Record Retention Manual 12 08

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Record Retention Manual 12 08 Powered By Docstoc
					  COLORADO JUDICIAL DEPARTMENT
      RECORDS MANAGEMENT




   RETENTION AND DISPOSITION SCHEDULES

                            &

IMAGING PROCEDURES FOR DESIGNATED RECORDS

                    Gerald A. Marroney
                 State Court Administrator

      OFFICE OF THE STATE COURT ADMINISTRATOR
              1301 Pennsylvania Street, Suite 300
                     Denver, CO 80203
                       303-861-1111
                                                         ACKNOWLEDGMENTS




A special acknowledgment is given to the following members of the Records Management Committee for their time and effort.

             Linda Bowers, Court Services Manager
             Polly Brock, Court of Appeals
             Lee Cole, Denver Probate Court Administrator
             Jackie Cooper, Clerk of Eagle Combined Court
             Debbie Crosser, Clerk of Boulder Combined Court
             Linda Edwards, Accountant SCAO
             Susan Festag, Clerk of Supreme Court
             Joanna Foreman, Supervisor El Paso Combined Courts
             Marty Galvin, Internal Auditor SCAO
             Terry Ketelsen, Colorado State Archivist
             Kevin Kroeger, Records Manager Denver District Court
             Lynn Kubiak, Chief Deputy Clerk Supreme Court
             Cheryl Layne, Clerk of Douglas Combined Court
             Amy Mailander, Supervisor Boulder Combined Court
             Janis McMullin, Human Resources Specialist
             Eric Philp, Supervisor Division of Probation Services
             Bob Roper, CIO/Director JBITS, SCAO
             Judy Vanderleest, District Administrator 21st Judicial District
             Cathi Walker, Clerk of Greeley Combined Court
             Shaun Zallaps, Deputy Administrator 18th Judicial District

Date: ________________________________                              ________________________________________
                    Gerald A. Marroney
                    State Court Administrator

This manual replaces the Records Management Manual dated June 7, 2002.
                                                         ACKNOWLEDGMENTS

Chief Justice Mary J. Mullarkey, the members of the Supreme Court and I wish to express our appreciation to all of the judges, clerks, di
administrators, district attorneys, public defenders, interested parties, and state court administrator staff for their contributions of
knowledge, and ideas to this manual.

A special acknowledgment is given to the following members of the Records Management Committee for their time and effort.

             Linda Bowers, Court Services Manager
             Polly Brock, Court of Appeals
             Lee Cole, Denver Probate Court Administrator
             Jackie Cooper, Clerk of Eagle Combined Court
             Debbie Crosser, Clerk of Boulder Combined Court
             Linda Edwards, Accountant SCAO
             Susan Festag, Clerk of Supreme Court
             Joanna Foreman, Supervisor El Paso Combined Courts
             Marty Galvin, Internal Auditor SCAO
             Terry Ketelsen, Colorado State Archivist
             Kevin Kroeger, Records Manager Denver District Court
             Lynn Kubiak, Chief Deputy Clerk Supreme Court
             Cheryl Layne, Clerk of Douglas Combined Court
             Amy Mailander, Supervisor Boulder Combined Court
             Janis McMullin, Human Resources Specialist
             Eric Philp, Supervisor Division of Probation Services
             Bob Roper, CIO/Director JBITS, SCAO
             Judy Vanderleest, District Administrator 21st Judicial District
             Cathi Walker, Clerk of Greeley Combined Court
             Shaun Zallaps, Deputy Administrator 18th Judicial District

Date: ________________________________                              ________________________________________
                    Gerald A. Marroney
                    State Court Administrator

This manual replaces the Records Management Manual dated June 7, 2002.
                                                        PREFACE




Questions concerning the development and content of this manual may be directed to:

         Linda Bowers
         Court Services Manager
         Colorado Judicial Department
         1726 Cole Blvd., Suite 300
         Golden, CO 80401
         720-921-7839
                                                          PREFACE

This manual is published by the Office of the State Court Administrator under the direction of the Colorado Supreme Court. It
reflects the continuing responsibility of the Chief Justice and the Supreme Court to supervise and administer the court system
under Article VI of the Colorado Constitution.

Pursuant to Sections 24-80-101 through 111, CRS, the State Archivist has prepared "Statement of Public Record Policy No. 91-1,"
which authorizes the retention, disposition and microfilming of the court, probation, and administrative records contained in this
manual. In addition to the State Archivist, pursuant to Section 24-80-103, the Chief Justice of the Supreme Court, the Attorney
General, and the State Auditor have approved the provisions of this manual. References to this manual are also contained in
Rules 79(e) and 80(d), CRCP, Rule 379(d), CRCP; Rule 380(c), CRCP, and Rules 55(e) and (f), Crim P.

This manual is a basic working guide for the retention, disposition and microfilming of court, probation, and administrative
records. The retention periods indicated are minimum retention periods. If necessary, records may be retained for a longer
period of time according to local needs.

This manual is your authority for the disposition of records. No other approval is required. A log should be maintained listing
the files destroyed or microfilmed, and the date the activity occurred. This information should be readily available to the Office
of State Court Administrator or the State Archivist, upon request.

All microfilming shall meet the requirements of Section 24-80-107 CRS. All microfilming and imaging programs shall be
approved by the Office of State Court Administrator prior to commencement. All microfilm and imaging must be approved by
the State Archivist prior to the destruction of any records. Electronic imaging processes must meet or exceed the Judicial Branch
Imaging Standards described in this manual.

Questions concerning the development and content of this manual may be directed to:

          Linda Bowers
          Court Services Manager
          Colorado Judicial Department
          1726 Cole Blvd., Suite 300
          Golden, CO 80401
          720-921-7839
                     INDEX                        Page                                      INDEX            Page
Budget Records                                     13                      Mental Health
Collection Investigator Financial Affidavits       12                      Miscellaneous Records
Contracts                                          10                      Misdemeanor Case Files            3
Copyrighted Materials                              10                      Personnel Files                   8
County Court Civil Case Files                      4                       Petty Offense Case Files          4
County Court Files                                 4                       Pre-Employment Records            13
County Felony Case Files                           4                       Probate                           5
Court of Appeals Files                             5                       Probation Records                 13
Court Registry                                     13                      Purchasing Documents              2
Court Reporter Notes                               1                       Recorded Proceedings              9
Criminal Case Files (Felony-district)              2                       RFB, RFP, RFQ Records             11
District Court Files                               1                       Search Warrants                   1
Distrit Civil Case Files                           1                       Small Claims Case Files           11
Domestic Relations Case Files                      2                       Special Accounts                  9
Electronic Transcripts                             6                       Special Districts                 4
Exhibits                                           6                       Supplemental Employment Records   13
Facilities Records                                 10                      Supreme Court Files               1
Financial Affidavits                               12                      Traffic Case Files                15
Financial Records                                  12                      Transcripts                       5
Garnishment Calculation Forms                  Docs to retain              Victim Funds                      5
Grand Jury Records                                  8                      Water Case Files                  6
Grant Records                                       10                     Wills                             13
Jury Records                                        7                                                        3
Juvenile Case Files                                 2                                                        3




                                                    Revised October 2008
RECORD TITLE                                   FORM OF RECORD                           MINIMUM RETENTION PERIOD                AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court

Civil, Domestic, Juvenile Delinquent
(except sex offender cases), other Juvenile,                                             5 years
Mental Health, Probate, Water                                                                                                   Notes or Recordings
                                               Notes or Recordings
Juvenile Delinquent Sex Offender Cases                                                  15 years                                Destroy
Criminal (all Felony cases)                    (Transcripts see: Exhibits)              25 years
Grand Jury                                                                              10 years
COURT REPORTER NOTES and RECORDED PROCEEDINGS - County Court
Civil, Small Claims, Traffic Infractions,
                                               Notes or Digital Recordings               2 years                                Destroy
Traffic, Misdemeanor, Felony
COURT RECORD - District Court (all cases must be closed with no appeal pending. All funds held in the registry must be disbursed. Retention period runs from date
of creation of record.)

Records from Case Management System
                                                                                        Maintain permanent but archive
 District Civil Case
                                                                                        Keep cases with activity in last 5 years
 Probate                                       Judicial Case Management Record (i.e.,
                                                                                        active; cases 5 - 10 years with no       N/A
 Felony                                        ICON/Eclipse)
                                                                                        activity archive locally; cases 10 or
 Domestic Relations
                                                                                        more years with no activity archive.
 Water

                                                                                        5 years after filing date (this includes
                                                                                        cases with judgments if the case is
                                                                                        entered on ICON/Eclipse); Dismissed
District Civil Case Files except Municipal
                                                                                        cases need not be retained beyond
& Special District Incorporation, Permanent Paper Case File                                                                      Destroy
                                                                                        appeal period.
Restraining Order (PRO) cases
                                                                                        (maintaining a paper case file is not
                                                                                        necessary if an imaged/electronic file
                                                                                        was created.)

Transcript of proceedings                      Hard Copy or computer readable media     N/A                                     See Exhibit section

                                                                                        5 years after filing date; (maintaining a
                                                                                                                                  Microfilm or create electronic image
                                               Paper Case File                          paper case file is not necessary if an
Civil Case Files: Municipal & Special                                                                                             and destroy.
                                                                                        imaged/electronic file was created.)
District Incorporation; PRO cases

                                                                             October 2008                                                                         9 of 52
Civil CaseTITLE Municipal & Special
RECORD Files:                       FORM OF RECORD                                      MINIMUM RETENTION PERIOD                AUTHORIZED DISPOSITION
District Incorporation; PRO cases
COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
                                    Microfilm or electronic image                       Permanent                               Retain Permanently as archived record.

                                                                                        5 years after filing date. All appeal
                                                                                        time except Rule 35(b) must also pass.
                                                                                                                               Microfilm or create electronic image
                                             Paper Case File                            (Maintaining a paper case file is not
                                                                                                                               and destroy.
Criminal Case Files                                                                     necessary if an imaged/electronic file
                                                                                        was created.)

                                             Microfilm or electronic image              Permanent                               Retain Permanently as archived record.

                                                                                        Paper file can be converted to image at
                                                                                        any time. (Maintaining a paper case
                                                                                        file is not necessary if an             Microfilm or create electronic image
                                             Paper Case File
                                                                                        imaged/electronic file was created.)    and destroy.
Domestic Relations Case Files
                                                                                        Dismissed cases may be destroyed
                                                                                        after appeal period has expired.
                                             Microfilm or electronic image              Permanent                               Retain Permanently as archived record.

                                             Paper Case File

                                             Cases in which documentation is            5 years after filing date. Maintaining a
Juvenile Case Files includes adoptions and                                                                                       Microfilm or create electronic image
                                             maintained by Department of Human          paper case file is not necessary if an
relinquishments (expunged records,                                                                                               and destroy. (See documents to retain)
                                             Services, Child Support Enforcement, (and imaged/electronic file was created.
regardless of form, should be clearly
                                             not filed with the court) shall follow the
designated as such and should not be
                                             Human Services Record Retention Rules
opened except by court order)

                                             Microfilm or electronic image              Permanent                               Retain Permanently as archived record.


                                                                                        5 years after filing date; (maintaining a
                                             Paper Case File                                                                      Microfilm or create electronic image
                                                                                        paper case file is not necessary if an
                                                                                                                                  and destroy.
Probate: Decedent's estate cases                                                        imaged/electronic file was created.)

                                             Microfilmed or imaged case                 Permanent                               Retain Permanently as archived record.




                                                                             October 2008                                                                        10 of 52
RECORD TITLE                                   FORM OF RECORD                           MINIMUM RETENTION PERIOD                 AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court                          5 years after termination of
                                                                                        Guardianship or Conservatorship;
                                                                                                                                 Microfilm or create electronic image
                                               Paper Case File                          (maintaining a paper case file is not
                                                                                                                                 and destroy.
                                                                                        necessary if an imaged/electronic file
Probate: Guardianships, Conservatorships,
                                                                                        was created.)
Petition to settle personal injury for minor

                                               Microfilm or imaged record               Permanent                                Retain permanently as archived record.



                                                                                        1 year after filing date; (maintaining a
                                                                                                                                 Microfilm or create electronic image
Probate - Trust Registrations                  Paper Case File                          paper case file is not necessary if an
                                                                                                                                 and destroy.
                                                                                        imaged/electronic file was created.)

                                                                                        5 years after filing date; (maintaining a
                                                                                                                                  Microfilm or create electronic image
                                               Paper Case File                          paper case file is not necessary if an
                                                                                                                                  and destroy.
                                                                                        imaged/electronic file was created.)
Probate: All other case types

                                               Microfilm or imaged record               Permanent                                Retain Permanently as archived record.

                                                                                                                                 Microfilm or create electronic image
                                               Paper document                           5 years from date of lodging
                                                                                                                                 and destroy (must maintain index).
Lodged wills
                                               Microfilm or electronic image            Permanent                                Retain Permanently as archived record.

Deposited wills                                Any and all                              50 years                                 Destroy
                                                                                         1 Year from date of filing;
Mental Health Case Files (Short Term                                                    (maintaining a paper case file is not
                                               Paper Case File                                                                   Destroy
cases only)                                                                             necessary if an imaged/electronic file
                                                                                        was created.)
                                                                                         5 years from date of filing;
                                                                                        (maintaining a paper case file is not    Microfilm or create electronic image
                                               Paper Case File
                                                                                        necessary if an imaged/electronic file   and destroy.
Mental Health Case Files (all others)
                                                                                        was created.)

                                               Microfilm or electronic image            Permanent                                Retain Permanently as archived record.


                                                                               October 2008                                                                      11 of 52
RECORD TITLE                               FORM OF RECORD                            MINIMUM RETENTION PERIOD                 AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
                                                                                     5 years after filing date; (maintaining a
                                                                                                                               Microfilm or create electronic image
                                           Paper Case File                           paper case file is not necessary if an
                                                                                                                               and destroy.
Water Case Files                                                                     imaged/electronic file was created.)

                                           Microfilm or electronic image             Permanent                                Retain Permanently as archived record.

                                                                                                                              Microfilm or create electronic image if
                                           Register of Actions Book, Minute Book,
                                                                                                                              record contains originals. No need to
                                           Execution Docket Book, other              Discontinued records
                                                                                                                              microfilm or image if entries duplicate
Books                                      miscellaneous books
                                                                                                                              information held in case files. Destroy.

                                           Cash/Fee Books, Judgment Record Books N/A                                          Destroy

                                           Index book, Card index, Printed computer
Indices                                                                             See appropriate case type                 See appropriate case type
                                           index

                                           Register of Actions, Water Resumes,                                                Retain. May microfilm or create
Water Court Books                          Money Judgment Records, Exhibit           Permanent                                electronic image. Inactive cases may be
                                           Inventories, Water Indices                                                         transferred to State Archives.

COURT RECORD - County Court (all cases must be closed with no appeal pending. All funds held in the registry must be disbursed. Retention period runs from date
of creation of record.)
                                                                                     4 years from filing date
                                                                                     This includes cases with judgments.
County Court Civil Case Files except name Paper Case File, microfilm or electronic
                                                                                     (maintaining a paper case file is not    Destroy
changes & permanent restraining orders    image
                                                                                     necessary if an imaged/electronic file
                                                                                     was created.)
                                                                                     4 years from filing date; (maintaining a
                                                                                                                              Microfilm or create electronic image
                                           Paper Case File                           paper case file is not necessary if an
County Court Civil Case Files: name                                                                                           and destroy.
                                                                                     imaged/electronic file was created.)
changes & permanent restraining orders

                                           Microfilm or electronic image             Permanent                                Retain Permanently as archived record.




                                                                           October 2008                                                                       12 of 52
RECORD TITLE                                   FORM OF RECORD                              MINIMUM RETENTION PERIOD                 AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
                                                                                           4 years from filing date; (maintaining a
Small Claims Case Files                        Paper Case File                             paper case file is not necessary if an   Destroy
                                                                                           imaged/electronic file was created.)

                                                                                           4 years from filing date; (maintaining a
                                                                                                                                    Microfilm or create electronic image
                                               Paper Case File                             paper case file is not necessary if an
                                                                                                                                    and destroy.
Felony Case Files                                                                          imaged/electronic file was created.)

                                               Microfilm or electronic image               Permanent                                Retain Permanently as archived record.

                                                                                           2 years from filing date (maintaining a
Traffic Infraction Case Files                  Paper Case File                             paper case file is not necessary if an  Destroy
                                                                                           imaged/electronic file was created.)

                                                                                           4 years from filing date
Misdemeanor Case Files except petty
                                                                                           (maintaining a paper case file is not
offenses & cases including DUI/DWAI , sex
                                              Paper or Electronic Case File                necessary if an imaged/electronic file   Destroy
assault (case requiring registration as a sex
                                                                                           was created), microfilm or electronic
offender), or domestic violence charges
                                                                                           image.

                                                                                           4 years from filing date; (maintaining a
Misdemeanor Case Files: cases including                                                                                             Microfilm or create electronic image
                                               Paper Case File                             paper case file is not necessary if an
DUI/DWAI, sex assault (case requiring                                                                                               and destroy.
                                                                                           imaged/electronic file was created.)
registration as a sex offender), or domestic
violence charges
                                               Microfilm or electronic image               Permanent                                Retain Permanently as archived record.


                                                                                           2 years from filing date (maintaining a
                                               Paper Case File , microfilm or electronic
Petty Offense Case Files                                                                   paper case file is not necessary if an  Destroy
                                               image
                                                                                           imaged/electronic file was created.)

                                                                                           4 years from filing date; (maintaining a
                                               Paper Case File, microfilm or electronic
Traffic Case Files (except DUI/DWAI)                                                       paper case file is not necessary if an   Destroy
                                               image
                                                                                           imaged/electronic file was created)




                                                                               October 2008                                                                        13 of 52
RECORD TITLE                              FORM OF RECORD                            MINIMUM RETENTION PERIOD                AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
                                                                                    4 years from filing date; (maintaining a
                                                                                                                             Microfilm or create electronic image
                                          Paper Case File                           paper case file is not necessary if an
                                                                                                                             and destroy.
Traffic Case Files (DUI/DWAI)                                                       imaged/electronic file was created.)

                                          Microfilm or electronic image             Permanent                               Retain Permanently as archived record.

Records from Case Management System                                                 Maintain permanent but archive:
 County Court Civil                                                                 Keep cases with activity in last 5 years
                                          Judicial Case Management Record (i.e.,
 Felony                                                                             active; cases 5 - 10 years with no       N/A
                                          ICON/Eclipse)
 Small Claims                                                                       activity archive locally; cases 10 or
 Traffic                                                                            more years with no activity archive.

                                                                                                                            Microfilm or create electronic image if
                                          Daily Order Book, Register of Actions
                                                                                                                            record contains originals. No need to
                                          Book, , Civil Order Book, Other           Discontinued record
Books                                                                                                                       microfilm or image if entries duplicate
                                          miscellaneous books
                                                                                                                            information in case files. Destroy

                                       Cash/Fee Books, Judgment Record Book         Discontinued record                     Destroy
                                       Index Book, Card Index, Printed
Indices                                                                             See appropriate case type               See appropriate case type
                                       computer Index
CASE FILES - Supreme Court & Court of Appeals
                                                                                                                            Transfer to State Archives if there are
Original Pleadings, briefs and                                                                                              paper files. Transfer electronic files to
                                          Paper files or electronic images/record   Permanent
dispositional orders or opinions.                                                                                           State Archives and retain where they
                                                                                                                            are lodged.
Records on Appeal                         Paper files or electronic images/record   As needed                               Return to lower court C.A.R. 45(d)
EXHIBITS
Exhibits in Civil, Probate, Domestic                                                30 days after the expiration of the
Relations, Mental Health, Juvenile (except Any and all                              appeal period following a final
delinquency) & Water cases                                                          judgment in the case.
Exhibits in Felony Criminal cases
   Defendant found not guilty or case
                                          Any and all                               30 days after acquittal or dismissal.
   dismissed                                                                                                                   The clerk of the court shall provide
                                                                                                                              notice to each attorney of record, or
                                                                                                                             party, advising that the exhibit(s) will
                                                                          October 2008                                                                        14 of 52
                                                                                                                              be disposed of by court order unless
                                                                                                                             claimed within 30 days. Regular first
                                                                                                                                 class postage or postcards are
RECORD TITLE                                 FORM OF RECORD               MINIMUM RETENTION PERIOD                 AUTHORIZED DISPOSITION
                                                                                                                      The clerk of the court shall provide
COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court            Upon completion of sentence or 20          notice to each attorney of record, or
                                                                          years after sentencing (which ever        party, advising that the exhibit(s) will
   Defendant found guilty                    Any and all
                                                                          occurs first) or as the court may          be disposed of by court order unless
                                                                          otherwise order.                          claimed within 30 days. Regular first
                                                                          Upon completion of sentence or as the          class postage or postcards are
Exhibits in Juvenile Delinquency cases       Any and all                                                           permitted for these notices, provided a
                                                                          court may otherwise order.
                                                                          30 days after appeal period has            record is made of each mailing and
Exhibits in Traffic & Misdemeanor cases      Any and all                                                              response, if any. Any questions of
                                                                          passed.
                                                                                                                      ownership shall be decided by the
Unidentified exhibits                        Any and all                  Need not be retained.
                                                                                                                    court. The court may deny the return
                                                                          Upon completion of sentence then          of any exhibit for cause (i.e. weapons,
Transcripts in Felony Criminal cases         Paper record
                                                                          destroy.                                  drugs; or other contraband). Dispose
                                                                          2 years after appeal decision (or appeal of exhibits according to the following
Transcripts in D&N case                      Paper record                                                                           schedule.
                                                                          period has passed) then destroy.
                                                                                                                        Refer to disposition procedures
                                                                          2 years after appeal decision (or appeal              outlined below.
Transcripts - Other                          Paper record
                                                                          period has passed) then destroy.

Electronic Transcripts created pursuant to
                                             Electronic record            25 years
CJD 05-03 in Criminal cases
Electronic Transcripts created pursuant to
                                             Electronic record            15 years
CJD 05-03 in Juvenile cases




                                                                 October 2008                                                                       15 of 52
RECORD TITLE                                 FORM OF RECORD                               MINIMUM RETENTION PERIOD                  AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
ALL EXHIBITS: Parties or original custodians of the exhibit shall be given an opportunity to claim the exhibit, except for drugs, weapons or other contraband.

UNCLAIMED EXHIBITS HAVING HISTORICAL OR ARCHIVAL VALUE: Such items shall be offered to the Colorado State Archivist, The Colorado Historical
Museum, or a local museum.

UNCLAIMED EXHIBITS HAVING AN ESTIMATED MARKET VALUE OF $500 OR MORE: Such items shall be delivered to the Colorado Surplus Property
Agency, to be disposed of as surplus state property.

UNCLAIMED EXHIBITS HAVING AN ESTIMATED MARKET VALUE OF LESS THAN $500: Such items may be delivered to the Colorado Surplus Property
Agency, donated to a state institution, sold as scrap, destroyed, or disposed of as the court may deem appropriate.

WEAPONS: Weapons should be delivered to the district attorney, local police department, or the sheriff's department for ballistics use or for destruction.

DRUGS AND OTHER CONTRABAND: Drugs and other contraband should be released to the district attorney, the local police department, the sheriff's department,
or the federal drug enforcement agency for destruction.

CASH: Any cash money that has been held as an exhibit for over two years should be receipted into the court’s account as “unclaimed registry” (see fiscal procedures
manual for further instruction).

JURY INFORMATION
                                             Original questionnaire only. This
                                                                                                                                    Retain in sealed envelope marked
                                             includes questionnaires from jury
Juror Questionnaires - Juror selected                                                                                               "NOT PUBLIC RECORD" in case file.
                                             summons or questionnaires created for a      Follow guideline for case file.
13-71-115                                                                                                                           Dispose in accordance with case file
                                             specific case. (Copies if any, should be
                                                                                                                                    guidelines.
                                             destroyed)
Juror Questionnaires - juror appears but is                                               No need to collect unless juror is sent
                                            Any and all                                                                             Destroy
dismissed prior to going to a courtroom                                                   to courtroom for trial selection.
                                                                                                                                    Retain in sealed envelope marked
Juror Questionnaires - juror appears, is
                                            Original questionnaire only (copies, if any,                                            "NOT PUBLIC RECORD" in case file.
assigned to a courtroom but is not assigned                                              Follow guideline for case file.
                                            should be destroyed)                                                                    Dispose in accordance with case file
to the case
                                                                                                                                    guidelines.
                                             Written questions from jurors to judge                                                 Dispose in accordance with case file
Juror Questions (submitted in court)                                                      Follow guideline for case file.
                                             during trial.                                                                          guidelines.
Jury Wheel (13-71-108)                       Electronic record                            5 years                                   Destroy

                                                                             October 2008                                                                         16 of 52
RECORD TITLE                                FORM OF RECORD                              MINIMUM RETENTION PERIOD                     AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court                          Until scanned/entered to JIS; may
Undeliverable Juror Summonses  Any and all                                              retain if likely to be a trial or appeal
                                                                                        issue
Juror Reimbursement Guidelines &
                                                                                        2 prior fiscal years plus current fiscal
Request for Juror Reimbursement             Any and all
                                                                                        year
JDF-JRG
Jury Service Certificate (JDF 287)          Any and all                                 18 months (13-71-132 CRS)
Disqualification Requests from Jurors:
                                                                                                                                     Destroy
                                            Paper or Electronic Request (maintaining    Maintaining the paper request is not
 Permanent                                  the paper request is not necessary if the   necessary if the information was
                                            information was entered into JIS.)          entered into JIS.

                                            Paper or Electronic Request (maintaining
                                                                                        Until entered to the Jury Information
                                            the paper request is not necessary if the
 Temporary                                                                              System; may retain if likely to be a trial
                                            information was entered into the Jury
                                                                                        or appeal issue
                                            Information System.)
                                            Paper Case File or Electronic Record
                                                                                       5 years after case filing date. All
                                            (maintaining a paper case file is not                                                    Microfilm or create electronic image
                                                                                       appeal time except Rule 35(b) must
Grand Jury Records                          necessary if an imaged/electronic file was                                               and destroy.
                                                                                       also pass.
   With Indictment                          created)

                                            Microfilm or electronic image               Permanent                                    Retain Permanently as archived record.

                                            Paper Case File or Electronic Record
Grand Jury Records                          (maintaining a paper case file is not      5 years from end of year of when they Microfilm or create an electronic
   Without Indictment                       necessary if an imaged/electronic file was last met.                             image.
                                            created)
MISCELLANEOUS RECORDS
Birth Records (Delayed Birth Certificate)   Any and all                                 Discontinued records                         Transfer to the State Archives.
Coroner Records                             Any and all                                 Discontinued records                         Transfer to the State Archives.
Incorporation Records (City and Town                                                    Discontinued record currently filed as
                                            Any and all
Records)                                                                                a civil case.
Justice of the Peace Records

                                            Any and all
                                                                                                                                     Transfer to the State Archives
                                                                            October 2008
                                                                                      Discontinued records
                                                                                                                                                                       17 of 52
RECORD TITLE                                FORM OF RECORD                              MINIMUM RETENTION PERIOD               AUTHORIZED DISPOSITION

Case files, dockets, fiscal records
COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
                                    Any and all
                                                                                                                               Transfer to the State Archives
Marriage registers, supporting documents
                                                                                        Discontinued records
Land Registration and Title Records         Any and all
Mining Records                              Any and all
Naturalization Records                      Any and all
                                                                                        10 years (and needs an order from a
Wiretap information                         All records                                                                        Destroy
                                                                                        judge) §16-15-102(8)

                                                                                        3 years from filing date, unless placed
Search Warrants (all types)                 Any and all                                                                         Destroy
                                                                                        in case file or introduced as exhibit.

Welfare Records. Torrens Registration
                                            Any and all                                 Discontinued records                   Transfer to the State Archives
Records

PROBATION


                                                                                       To age 21 (There is no need to          Destroy; (If court record is expunged,
Juvenile Probation Files
                                            Paper Files, microfilm or electronic image maintain a paper record if an           destroy after date of expungement
Except sex offender cases
                                                                                       electronic image or record exists.)     order.)


                                                                                       To age 25 (There is no need to          Destroy; (If court record is expunged,
Juvenile Probation Files
                                            Paper Files, microfilm or electronic image maintain a paper record if an           destroy after date of expungement
sex offender cases
                                                                                       electronic image or record exists.)     order.)

                                                                                       5 years after completion of sentence
Adult Probation Files except sex offender                                              (there is no need to maintain a paper
                                            Paper Files, microfilm or electronic image                                         Destroy
cases                                                                                  record if an electronic image or record
                                                                                       exists.)
                                                                                       20 years after termination of probation
                                                                                       (there is no need to maintain a paper Microfilm or destroy after 20 years
Adult Probation Files: sex offender cases
                                                                                       record if an electronic image or record from termination of probation.
                                            Paper Files, microfilm or electronic image exists.)




                                                                           October 2008                                                                         18 of 52
RECORD TITLE                   FORM OF RECORD                             MINIMUM RETENTION PERIOD                             AUTHORIZED DISPOSITION
                               Paper Files, microfilm or electronic image
COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court            3 years after evaluation (There is no
Alcohol Evaluation Records                                                need to maintain a paper record if an                Destroy
                                                                          electronic image or record exists.)
                                                                                     If retained in the court file, refer to
                                                                                     appropriate case class; if retained in
                                                                                     probation files, follow probation
PSI Reports:                                  N/A                                    schedule. For cases in which the         N/A
                                                                                     defendant is sentenced to DOC, the
                                                                                     PSI report should be sent to DOC with
                                                                                     the mittimus. (§16-11-102 (1)(a) C.R.S.)

CONTRACTS and COPYRIGHTED MATERIAL
CONTRACTS (refers to a contract,
memorandum of understanding, joint                                                   6 years after the performance under
                                          Original paper document is kept by the
operating agreement, intergovernmental or                                            the contract is completed or the          Destroy
                                          originating office
interagency agreement, and contracts for                                             contract is terminated
employment.)
COPYRIGHTED MATERIAL
Copyright claimed in work performed by
                                              N/A
judicial department
                                                                                     Indefinite                                N/A
Permission granted to use judicial
                                              N/A
department copyrighted material
License to publish judicial department        Paper Document, Electronic File,       5 years after the expiration of the
                                                                                                                               Destroy
copyrighted materials                         Electronic Image                       license
FACILITIES RECORDS

Americans with Disabilities Act (ADA) files                                          15 years

Construction budget requests                                                         5 years                                   Destroy
                                                                                     1 year after approval of final plans or
Construction plans in-review
                                                                                     rejection
As-built construction plans and
                                                                                     Permanent - Retain original until
specifications                                                                                                                 Transfer microfilm to State Archives
                                              Paper Document, Electronic File,       microfilmed
Construction project case files
                                              Electronic Image


                                                                            October 2008                                                                      19 of 52
RECORD TITLE                     FORM OF RECORD
                                 Paper Document, Electronic File,                    MINIMUM RETENTION PERIOD                  AUTHORIZED DISPOSITION
                                 Electronic Image
Appraisal files
COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
Facilities Management Guidelines
Space utilization reports                                                            Until superseded or obsolete
                                                                                                                               Destroy
Under-construction plans and specifications

Building and equipment service files
                                                                                     3 years
Maintenance work orders
GRANT RECORDS
GRANTS RECEIVED BY THE JUDICIAL DEPARTMENT (District or SCAO)

Grant applications, if unsuccessful                                                  1 year


                                                                                     3 years after submission of final grant
                                              Paper Document, Electronic File,
Statement of Grant Award (SOGA)                                                      report or until any pending audit,        Destroy
                                              Electronic Image
                                                                                     claim or litigation has been resolved

Grant administration, including all grant
                                                                                     As stated elsewhere in this manual, or
records, related financial records, and
                                                                                     longer as required by the grantor
narrative reports
GRANTS AWARDED BY THE SCAO (to a judicial district or other entity)

                                                                                     3 years after submission of final grant
All related applications, reports, and
                                                                                     report or until any pending audit,
records
                                              Paper Document, Electronic File,       claim or litigation has been resolved
                                                                                                                               Destroy
                                              Electronic Image
                                                                                     6 months after submission or until any
Unsuccessful grant applications                                                      pending claim or litigation has been
                                                                                     resolved

PURCHASING DOCUMENTS

SOLICITATION DOCUMENTS (RFB, RFP, RFQ) including all correspondence, evaluation materials, interview notes, etc., and vendor responses, submissions, quotes,
and all other related records and materials
Solicitation cancelled before vendor
                                                                                     1 year after cancellation
responses are opened


                                                                            October 2008                                                            20 of 52

                                              Paper Document, Electronic File,
                                                                                                                               Destroy
RECORD TITLE                                FORM OF RECORD                          MINIMUM RETENTION PERIOD                     AUTHORIZED DISPOSITION

Solicitation cancelled after vendor responses
COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
                                                                                    3 years after cancellation of solicitation
are opened
Documents related to successful vendor
                                                                                    6 years after end of contract
where contract executed                       Paper Document, Electronic File,
Documents related to unsuccessful vendor Electronic Image                           3 years after contract or PO signed          Destroy
where contract executed                                                             with competing vendor
Documents related to award made yet
                                                                                    3 years after contract negotiations end
contract cannot be executed
Protests, protest records, & Department                                             3 years after contract or PO signed
response                                                                            with competing vendor

SOLE SOURCE, EMERGENCY
                                                                                    If contract, 6 years after end of
PURCHASE, AND COOPERATIVE
                                             Paper Document, Electronic File,       contract; if other expenditure record
PURCHASING DOCUMENTS including                                                                                                   Destroy
                                             Electronic Image                       (e.g., PO, invoice, etc.), 2 years after
all approvals, correspondence, and all other
                                                                                    the current fiscal year
related records and materials

FINANCIAL RECORDS
COLLECTION INVESTIGATOR FINANCIAL AFFIDAVITS

Financial Affidavit, Worksheet, or
Application for Payment Schedule            Paper Document, Electronic File,        1 year after the amount owed to the
                                                                                                                                 Destroy
Concerning Payment of Fines, Fees, Costs or Electronic Image                        court in the case is fully paid.
Restitution by a person in a Court Case.

EXPENDITURE RECORDS

Vouchers, invoices, purchase orders,
                                             Paper Document, Electronic File,       2 years after the fiscal year of the
authorizations, reimbursement requests, etc.                                                                                     Destroy
                                             Electronic Image                       document
Petty cash records
FIXED ASSETS RECORDS
Physical inventory records, including
                                            Paper Document or Electronic Image      2 years after property is disposed           Destroy
purchase and disposal documentation
                                            Paper Document, Electronic File,        2 years after the fiscal year of the
Depreciation schedules - SCAO only                                                                                               Destroy
                                            Electronic Image                        document


                                                                           October 2008                                                               21 of 52
RECORD TITLE                                   FORM OF RECORD                                MINIMUM RETENTION PERIOD               AUTHORIZED DISPOSITION

MISCELLANEOUS FINANCIAL RECORDED
COURT REPORTER NOTES and RECORDS PROCEEDINGS - District Court

Appropriation documents (APs)
                                               Paper Document, Electronic File,              2 years after the fiscal year of the
                                                                                                                                    Destroy
Journal vouchers (JVs and JAs)                 Electronic Image                              document

Intragovernmental transactions (ITS)
If specific financial documents are not listed contact the Financial Services Division for assistance.
VICTIM FUNDS/COURT REGISTRY/SPECIAL ACCOUNTS
Debit/credit memos
Bank adjustment memos

Daily cash balancing records (including
deposit slips, cash receipt records, credit
card slips, wire transfers, E-filing payments, Paper Document, Electronic File,
DOC checks, collection agency checks, etc.) Electronic Image, or Electronic Image
                                               Available On Demand from the Financial
Bank account reconciliations, including        Institution                                   2 years after the fiscal year of the
bank account statements, check registers,                                                                                           Destroy
                                                                                             document
and ICON held receipts reports (if
applicable)
Monthly fiscal summary packet – SCAO
only
Victim funds – receipt allocations
Victim funds – subsidiary ledger               Paper Document, Electronic File,
                                               Electronic Image
Deposits with State Treasurer – SCAO only

BUDGET RECORDS (SCAO only)
Budget Request                                                                               3 years
                                                                                                                                    Destroy
Budget Work papers                             Paper Document, Electronic File               3 years
COFRS Budget Reports (FY End)                                                                7 years                                Permanent record to Archives
PRE-EMPLOYMENT PROCESS
Advertisements/Notices regarding
openings

                                                                             October 3 years
                                               Paper Document or Electronic Images 2008                                             Destroy                        22 of 52
RECORD TITLE                                 FORM OF RECORD                       MINIMUM RETENTION PERIOD    AUTHORIZED DISPOSITION

COURT REPORTER NOTES and RECORDED PROCEEDINGS - District Court
Applications w/any attachments (not hired)
                                           Paper Document or Electronic Images    3 years                     Destroy
Examination Records

Background Check (not hired)

PERSONNEL FILES
401K Documents
Application w/any attachments

Acknowledgement Checklist (latest version)
                                                                                                              Destroy (Paper documents should be
Benefits Enrollment/Change (latest version
                                                                                                              shredded; electronic images should be
only)
                                                                                                              made unreadable.)
COBRA Letter
Combined Campaign Documents (current
year only)
                                           Paper Document or Electronic Image     10 years after separation
Corrective Actions
Correspondence
Credit Union Documents
Custody Affidavits
                                                                                                              Destroy (Paper documents should be
Direct Deposit (most current only)
                                                                                                              shredded; electronic images should be
Disciplinary Actions
                                                                                                              made unreadable.)
Emergency Information (most current only)

Employment Contracts
                                                                                                              Destroy (Paper documents should be
Employment Status Form                       Paper Document or Electronic Image   7 years after separation    shredded; electronic images should be
                                                                                                              made unreadable.)
Flexible Spending Account Documents
(current year only)
Leave Balances Report (year-end, signed by
employee)
Life Insurance Enrollment/Change (latest
version only)
Payroll Computation Worksheets


                                                                         October 2008                                                       23 of 52
                                                                                                              Destroy (Paper documents should be
                                             Paper Document or Electronic Image   10 years after separation   shredded; electronic images should be
RECORD TITLE                                 FORM OF RECORD                            MINIMUM RETENTION PERIOD                AUTHORIZED DISPOSITION

PERA Final 6-month Report and RECORDED PROCEEDINGS - District Court
COURT REPORTER NOTES
PERA Member Information (original
application only)
                                                                                                                               Destroy (Paper documents should be
PERA Refund Request Verification
                                             Paper Document or Electronic Image        10 years after separation               shredded; electronic images should be
(completed by employer)
                                                                                                                               made unreadable.)
Performance Appraisals (including letters of
commendation)
Personnel Actions
Release of Information
Resignation Letter
Standard Insurance Correspondence
Tax Authorizations (latest date only)
U.S. Savings Bond Payroll Savings Plan
Documents (latest version only)
W-4 (latest date only)
REPORTS/OTHER SOURCE DOCUMENTS
Employee Time Sheet & Leave Usage
Reports (only three years of reports are                                               3 years after separation
necessary to maintain)                       Paper Document or Electronic Image
Employee Request for Leave of Absence        (There is no need to maintain a paper     3 years
                                                                                                                               Destroy
I-9 Forms                                    record if an electronic image or record   3 years after separation
Monthly Time Reports                         exists.)                                  3 years
Payroll Expense Distribution Report -
                                                                                       2 years after fiscal year of document
Signed
SUPPLEMENTAL FILES
ADA Documentation
Background Investigations
CBI Reports
FMLA Documentation                                                                                                             Destroy (Paper documents should be
Worker's Compensation (IOJ)                  Paper Document or Electronic Image        10 years after separation               shredded; electronic images should be
Medical Certificates                                                                                                           made unreadable.)
Medical Documentation
Reference Checks
USERRA Documentation


                                                                             October 2008                                                                    24 of 52
                         Who is responsible to                                 Media on which information is          How long the information
         What                                          When (frequency)
                               backup                                                    stored                            is maintained

                                                     Daily, Weekly, Monthly &
ICONP1                 iSeries Systems Administrator                          GGCC (monthly stored at Denver West)   Permanent
                                                     Annually
                                                     Daily, Weekly, Monthly &
ICONP2                 iSeries Systems Administrator                          GGCC (monthly stored at Denver West)   Permanent
                                                     Annually
                                                     Daily, Weekly, Monthly &
jPODDEV                iSeries Systems Administrator                          Denver West (weekly stored at GGCC)    Monthly
                                                     Annually
                                                     N/A (waiting for HA
ICONB1 (CBU)           iSeries Systems Administrator
                                                     software)
Yosemite (Domain       Windows Based Server
                                                     Daily                    Tape (stored at Denver West)           14 Days
Controller)            Administrator
Hogback (Domain        Windows Based Server
                                                     Daily                    Tape (stored at Denver West)           14 Days
Controller)            Administrator
Venture (Project       Windows Based Server
                                                     Daily                    Tape (stored at Denver West)           14 Days
Server)                Administrator
                       Windows Based Server
Judicialnet (Intranet)                               Daily                    Tape (stored at Denver West)           14 Days
                       Administrator
Titanic (BlackBerry    Windows Based Server
                                                     Daily                    Tape (stored at Denver West)           14 Days
Server)                Administrator
                       Windows Based Server
SMS                                                  Daily                    Tape (stored at Denver West)           14 Days
                       Administrator
                       Windows Based Server
Iceberg (Brio)                                       Daily                    Tape (stored at Denver West)           14 Days
                       Administrator
Judicialwatch (McAfee Windows Based Server
                                                     Daily                    Tape (stored at Denver West)           14 Days
EPO)                   Administrator
                       Windows Based Server
Teammate                                             Daily                    Tape (stored at Denver West)           14 Days
                       Administrator
Judlore (Live
                       Windows Based Server
Commuication                                         Daily                    Tape (stored at Denver West)           14 Days
                       Administrator
Server/Pathlore)
Filedoc (Primary File  Windows Based Server
                                                     Daily                    Tape (stored at Denver West)           14 Days
Server                 Administrator
                          Who is responsible to                          Media on which information is    How long the information
          What                                      When (frequency)
                                backup                                             stored                      is maintained
                        Windows Based Server
MOM                                               Daily                Tape (stored at Denver West)      14 Days
                        Administrator
Shoretelvmdw            Windows Based Server
                                                  Daily                Tape (stored at Denver West)      14 Days
(ShoreTel Server)       Administrator

Pubserv02 (P4P, JBITS   Windows Based Server
                                                  Daily                Tape (stored at Denver West)      14 Days
Support Center)         Administrator

Devserv (Development Windows Based Server
                                                  Daily                Tape (stored at Denver West)      14 Days
Server)                 Administrator
                      Windows Based Server
Tstserv (Test Server)                             Daily                Tape (stored at Denver West)      14 Days
                      Administrator
Judprodjdw01 (Project Windows Based Server
                                                  Daily                Tape (stored at Denver West)      14 Days
Server)               Administrator
SurveyHouse (Survey Windows Based Server
                                                  Daily                Tape (stored at GGCC)             1 Day
Website)              Administrator
Pubserv (PTO, CAC,
                      Windows Based Server
Icon, Filebound)                                  Daily                Tape (stored at GGCC)             1 Day
                      Administrator
IDS (Intrusion          Windows Based Server
                                                  Daily                Tape (stored at GGCC)             1 Day
Detection)              Administrator
SCShoretelVM            Windows Based Server
                                                  Daily                Tape (stored at SC/COA)           1 Day
(Shoretel Server)       Administrator
Yellowstone (Domain     Windows Based Server
                                                  Daily                Tape (stored at Denver West)      1 Day
Controller)             Administrator
Judmail (Exchange E-    Windows Based Server
                                                  Daily/Weekly         Tape (stored at Denver West)      2 Days/ 2 Weeks
mail Server)            Administrator
App-Steamboat (DLO,
FTRAudio and Lexis      Regional Tech Support     Daily                Tape (stored in Steamboat)        14 Days
Nexis Server)
                            Who is responsible to                            Media on which information is             How long the information
        What                                          When (frequency)
                                  backup                                               stored                               is maintained
NAS-Adams (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape (stored in Adams)                     7 days/5 weeks/13 months
Nexis Server)
FTR-Denver (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape (stored in Denver)                    7 days/2 weeks/2 months
Nexis Server)
                                                                                                                      Please see FTR-ElPaso for
El Paso1                  Regional Tech Support     Daily                  FTR - (stored in El Paso)
                                                                                                                      Retention Schedule
FTR-Pueblo (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape - (stored in Pueblo)                  7 days/2 weeks/2 months
Nexis Server)
Nas-Grandjct (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape - (stored in Grand Junction)          7 days/5 weeks/13 months
Nexis Server)
19th Dist (PaperVision) Regional Tech Support       Daily                  Tape - (stored in Weld)                    1 Day

FTR-ElPaso (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape - (stored in El Paso)                 7 days/2 weeks/2 months
Nexis Server)
FTR-FortCollins (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape - (stored in Ft. Collins)             7 days/5 weeks/13 months
Nexis Server)
NAS-Jeffco (DLO,
FTRAudio and Lexis        Regional Tech Support     Daily/Weekly/Monthly   Tape - (stored in Jeffco)                  7 days/2 weeks/2 months
Nexis Server)
FTR-Weld (DLO,
FTRAudio, and Lexis       Regional Tech Support     Daily/Weekly/Monthly   Tape - (stored in Weld)                    7 days/5 weeks/13 months
Nexis Server
LexisNexis File & Serve                                                    FTP to local servers located in judicial
                          LexisNexis/SCAO JBITS     Nightly                                                           Indefinitely
(Local Back-up)                                                            districts across the state.
                          Who is responsible to                          Media on which information is            How long the information
        What                                        When (frequency)
                                backup                                             stored                              is maintained
LexisNexis File & Serve LexisNexis                Nightly/Weekly       Recently filed documents are copied to Indefinetly
(Main Application back                                                 secondary backup servers in LN
up)                                                                    Datacenter for availability in the
                                                                       unlikely event of primary cluster
                                                                       failures on primary servers.
                                                                       Additionally, traditional backups to
                                                                       magnetic (tape) media are performed
                                                                       on a daily/weekly basis and are stored
                                                                       offsite in an approved storage facility.



                                                                                                                 It's held for 24 hours. If a
                        Automatically done by                                                                    greater length of time is
FileBound                                         Nightly
                        FileBound                                                                                required Judicial must subscribe
Document Images and                                                    The information is stored on site
                                                                                                                 to a back up option.
database                                                               (FileBound) at the secured data center.
PAPER DESTRUCTION GUIDELINES




HARD DRIVE, CDs, AND OTHER PORTABLE ELECTRONIC DATA STORAGE DEVICES




JUDICIAL BRANCH IMAGING GUIDELINES
Business process analysis
Workflow evaluation
Data needs assessment
A complete inventory of existing records
Alternative technologies assessment
Network support
Costs/benefits analysis
Project growth
Retention and legal requirements
Physical Space Constraints




Paper file audit - Manually auditing the paper files prior to imaging can provide the following benefits:
  Reduction of contents and clearing of paper clips and staples (hence saving money)
  Verify contents of file is valid
  Verifying the chronological order of file

GENERAL REQUIREMENTS
______________________________
Clerk of Court


INDEXING REQUIREMENTS

The imaging system shall use one of the following non-proprietary file formats: PDF or TIFF



The imaging system must support scanning densities of 200dpi (dots per inch) or higher, or meet current state standards.
The imaging system must support both simplex and duplex scanning modes.
     CR (sexual assault) – no public access, only agency access.
     JA and JR – separate database with very limited access.




     DR – public access except for sealed or suppressed
     Probate/Civil/Traffic/Misdemeanor/Small Claims/Infractions – each should have its own database and available to the public.



     Suppressed – separate database containing all suppressed files from all case types and will have limited access.
     MH – separate database with limited access
Required fields for indexing1 - Courts:
  Case Number (16 character)
  Full name of all parties in case: first, middle, last
  Document type (or document CMS Data Entry code)
  Date Document Filed
Required fields for indexing1 – Probation:
  Full Name: first, middle, last
  Case Number (16 character)
  Date of Birth
  Document type (or document CMS Data Entry code)
  ML or EID Number
1
    Each additional field increases the cost to image.




ACCESSIBILITY and MIGRATION REQUIREMENTS
JUDICIAL BRANCH SCANNING AND IMAGING STANDARDS
PAPER DESTRUCTION GUIDELINES

If the papers to be destroyed are considered a public record, it is recommended that those papers be recycled. If that is not an available
option, those papers may be disposed of with regular trash.

If the papers to be destroyed are not considered a public record, those papers need to be shredded, burned, chemically treated, or
otherwise made illegible.

HARD DRIVE, CDs, AND OTHER PORTABLE ELECTRONIC DATA STORAGE DEVICES

All Judicial Department electronic storage devices shall be destroyed using a permanent distruction method (i.e., shredding, magnet,
etc.) If assistance is needed, contact JBITS Hardware Support for a list of acceptable vendors.

JUDICIAL BRANCH IMAGING GUIDELINES

Overview: Electronic Document Imaging Systems (EDIS) are computer-based systems that store digitally encoded document images.
These systems provide image retrieval and distribution on demand. They are an alternative to paper or microfilm systems.

The adoption of an EDIS by any court is a major administrative and operational decision carrying responsibilities and commitments.
The use of EDIS requires workflow reassessment and the documentation of information management procedures. EDIS increases
accessibility and distribution of information in a timely manner. Application software will allow accurate tracking of information for
audit purposes.


EDIS cannot solve access problems stemming from inefficient or poorly-planned existing information management systems and
practices. In fact, EDIS may exacerbate existing deficiencies. Maximum benefits are realized when existing workflow procedures are
analyzed and adapted to take advantage of the new technology, rather than just automating existing processes. Administrators, in
consultation with qualified records managers, should analyze the existing records systems, practices, workflow, and indexes, and
correct any deficiencies before implementing an imaging system.
Planning and Feasibility – the courts should perform a feasibility study to ensure that an EDIS is appropriate for its information
management needs before committing to a particular application. The courts must realize that the information being created or
converted to an electronic format is a State asset which needs to be managed for a larger, strategic advantage. EDIS will transform the
way courts do business while dramatically improving productivity, effectiveness, and accountability. The following areas need to be
evaluated and analyzed before implementing any system:
Business process analysis
Workflow evaluation
Data needs assessment
A complete inventory of existing records
Alternative technologies assessment
Network support
Costs/benefits analysis
Project growth
Retention and legal requirements
Physical Space Constraints

Migration and Retention – a retention period is the time that records are needed for administrative, fiscal, legal and historical
purposes. All state judicial records, including those stored in imaging systems, should be maintained and disposed of as defined by
the Colorado State Archives Office and the Colorado Judicial Records Management Manual. Maintaining access to records stored on
EDIS requires a comprehensive migration strategy. The strategy plan should factor in vendor stability, system obsolescence and media
longevity.


Paper file audit - Manually auditing the paper files prior to imaging can provide the following benefits:
  Reduction of contents and clearing of paper clips and staples (hence saving money)
  Verify contents of file is valid
  Verifying the chronological order of file

GENERAL REQUIREMENTS
Non- proprietary – Systems that the courts use to image, store, and access court records must adhere to open systems standards.
Imaging systems that employ proprietary designs, formats, software or media, or require use of non-standard devices to access court
records shall not be used. Vendors must certify adherence to industry and open systems standards which are published in
ANSI/AIIM standards documents.

Courts must employ security procedures that prevent unauthorized modification or deletion of records. These procedures must, at a
minimum, adhere to the procedures outlined in the Colorado Judicial Records Management Manual and must include user ID and
password protection.

Courts must establish written procedures to ensure records in imaging systems are deemed to be a true and correct copy of the
original document. For those courts that use an outside vendor to create the electronic images, the vendor must provide written
certification. Those courts creating their own electronic images must include a statement similar to this on each CD:
“I certify that the scanned images reproduced on this disk are true copies of the original records and were scanned by the ______ Judicial District in
fulfillment of the provisions of Section ______, Colorado Revised Statutes, as amended. The records reproduced on the CD-ROM were created during
normal course of official business. The description and methods of arrangements and dating of the original records have been retained.
______________________________
Clerk of Court


INDEXING REQUIREMENTS

The imaging system shall use one of the following non-proprietary file formats: PDF or TIFF
The court shall secure from the vendor a detailed definition and description of the image file format structure used in the imaging
system.
The imaging system must support scanning densities of 200dpi (dots per inch) or higher, or meet current state standards.
The imaging system must support both simplex and duplex scanning modes.
Indexing – The imaging system shall utilize an index storage method based on standard relational database technology with access
using ANSI SQL.
Imaging Databases – imaging databases shall be separated by case type and follow these standards: (Only applicable to probation as
appropriate.)
   CR (not sexual assault) – criminal cases should have public access providing they are not sealed or suppressed. If a criminal folder
   has sealed documents within it, such as a probation report, they would be removed for inclusion into a “Sealed Database” and a
   flag would be scanned into the original folder contents to indicate this.
    CR (sexual assault) – no public access, only agency access.
    JA and JR – separate database with very limited access.
    JD – separate database with no public access. These cases differ from JA in that they may have law enforcement or other
    government agency access.
    JV – separate database with no public access. These cases differ from JA in that they may have law enforcement or other
    government agency access.
    DR – public access except for sealed or suppressed
    Probate/Civil/Traffic/Misdemeanor/Small Claims/Infractions – each should have its own database and available to the public.
    Sealed – this should be a separate database and would contain all sealed cases from all case types and sealed documents removed
    from folders of all case types. Limited access to selected court staff.
    Suppressed – separate database containing all suppressed files from all case types and will have limited access.
    MH – separate database with limited access
Required fields for indexing1 - Courts:
  Case Number (16 character)
  Full name of all parties in case: first, middle, last
  Document type (or document CMS Data Entry code)
  Date Document Filed
Required fields for indexing1 – Probation:
  Full Name: first, middle, last
  Case Number (16 character)
  Date of Birth
  Document type (or document CMS Data Entry code)
  ML or EID Number
1
 Each additional field increases the cost to image.
Archive and records management – court procedure and policy should be in place, with a copy supplied to the Colorado Office of
State Archives before implementation. COLD (Computer Output to Laser Disk) is the preferred method for an archival storage of
computer generated data within an optical storage system.
Backup and recovery – courts should have backup procedures and disaster recovery plans in place with provisions for the imaging
system.

ACCESSIBILITY and MIGRATION REQUIREMENTS
Courts must ensure that the public is afforded reasonable access to court records, consistent with the principles of CJD 05-01, “Access
to Court Records”.
Accessibility requires that “migration paths” are planned so devices, media and technologies used to store and retrieve court records
are not allowed to become obsolete and they are promptly replaced or upgraded.
For an existing imaging system, any new equipment or software is required to be “backward-compatible” or vendors must guarantee (at a reasonable
cost) conversion of 100% of the image and index data to the new system so access to existing electronic court records is never impeded.

JUDICIAL BRANCH SCANNING AND IMAGING STANDARDS

For technical standards and support, contact the JBITS Division of the State Court Administrator’s Office. These standards will be developed and
maintained with the participation of the Division of State Archives and Public Records for the state of Colorado.
Civil - District Court
Civil - Name Change
Civil - Protection Order
Domestic
Probate
Traffic
Felony (CR)
Misdemeanor
Garnishment calculation slips - Do not retain; destroy upon receipt
                                                COUNTY COURT – MISDEMEANOR and TRAFFIC
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING




Register of Actions (if there is one)
Summons and Complaint (including officer notes)
Probable Cause Affidavit
Victim’s Statement
Motions w/Orders that impact charges or sentences
Protection Order
Mandates by higher courts
Stipulations that impact charges or sentences
Jury verdicts
Stipulation for Deferred Sentence
Judgment of Conviction / Mittimus
Guilty Plea and Waiver of Rights
Probation Orders, Terms & Conditions, Revocation Complaints, Termination Order
Commit and Release Orders
Dismissals

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it’s better to keep it than to purge it.
                                                  COUNTY COURT – NAME CHANGE CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING
Petition / Amended Petition for Name Change
Attachment/ Exhibits to Petitions (No need to maintain in archive but need in active case files.)
Responses, Replies or Objections
Proof of Publication
Orders affecting the Name Change
Order for Name Change
Stipulations that affect the Name Change order

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it is better to keep it than to purge it.




                                                 COUNTY COURT – PROTECTION ORDER CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Complaints / Amended Complaints
Attachment/ Exhibits to Petitions (No need to maintain in archive but need in active case files.)
Motions for contempt citation and supporting documents
Citation and Amended Citation
Answers / Amended Answers
Response, Replies or Objections
Orders affecting the Protection Order
Return of Service on TRO and PRO
Temporary Protection Order
Permanent Protection Order
Stipulations that affect the Protection Order

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it’s better to keep it than to purge it.
                                                  DISTRICT COURT – DOMESTIC CASES
                                               DOCUMENTS TO BE RETAINED FOR IMAGING

Petitions
Responses
Motions w/orders (unless orders are self-explanatory, anything w/Judge's signature) Mandates by higher Courts.
Responses or objections to motions
Temporary Orders
Restraining Orders (Temporary and Permanent)
Stipulated Agreements
Separation Agreements
Parenting Plans
Custody Orders
Final Orders
Findings of Fact and Judgment
Decrees (Dissolution, Legal Separation, Invalidity of Marriage)
Support Orders (Maintenance and Child Support) and Last Worksheets
Custody Evaluations
Judgments
Financial Affidavits (most recently filed only)
Satisfaction of Judgment (partial and full)
*Promissory Notes
QDRO
                                                  DISTRICT COURT – CIVIL CASES
                                            DOCUMENTS TO BE RETAINED FOR IMAGING
                                        ONLY FOR CASES THAT DO NOT APPEAR ON ICON/Eclipse

Complaints / Amended Complaints
Answers / Amended Answers
Counterclaims / Amended Counterclaims
Crossclaims / Amended Crossclaims
Response or Replies to Counterclaims or Crossclaims
Motions w/ Orders (unless orders are self-explanatory, anything w/ judges signature) Mandates by higher courts.
Response or Replies to motions
Minute Orders
Stipulations / Confessions of Judgment
Judgments / Offers of Judgment
Jury Verdicts
Satisfaction of Judgment (Partial and / or Full)
* Promissory Notes
                                         CRIMINAL/FELONY CASES
                                   DOCUMENTS TO BE RETAINED FOR IMAGING

Complaints/Amended Complaints
Information/Amended Information
Written Advisements
Orders
Stipulations
Jury Verdicts
Pre-Sentence Investigations
Judgments
Mittimi
Mandates
Property Bond liens and releases
                                                           PROBATE CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Testate/Intestate

Petition/application
Issued Letters
Order of Appointment (may be in form of letter or may be informal appointment)
Will (if any)
Closing document (i.e., verified statement, order of proof and final settlement or Order closing estate after 3 years)


                                                           PROBATE CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Protected Proceedings

Petition/Application
Possibly a Petition for Conservatorship (in PIM case)
All Orders of Appointment
Letters
Termination documents (order for termination)
Civil - District Court
Civil - Name Change
Civil - Protection Order
Domestic
Probate
Traffic
Felony (CR)
Misdemeanor
Garnishment calculation slips - Do not retain; destroy upon receipt
                                                COUNTY COURT – MISDEMEANOR and TRAFFIC
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Retain the following documents (only applicable to cases that have DUI/DWAI, domestic violence, or charges that require the defendant
to register as a sex offender)

Register of Actions (if there is one)
Summons and Complaint (including officer notes)
Probable Cause Affidavit
Victim’s Statement
Motions w/Orders that impact charges or sentences
Protection Order
Mandates by higher courts
Stipulations that impact charges or sentences
Jury verdicts
Stipulation for Deferred Sentence
Judgment of Conviction / Mittimus
Guilty Plea and Waiver of Rights
Probation Orders, Terms & Conditions, Revocation Complaints, Termination Order
Commit and Release Orders
Dismissals

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it’s better to keep it than to purge it.
If any of these cases have filings within 1 year of the date that you are purging it, keep any documents filed within that year even if they are not listed
above.
                                                  COUNTY COURT – NAME CHANGE CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING
Petition / Amended Petition for Name Change
Attachment/ Exhibits to Petitions (No need to maintain in archive but need in active case files.)
Responses, Replies or Objections
Proof of Publication
Orders affecting the Name Change
Order for Name Change
Stipulations that affect the Name Change order

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it is better to keep it than to purge it.
If any of these cases have filings within 1 year of the date that you are purging it, keep any documents filed within that year even if they are not listed
above.

                                                 COUNTY COURT – PROTECTION ORDER CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Complaints / Amended Complaints
Attachment/ Exhibits to Petitions (No need to maintain in archive but need in active case files.)
Motions for contempt citation and supporting documents
Citation and Amended Citation
Answers / Amended Answers
Response, Replies or Objections
Orders affecting the Protection Order
Return of Service on TRO and PRO
Temporary Protection Order
Permanent Protection Order
Stipulations that affect the Protection Order

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it’s better to keep it than to purge it.
If any of these cases have filings within 1 year of the date that you are purging it, keep any documents filed with in that year even if they are not
listed above.
                                                    DISTRICT COURT – DOMESTIC CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Petitions
Responses
Motions w/orders (unless orders are self-explanatory, anything w/Judge's signature) Mandates by higher Courts.
Responses or objections to motions
Temporary Orders
Restraining Orders (Temporary and Permanent)
Stipulated Agreements
Separation Agreements
Parenting Plans
Custody Orders
Final Orders
Findings of Fact and Judgment
Decrees (Dissolution, Legal Separation, Invalidity of Marriage)
Support Orders (Maintenance and Child Support) and Last Worksheets
Custody Evaluations
Judgments
Financial Affidavits (most recently filed only)
Satisfaction of Judgment (partial and full)
*Promissory Notes
QDRO


* Note: Keep Promissory Notes – If judgment entered the original should have been stamped “cancelled by judgment” dated and signed or initialed
by judge. If it has not been cancelled send the note to the Clerk of Court and he/she should get it cancelled and returned to the file for imaging.


Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it’s better to keep it than to purge it.
If any of these cases have filings within 1 year of the date that you are purging it, keep any documents filed with in that year even if they are not
listed above.
                                                    DISTRICT COURT – CIVIL CASES
                                              DOCUMENTS TO BE RETAINED FOR IMAGING
                                          ONLY FOR CASES THAT DO NOT APPEAR ON ICON/Eclipse

Complaints / Amended Complaints
Answers / Amended Answers
Counterclaims / Amended Counterclaims
Crossclaims / Amended Crossclaims
Response or Replies to Counterclaims or Crossclaims
Motions w/ Orders (unless orders are self-explanatory, anything w/ judges signature) Mandates by higher courts.
Response or Replies to motions
Minute Orders
Stipulations / Confessions of Judgment
Judgments / Offers of Judgment
Jury Verdicts
Satisfaction of Judgment (Partial and / or Full)
* Promissory Notes

* Note: Keep Promissory Notes – If judgment entered the original should have been stamped “cancelled by judgment” dated and signed or initialed
by judge. If it has not been cancelled send the note up to the Clerk of Court w/ case # written at the top and he/she will see that it gets done and
returned to the file for imaging.

Keep in mind if you cannot determine if it should be purged or kept, please ask someone. If that is not possible, it’s better to keep it than to purge it.
If any of these cases have filings within 1 year of the date that you are purging it, keep any documents filed with in that year even if they are not
listed above.
                                         CRIMINAL/FELONY CASES
                                   DOCUMENTS TO BE RETAINED FOR IMAGING

Complaints/Amended Complaints
Information/Amended Information
Written Advisements
Orders
Stipulations
Jury Verdicts
Pre-Sentence Investigations
Judgments
Mittimi
Mandates
Property Bond liens and releases
                                                           PROBATE CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Testate/Intestate

Petition/application
Issued Letters
Order of Appointment (may be in form of letter or may be informal appointment)
Will (if any)
Closing document (i.e., verified statement, order of proof and final settlement or Order closing estate after 3 years)


                                                           PROBATE CASES
                                                 DOCUMENTS TO BE RETAINED FOR IMAGING

Protected Proceedings

Petition/Application
Possibly a Petition for Conservatorship (in PIM case)
All Orders of Appointment
Letters
Termination documents (order for termination)
(Administrative order that suspends the letters (until party complies with court’s order.) May need to maintain more documentation in case if the
court has lost contact with the parties and administratively closed a case.)

				
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