Microsoft Word - 3-402

ARIZONA CODE OF JUDICIAL ADMINISTRATION

Part 3: Superior Court

Chapter 4: Administration

Section 3-402: Superior Court Records Retention and Disposition

A. Definitions. In this section the following definitions apply:

“Case file” means the original documents or other material, regardless of physical

form filed in an action or proceeding in a court, either in paper or electronic format.

“Closed” means that the case is no longer subject to modification pursuant to Rule

94(h), Rules of the Supreme Court.

“Date received,” means the date records are received by the clerk or court.

“Destruction” or “destroyed” means to discard by burning, shredding, recycling, or by

depositing in a public landfill.

“Dispose” means to destroy a record or transfer a record to archives, depending upon

the context.

“File” or “filed” means the record was delivered to and file-stamped by the Clerk of

Court.

“Historically significant case” means a case involving a unique legal issue or

controversy, prominent party, or other high profile or newsworthy aspects, and that

has been so designated pursuant to the process established in subsection (F) of this

section.

“Landmark case” means a case that meets the requirements of Rule 111(b), Rules of

the Supreme Court, has been the subject of a published appellate court opinion as that

term is defined by Rule 111(a)(1), and has been so designated pursuant to the process

established in subsection (F) of this section.

“Microfilming” means the reproduction on microfilm of the original record in

accordance with the minimum standards for microfilming as established by nationally

accepted records and information management process standards.

“Purge” means to remove and destroy records in a case file pursuant to subsection (D)

of this section.

“Retention period” means the period of time during which records must be kept

before they may be disposed of, usually a period of years and sometimes contingent

upon an event, such as entry of judgment or after reference value served.

B. Authority. Az. Const. Art. 6, §§ 3 and 23 authorize the supreme court to administer

the courts of this state and to establish duties for the clerk of the superior court in

each county by rule. A.R.S. § 41-1339 requires superior court clerks to transfer

permanent files to the Director of the Arizona State Library Archives and Public

Records (ASLAPR) at the end of their prescribed retention period, pursuant to court

rules. Rule 29, Rules of the Supreme Court requires the court to adopt retention and

disposition schedules and purge lists for court records.

C. Retention and disposition schedule. Clerks shall retain and dispose of superior

court records according to the following schedule:

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

1. COURT CASE FILES

Case records designated for retention for a

period of “50 years (for cases filed after

1959)” must be transferred to the state

archivist for permanent storage and not

destroyed at the end of the 50 year retention

period. For example, in the year 2011, a civil

malpractice case record filed in 1960 must be

transferred to the state archivist.

Case records designated for retention for a

period of “Permanent (for cases filed prior to

1960)” may be either retained in the custody

of the clerk of court or transferred to the state

archivist and not destroyed. For example in

the year 2011, a civil malpractice case record

filed in 1959 may be transferred to the state

archivist or retained by the clerk at the

clerk’s discretion.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

a. Civil – General

Includes:

- Administrative review

- Contract

- Declaratory judgment

- Department of Economic

Security (DES) instant

judgment

- Eminent domain

- Foreign judgment

- Habeas corpus

- Malpractice

- Name change

- Non-general stream

adjudication water rights

- Quiet title

- Restoration of civil rights

- Special action appeal

- Tax appeal

- Tort general (all non-motor

vehicle)

- Transcript of judgment

- Other unspecified non-

domestic relations civil case

categories

50 (for cases

filed after

1959)

__________

Permanent

(for cases

filed prior to

1960)

Retention period begins following the year

filed.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

period required by this section, transfer these

court records to ASLAPR for permanent

retention.

These files shall not be purged.

Microfilming is allowed at any point after the

case is closed. (See subsection D).

___________________________________

These files shall not be purged.

Microfilming is allowed at any point after the

case is closed. (See subsection D).

(4) Dismissed Domestic Relations

Cases -- with or without

children

50 (for cases

filed after

1959)

Retention period begins following the year

filed.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

__________

Permanent

(for cases

filed prior to

1960)

period required by this section, transfer these

court records to ASLAPR for permanent

retention.

Purging and microfilming are allowed at any

point after the case is closed. (See subsection

D).

___________________________________

Purging and microfilming are allowed at any

point after the case is closed. (See subsection

D).

(5) Orders of

Protection/Injunctions Against

Harassment

5 Retention period begins following the year

filed.

Case file may be destroyed.

Microfilming and/or transfer to ASLAPR not

required.

(6) Demand for Notice (including

non-case specific filings, i.e. –

Arizona Health Care Cost

Containment System

(AHCCCS) clients who have

died)

2 After date received.

Document may be destroyed.

(7) Mental Health

50 (for cases

filed after

1959)

Retention period begins following year filed.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

period required by this section, clerks shall

transfer these court records to ASLAPR for

permanent retention.

Not authorized for purging.

Microfilming is allowed at any point after the

case is closed. (See Subsection D).

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

___________

Permanent

(for cases

filed prior to

1960)

___________________________________

Not authorized for purging.

Microfilming is allowed at any point after the

case is closed. (See subsection D).

(8) Probate

Includes:

- Conservatorship

- Combination

Conservatorship/Guardian-

ship

- Guardianship (adult and

juvenile)

- Adult adoptions

- Non-case specific filings

100 (for

cases filed

after 1959)

_________

Permanent

(for cases

filed prior to

1960)

Retention period begins following the year

filed.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

period required by this section, clerks shall

transfer these court records to ASLAPR for

permanent retention.

Not authorized for purging.

Microfilming is allowed at any point after the

case is closed. (See Subsection D).

___________________________________

Not authorized for purging.

Microfilming is allowed at any point after the

case is closed. (See subsection D).

- Probate vouchers and

receipts

5 After fiscal year received or after final annual

accounting.

Destroy without microfilming. Refer to Rule

94(h)(2), Rules of the Supreme Court.

(9) Abortions

Retain and dispose in accordance with court

order.

(10) General Stream Adjudication

(a) Contents of the case file, including

but not limited to:

Permanent Not authorized for purging.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

- statement of claimant

- exhibits

- written hearing transcripts

These records are to be permanently

maintained by the clerk. Rule 94(h), Rules of

the Supreme Court, allows the destruction of

original permanent records after

microfilming. Microfilming is allowed five

years after the year filed.

After microfilming, the clerk shall

automatically transfer the original records to

ASLAPR as historically significant records.

(b) Office of the Special Master The office of the special master shall classify,

label, and purge the following records before

transferring them to the clerk.

- Historical materials

- Public information materials

- Case management and

procedures

- Non-Rule 53 Special Master’s

reports

Permanent Not authorized for purging by the clerk.

These records are to be permanently

maintained by the clerk. Rule 94(h), Rules of

the Supreme Court, allows the destruction of

original permanent records after

microfilming. Microfilming is allowed five

years after the date they are received by the

clerk.

After microfilming, the clerk shall

automatically transfer the original records to

ASLAPR as historically significant records.

- Appellate proceedings

- Legislative materials

- Legal research materials

- Special Master’s rules

25 After the date they are received by the clerk.

The records may be microfilmed five years

after they are received by the clerk. Rule

94(h), Rules of the Supreme Court, allows

the destruction of original permanent records

after microfilming.

Transfer to ASLAPR not required.

- Administrative, financial,

human resource records

- Retain and dispose in accordance with the

applicable sections of this schedule.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

(11) Transcripts and Depositions (all

case categories)

_ These materials are part of the case file and

accordingly follow the retention period

established for the civil case type in which

they were prepared.

b. Criminal –

(1) General

(excluding capital felony cases)

50 (for cases

filed after

1959)

_________

Permanent

(for cases

filed prior to

1960)

Retention period begins following the year

filed.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

period required by this section, clerks shall

transfer these court records to ASLAPR for

permanent retention.

Criminal history records produced by DPS

and filed with the Superior Court may be

destroyed without microfilming 30 days after

sentencing provided no appeal filed, or 30

days following appellate court ruling.

Microfilming is allowed pursuant to Rule

28.1, Rules of Criminal Procedure, and

purging is permitted on a very limited basis

(See subsection D).

____________________________________

Microfilming is allowed pursuant to Rule

28.1, Rules of Criminal Procedure, and

purging is permitted on a very limited basis

(See subsection D).

(2) Capital Felony Cases Permanent Not authorized for purging.

As provided by Rule 29, Rules of the

Supreme Court, clerks shall transfer these

records to ASLAPR for permanent retention

100 years after the date of conviction.

Microfilming is allowed pursuant to Rule

28.1, Rules of Criminal Procedure.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

(3) Transcripts and depositions (all

case categories)

- These are part of the case file and

accordingly follow the criminal case type

retention time frame.

c. Juvenile (confidential, A.R.S. Title

8, Chapter 1)

(1) Adoptions, including pre-

adoption certifications, motions

for birth parent expenses and

sealed adoption materials

100

Following the granting, denial, dismissal or

expiration of the matter as to all children.

The juvenile court may authorize the

microfilming of these cases.

At end of retention period, all files, records,

reports and other documents in possession of

the court relating to the adoption must be

transferred to ASLAPR. Reference A.R.S. §§

8-116 and 121.

(2) Abortions - Microfilm and dispose in accordance with

court order.

(3) Delinquencies (includes

citations, juvenile orders of

protection, injunctions against

harassment, incorrigibility and

sealed delinquency materials)

After satisfaction of A.R.S. § 8-349 or

following juvenile’s 30

birthday, A.R.S. §

13-912.

Microfilm and dispose in accordance with

court order. The juvenile court may

authorize the microfilming or destruction of

these cases or orders of protection

/injunctions against harassment issued

pursuant to A.R.S. § 13-3602.

(4) Dependency (includes Indian

Child Welfare Act Cases. Also

includes sealed dependency

materials)

100 (for

cases filed

after 1959)

From date of dismissal as to all children.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

period required by this section, clerks shall

transfer these records to ASLAPR for

permanent retention.

Microfilm and dispose in accordance with

court order.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

_________

Permanent

(for cases

filed prior to

1960)

___________________________________

Microfilm and dispose in accordance with

court order.

(5) Severance (includes

relinquishments and sealed

severance materials)

100 (for

cases filed

after 1959)

__________

Permanent

(for cases

filed prior to

1960)

From date of granting, denial, dismissal or

expiration of the matter as to all children.

As provided by Rule 29, Rules of the

Supreme Court, at the end of the retention

period required by this section, clerks shall

transfer these records to ASLAPR for

permanent retention.

The juvenile court may authorize the

microfilming or destruction of these cases.

____________________________________

The juvenile court may authorize the

microfilming or destruction of these cases.

(6) Juvenile traffic and other

violations

- After child reaches age nineteen.

Microfilming and/or transfer to ASLAPR not

required.

Violation document may be destroyed.

(7) Juvenile case exhibits (applies

to all juvenile case categories)

- May be disposed following dismissal,

disposition or final appellate ruling, or the

Juvenile Court may otherwise authorize

release or destruction of these exhibits in

accordance with applicable provisions of the

code of judicial administration,

administrative order, court rule, or statute.

(8) Juvenile case transcripts and

depositions (all juvenile case

categories)

- These are part of the case file and

accordingly follow the juvenile case type

retention time frame.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

The Juvenile Court may authorize earlier

destruction.

d. Lower Court Appeals - Civil or

Criminal

(1) Remanded civil cases - After satisfaction of Rule 12(c), Superior

Court Rules of Appellate Procedure – Civil.

(2) Remanded criminal cases - After satisfaction of Rule 12, Superior Court

Rules of Appellate Procedure – Criminal.

(3) Remanded case transfer index

(and associated remand minute

orders)

5 Following the date of the remand order.

Case file may be destroyed.

(4) All other categories (including

city court cases)

- Refer to Rule 12, Superior Court Rules of

Appellate Procedure – Civil and Criminal for

disposition.

(5) Photocopies of remanded cases - After reference value served.

Copies may be destroyed.

(6) Trial De Novo See Rule 30, Rules of Criminal Procedure.

- Criminal traffic and

criminal non-traffic, civil

traffic and civil non-traffic

5 After dismissal, final order, judgment or

stipulation.

e. Grand Jury Records

(1) Empanelment documents 5 After panel dismissed. Retention period starts

at end of empanelment term.

Empanelment documents may be destroyed.

(2) Minutes of grand jury votes 1 From date of minutes.

Minutes may be destroyed.

(3) Court reporter notes

(a) Where a no true bill issued

10 From date of proceeding.

These notes normally will not have been

transcribed, since in these matters no

indictment is issued.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

(b) Where a true bill is issued - See section 2, Official Court Records

(below). Court reporter notes must be

transcribed in any grand jury proceeding

from which an indictment is issued pursuant

to A.R.S. § 21-411 and Rule 12.8(c), Rules of

Criminal Procedure.

(4) No true bill/admonitions/

readings/dismissed/

miscellaneous documents

1 From date of document or dismissal.

Document may be destroyed.

f. Miscellaneous Filings

(1) Administrative orders 10 From date of issue. Provide copy to the

current presiding judge for evaluation and re-

issue, if contents of order are still valid.

Transfer original or microfilm of these

records to ASLAPR for permanent retention.

(See section 6.d. Presiding Judge business

papers, below)

(2) Landmark cases Permanent See subsection F, Historically Significant and

Landmark Cases.

Case file shall be maintained intact, if not

already purged at time of designation.

Microfilming is allowed, but original paper

file shall be transferred to ASLAPR, if

available, at end of retention period

applicable to the case type.

(3) Historically Significant Cases Permanent See subsection F, Historically Significant and

Landmark Cases.

Case file shall be maintained intact, if not

already purged at time of designation.

Microfilming is allowed, but original paper

file should be transferred to ASLAPR if

available, at end of retention period

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

applicable to the case type.

(4) "Sealed by Order of the Court"

records

- Retain and dispose in accordance with

applicable case type.

(5) Special Warrants

- Confidential Wire Taps 1 Retention period begins following year filed.

Return to prosecutor. Confidential. See

A.R.S. § 13-3918.

- Pen Registers 1 Retention period begins following year filed.

Return to prosecutor or other responsible

agency.

(6) Other (Search Warrants,

Trap and Trace, Handwriting

Exemplars)

1 Retention period begins following year filed.

See A.R.S. § 13-3918.

2. OFFICIAL COURT RECORD

(including electronic recordings of

proceedings)

a. Criminal -- non-capital cases. These

records include all verbatim records

of proceedings held in a non-capital

criminal case including grand jury,

writs of habeas corpus and all other

criminal matters.

In cases where defendant is tried in absentia

or where defendant fails to appear for

sentencing, court reporter notes must be

transcribed.

(1) Court reporters’ notes (paper

or electronic)

10 The retention period begins after the date

notes taken.

(2) Other electronic recordings of

proceedings

10 After the date proceeding recorded.

b. Criminal – capital cases. These

records include all verbatim records

of proceedings held in a capital

case, including grand jury and writs

of habeas corpus

(1) Court reporters’ notes (paper

or electronic)

50 The retention period begins after the date of

sentencing.

(2) Other electronic recordings of 50 After the date of sentencing.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

proceedings

c. Juvenile (confidential, A.R.S. § 8-

120)

(1) Court reporters’ notes (paper

or electronic)

10 After the date notes taken.

(2) Other electronic recordings of

proceedings

10 After the date proceeding recorded.

d. Non-criminal

(1) Court reporters’ notes (paper

or electronic)

5 After the date notes taken.

(2) Other electronic recordings of

proceedings

5 After the date proceeding recorded. Rule

43(k), Rules of Civil Procedure, or local rule,

whichever retention period is shorter.

3. EXHIBITS

a. Civil (includes domestic relations,

probate, mental health, arbitration

and other civil case types)

- Following dismissal, disposition or final

appellate ruling.

Retain, return, or destroy in accordance with

court order.

- With ordered disposition - After satisfaction of court order.

- Without ordered disposition 30 days After mailing notice to responsible parties to

claim evidence. (Case must be 30 days post-

adjudication and not on appeal.) Rule 94(h),

Rules of the Supreme Court.

b. Criminal

- With ordered disposition - After satisfaction of court order.

- Without ordered disposition - After satisfying Rule 28.1, Rules of Criminal

Procedure.

4. RECORDS CREATED OR

RECEIVED BY CLERK'S OFFICE

a. Bail Bondsmen affidavits 3 After termination of privileges pursuant to

Rule 7.1(f), Rules of Criminal Procedure.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

b. Dockets and computerized records

created in compliance with Rules

94(c) and 94(g), Rules of the

Supreme Court

- After reference value served.

- Indices or dockets and registers

of action (if used as indices)

Permanent

c. Correspondence concerning copies

of records and information

- After reference value served.

d. Criminal or civil cash bonds 3 After exonerated.

e. Fingerprint cards (administrative

purposes)

- Return to prosecutor or other responsible

agency.

f. Marriage affidavits Permanent Destroy after microfilming.

g. Marriage licenses/certificates Permanent Destroy or mail to couple after microfilming.

h. Notary affidavit applications and

bonds

- After expired.

i. Powers of attorney to write bonds - After expired or revoked.

j. Process server applications 4 After expired or new application received.

k. Process server investigations/

sanctions

4 After completion.

l. Public officials financial disclosure

statements

3 After filed. Refer to A.R.S. §§ 38-541

through -545.

m. Wills filed in accordance with

A.R.S. § 14-2901(Laws 1973),

repealed 1984

90 From the date of the will’s creation.

5. COURT FINANCIAL RECORDS

(original and electronic records)

a. Banking records – All 3 After fiscal year prepared or received.

b. Cash books and supporting records

for non-bond accounts (includes

receipts and distribution recordings)

3 After fiscal year prepared or received.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

c. Cash books and receipts for bond

trust accounts

5 After fiscal year prepared or received.

d. Child support payment records 5 After fiscal year of payment and satisfaction

of arrearages.

e. Child support enforcement

(including IV-D cases)

- Computer program conversion

data

3 After fiscal year conversion of hardware and

software completed. 45 C.R.F. § 74.53

- Individual computerized files 3 After fiscal year of payment and satisfaction

of arrearages. 45 C.F.R. § 74.53

f. Court payment orders (visiting

judges, court reporters, law library,

attorney fees, etc.)

3 After fiscal year paid.

g. Expense accounting records 3 After fiscal year paid.

h. Financial summary reports

- Budget – operational 3 After fiscal year prepared.

- Monthly budget reports 3 After fiscal year prepared.

- Quarterly or annual reports 5 After fiscal year prepared. Evaluate for

further retention.

- Other financial reports 3 After fiscal year prepared.

i. Journal entries for restitutions,

fines and reimbursements

3 After fiscal year of payment and satisfaction.

j. Juror vouchers 3 After fiscal year prepared.

k. Minimum accounting standards

reports

3 After prepared.

6. COURT ADMINISTRATION

a. Calendars - After reference value served.

b. Records of visiting judges 3 After fiscal year prepared.

c. Court visitor (investigator) files 10 After prepared. Reference A.R.S. § 14-5303

d. Former Chief Presiding Judge - After satisfaction of term. Arrange transfer to

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

business papers. This records series

consists of records generated by

presiding judges to provide guidance,

direction and/or general information

related to the administration or non-

case related business operations of the

court. Business papers include general

correspondence and administrative

orders.

ASLAPR.

These records may be sent to ASLAPR at the

discretion of the presiding judge, clerk of

court, or court administrator.

7. ADMINISTRATIVE RECORDS

a. General correspondence - After reference value served.

b. Employee time sheets (official

copies at county finance)

- After reference value served.

c. Statistical reports 5 After prepared. Evaluate for further

retention.

8. JURY COMMISSIONER

RECORDS

Lists generated in accordance with A. R. S.

Title 21, Chapters 3 and 4.

a. Master jury list - Destroy after new list created in accordance

A.R.S. § 21-301.

b. Master jury file - Destroy after new list created. Reference

A.R.S. § 21-312.

c. Juror questionnaires 90 days After receipt. Ref. A.R.S. § 21-314(B).

d. Other juror lists (panels, pools, and

other records)

- Juror records containing

financial information

3 years After fiscal year prepared.

- Non-financial juror records - After reference value served.

9. COJET RECORDS

As required

by COJET

Reference Administrative Guidelines for

Judicial Education in Arizona.

10. HUMAN RESOURCE RECORDS

a. Applicant medical certification

form

After termination for employees, or 2 years

from date of application for non-employees.

b. Background investigations 5 After termination.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

c. Classification/re-class of positions 3 After request is acted on.

d. Criminal history background

checks

- No finding 6 mos. After fiscal year prepared.

- Finding 1 After fiscal year prepared.

e. EEOC-4 including background

information

2 After prepared.

f. Employee medical files/ exposure

records and pre-employment

physicals

After termination (20 C.F.R. § 1910.20).

These records must be retained separately

from the employee personnel file.

g. Official employee personnel files 5 After termination.

h. Employee supervisor files 6 mos. After termination/transfer.

i. Employment eligibility verification

form I-9 (proof of legal residency in

U.S.A.)

3 After employee termination but not less than

3 yrs after date of hire (8 C.F.R. § 274a.2).

j. Grievance/appeals and supporting

documentation

3 After resolution.

k. Hiring documents, including

application, selection promotion

and interview records

2 After calendar year received or prepared (29

C.F.R. § 1602.31).

l. Judicial certifications 3 After filed.

m. Layoff/reduction in force (RIF)

documents, including computation

documents and recap summary)

5 After layoff or RIF is complete.

n. Occupational safety and health

records, including workers’

compensation accident reports and

annual summaries

5 After calendar year reported. (29 C.F.R. §

1952.4).

o. Payroll deduction records 3 After fiscal year created.

p. Position descriptions 3 After superseded or abolished.

q. Psychological evaluations for 5 After termination for employees, or 2 years

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

applicants from date of application for non-employees.

r. Psychological evaluations for

employees who are applying to

carry firearms

5 After termination of employment.

11. PRETRIAL SERVICES RECORDS

Case supervision files 1 After case disposition.

12. ADULT PROBATION RECORDS

a. Case files 3 After expiration or termination of probation.

b. Intensive Probation Supervision

(IPS) financial records

3 After program completion or termination.

c. Progress and activity reports 2 After fiscal year prepared.

d. Work furlough records

- Case management files 1 After program completion or termination.

- Financial records 3 After program completion or termination.

13. JUVENILE PROBATION

RECORDS

a. Juvenile social files 18

birthday Rule 19(A)(2), Rules of Procedure for the

Juvenile Court.

b. Juvenile dependency files 18

birthday A.R.S. § 8-349 (For court case files see

section (1)(c) of this schedule.)

c. Reports and studies

- Detention 5 After fiscal year prepared.

- Program Services 5 After fiscal year prepared.

- Probation 5 After fiscal year prepared.

- Admin. Services 5 After fiscal year prepared.

- Intake 5 After fiscal year prepared.

- Caseload Printout 5 After calendar year prepared.

d. Juvenile Treatment Services Fund 5 After fiscal year prepared.

ARIZONA SUPREME COURT

Records Retention and Disposition Schedule

FOR USE BY SUPERIOR COURT

Type of Record Retain (Yrs) Remarks

(JTSF) records (checking account

with original copy retained by

supreme court)

e. Probation records (working files

including psychiatric/psychological

evaluations and probation officer

reports)

After fiscal year prepared.

- Non-adjudicated juveniles 45 days After 18th birthday.

- Remanded juveniles 45 days After 25

birthday.

- Adjudicated juveniles (without

criminal records)

45 days After 25

birthday.

- Adjudicated juveniles (with

criminal records)

45 days After ordered by the court per A.R.S. § 8-

349.

D. Case File Purge Procedures. This list identifies records that can be removed and

destroyed from civil, domestic relations, and criminal case files before microfilming.

For other types of case files, the determination of what to retain and what to purge

after microfilming is left to the discretion of the local court. Destruction of original

records is subject to notification requirements of ASLAPR. The method used to

destroy records is at local court discretion, however, confidential and sealed records

shall be destroyed by shredding, burning, or other means that will obliterate the

records.

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

For the purposes of this purge list, civil cases are defined as case files that are not domestic relations,

probate, mental health, tax appeals, criminal, or juvenile.

When a civil case is closed, whether by judgment, dismissal or settlement, and all appeals deadlines have

passed, the case is “no longer subject to modification,” pursuant to Arizona Supreme Court Rule 94(h),

and is eligible for purging. The documents listed herein can be purged (removed) from the file and

destroyed before microfilming the file content.

All tagged exhibits must be processed in accordance with the Rules of Civil Procedure.

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

AFFIDAVIT COMPLAINT

Ë Relating to discovery matters

Ë Initial

NOTICE OF:

Ë amended

Ë Appointment of auditor/receiver

SUMMONS

Ë Appearance

ACCEPTANCE AND RETURN OF

SERVICE

Ë Appointment of special process server

CROSS CLAIMS

Ë Association of counsel

COUNTER CLAIMS

Ë Change of judge

INTERVENORS

Ë Delinquent briefs

JOINDER OF ADDITIONAL PARTIES

Ë Deposition

INTERPLEADER

Ë Disclosure

AFFIDAVITS

Ë Filing foreign judgment and affidavit

Ë Keep all affidavits except those relating to

discovery matters

Ë Filing of reporter=s transcript of evidence NOTICES

Ë List of witnesses and exhibits

Ë Of appeal

Ë Sheriff=s sale

Ë Of voluntary discovery

Ë Trial date

Ë Of filing of bankruptcy

Ë Witnesses Ë Of publication

Ë Receipts (unless return of service of process is

indicated)

Ë Of seizure of vehicles

Ë Acceptance of offer of judgment

REQUEST/PETITIONS/DEMANDS

Ë Offer of judgment Ë for writ of assistance and order

Ë Settlement Ë intervenor

Ë Withdrawal of answer

ANSWERS/RESPONSES

Ë Appointment of guardian ad litem

Ë to complaint, initiating action

Ë Dismissal

REPLIES TO COUNTER CLAIMS

MOTIONS FOR:

THIRD PARTY ACTIONS

Ë Accelerated hearing/trial date

STIPULATIONS/CONSENT

Ë Change of venue

Ë of dismissal

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

Ë Leave to exceed page limitation

Ë keep all judgments and orders even if they

are attached to documents that are on the

discard list

Ë Pretrial discovery/disclosure

Some examples of judgments and orders

Ë Summary judgment

Ë declaratory judgment

Ë Directed verdict

Ë default judgments

Ë New trial

Ë dismissals

Ë Additional disclosure

Ë final order in condemnation

Ë Failure to join party

Ë release of judgment

Ë More definite statement

Ë relief from judgment or order

Ë Reargument

Ë special verdicts

Ë Voir dire examination

Ë findings of fact, conclusions of law

Ë Judgment

Ë judgments against garnishee

Ë Sanctions

Ë in forcible detainer

MOTIONS TO:

Ë arbitration award

Ë Dismiss (i.e., for lack of jurisdiction, insufficiency

of process, failure to state claim, etc.)

Ë order for name change

Ë File delayed appeal

Ë judgments

Ë Quash/prevent issuance of subpoena

Ë verdicts

Ë Stay proceedings

Ë order for joinder

Ë Transfer

Ë minute entries that contain the words

"ORDER" or "IT IS ORDERED" or

similar statements

Ë Waive applicable time limits

WRITS

Ë In limine

RETURN OF

Ë Consolidate

Ë receipts for exhibits or evidence

Ë Enlarge time for answer

Ë registered mail receipt cards or letters

Ë Quash warrant/writ

SATISFACTION OF

Ë Withdraw default/default judgment

Ë judgment

Ë Compel discovery

Ë judgment against garnishee

Ë Extended time limits within which to file pre-trial

Ë partial satisfaction of amended judgment

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

motions

Ë Release bond

BOND/DEPOSITS

Ë Set trial

Ë except if there is an indication that the

bond is exonerated

Ë Suppress

APPELLATE MANDATE

Ë Vacate conference/hearing

ACCEPTANCE OF SERVICE

Ë Demurrer to complaint

SUPREME COURT MANDATES

Ë Amend complaint

MINUTE ENTRIES THAT INCLUDE

COURT ORDERS

Ë Continue

EXHIBITS DISPOSAL PROCEDURES

Ë Exonerate bond

Ë Strike

Ë Withdraw counsel

REQUEST/PETITIONS FOR:

Ë Jury trial

Ë Production

Ë Trial

Ë Intervenor

Ë Writ of assistance and order

Ë Leave to file cross-claim

Ë Appointment of private process server

Ë Pre-trial conference

Ë Transcript

Ë Admit

Ë Admission

Ë Relief for judgment or order

APPLICATIONS FOR:

Ë Attorney fees

Ë Certification of interlocutory appeal

Ë Confirmation of arbitration award

Ë Continuing lien on non-exempt earning

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

Ë Special juries

Ë Supplemental proceeding and order

Ë Garnishment

ANSWERS/RESPONSES TO:

Ë Demand for early trial date

Ë Motion to continue

Ë Motion to demand jury trial

Ë Motion to extend time to file motions

Ë Motion to file delayed appeal

Ë Motion to preserve evidence

Ë Motion to suppress

Ë Notice of change of judge

Ë Request for production

Ë Motion for sanctions

Ë Motion to dismiss

Ë Application for certification of interlocutory

appeal

Ë Garnishment

Ë Interrogatories

Ë Motion for new trial

REPLIES TO:

Ë Responses to demand early trial date

Ë Responses to motion to demand jury trial

CERTIFICATES:

Ë Controverting certificates

Ë Of appointment

Ë Of readiness

Ë Of discharge of notice of lis pendens

STIPULATION/CONSENT:

Ë Settlement agreement

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

Ë To extend time

Ë For substitution of counsel

Ë To substitution of parties

JUDGMENTS/ORDERS:

Ë Executed or quashed body attachments/civil arrest

warrants

RETURNS:

Ë Sheriff=s return on execution

Ë Of writs

Ë Of sale of personal property under Special

Execution and Order of Sale

BONDS/DEPOSITS:

Ë Bond attachment

Ë Exonerated bond

STATEMENTS OF FACT/BRIEFS:

Ë Statement of Fact

Ë Brief schedule

Ë Briefs

FINANCIAL RECORDS:

Ë Bookkeeping record

Ë Credit memo (e.g., paid answer, appellee fee, cost

bond, etc.)

CLERK OF COURT WORK SHEETS:

(E.g., for arguments, office/pre-trial conference,

trials, evidentiary hearings, etc.)

CORRESPONDENCE:

(E.g., letters of transmittal, confirmation of dates,

rescheduling problems, etc.)

Depositions

Disclaimer of Process Server

Documents

CIVIL CASE FILE PURGE LIST

Documents to be Discarded

Documents to be Retained

Impeachment Envelopes and Contents

Interrogatories

Medical Records

Letters/Memoranda

Proposed Jury Instructions/Prayers

Statement of Costs and Notice of Taxation of Costs

Subpoenas

Transcripts:

(Except default hearing transcripts)

Justice Court Docket Page

Superior Court Appeals Index

Minute Entries That Are Not Orders:

(i.e., that do not contain wording Ait is

ORDERED…")

Satisfaction of Judgment for Jury Fees

DOMESTIC RELATIONS CASE FILE PURGE LIST

Domestic Relations cases include Civil Paternity, Dissolutions, Divorce, Domestic Custody, Domestic

Relations, Domestic Violence, Reciprocal Divorce, Support Enforcement, and other Unspecified

Domestic Relations cases.

Case Disposition Type

Documents to be Retained

(a) Dismissed cases (of all documents except those

listed here are eligible for purging)

_________________________________________

(b) Domestic Relations cases that did not end in

dismissal

- Initial petition

- Final order of dismissal

_________________________________________

Retain file contents intact, do not purge

CRIMINAL CASE FILE PURGE LIST

Case Disposition Type Documents to be Retained

(a) Cases ending in acquittal of all defendants or

dismissal of all defendants (all documents except

those listed here are eligible for purging)

___________________________________

(b) Cases not ending in acquittal or dismissal of all

defendants

- Initiating document (i.e. initial indictment,

complaint and information sheets)

- Verdict (for acquittals)

- Judgment/order or minute entry of

dismissal/acquittal

___________________________________

Retain file contents intact, do not purge

E. Transfer of Records to Arizona State Library, Archives and Public Records.

Clerks shall comply with the following procedures for transfer of records to

ASLAPR:

1. Records to be archived. For purposes of this schedule, all superior court records

that have a retention period of fifty or more years shall be transferred from the

clerk of court to the Archives Division of the Arizona State Library, Archives,

and Public Records (ASLAPR) for permanent storage at the end of the retention

period. To assist courts with inadequate file storage facilities, ASLAPR will

accept records for archiving that are within five years of the end of their retention

period.

2. Format of records. Until national standards for the long-term preservation of

electronic records are in place, records transferred shall be in either paper or

microfilm format. The film negatives of microfilmed records, if available, shall

be sent to ASLAPR. If not available, ASLAPR will accept the use/diazo copy. If

a film negative is transferred, the clerk may request a copy from ASLAPR in the

event the clerk has retained a use/diazo copy that has become unusable due to

physical deterioration. Prior to microfilming and purging paper records, the clerk

shall notify the ASLAPR as required by Rule 29(E), Rules of the Supreme Court

(“destruction notice”).

3. Indexing and packaging. Each record transfer shall be accompanied by a master

index that identifies the cases being transferred by case number, initial caption,

filing date, case type, and county. Identification of any historic or landmark cases

shall also be noted on the index. The recommended means of packaging records

for transfer to ASLAPR is:

• an acid-free cardboard carton with the following dimensions:

18x15x12, although other types and sizes of cartons will be accepted.

• records boxed in an upright position with file tabs easily visible.

4. Transfer notice and scheduling delivery. Each time records are transferred for

permanent archiving, the record custodian shall complete the “Agreement to

Transfer Records” form available on the ASLAPR website. Delivery and transfer

of legal custody of records to the ASLAPR shall be done in accordance with

processes established by ASLAPR. ASLAPR will charge no fees in connection

with pickup, delivery and maintenance of permanently- archived court records.

5. Frequency of transfer. ASLAPR will accept records from the same county up to

four times a year.

F. Historically Significant and Landmark Cases. Clerks shall comply with the

following procedures for designating and archiving historically significant and

landmark cases:

1. Designation of historically significant cases

a. Purpose. Certain cases filed in Arizona courts may be identified as historically

significant because of the unique legal issue or controversy involved, the

prominence of one or more of the parties to the action, or because of other

high profile or newsworthy reasons. When there is reason to believe that a

case falls into this category, the following procedures shall be observed to

ensure these records are maintained for historical purposes, rather than

destroyed under the term found in the records retention schedule.

b. Procedure for designating an historically significant case. A motion to

designate a case as historically significant shall be filed either by a member of

the public or on the court’s own motion. The motion shall identify one or

more reasons for designating the case as historical.

c. Processing and archiving. The motion requesting historical case designation

shall be filed prior to the transfer of the case file to ASLAPR. The clerk shall

file the original order granting or denying the motion for historical case

designation in the case file. The presiding judge or justice of the peace shall

decide the motion. If the motion is granted, the clerk shall transfer the

original intact case file, if any, and the microfilm, if any, to ASLAPR for

permanent retention in accordance with the applicable schedule.

Identification of the case as historically significant shall be prominently noted

on the master index transferred along with the case file to the ASLAPR.

2. Designation of landmark cases

a. Identifying landmark cases

(1) The following factors shall be considered in deciding whether a case is a

landmark case:

(a) The frequency with which the case has been cited;

(b) Whether the case has been designated as historically significant;

(d) Whether the case affected a large portion of the community and was

controversial;

(e) Whether the case is generally viewed by the community as important;

(f) Whether the case involved a famous or notorious individual or was the

subject of a well-known book or feature film; and

(g) Any other factor considered relevant.

(2) Any case that has been the subject of a published opinion of the United

States Supreme Court shall be designated as a landmark case.

b. Procedure for designating a landmark case.

(1) The Arizona Historical Records Advisory Board shall designate landmark

cases eligible under section (F)(2)(a)(1) in consultation with a committee

convened by the Board for this purpose. The committee shall consist of

Board members, retired appellate court judges or justices, law professors,

historians, or other like persons who have objective, informed views about

the long-term significance and effect of eligible published appellate

opinions. The committee shall meet periodically to review all published

appellate opinions no less than five years and no more than nine years

after they are issued to determine which cases should be designated as

landmark cases.

(2) No more than ten years after the opinion was issued, and with the Board’s

approval, the Director of the Division of Arizona History and Archives

shall provide written notice of landmark designation to the clerk of the

superior court in the county of origin, the clerk of the appropriate division

of the court of appeals, and the clerk of the supreme court who shall apply

the process for landmark case file processing contained in retention and

disposition schedules applicable to their respective courts.

(3) Landmark designation under subsection (1)(B) herein shall be made by

the clerk of the superior court in the county of origin.

c. Processing and archiving. The landmark case designation shall be made prior

to the transfer of the case file to the Arizona State Library and Archives. The

clerk shall file the original notice of designation in the case file. If the case

file has not yet been purged, the clerk shall transfer the original intact case file

and microfilm, if any, to the Arizona State Library, Archives and Public

Records for permanent retention in accordance with the applicable schedule.

Identification of the case as a landmark case shall be prominently noted on the

master index transferred along with the case file to the ASLAPR.

Adopted by Administrative Order 2006-29 effective March 21, 2006.