Records Retention Handbook - Referring Records

1. Department -- Name of department
2. Organizational Unit -- Name of division, bureau, section or other sub-unit requesting the record.
3. Address -- Mailing address of requester, including zip code (or IMS code in Sacramento area).
4. Requested by -- Name of person requesting record.
5. To/From SRC - Direction of request.
6. Date
7. Record Title or File Number -- Title as it appears on the Records Transfer List, file number or any other identifying information that will assist records center staff in locating the proper record.
8. SRC Storage Number -- Transfer List number and the storage location assigned to the box or shelf (for microfilm, show number) containing the requested records indicated on the appropriate Records Transfer List.
9. For State Records Center Use only.

• Court Order (within ten days).
• Subpoena (within ten days).
• Emergency medical situation.
• Law enforcement emergency.
• Public safety.

• Check Reference Request for proper completion and clear any discrepancies with requester.
• Locate the proper container and locate the record.
• Check record against Reference Request.
• Staple third copy of Reference Request to an out-card. Remove record from the container and replace it with the out-card.
• Attach second copy to requested record and file original.
• If record was not in file, check appropriate box. If record is out or has an in-lieu form, write the date and to whom the record was sent on the Reference Request. Forward second copy of Reference Request to requester and file original. Destroy third copy.
• Forward record to requester.

• Keep copy of Reference Request attached to record at all times.
• Return record to 1501Cebrian St., West Sacramento, CA 95691, when no longer needed.
• If locations are not shown, requester should contact their Records Management Analyst.

• Locate the proper record center container which originally contained the record, locate out-card and check returned record against out-card.
• Remove copy of Reference Request from returned record, refile record in place of out-card and remove out-card.
• Attach copy of Reference Request from out-card to copy that was returned with the record and deliver to person assigned record-keeping responsibility.

1. Register - Each day a person reviews records he or she must sign the register maintained in the reference room.
2. Reference Requests - All requests for records must be on a STD. 76, Reference Request and completed in advance. STD. 76 will not be supplied at the SRC unless a pre-arranged agreement has been made between the Records Management Analyst and the SRC Manager.
3. Responsibility for Records - A person reviewing records is responsible for all records delivered to him or her until they are returned. Reviewers must exercise care to prevent damage to records. Records may not be leaned on, written on, folded, traced or handled in any way that may damage them. Paper clips, rubber bands or other fasteners may not be fastened to records. Unbound papers must be kept in the same order in which they are delivered to the reviewer. If records are found to be misfiled, the reviewer will not attempt to refile them but should call the fact to the attention of Records Center personnel.
4. Quantity of Records to be Reviewed - Records Center personnel may limit the quantity of records delivered to a reviewer at any one time if in their opinion records cannot be used conveniently and without damage or disorder.
5. Unlawful Removal or Mutilation of Records - Records or other property of the Records Center may not be taken without permission. Unlawful removal or mutilation is punishable by fine or imprisonment or both (Government Code Sections 6200 ad 6201). Disclosure of confidential information from files to an unauthorized person is a violation of Sec. 1142 of the Penal Code.
6. Disturbances - Loud talking or actions likely to disturb other persons is prohibited.

1. On a quarterly basis, the State Records Center will run the computer program which lists records eligible for destruction (printout Authorization for Records Destruction) and forward it the Agency Records Management Analyst.
2. The Agency Records Management Analyst will analyze the computer printout Authorization for Records Destruction Sheet against approved Records Retention Schedules and against the Transfer List used to ship the records to the Records Center. They will also concur with destruction by checking the appropriate column, or by revising the destruction dates shown. All revisions must be indicated on the computer printout Authorization for Records Destruction by checking the appropriate column or by so indicating in the comments section. Any such changes (except where records are being held for audit or litigation) must also be reflected in the Records Retention Schedule. Any change or exception must be explained in the remarks section or in an accompanying memo. Sign the original and one copy of the authorization. This action constitutes approval to destroy the records except for revisions. Forward original and one copy of the approved authorization to the Records Center BEFORE THE DEADLINE stated on the authorization transmittal.
3. The State Records Center will review returned authorizations and note revisions, if any. Red line, date and initial Records Transfer List. Enter data into the computer. Notify State Archives of all disposals. Remove boxes from storage space. Check and mark off location number on boxes. If records require special destruction, mark instructions clearly on boxes. Contact waste paper vendor or the State Document Destruction Center and make arrangements for disposal of records.

1. Prepare Form GS-50 indicating action to be taken. * (Sample of form and instructions for completion are on pending.)
2. Forward one copy of the completed GS-50 to State Records Center with original signature.

1. Review form GS-50 and note action to be taken.
2. If records are to be destroyed immediately, follow same procedure as indicated for the computer printout authorization.
3. If records are to be returned to the agency on a permanent basis:
   • Red line, date and initial Records Transfer List. Indicate on the Records Transfer List that the records are being returned to agency.
   • Enter data into the computer.
   • Remove boxes from storage space and notify agency that records are ready to be picked up.
4. If records retention period is to be changed to an earlier or later date, enter change into the computer.
5. If records are to be transferred from one agency to another:
   • Indicate change on the Records Transfer List.
   • Enter change into the computer.
   • Ensure the letter from the receiving agency is on file confirming the acceptance of the records.