(revised 03/2016) superseded schedule number(s) · form rc-050 (revised 03/2016) ... inspector...

RECORDS RETENTION SCHEDULE Department of Administrative Services - Division of Construction Services Form RC-050 (Revised 03/2016)

AGENCY: Department of Administrative Services

DIVISION, UNIT, OR FUNCTION: Division of Construction Services

RELEVANT STATUTES & REGULATIONS AND ACRONYMS USED ON THIS SCHEDULE:

STATE OF CONNECTICUT Connecticut State Library Office of the Public Records Administrator 231 Capitol Avenue, Hartford, CT 06106 http://www.ctstatelibrary.org/

AGENCY ADDRESS: 165 Capitol Avenue, Hartford, CT 06106

RECORDS RETENTION SCHEDULE# /~·.··,~J:--3

This schedule is: D ORIGINAL

CGS Sec. 4b"l through Sec. 4b-129;CGS Sec. 29-221 through Sec. 29-449; CGS Sec. 52-584a; RSA Sec. 19a-332-4; RSA Sec. 29-252-1d et. seq.; 15 USC Sec. 2224

[8J REVISED

Superseded schedule number(s):

91-12-1 DCS; 12-4-1 series# 55 -65, 70, 76, 80, 82 (part)

transferred from DESPP; and 15-7-1 series #5 transferred from

DSE

A. Office of Design and Construction

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02.

03.

Architectural RecordsComplete Projects

Architectural RecordsSuspended projects

Architectural RecordsTracings and Master Drawings

JOB TITLE OF RMLO (type or print):

olt~f'F Cans-el DATE SIGNED:

3- 3 o --!G

This series documents state construction projects as actually built. Documents include architectural plans and specifications.

This series documents the most advanced design stage that was completed for state construction projects that were never completed. Documents include but not limited to architectural plans and specifications.

This series documents the process leading up to the final architectural record documents. Documents include but not limited to working copies of architectural plans and specifications.

Life of structure plus 1 year

20 years after date project suspended.

Date project completed or suspended.

Destroy after receipt Essential Record

of signed Form RC-108 Archival Review Required

Destroy after receipt Archival Review Required of signed Form RC-108

Destroy after receipt Essential Record of signed Form RC-108

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04.

OS.

Hazardous Materials Abatement Project Files -State Owned Property

Real Property Improvement Files

B. Office of State Building Official

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07.

Boiler and Elevator Inspection Field Notes

Boiler Registration and Inspection Files

This series documents the identification, abatement, and disposal of asbestos, lead, etc. for state-owned real property. Documents include but not limited to: inspection, test and compliance reports, and plans and specs for abatement.

This series documents improvements to state owned real property under a construction services managed project. Documents include but not limited to: cost estimates; construction contracts; construction documents; specification manuals; and related correspondence.

This series documents weekly inspections of boilers and elevators. Documents includes but not limited to inspector's notes.

This series documents the registration and inspection process for the construction, installation, repair, use and inspection of boilers pursuant tci CGS §29-241. Includes initial and renewal commissions, as well as revocations, suspensions or refusals to renew certification. Including but not limited to:· registrations; and completed inspection reports.


30 years from date project completed. [RSA § 19a-332-4]

8 years after date project substantially completed or suspended

2 years from date report issued

Destroy after receipt. of signed Form RC-108

Destroy after receipt of signed Form RC-108


Essential Record

Archival Review Required

See 52 for employee exposure monitoring records and liability claims.

Essential Record

Statute of limitation against architects, professional engineers, and land surveyors pursuant to CGS Sec. 52-584a.

Files are organized by project number.

2 years after date state inspector verifies boiler no longer in service


of signed Form RC-108

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RECORDS RETENTION SCHEDULE Departm~nt of Administrative Services - Division of Construction Services Form RC-050 (Revised 03/2016)

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09.

10.

Building Code Exemption Records - Accessibility

Certificate Files - Boiler Inspector-

Hearing and Appeal Records

Local rulings

Descr.ipti<m

This series documents the process for requesting exemptions of State Building Code (Conn. Agencies Regs. §29-252-1d, et seq.), regarding accessibility such as handicap exemptions. Including but not limited to: exemption applications, letter of notification.

This series documents the review and certification process of inspectors and special inspectors for the inspection of boilers pursuant to CGS §29-234. Documents includes but not limited to initial and renewal commissions, as well as revocations, suspensions or refusals to renew certification. Including but not limited to: applications; supporting documentation; and certifications.

This series documents the hearing and appeal process before the Connecticut Codes and Standards Committee related to modifications and disability exemption rulings by fire code officials and local building code officials pursuant to sections of CGS §29-423 and §29-250 respectively. Including but not limited to: written notices; questionnaire forms; supporting documentation; recordings of appeal hearings; and related correspondence.

STATE OF CONNECTICUT

Connecticut State Library RECORDS RETENTION SCHEDULE# Office of the Public Records Administrator

231 Capitol Avenue, Hartford, CT 06106 http://www.ctstatelibrary.org/

J4 ·-}- 6

20 years from date of decision and resolution of any appeals

1 year from date certificate no longer active

7 years from date of decision or resolution of any appeals, whichever is later.


of signed Form RC-108 Pursuant to CGS § 29-269{b), the

Office of Protection and Advocacy for Persons with Disabilities also must approve requests for exemptions.

Destroy after receipt of signed Form HC-108

Destroy after receipt otsigned Form RC-108

Pursuant to Public Act 11-51, this function transferred from DESPP to the Department of Construction Services (DCS).

See also: Code and Standards Committee records.

Essential Record

Pursuant to CGS §29-234, certificate is active for duration of employment and companies shall promptly notify DESPP of special inspector's termination of employment.

Essential Record

See S1 for the retention of committee meeting records.


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Description


C. Office of Education and Data The Office of Education and Data Management (OEDM) is responsible for training and accrediting Building and Fire Code Officials, as

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12.

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Management well as providing code-related instruction to individuals in the allied trade professions and managing the National Fire Incident Reporting System (NFIRS) for Connecticut.

Building and Fire Credentialing and Career Development Administrative Records

Building and Fire Credentialing and Career Development Training Materials

Burn Injury Report Data

Burn Injury Reports

This series documents training records for building code and fire credentialing programs and career development classes, per CGS 29-251c. Includes master roster, attendance sheets, class grade reports, incremental assessement test masters, and evaluation reports

This series documents the training and accreditingof Building and Fire Code Officials pursuant to CGS §29-251c. Including but not limited tg: course outlines; training guides; and handouts.

This series documents the data collected from health care providers within 48 hours of treatment for burn injuries including those from fireworks in compliance with CGS 19a-510a. Includes but not limited to: Data in database.

3 years after date courses completed

3 years after date courses completed

10 years from date report received by OEDM.

This series documents health care 6 months after data is provider compliance with CGS 19a-510a entered into OEDM to submit a written report of burn database injuries including those from fireworks, within 48 hours of treatment, to the State Fire Marshal. Includes but not limited to: submitted report forms, spreadsheets.





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15. Certification Files - Fire Official -Approved

This series documents certification of individuals to become fire marshals, fire


3 years after date certification no longer

Disposition


code inspectors, state fire code active

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17.

Certification Files- Fire Official - Denied or withdrawn

Credentialing Examination -Building and Fire OfficialsExamination Records

enforcement officials and fire investigators pursuant to CGS 29-289. Includes active, expired, suspended, and revoked certifications. Includes but not· limited to: applications; examination grade letter; continuing education documentation (replaced by three year printout at end of cycle); cycle renewal letter; decertification documentation; and correspondence with information that is substantive to the above.

This series documents individuals whose applications to become fire marshals, fire code inspectors and fire investigators pursuant to CGS 29-289 were denied or withdrawn. Includes but not limited to: applications; examination grade letter; and correspondence with information that is substantive to the above.

This series documents examinations administered to building official and fire official candidates for licensure of building officials and certification per CGS 29-262 and CGS 29-298, respectively. Includes Master Exams and exam bubble sheets.

3 years after date of final OEDM decision.

3 years after date grades disseminated to candidates.



Essential Record

Certification is valid for three {3) years

Pursuant to Public Act 11-51, this function transferred from DESPP to the Department of Administrative Services (DAS).

Certification is valid for three {3) years


OEDM Testing Policy includes a 30-day appeal for exam results.

Appeal decision is usually rendered within 48 hours

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19.

Fire Incident Report

Hotel-Motel State Fire Safety Certification List

This series documents local fire marshal compliance with CGS §29-303 to report fire incidents or explosions cause, origin, kind, estimated value, ownership of property, injury, etc. to the State Fire Marshal. Data is entered into the U.S. Fire Administration [USFA] web-based National Fire Information Reporting System [NFIRS] that fire departments use to uniformly report on the full range of their activities, from fire to Emergency Medical Services (EMS) to equipment involved in the response. OEDM staff verifies the report for format and correct dates. Includes but not limited to: submitted incident reports, error reports, correspondence, and other related materails.

This series documents State compliance with the U.S. Hotel and Motel Fire Safety Act of 1990, to submit/maintain a list of hotels and motels that meet certain fire safety guidelines to USFA for compilation into the Hotel-Motel National List. Data is entered into USFA web-based reporting system.


6 months after data is entered into NFIRS.


RECORDS RETENTION

Beginning in 2013, local officials have been able to submit their Fire Incident Reports via email as an attachment. Both the electronic and the paper reports are then uploaded by OEDM staff into the federal USFA NFIRS database.

See Sl0-220 for retention of individual agency public safety unit reports submitted to OEDM for entry into NFIRS

6 months after data is entered

Destroy after receipt 15 USC Sec. 2224 of signed Form RC-108

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RE~ORDS. RETENTION SCHEDULE Department of Administrative Services - Division of Construction Services Form RC-050 (Revised 03/2016)

:Zo.

21.

Licensure Files - Building Official - Awarded

Licensure Files - Building Official - Denied or withdrawn

This series documents licensure of individuals to become building officials and assistant building officials pursuant to CGS 29-261. Building officials include electrical inspectors, heating and cooling inspectors, mechanical . inspectors, plan review technicians, plumbing inspectors, and state building code enforcement officials. Includes expired, suspended, and revoked licenses. Includes but not limited to: applications; examination grade letter; COI)tinuing education documentation (replaced by three year printout at end of cycle); cycle renewal letter; delicensure documentation; and correspondence with information that is substantive to the above.

This series documents individuals whose applications to become building officials and assistant building officials pursuant to CGS § 29-261 were denied or withdrawn. Building officials include electrical inspectors, heating and cooling inspectors, mechanical inspectors, plan review technicians, plumbing inspectors, and state building code enforcement officials. Includes but not limited to: applications; examination grade letter; and correspondence with information that is substantive to the above.


3 years after license no longer active

3 years after date of final OEDM decision



Essential Record

License is valid for three (3) years.



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RECORDS RETENTION SCHEDULE .. Department of Administrative Services - Division of Construction Services Form RC-050 (Revised 03/2016)

D. Office of State Fire Marshal

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Apprentice Certification Files - Crane Operators - Awarded

Apprentice Certification Files - Crane Operators - Denied or withdrawn

Apprentice Certification Files -Hoisting Equipment Operators - Awarded

Apprentice Certification Files - Hoisting Equipment Operators - Denied or withdrawn

This series documents certification of individuals to operate tower cranes, hydraulic cranes, and derrick and mobile cranes as an apprentice pursuant to CGS §29-224. Includes expired, suspended, and revoked certificates. Including but not limited to: certificates of registration.

This series documents individuals whose applications to operate tower cranes, hydraulic cranes, and derrick and mobile cranes as an apprentice pursuant to CGS §29-224 were denied or withdrawn. Including but not limited to: certificates of registration. ·

This series documents certification of individuals hoisting equipment as an apprentice pursuant to CGS·§29-223a. Includes active and expired certificates. Including but not limited to: certificates of registration.

This series documents individuals whose applications to operate hoisting equipment as an apprentice pursuant to CGS §29-223a were denied, withdrawn or revoked. Including but not limited to: certificates of registration.


1 years from date certification expires

3 years from date of application

3 years from date license granted

3 years from date of application



Destroy after receipt of signed Forr:n RC-108


Essential Record

Certificate is valid for two (2) years.

Certificate is valid for two (2) years.

Essential Record

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RECORDS RETENTION SCHEDULE . . Department of Administrative Services- Division of Construction Services Form RC-050 (Revised 03/2016)

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Building Code Modification Records - Hazardous materials

Crane Registration Files

Elevator Registration and Inspection Files

Fire Official Certification Examination Files

This series documents requests to modify codes related to hazardous materials. Modifications are deemed by the Office of the State Fire Marshal (OSFM) to be valid for the life of the building/occupancy/ installation. Including but not limited to: requests; and letter of notification.

This series documents registration of tower cranes, hydraulic cranes, and derrick and mobile cranes to operate pursuant to CGS §29-223a. Includes expired, denied, suspended, and revoked licenses. Including but not limited to: registration applications.

This series documents the registration and inspection of elevators, escalators, dumbwaiters, moving walks, private residence elevators, tramways, and personnel hoists used for construction and demolition pursuant to CGS §29· 191 through §200 and CGS §29-201 through §214. Includes initial and renewal certifications, as well as revocations, suspensions or refusals to renew certification. Including but not limited to: registrations; blueprints; test records; renewals; and maintenance contracts.

This series documents examinations administered to fire official candidates for certification per CGS § 29-298. Includes but not limited to Master Exams and exam bubble sheets.


20 years from date of decision and resolution of any appeals

3 years from date registration expires

3 years after date state inspector verifies elavator no longer in service

3 years after date examination has been administered, graded and grades disseminated to candidates.

Retain in agency




Essential Record

Archival Review Required

CGS § 29-254(b)


Essential Record

Registration is valid for one (1) year.

Essential Record

Elevators.are inspected every eig~teen{18) months.

Essential Record

OEDM Testing Policy includes a 30-day appeal to exam results.

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RECORDS RETENTION SCHEDULE STATE OF CONNECTICUT Connecticut State Library ' .

Department of Administrative Services - Division of Construction Services

Office of the Public Records Administrator 231 Capitol Avenue, Hartford, CT 06106 http://www.ctstatelibrary.org/

SCHEDULE# ~~-1-3

Form RC-050 (Revised 03/2016)

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License Files - Demolition Contractor - Awarded

License Files - Demolition Contractor - Denied or withdrawn

Licensure Files- Crane Operators - Awarded

Licensure Files- Crane Operators- Denied or withdrawn

This series documents license of businesses to engage in demolition pursuant to CGS §29-402. Includes active, expired, denied, suspended, and revoked certificates of registration. Including but not limited to: applications; registrations; certificates of insurance; and certifications.

This series documents businesses whose applications to engage in demolition pursuant to CGS §29-402 have been denied or withdrawn. Including but not limited to: applications; registrations; certificates of insurance; and certifications.

3 years after license no longer active

3 years after date of final OSFM decision

This series documents licensure of 3 years from date license individuals to operate tower cranes, expires. hydraulic cranes, and derrick and mobile cranes pursuant to CGS §29-224. Includes active, expired, suspended, and revoked licenses. Including but not limited to: applications; supporting documentation; and examination documentation.

This series documents individuals whose 3 years from date of· applications to operate tower cranes, application. hydraulic cranes, and derrick and mobile cranes pursuant to CGS §29-224 were denited or withdrawn. Including but not limited to: applications; supporting documentation; and examination documentation.



Essential Record

License is valid for one (1) year.

License is valid for one (1) year.


of signed Form RC-108 License is valid for two (2) years.

Destroy after receipt License is valid for two (2) years. of signed Form RC-108

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RECORDS RETENTION SCHEDULE ' ' '

Department of Administrative Services - Division of Construction Services Form RC-050 (Revised 03/2016)

34. Licensure Files- Hoisting Equipment OperatorsAwarded

This series documents licensure of individuals to operate hoisting equipment pursuant to CGS §29-223a. Includes active, expired, denied, suspended, and revoked licenses. Including but not limited to: applications; supporting documentation; and examination documentation.


3 years from date license expires


35. Licensure Files - Hoisting Equipment OperatorsDenied or withdrawn

This series documents individuals whose 3 years from date license Destroy after receipt of signed Form RC-108

E. Office of School Construction Grants

36. School Construction Grant Program Files- Approved

applications to operate hoisting expires equipment pursuant to CGS §29-223a were denied or withdrawn. Including but not limited to: applications; supporting documentation; and examination documentation.

This series documents school construction grants administered by SDE pursuant to CGS Sec. 10-282 through Sec. 10-292q. Including but not limited to: applications; project proposals; narratives; preliminary plans and specifications; grants contracts; related correspondence, evaluations, award letters; and reports.

3 years after date of final payment or until audited, whichever is later


of signed Form RC-108 Archival Review Required

School construction grants administration transferred from the Department of Education (SDE) to the Department of Administrative Services (DAS).

See 51 for denied, returned, revoked, or withdrawn grant records.

See 53 for grant fiscal records.

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RECORDS RETENTION SCHEDULE "" ' . Department of Administrative Services - Division of Construction Services Form RC-050 (Revised 03/2016)

F.

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39.

Leasing and Property Transfer

Lease Files - Real Property

Lease Files - State Owned

Property

Property Acquisition Files

This series documents leasing of real properties by the State. Documents include but not limited to current and lease agreements for each property, including all amendments and extentions to lease agreements.

This series documents the lease of real properties from the State including leases for state employee housing on state property and non-profit organizations who perform state functions related to the property. Documents include but not limited to lease lease agreements.

This series documents the purchase or other means of acquisition of real properties by the State. Documents include but not limited to purchase agreements of real property, including easements.


Connecticut State Library

Office of the Public Records Administrator 231 Capitol Avenue, Hartford, CT 06106 http://www.ctstatelibrary.org/

5 years from date lease terminated


RECORDS RETENTION SCHEDULE#

/6 --l-3

Formerly Facilities Management.

Essential Record

One copy of an expired lease is to be kept in the· current file concerning the premises until the premises are vacated.

5 years from date lease terminated


Permanent

of signed Form RC-108

Retain in agency or transfer to State Archives

Essential Record

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Connecticut State Library Office of the Public Records Administrator 231 Capitol Avenue, Hartford, CT 06106 http://www.ctstatelibrary.org/

1. SCOPE: This schedule lists records unique to Division of Construction Services and is used in conjunction with the General Records Retention Schedules and other relevant Records Retention Schedules.

2. AUTHORITY: The Office of the Public Records Administrator issues this Records Retention Schedule under the authority granted by §11-8 and §11-8a of the Genera/Statutes of Connecticut (CGS).

3. RETENTION PERIODS: Retention periods listed on this schedule are based on the records' administrative, fiscal, legal, and historical values, as well as statutory or regulatory requirements. In most instances the established period sets the minimum retention requirement. However, some records have maximum retention periods set by Federal or State statutes or regulations. Please note that any statute or regulation listed in brackets in the "Retention" column indicates the legal citation for that retention requirement. If a records series states, "Permanent/ Archival," the agency should request approval to transfer the records to the State Archives or an approved archival repository once the records are inactive. If a records series states, "May contain historical value," the agency should contact the State Archives for archival appraisal before requesting disposition of the records. Not all such records will be determined to be archival; conversely, some records without this statement might have archival value. See General Letter #2009-1 for guidelines on transferring records to the State Archives.

4. FORMAT: Retention periods listed on this schedule apply to the official record copy, whether in paper, electronic, or other format. If records are maintained only in an electronic system, the records custodian must be able to retrieve and interpret the content for the retention period.

5. DISPOSITION AUTHORIZATION: This schedule is used concurrently with the Records Disposition Authorization (Form RC-108), which is used to request permission to destroy or transfer records that have met their retention period. The agency Records Management Liaison Officer (RMLO), the State Archivist, and the Public Records Administrator must sign the authorization form prior to destruction or transfer of public records. The Office of the Public Records Administrator cannot grant continuing approval to destroy records on an ongoing basis. No records may be destroyed if there are pending or active Freedom of Information Act (FOIA) requests; litigations; investigations; audits; or other cases, claims, or actions. Note that if there is a destruction hold placed on records, the retention period does not change and once the hold is lifted, the records may be destroyed· after receipt of the signed Form RC-108.

6. DISPOSITION DUE TO REFORMATTING: DISPOSITION DUE TO REFORMATTING: In certain circumstances, records custodians may request permission to dispose of original records that have been imaged or microfilmed provided the public agency is in compliance with the State Library's Digital Imaging Policy or Microfilming Policy.

7. AUDIT REQUIREMENTS: Under the Single Audit Act {31 USC 7501) audit requirements apply to Federal, State, and Local programs. The retention requirement,"_ years, or until audited, whichever is later," requiresfurther explanation. In most instances "audit" refers to the general agency audit conducted by the State Auditors of Public Accounts or the general town or municipal audit conducted by an outside auditing agency, unless otherwise noted. The specific record itself may or may not have been examined as part of the audit process. The requirement of "until audited" is fulfilled when the official audit report is issued. The auditors may recommend that certain records be corrected. Such records, even when they meet retention requirements, must be retained during the period that any review is pending.

8. FOIA DISCLOSURE: This retention schedule governs the retention of public records- not the disclosure of public records. Refer to CGS §1-200 et seq. or contact the Office of Governmental Accountability, Freedom of Information Commission (FOIC), regarding the disclosure of public records.

9. ESSENTIAL RECORDS: Records designated as "Essential" are those records necessary to respond to an emergency; to reestablish normal operations after any such emergency; to protect the rights and interests of the agency; and to protect the rights and interests of individuals for whom it has responsibility.

10. OBSOLETE RECORDS: Records designated as "OBSOLETE" or "SERIES CLOSED" are no longer created or received in the normal course of business. Records custodians should request approval for the appropriate disposition of any records so designated as soon as the retention period has passed.

11. RECORDS CREATION REQUIREMENT: Nothing on this schedule mandates the creation of a record or records series if the agency does not already create or receive it in the normal course of business. However, agencies should be aware of any additional record keeping requirements established by state or federal statute or regulation.

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