Policies and ProceduresRECORDS MANAGEMENT PROGRAM
POLICIES AND PROCEDURES
1. Inventory Procedures
Identifying Records
Record Series Title - A group of records filed together because they have similar
characteristics or because they perform functions. These records are usually arranged under a
single filing system or kept together as a unit because they relate to a particular subject, result
from the same activity or have a particular form. For example, equipment maintenance/repair
records perform a single function; they are operational records that reflect the allocation of
recourses to the routine upkeep of various equipment. These records may include various types
of information relating to repairs and maintenance, including work orders, dates, cost of parts,
cost of labor, etc.
Description - Identifies the record's purpose and function with regard to the agency's
operation. It indicates how the record is used and why it was created. The description should
contain any piece of information that would enable someone not familiar with the record series to
identify the record series and the contents of the files.
Inclusive Dates - It is important to determine the relevant date ranges to which those
records pertain when first identifying the records retained. This is necessary to ascertain if
records are being kept longer than required.
Volume - The volume required for records storage space can be considerable. When
the inclusive dates of a record series far exceed the requirements specified by a retention
schedule, an agency can realize significant savings when this volume of records is destroyed.
Space-saving often is the first benefit realized through the operation of an effective records
management program.
Retention - The retention requirements should be noted on the inventory form. If no
retention period exists for the record series, note the time period that the record series is
administratively active.
2. Establishing a Records Retention Schedule - A schedule describing the records
and setting the retention period is required for each record series or type of record. This
determines officially the MINIMUM length of time that the record series must be retained to meet
retention requirements.
General Records Schedules [GS1-L] Records Retention Schedule for Local Government
Agencies (Administrative)
2. Individual Records Schedules - are established when the agency submits a Records
Retention Schedule. Form LS5EIO5REffl-01, to the Bureau of Archives and Records
Management and receives approval authorization. Forms are available on the Bureau's website
http.//dhs.dos, st~te ,~i. us/barm. Once an official retention value has been established for a record
series, the records are eligible for disposal action when they have met the retention requirements.
The schedule remains effective until there is a change in series.
Objectives:
a) To describe the use and function of the record series;
b) To summarize important characteristics of the record series;
c) To identify records of permanent/archival value;
d) To identify vital records
e) To identify preservation problems
t) To identify regulatory or statutory retention requirements.
g) To establish reformatting requirements; and
h) To establish reasonable and appropriate retention periods
3. Completing the Records Retention Schedule (Form LSSEI05REff 01)
See attached form
'1. The block for schedule number in the upper right comer of the page is intended for
use by the originating agency. This is your tracking and audit trail number. Once assigned it
becomes your control ID number.
2. General Information
In the numbered spaces 1-5, the person completing the form should identify the
originating agency and the custodian of the record (name/telephone number) as well as the
contact person or an individual familiar with the record that is listed; usually the person
completing the form.
3. Record Series Information
Only one record series is allowed per form. The exact title of the record series should be
listed in space 6. Space 7 is where the record is described. It should include the purpose and
use of the record, including the inclusive dates, any audit requirements and other related
documentation. Specify if record is the mater, copy or duplicate. If it is a duplicate, indicate the
location of the original.
Vital Records -
Legal value means that the records may be used in or are often subject to litigation: or a
specific state or federal law regulates the length of retention.
Fiscal value - indicates that records are needed for audit purposes.
Administrative value reflects general office use.
4. Recommended Retention and Disposition
Space 9 is where agency will make their recommended retention for the record (master)
copy and for duplicates. Minimum time frame means that the record should be retained before it
is eligible for disposition. A fourth value, historical/archival, is reviewed and evaluated by the
State Archives staff.
State if record is microfilmed or scanned into an optical imaging system. The record copy
may be reduced to microfilm, optical disk or other media as long as the requirements of the rules
of the Florida Administrative Code, Rule 1B.26.003 and 1B.26.002'1 are met. A retention schedule
should be established for both the master and duplicates.
5. Authorization
Space '10 is filled out by the custodian of records or designee.
6. Official Record Series - for Department of State Use Only -
RETENTION PERIOD REQUIREMENTS
· Anniversary [years] - from a specific date
· Calendar- January- Dec 3~
· Fiscal - October- Sept 30th
OSA - Retain until obsolete, superseded or administrative value is lost
Specific - Life of structure, etc.
FACTORS INFLUENCING DISPOSITION OF RECORDS
a) Litigation
b) Public Records Request
c) Accreditation Standards
ARCHIVAL INFORMATION
Permanent retention/historical records (including administrative, legal or financial)
The first step local governments should take to formally begin the process of
records management is to pass an ordinance or resolution officially providing the
basis of operation of a records management and archives program. A resolution
demonstrates the local government's commitment to preserve its historical
records and emphasizes the importance of this activity to managers, employees
and the public.
Options:
1. Include identification, preservation and availability of archival records as a part
of the governments overall records-keeping process. This option requires the
records custodian or designee to care for the records from creation to disposal or
permanent retention. Office records are identified, scheduled and maintained in
the creating office and inventories are created to assist researches in using the
records.
2. Incorporate an archives program into a comprehensive records management
program. Record centers can be adapted to store archival records and staff can
receive basic archival and preservation training to handle the archival records.
3. Establish an independent archives program, including an archives building
and a staff of professional archivists.
4. Create a multi-governmental archival program where several local agencies
pool their resources to preserve and make available local historical records.