
Public entities that maintain their electronic mail records in an electronic format in
systems that are different from their electronic mail system must ensure that the
recordkeeping system does meet all of the requirements in this section (Section 5) of
these Guidelines. Records may be retained in an off-line electronic storage format, such
as optical disk or magnetic tape.
(8)
If the electronic mail system is not designed or sufficiently able to be a recordkeeping
system, public entities must instruct staff on how to copy the public entity’s records from
the electronic mail system to a suitable recordkeeping system.
7
(9)
Public entities that retain permanent electronic mail records scheduled for transfer to the
State Archives or other permanent record storage facility must store the permanent
electronic mail records in a format, and on a medium, that conforms to the transfer
requirements or maintain the ability to convert the records to a required format and
medium at the time transfer is scheduled.
(10)
Public entities that are unable to maintain their electronic records in an electronic format
and maintain paper files as their recordkeeping system must print their electronic mail
records and any related transmission and receipt data, except for those that they are
permitted to delete pursuant to the Statewide Records Retention Schedule.
(11)
All public officials, employees and agents are responsible for maintaining their electronic
mail records in accordance with the electronic mail retention policies prescribed by their
respective public entities and all applicable laws and regulations. The Executive
Department agencies must maintain electronic mail records in the manner specified in the
Executive Office Email Retention Policy and Procedure.
Section 6: Admissibility of Electronic Records
Pursuant to G. L. c. 110G, the Uniform Electronic Transactions Act, and cognate provisions of
Federal law, where the validity of electronic records is not in question, electronic records should
be admissible to the same extent as paper records.
While these Guidelines do not serve to supersede any pre-existing or forthcoming rules
concerning the admissibility of records, adherence to these Guidelines may enhance the
presumption of the validity of electronic records maintained by a public entity.
Records custodians should be familiar with the requirements of state and federal law regarding ediscovery and should ensure that electronic records subject to discovery are captured and
preserved in accordance with such requirements.
Pursuant to G. L. c. 233, § 79E, electronic records may be admitted in evidence for use in court
proceedings if trustworthiness is established by thoroughly documenting the recordkeeping
system’s operation and the controls imposed upon it.
The suggestions contained in this section are intended to offer guidance for how to demonstrate
trustworthiness.
Note: Rules of evidence involving electronic evidence is within the sole purview of the courts.
Agencies should implement the following procedures or adapt existing procedures according to
the guidance below to increase the likelihood of the legal admissibility of electronic records:
(1)
Documentation that shows that similar kinds of records generated and stored
electronically are created by the same processes each time and have a standardized
retrieval approach.
(2)
Demonstrable security procedures that prevent unauthorized addition, modification or
deletion of a record and ensure system protection against such problems as power
interruptions or natural disasters.
(3)
Identification of electronic media on which records are stored throughout their life cycle,
the maximum time span that records remain on each storage medium, and the Records
Conservation Board approved disposition process for all state records.
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(4)
Coordination of the measures in parts (1)-(3) of this Section with legal counsel, Records
Liaison personnel and records management staff.
Section 7: Security of Electronic Records
Security should aim to minimize unauthorized addition, modification, alteration, erasure, or
deletion of data, records, and documents. It should ensure that only authorized personnel have
access to records.
In order to ensure compliance with the existing requirements, public entities need to ensure
procedures are implemented that achieve the following security goals:
(1)
Ensure that only authorized personnel have access to electronic records;
(2)
Backup and recovery of records to protect against information loss;
(3)
Personnel are trained in how to safeguard sensitive or classified electronic records;
(4)
Minimized risk of unauthorized alteration or erasure of electronic records;
(5)
Ensure that electronic records security is included in computer systems security plans;
(6)
Comply with requirements of Executive Order 504 and the ITD Security Policies and
Standards, if mandated.
Section 8: Selection and Maintenance of Electronic Records Storage Media
Agencies must be able to demonstrate consistent, controlled data handling during the active and
inactive life of the data.
In order to achieve compliance with the existing requirements, public entities need to ensure that
storage devices and systems for storing any regulated public entity records throughout the state’s
records retention lifecycle, meet the following requirements:
(1)
Permit easy retrieval in a timely fashion;
(a) Utilize a formal process or procedure to implement external labeling to facilitate
identification and retrieval of stored information;
(b) Distinguish clearly between record and non-record material;
(2)
Retain the records in an accessible format until their authorized disposition date in
accordance with Section 9;
(a) Avoid the use of floppy disks or other forms of magnetic media not specifically
designed for purposes of long term storage for the exclusive long-term storage of
permanent or unscheduled electronic records;
(b) Ensure that information is not lost because of changing technology or deterioration by
converting storage media to provide compatibility with the public entity’s current
hardware and software. Before conversion to a different medium, public entities must
determine that the authorized disposition of the electronic records can be
implemented after conversion;
(c) Prohibit smoking and eating in all areas that contain permanent or unscheduled
records;
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(d) Back up electronic records on a regular basis to safeguard against the loss of
information due to equipment malfunctions or human error. Duplicate copies of
permanent or unscheduled records should be maintained in storage areas separate
from the location of the records that have been copied;
(e) Maintenance of magnetic computer tape;
i. Testing of magnetic computer tapes no more than six months prior to using
them to store electronic records that are unscheduled or scheduled for
permanent retention. This test should verify that the tape is free of permanent
errors.
ii. Public entities should maintain the storage and test areas for computer
magnetic tapes containing permanent and unscheduled records at the
temperature and relative humidity ranges set forth below:
Constant temperature -- 62º to 68º F
Constant relative humidity -- 35% to 45%
iii. Annually read a statistical sample of all reels of magnetic computer tape
containing permanent and unscheduled records to identify any loss of data and
to discover and correct the causes of data loss.
iv. Copy permanent or unscheduled data, on magnetic tapes before the tapes are
ten years old, onto tested and verified new tapes.
v. External labels for magnetic tapes used to store permanent or unscheduled
electronic records should provide identification for each reel, including the
name of the organizational unit responsible for the data, system title, and
security classification, if applicable.
(3)
Maintenance of direct access storage media:
(a) Issue written procedures for the care and handling of direct access storage media,
which draw upon the recommendations of the manufacturers.
(b) External labels for diskettes or removable disks used when processing or temporarily
storing permanent or unscheduled records should include the following information:
i. Name of the organizational unit responsible for the records;
ii. Descriptive title of the contents; dates of creation;
iii. Security classification, if applicable;
iv. Identification of the software and hardware used.
(4)
If the media contains permanent records and does not meet the requirements for
transferring permanent records to State Archives, permit the migration of the permanent
records at the time of transfer to a medium, which does meet the requirements.
Additional Consideration for Selection of Storage Mediums
The following factors should be considered before selecting a storage medium or converting
from one medium to another:
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(a) The authorized life of the records, as determined by the appropriate record series listed in the
Statewide Records Retention Schedule;
(b) The maintenance necessary to retain the records;
(c) The cost of storing and retrieving the records;
(d) The records’ density;
(e) The access time to retrieve stored records;
(f) The portability of the medium, i.e. selecting open standards media that will run on equipment
offered by multiple manufacturers, and the ability to transfer the information from one
medium to another, such as from optical disk to magnetic tape.
Section 9: Retention and Disposition of Electronic Records
The Records Conservation Board and the Supervisor of Records must approve disposition
schedules. Records, including those in electronic format, may only be deleted or destroyed in
accordance with the Statewide Records Retention Schedule and an approved application for
destruction (Form RCB-2).
In order to achieve compliance with existing requirements, public entities need to establish
policies and procedures to ensure that electronic records and their documentation are retained as
long as required by the applicable retention schedule. These retention procedures should include
the following provisions:
(1)
Scheduled disposition of all electronic records, as well as related documentation and
indexes, by applying the Statewide Records Retention Schedule.
(2)
Scheduled Transferring of copies of permanent electronic records and any related
documentation and indexes to the State Archives facility or other approved facility for the
safekeeping of permanent records. Transfer may take place at an earlier date if
convenient for both the public entity and the State Archives.
(3)
Established procedures for regular recopying, reformatting, and other necessary
maintenance to ensure the retention and usability of electronic records throughout their
authorized life cycle.
(4)
Electronic mail records may not be deleted or otherwise disposed of without prior
disposition authority from the Records Conservation Board, unless the electronic mail
record is scheduled as “administrative use” and the administrative value for retaining the
record has ceased. Electronic mail records scheduled as “administrative use” may be
disposed of without further permission once the administrative use of the record has
ended.
For more information on “administrative use” records, and retention requirements for
correspondence, see the Statewide Records Retention Schedule.
(5)
Other records in an electronic mail system: When a public entity has taken the necessary
steps to retain a record in a scheduled recordkeeping system, whether electronic or paper,
the identical version that remains on the user’s screen or in the user’s electronic mailbox
has no continuing value.
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(1) Deletion of the version of the record in the electronic mail system is permitted after the
record has been preserved in a recordkeeping system along with all appropriate
transmission data.
(2) The disposition of electronic mail records that have been transferred to an appropriate
recordkeeping system is governed by the records disposition schedule, or schedules, that
control the records in that system. If the records in the recordkeeping system are not
scheduled, the public entity must follow the procedures outlined herein to schedule the
record.
(6)
No electronic record should be disposed of if it is subject to a public record request or
likely to be subject to a dispute, audit, investigation, or litigation, or subject to other legal
retention requirements, regardless of the public status of the record. Individuals should
consult their agency attorney if there is any question as to whether a particular electronic
mail message is relevant to an ongoing dispute, investigation or litigation.
Section 10: Destruction of Electronic Records
Records, including those in electronic format may only be deleted or destroyed in accordance
with the approved disposition schedule and an approved application for destruction (Form RCB2).
In order to achieve compliance with the existing requirements, public entities need to establish
policies and procedures to ensure that electronic records and their documentation are destroyed
only in accordance with applicable laws, as well as the records disposition schedule approved by
the Records Conservation Board. At a minimum, each public entity should ensure that:
(1)
Electronic records scheduled for destruction are disposed of in a manner, consistent with
the provisions of G. L. c. 93I, that ensures protection of any sensitive, proprietary, public
safety or security information.
(2)
Magnetic recording media previously used for electronic records containing sensitive,
proprietary, public safety or security information are not reused if the previously recorded
information cannot be properly destroyed or rendered unreadable.
(3)
Procedures are established and implemented that specifically address the destruction of
electronic records generated by individuals employing any electronic mail system.
Section 11: Accessibility to Public Information for Persons with Disabilities
With some exceptions, Federal and State laws require that public sector agencies make public
documents accessible to persons with disabilities.
In order to achieve compliance with the existing requirements, public entities need to address
how public information will be made accessible to persons with disabilities.
Note: Executive Department agencies are required to comply with the Enterprise Information
Technology Accessibility Standards and the Enterprise Web Accessibility Standards.
(1)
Electronic records should be formatted in accordance with manufacturers’ directions
related to accessibility in a format that is verifiably accessible to persons with disabilities.
12
The following is a non-exhaustive list of formats that are accessible to persons with
disabilities when applied correctly:
• .doc
• .pdf
• .html
• .xml
• .txt
• .asci
(2)
In those rare cases where preservation of the appearance of the original document is of
legal or historic significance and it is not possible to both make the document accessible
and preserve its original appearance, accessibility shall be accomplished by creation and
retention of a second accessible document.
Section 12: Conclusion
Any questions from agency records custodians regarding these Guidelines should be addressed to
the Supervisor of Records, the Records Conservation Board, or the Information Technology
Division.
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Appendix A
Definitions for the Purpose of these Guidelines
Note: The Records Conservation Board may revise the definitions from time to time as
used in these Guidelines to reflect applicable technological advancements.
Agency: A department, bureau, commission, board, office, council, or other entity in the
executive department of government, which was created by the constitution or statutes of the
Commonwealth of Massachusetts.
Data: Any material upon which written, drawn, spoken, visual, or electromagnetic information or
images are recorded or preserved, regardless of physical form or characteristics.
Database: An electronically stored set of data, consisting of at least one data file, which is
sufficient for a given purpose.
Database management system means a software system used to access and retrieve data stored in
a database.
Desktop documents means text, spreadsheet, presentation, calendar, task list, contact and other
documents created through the use of software by individual users for their work-related
purposes regardless of where it is stored.
Document: A document is a form of information. A document can be put into an electronic form
and stored in a computer as one or more files. Often, a single document becomes a single file. As
files or data, a document may be part of a database. When using certain computer application
programs such as a word processor, a document is the unit of saved work. Each document is
saved as a uniquely named file.
Duplicate electronic mail message, also referred to as duplicate email, means an electronic mail
message that is a copy of another electronic mail message with the same message content
including attachments.
Electronic means relating to technology as having electrical, digital, magnetic, wireless, optical,
electromagnetic or similar capabilities.
Electronic information system means a system that contains and provides access to computerized
agency records and other information.
Electronic mail message, also referred to as email, means a document created or received on an
electronic mail system including: brief notes, more formal or substantive narrative documents,
and any attachments, such as word processing, spreadsheet, presentation and other electronic
documents which may be transmitted with the message, as well as any information related to the
transmission of the message.
Electronic mail system refers to the technology used to create, receive, and transmit messages
and other documents. Excluded from this definition are file transfer utilities, software that
transmits files between users but does not retain any transmission data, data systems used to
collect and process data that have been organized into data files or data bases on either personal
14
computers or mainframe computers, and desktop documents not transmitted on an electronic
mail message system.
Electronic record means a record created, generated, sent, communicated, received or stored by
electronic means.
Electronic recordkeeping system means an electronic system in which records are collected,
organized, and categorized to facilitate their preservation, retrieval, use, and disposition.
Floppy Disk: A random access, removable magnetic data storage medium that can be used with
personal computers. These types of disks are convenient for storing individual files and small
programs.
Information Technology Division, also referred to as ITD, means the Information Technology
Division, a division of the Executive Office for Administration and Finance established by G. L.
c. 7, § 4A(d).
Long Term Storage refers to any retention that is needed for longer than 10 years.
Magnetic Media Storage Device: A magnetic storage device is a device that uses a magnetic
head to read and write data to and from a “magnetizable” medium. The medium can be as basic
as a plastic tape that is coated with fine particles of a metal, such as is found in audio recording
and tape storage devices. Other examples include a floppy disk drive, a tape drive and a
computer’s hard drive.
Metadata means information describing the history, tracking, or management of an electronic
document. Examples of metadata include: file designation, create and edit dates, comments,
authorship, and edit history.
Portable storage media means any removable storage media. For the purpose of these Guidelines,
portable storage media may include: flash drives, thumb drives, USB devices, CD’s, DVD’s,
external hard drives, laptops, and smart phones.
Public entity means any entity subject to the provisions set by the Records Conservation Board
pursuant to the authority granted in G. L. c. 30, § 42.
Receipt data means information in electronic mail systems regarding date and time of receipt of a
message, and/or acknowledgment of receipt or access by addressee(s).
Record means information that is inscribed on a tangible medium or that is stored in an
electronic or other medium and is retrievable in perceivable form.
Records Conservation Board, also referred to as the RCB, means the Board, organized by G. L.
c. 30, § 42, charged with setting the standards for the management of state records.
Records custodian: Custody of public records is in the office that creates, receives or maintains
the records for use. Each officer in charge of a government office or department is the custodian
of the records held by that office or department and has the primary responsibility for ensuring
the safety of the records, providing access to those records and ensuring their authenticity. Any
entity maintaining the records is acting as an agent of the record custodian, providing only for
the physical care of the record, and may not take action with respect to the records without the
specific authority of the custodian.
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Social media: Websites that facilitate user participation, social interaction, collaboration and
information sharing through the submission of user generated content. Some examples of social
media tools include wikis, blogs, Facebook, and Twitter.
Supervisor of Records, also referred to as the Supervisor of Public Records, means the officer
under the aegis of the Secretary of the Commonwealth statutorily designated pursuant to G. L. c.
66, § 1 to take necessary measures to put the records of the Commonwealth, counties, cities or
towns in the custody and condition required by law and to secure their preservation.
Transmission data means information in electronic mail systems regarding the identities of
sender and addressee(s), and the date and time messages were sent.
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