Records Management Policy Introduction
It is the policy of the Company to accommodate the timely storage, retrieval, and disposition of records created, utilized, and maintained by the various departments. The period of time that records are maintained is based on the minimum requirements set forth in State and Federal retention schedules.
1. Role of Retention Center
The role of the Retention Center is to receive, maintain, destroy, and service inactive records that have not met their disposition date. Each business unit is to establish schedules to comply with the minimum amount of time records should be maintained in compliance with State and Federal guidelines. Retention requirements apply whether or not the records are transferred to the Retention Center. Copies of the schedules must be maintained by the business unit and available for
inspection.
2. Role of Records Manager
The role of the Records Manager is to administer the Records Management program. The Records Manager is well acquainted with all records and/or record groups within an agency and has expertise in all aspects of records management. The duties of the Records Manager include planning, development, and administration of records management policies. These duties also include the annual organization-wide inventory of all information assets to be conducted by the business unit manager with reports sent to the Records Manager.
3. Role of Management Personnel
Management Personnel are responsible for records under their control. 4. Role of Departmental Records Coordinator
The Departmental Records Coordinator is to be a liaison between the department and the Retention Center. It is recommended that each department appoint a Records Coordinator in writing. The letter of appointment should include the Records Coordinator’s full name, department, and telephone extension. The letter should be forwarded to the Retention Center and maintained on file. 5. Type of Documents Maintained in Retention Center
5.1 Record Retention accepts only public records that are referenced in the State Retention
Schedule, except student transcripts. Copies of student transcripts may be obtained from Records and Admissions located at the Student Service Center.
5.2 Record Retention does not accept personal, active, or non-records.
5.3 Record Retention stores only inactive and permanent records until final disposition
according to State and Federal retention schedules. Examples include personnel files, purchase orders, grade books, or surveys.
5.4 Record Retention receives and stores inactive permanent records from TVI departments until final disposition according to State and Federal retention guidelines.
5.5 Record Retention ensures records are classified according to State and Retention
guidelines.
5.6 Record Retention ensures records are tracked and entered into an electronic records
management software system that tracks record boxes, assigns retention schedules, permanent box numbers, destruction dates, and shelf locations.
6. Services
6.1 If a department has obsolete records that are deemed confidential or sensitive, or copies of non-records, a special request for shredding may be sent to the Record Retention Center. The records can be shredded by the Record Retention Center staff or transferred to the State Record Center for destruction.
6.2 Departments must complete a Request for Destruction form for confidential or non-records to be shredded. Departments are required to purchase forms from Central Stores at Shipping & Receiving.
6.3 The Record Retention Center provides consulting services to departments on filing systems and maintenance of records.
7. Transferring Records
7.1 Departments should transfer records in January, July, and October to Record Retention for storage.
7.2 Records with a retention period of two years or more should be transferred to Record Retention.
8. Record Retrieval
8.1 Records are retrieved and delivered to customers by request, given a 24hour notice. 8.2 Records can be retrieved for customers on an emergency basis, as requested.
8.3 Management personnel, the records coordinator, or the requester will sign for receipt of records. Records are to be checked out for no longer than 30 days. If a longer period is required, a written request should be sent to the Retention Center. If records are checked out for more than a year, the records will be permanently withdrawn from inventory. 8.4 Permanent Withdrawal: If a department wishes to withdraw a record permanently from
storage, forward a request to Record Retention by phone, fax, or inter-office mail. The department will complete a Withdrawal Request form and the records will be deleted from inventory
8.5 Second-Party Withdrawal: If a department requests a record originating from another department, then the requesting department must contact the department of origin to obtain authorization. The department of origin will contact Record Retention for records
withdrawal. The department requester must view the requested records at the Record Retention Center.
8.6 Records should not be returned via inter-office mail due to the confidential nature of the documents.
9.1 Record Retention destroys records in January, July, and October according to State guidelines.
9.2 Records are destroyed by Record Retention according to State and Federal guidelines when legal requirements are met. A Destruction Request form will be sent to the originating department for review and signature by the Departmental Records Coordinator and by management personnel. Only when the Destruction Request has been reviewed, signed, and returned to Record Retention will the expired records be destroyed. Authorized personnel will shred confidential records. If departments wish to keep the records past their assigned destruction date, management personnel can extend the date no longer than one year unless a litigation, audit, or investigation is pending. Records kept by the department past the retention date of destruction will be permanently withdrawn from inventory.
9.3 All records scheduled for destruction are reviewed by the Institute’s Records Manager and by State Records Analysts for approval.
10. Supplies
10.1 Records must be stored in the appropriate record retention boxes, which are obtained from Central Stores at Shipping & Receiving.
10.2 Storage Ticket forms and Request for Destruction forms are obtained from Central Stores at Shipping & Receiving.
In the section for Information Name/Description, it will be necessary to enter the information type. For example:
• Employee Records:
– Employee performance review records – Timecards
– Employee discipline documents – Pay records
– Medical records
• Group Administrative Records: – Monthly status reports – Yearly status reports – Yearly business objectives • Business Process Records:
– Purchasing contracts – Quarterly financial reports
– Project management tasks, schedules – Reference manuals
– Contract negotiations • Operations Information:
– Asset allocation – Trading activities