The procedural rules governing the activity to ACT are:
a) if act consists of, and requires, producing a document, then set aside the dispositive record[1]by filling in the required elements of the record profile according to the space in which the record is being saved or transmitted to;
b) if act does not consist of producing a document, but requires a document, then make document[2]and set aside the probative record[3]by filling in the required elements of the record profile according to the space in which the record is being saved or transmitted to;
c) if a document provides support to act, then make document and set aside the supporting record[4]by filling in the required elements of the record profile according to the space in which the record is being saved or transmitted to;
d) if act is oral and a document is not required, but a document is wanted for memory, then make document and set aside the narrative record[5]by filling in the required elements of the record profile according to the space in which the record is being saved or transmitted to; and
e) if act requires consulting record(s) already consigned to the central records system, then request record(s).[6]
The procedural rules governing the activity RECEIVE DOCUMENTS are as follows:
a) if agency is competent, then records office or officer date-stamps and sets aside record by:
b) if another agency is competent, then the records office or officer redirects document as follows:
Classify records in accordance with the following rules:
a) determine the appropriate class code and dossier identifier of the record by searching the classification scheme, through its thesaurus and the repertory of dossiers and record the data in the record profile;[8]
b) if a dossier has not yet been opened on the action or matter to which the record pertains, then, open a new dossier and enter it into the repertory of dossiers.[9]
Register incoming and outgoing records in accordance with the following rules:
a) all incoming and outgoing records, in electronic and non-electronic form, are assigned a symbol specifying whether they are incoming or outgoing (in the case of non-electronic records, this symbol is added manually either to the electronic record profile or to the electronic copy of the scanned document);
b) a record profile is prepared for each incoming and outgoing record. The records presenting the incoming or outgoing symbol will automatically be registered by extracting from the record profile the pertinent data (e.g., outgoing records would not have date of receipt filled in);
c) if action taken is simply to consign to the central records system the incoming record, then enter the words "consigned to central records system" in the action taken field of the record profile for the incoming record;
d) if the action taken is a material action, then enter a description of the material action in the action taken field of the record profile for the incoming record;
e) an incoming non-electronic record is date stamped as soon as it arrives and is assigned a classification code which is inscribed within the date stamp. Then the record office generates in the electronic system a record profile to which the system assigns a protocol number. The data in the profile become the register entry and the protocol number is manually transcribed by the record office within the date stamp on the record;
f) an incoming electronic record is first assigned a protocol number within the general space. A register entry will not be completed for the record until its record profile has been completed by the handling office (which might be the records office)..[10]
RULE A31
CONSIGN RECORDS TO CENTRAL RECORDS SYSTEM
Consign records to the central records system in accordance with the following rules:
a) establish that a record will be consigned to the central records system only when authorized by a competent records officer;
b) establish that every kept record will be entered in the central records system according to its classification code;
c) establish that every received record will be entered in the central records system according to its classification code before it is handed to the officer competent for handling the matter;
d) if the record medium is paper then place the record at the beginning of the file folder corresponding to the appropriate classification code;
e) establish procedures for assigning to each record a unique record item identifier;[11]
f) establish procedures for assigning to each record an archival date[12]when the record receives its record item identifier;
g) establish that every kept non-electronic record that has been retrieved will be returned to the central records system unless it is being retrieved for the purpose of removing it from the central records system in accordance with the retention schedule;
h) establish that any retrieved non-electronic record which is returned to the central records system will be refiled in the same position from which it was retrieved;
i) prohibit the placing of multiple copies of the same record as consecutive items in the same dossier;
j) establish that annotated records will be reconsigned to the central records system without creating a new profile.
Retrieve records from the central records system in accordance with the following rules:
a) establish that the records office has exclusive competence for retrieving non-electronic records from the central records system, based on the access privileges of the requester;
b) establish that the system will retrieve electronic records from the central records system based on the access privileges of the requester;[13]
c) establish that the system will retrieve electronic records and the profiles of non-electronic records according to the fields of the record profile and the descriptors drawn from the thesaurus;
d) establish that the system and/or the records office will retrieve the entire record, including all annotations and attachments;
e) establish that, when a record that is requested is part of a dossier, the entire dossier will be retrieved.
Copy records in accordance with the following rules:
a) establish that the records office has exclusive competence for copying non-electronic records stored in the central records system;
b) establish that the system or the records office will be able to produce simple,[14]imitative[15]and authentic[16]copies;
c) establish that a simple copy cannot be used as an authoritative or authentic copy;
d) establish that an authentic copy will be required to satisfy external requests for records;
e) establish that an imitative authentic copy will be the only type of copy used for preservation purposes;
f) establish that records office has exclusive competence for making authentic copies of the records in the central records system.
g) establish that the records office has exclusive competence for the routine copying of the records in the system made for preservation, for security reasons, or for satisfying external requests. The resulting copies will be accorded the same authority as authentic copies because of the controls on the reproduction process.
Annotate records in accordance with the following rules:
a) establish that each annotation will bear identification of the officer annotating and the date of the annotation;
b) establish that an annotation will be inextricably bound to the record;
c) establish that a copy made to replace a record for reasons of preservation will be annotated before being reconsigned to the central records system by indicating in the profile the date of copying and the fact that the original has been destroyed;
d) establish that only the office or officer competent for the action in which the record participates is permitted to annotate a record vis a vis execution and/or handling of the action or matter;
e) establish that the records office has exclusive competence for annotating a record for records management purposes.
RULE A35
REMOVE RECORDS FROM CENTRAL RECORDS SYSTEM[17]
Remove records from the central records system in accordance with the following rules:
a) establish that the records office has the exclusive competence to remove records from the central records system;
b) establish that, if the retention schedule indicates that dossiers or individual records within a class have reached the end of their active retention period, and the records office has received authorization from the office of primary responsibility to apply the retention rule to them, then, the records office will remove the records from the central records system, along with their corresponding profiles. Authorization for removal of all or part of the records in question cannot be withheld unless a compelling and tangible reason for doing so is presented, along with a proposed new date of removal;
c) establish that, when the dossiers or individual records are to be removed from the central records system to be transferred to semiactive storage or to the competent archival body, an annotation indicating the medium on which they are being transferred and the date of removal will be added to the profile;
d) establish that, when the dossiers are to be removed from the central records system to be transferred to semiactive storage or to the competent archival body, a final view of the dossiers' profiles will be generated, a copy of which will remain in the general space of the electronic system while the other copy accompanies the dossier. In the case of non-electronic records, the profiles for each dossier will be printed out and attached to the dossier;
e) establish that, when the dossiers or individual records are removed from the central records system to be destroyed, their corresponding profiles are destroyed also;
f) establish that, when the dossiers or individual records are to be removed from the central records system to be transferred or destroyed, their corresponding entry in the protocol register will remain in the system for as long as the retention period for the protocol register requires;
g) establish that protocol registers will be removed from the central records system and transferred to semiactive storage on an annual basis at the end of each calendar or fiscal year.
RULE A41
STORE SEMIACTIVE RECORDS
Store semiactive records in accordance with the following rules:
a) establish that the records office has exclusive competence for managing the records in the semiactive storage location and for retrieving them from and returning them to that location;
b) establish that, when semiactive records are retrieved from the semiactive storage location for business reasons, they will only be reconsigned to the central records system if they are formally reactivated. Formal reactivation applies only to dossiers and derives solely from the creation of additional records for a dossier stemming from a resurrection of the action or matter. Otherwise, the semiactive records are to be returned to the semiactive storage location.
Review records in accordance with the following rules:
a) establish that the records office has the exclusive competence to review records;
b) establish that the records office will periodically examine the records in semiactive storage to determine whether they need to be converted or maintained as they are;
c) establish that, when the retention schedule indicates the records have reached the end of their semiactive period, the records office will review the records for the purpose of obtaining authorization from the office of primary responsibility to transfer custody of the inactive records to the competent archival body or destroy them. Authorization for transfer of all or part of the records in question cannot be withheld unless a compelling and tangible reason for doing so is presented, along with a proposed new date of transfer;
d) establish that, if the records office determines that the reviewed records need to be converted, then it will select the medium and physical form.
Convert records in accordance with the following rules:
a) establish that the records office has the exclusive competence to convert records;
b) establish that, if the converted records are destined for transfer to the competent archival body, the source records after conversion will be returned to the semiactive records storage location if still needed by the agency or destroyed if they are no longer needed;
c) establish that, if records are converted because of deterioration or obsolescence, then, the source records after conversion will be destroyed;
d) establish that, before destroying any source records after conversion, the records office will ensure that the converted records are capable of being read;
e) establish that an indication of the new medium and physical form, along with the date of conversion, will be attached to the records profile of each converted record as an annotation.
RULE A44
TRANSFER CUSTODY OF INACTIVE RECORDS
Transfer custody of inactive records in accordance with the following rules:
a) establish that the records office has exclusive competence for transferring custody of inactive records to the competent archival body;
b) establish that the records office will transfer dossiers or individual records belonging to a class only in accordance with the established records schedule and only after having obtained authorization from the office of primary responsibility. Authorization for transfer of all or part of the records in question cannot be withheld unless a compelling and tangible reason for doing so is presented, along with a proposed new date of transfer;
c) establish that, when the dossiers are to be transferred to the competent archival body, a final view of the dossiers' profiles, including a final annotation indicating the date of transfer, will be generated and will accompany the dossiers (as an electronic file in the case of electronic records and as a printout in the case of nonelectronic records) as a form of authentication of the dossiers;
d) establish that, when inactive records are transferred to the competent archival body, the final view of the dossiers, which may have been annotated during the records' semiactive period, will be removed from the agency's records system, along with the dossiers.
RULE A45
DESTROY INACTIVE RECORDS
Destroy inactive records in accordance with the following rules:
a) establish that the records office has exclusive competence for destroying inactive records;
b) establish that the records office will determine the appropriate method of destruction, depending on the medium and degree of sensitivity of the records;
c) establish that the records will be obliterated from existence without any reasonable hope of recovery;
d) establish that the records office will destroy dossiers or individual records in accordance with the retention schedule after having obtained authorization from the office of primary responsibility. Authorization for destruction of all or part of the records in question cannot be withheld unless a compelling and tangible reason for doing so is presented, along with a proposed new date of destruction; and
e) establish that, when dossiers are destroyed, the final views of their profiles which have remained in the central records system will be destroyed along with them.[18]
a) when an incoming record is received, create a register entry in which:
If you are experiencing any difficulties with this page, please contact Webkeep