Office of Policy, Procedure, & Legislation

Records Management

Overview

The Office of Policy, Procedure, and Legislation (OPPL) is committed to compliance with the Procurement Division’s Records Management Policy (Policy). The OPPL understands it is the responsibility of every employee to comply with the Policy, and therefore has developed the following standards:

Onsite Records Retention Standards

It is the intention of the OPPL to store all records onsite. All records will be stored for seven (7) years, or according to the Records Retention Schedule, STD.73 (Schedule). After the 7th year, both hard and soft copy records will be purged and destroyed, unless the Schedule requires a shorter or longer retention period.

  1. Assignment of Records Retention Personnel
  1. Lead – Inga Olson
  1. Backup – Mary Dodson
  1. Records Retention Schedule Development

a.The OPPL is working to complete a Schedule based on business needs, storage space, and workload.

b.The OPPL’s lead and/or back up will work with PD’s Records Management Coordinator for adherence to the State Retention Schedule requirements.

c.The OPPL will provide itsSchedule to PD’s Records Retention Liaison (Nicole Nash).

d.The OPPL understands its Schedule expires every five (5) years and is committed to ongoing upkeep of its Schedule. The OPPL will store its approved Schedule by the year approvedon the Z drive, with instructions and a tickler for updating.

  1. Records Identification

a.The OPPL has both hard and soft copy records. Most records will be stored in both hard and soft copy format;however, depending on the type of record, there may be exceptions. For example, an OPPL Update that is sent out as a reminder will only be stored in soft copy format. In addition, most records will consist of the followingdocuments[s1]:

  1. Request (PCR)
  2. Analysis (pertinent emails, issue papers, etc)
  3. Approval (coordination sheets, hard copies, soft copies, or other forms of approval)
  4. Final product (MM, BB, AO, SCM Update, OPPL Update, SAM Update)
  5. Confidential/Sensitive documents (Legal Opinion, Issue Paper, etc.)
  6. The OPPL will separate confidential and/or sensitive documents within a record by placing the hard copy documents in a red colored file folder and marking the file folder “confidential information” and placing soft copy documents in a “confidential file” within the original record. However, Tthe final determination of what will or will not be considered confidential and/or sensitive for disclosure shall be made by the OLS.

b.The OPPL has created the following order of content for its records:

  1. Each record will contain the attached checklist (Attachment 1[s2]). Documents contained within the record will be stored in the order they are appear on the checklist. If a document from this checklist does not appear in the record, the checklist must indicate this and provide a brief explanation.

c.The OPPL has identified the following locations for its records:

  1. Hardcopy – All complete hardcopy records will be stored in individual file folders in Room 2-304.
  2. The file folders will rotate colors each calendar year.
  3. Each record namewill begin with the type of request (PCR, etc) and then named by the calendar year and sequential order processed. Example: Calendar year 2010, manila file folder, PCR-10-01, PCR-10-02, PCR-10-03, etc. Calendar year 2011, Purple file folder, PCR-11-01, PCR-10-02, PCR-10-03 etc.
  4. There will be a file checkout sheet located in Room 2-304. The check out sheet will contain the file name, the date checked out, and the name of the person who checked it out (Attachment 2).
  5. Softcopy – All complete softcopy records will be stored in the following location: Z:\PD Shared\OPPL.
  6. Each record will be stored in an electronic folder by calendar year.
  7. Within that folder, the record name will begin with the type of request (PCR, etc) and then named by calendar year and sequential order processed. Example: Calendar year 2010, PCR-10-01, PCR-10-02, PCR-10-03, etc. Calendar year 2011, PCR-11-01, PCR-11-02, PCR-11-03,etc.
  1. Destruction of Records

a.The OPPL will destroy each hardcopy record at the beginning of the eighth calendar year or according to the Record Retention Schedule. Destruction will be in the act of witnessed shredding of the complete record, or discarded if not sensitive/confidential.

b. The OPPL will delete each softcopy record from the Z:\PD Shared\OPPL location at the beginning of the eighth calendar year or according to the Record Retention Schedule.

  1. Records Storage that Exceeds Seven (7) years

a.If a record needs to be maintained longer than seven (7) years, both the hard copy and the soft copy record folders will be moved to archived areas.

  1. All archived hard copy records will be stored on a designated archive shelf within Room 2-304.
  2. All archived soft copy records shall be moved to Z:\PD Shared\OPPL/Archive.
  3. Criteria for archiving documents:
  4. Politically sensitive
  5. High dollar value impact
  6. Strong or valid opposing position to chosen policy or procedure decision
  7. Provides rationale for future reference

b.Destruction of these archived records will occur when deemed appropriate.

[s1]This infers that OPPL retains all of these (1-5) in both hard and soft, is that correct?

[s2]Where is this attachment? Are the records stored in a particular order (such as in the order outlined on the attachment)?