IM Toolkit Vol. 2-2011(7)

5.FilingClosing,StorageDestructionProcedures

a.RecordsActivityChanges

Whenrecordsareno longerreferencedfordailywork, theyaredeemedto be“inactive”or“semi-active”.This inactivetimeis providedintheRecords ClassificationandRetention schedule foreach subjectheading.– seeR5 – WhendoI removeRecords?

Check theabbreviations andtable atthebeginningoftheRecords ClassificationandRetentionScheduleto determinewhetherthis changeis basedon aspecific date,orbased on aspecific condition, suchasthecompletionof acontract.

Whenthis retentionconditionoccurs,thefiles areclosedandrecords areboxedup andremovedto storage. Therationaleforremovingthemis tofree upfilingspace, andensure theongoingaccessibility forthoserecords stillactively referencedforstaff work.

Usually,therearestillrequirements toretain the records, andso theinactiverecordsmustcontinue tobeaccessiblethroughindexes and availableifneeded.Consequently,controls arestill exercised overthese records,evenwhenthey arenotcloseathand.

b.Closing files

Records are closed at a logical time, likely at year end. For some records, a conditional retention is required, such as “retain until employment ceases”. In this case, the inactive state begins when the condition of employment is completed. When records are closed, a formal file closure notice or label is placed in the folder, and the folder is removed from the active file area.

c.Boxing and storing paper records

Tote boxes are used for records storage. These boxes hold 1.5 cubic feet of paper records. These boxes are strong, contain no glue, have handles and may be stacked in the storagespace.

Thefollowinginstructions forboxingrecords must befollowed,toenablerapidretrievalofstoredrecords,andalsoenablethe approveddisposal of records.Copies ofthe boxstorageform(alsoknowas the “recordstransfer”form,andbox label formareincludedattheend ofthis section.

• Pack filefoldersintothebox intheiroriginal filingorder,andwithotherrecordsofthesameretentionperiod.

• Whentheboxisfilled,complete aninventory listing(“records transferlist”)describingthecontents of thebox.

• The records managementstaff memberissues recordsstorage/transferforms,andalsoissues box numbers, sothat theboxesmay be identified,placed onshelving,andbe retrievedifnecessary.

• Three copies of theinventory/transferlist aremade.Onecopy goes into thebox, tobecome aninventory of contents.Thesecond copy stays withthedepartmentowningthe box.The thirdcopy goes intothemasterstoragebinderthat ismaintained bythe records management staff.

• When astoredfolderis required, staffmay referencetheirdepartmentalinventory listorconsultwiththerecordscustodiantodeterminewhat boxholds theinformation.

If norecords managementsoftwareapplicationisavailable,itisrecommended thatstaffcreate a spreadsheetwiththeinformationavailableinsummaryform.Thespreadsheetis asearchableelectronic toolthatwill helpstaff tolaterfindfiles,andlocatethe boxes inwhichthefiles arestored.

SeeForms –Records TransferList;Box Label

RecordsTransfer List

d.Records Storage Space

If appropriatestorage spaceisavailable,staff can equipthe spacewithindustrialstrengthshelvingtostorerecords.Ensure thatthisspaceis safefromhazards such as flooding,mice,insects orotherhazards that maydamage therecords.It isrecommended thatboxes neverbestoreddirectly on afloor, andthat bottomshelves ofstorage racking besetatleasttwoinches fromthefloor,to preventmoisturefromthefloororany waterleaks soakingintothestorageboxes.

Twoexamples ofrecordsstorageareas areshown:abasementfacility,secureand dry, andarecords storagecentre,similarto acommercialrecordswarehouse,purposebuilt forrecords storage.

Organizingthe spacebays (sectionsof shelving)andindividualshelves oftheshelvingunits aretaggedwithanumberorletter,andthe locations of theshelvesand bays arecodedaccordingtothenumberorletter, sothat boxes can beplaceinidentifiedbox storagelocations,e.g.Bay 2, Shelf2.Thestoragelocation of the boxisthen markedon therecordstransfer/inventory sheet.

Consequently,everyboxhas a uniquestorageaddress andcanquickly belocatedonthespecificsectionand shelfwhereithas beenplaced.

Thestorageareais locked, andaccess isstrictly controlled, to ensurethat theorderofstorageofboxesis not disturbed.

e.Records Destruction

Theplanneddisposalofrecords

Thefinalstageinthelifecycle ofinformationis thedisposal orpermanentpreservationofrecords.

Records disposal occurswhenthereareno longerrequirements fortheinformation. Fororganizations withan approvedrecordedinformationmanagementpolicy andwithinthepolicy,anapprovedretentionschedule, theplanneddisposal ofrecordsis part ofthe “usualandordinarycourse ofbusiness”of how organizationsmake andkeeprecords.

Theapprovalofthe draftRecords RetentionScheduleincludedwith theRecordsClassificationSystemwillprovideFirstNations governments withanapprovedandcontrolledmethod.

The Retention Schedule was created through the following steps:

Records were appraised for their value, including operational, legal, financial, historic and reference; and

Research was undertaken to assure that all requirements for the records are known.

It is theresponsibility of eachFirstNationsgovernmenttoensurethattheirpolicy environmentencompassesretentionanddispositionas partof theirworkingenvironment.

f.The Disposal Process – see R5 – When do I destroy records?

Oncethe Retention Schedule is approved

Records are flagged for disposal or preservation;

A final review is undertaken, and approvals provided by relevant managers;

Records are destroyed on a regular basis, using appropriate methods to preserve confidentiality of content;

A Destruction Register is maintained, indicating what records were destroyed and when; and

The processes are regularly reviewed, und updated when laws and regulations change.

Arbitrary andunplannedrecordsdestructionis considered tobeasuspiciousactivity.Arbitrary andunplanned records destructionmay be found by courts tobeillegaldestruction of evidence.Illegaldestructionof evidence may bringserious legalsanctions againsttheorganization,includingcourtjudgments,fines orimprisonment.

Forfurther information

Furtherinformationand forms samples forrecordstransfer,storageand disposaloperationare foundin:

ARMAInternationalStandards TaskForce.Retention Management forRecordsandInformation.Lenexa, KS: ARMAInternational,2005.

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FIRSTNATIONSSUMMIT |INFORMATIONMANAGEMENTTOOLKITFORFIRSTNATIONSINBC

INFORMATION MANAGEMENTTOOLKIT - 2011