Record keeping: good for us, good for your business Keeping records makes sound business sense.

It may seem like a challenge, particularly when you're starting out, but keeping good records will bring real advantages to your business. Get a proper system in place from the outset, and update the information regularly. Keeping good records

helps you avoid paying too much tax and makes filling in your tax return easier and quicker avoids interest and penalties by making it easier to pay the right tax at the right time gives you the information you need to manage your business and help it grow makes it easier to get a loan helps you budget for tax payments helps us to check your tax position accurately could help reduce your accountant's fees if you use one - well-organised information saves them time, too may support your claims to some reliefs or capital allowances.

It makes sense to do it properly and make it as easy for yourself as possible. We can help you do this. If you have an acountant you might want to get his or her advice on what system suits your business and on how to keep your records up-to-date. Top Record keeping in three simple steps There are three steps to remember: 1. Set up a system It doesn't matter whether you use a special account book or a software package as long as you set up some kind of system to keep the information together. Make sure the system you choose is geared to your business, and simple to use. 2. Keep records throughout the year Keeping only some of your records is almost as bad as keeping none at all. Update your records regularly, rather than letting the paperwork pile up. 3. Keep your records for as long as required

There are minimum periods for which you must keep records, eg six years for VAT or five years from the latest date for filing your return for Self Assessment. You may need to look back at them yourself, and we may need to see them if there is any question over your tax. If keeping your VAT records for six years presents serious storage problems, you should contact the National Advice Service on 0845 0109000. Top Why do I have to keep records? The law says that everyone who pays tax must keep the records they need to fill in a tax return. If you don't keep records, how can you show what you've earned and what you've spent? VAT registered businesses are legally required to keep certain types of business record. HMRC might decide to look into your tax returns or claims. If they do, they may want to look at your records. It will save you time if you can show that the records you have kept are full and accurate. It can also save you money we can isssue fines if records are not kept properly. Top What records should I keep? Keep any information and documents that you may need to help you fill in your tax return or to make a claim. Most of the time, you'll be looking at records for the current or previous year. But sometimes you'll need to go back a bit further. For example, you may need to work out your profit or loss on the sale of something you've owned for a long time (such as a vehicle, or special tools). At the very least you may need a record of the amount you originally paid for that asset. There are other times, too, when you will need to refer to old records. It's also helpful to keep information you get from

your employer, if you have - or had - one, about your pay (including bonuses) and tax deducted, benefits in kind, expenses payments, and any share scheme arrangements the Benefits Agency about your state pension or other taxable Social Security benefits banks and building societies about the interest on your account(s).

The exact records you need to keep will depend on the types of income or gains, tax deductible expenses, personal allowances, other deductions and reliefs you put on your tax return or claim. Whatever records you keep, they should be good enough for you to fill in your tax return or claim accurately.

If you claim business expenses, you'll need to keep the necessary records to back them up. For example, if you use part of your home for work, you will need to keep sufficient records to show the proportion of heating and lighting costs that relate to your business and your private use. Sometimes you may not get evidence, such as a receipt, for cash expenses, especially where the amounts are small. If this happens, make a brief note as soon as you can of the amount you spent, when you spent it and what it was for. We don't expect you to keep photocopies of bills, although you may find them useful. For VAT, you must keep a record of all supplies you make and receive, and a summary of these for each VAT return period. You must keep all tax invoices you receive and copies of all those you issue. Certain types of business might also be required to keep particular records, such as stock books. Top Can I use my computer to keep records? If you transfer details from paper records onto a computer, you will still normally have to keep the original paper records unless you microfilm them or use an optical imaging system. You don't have to print everything out, as long as the information in the original documents can be recovered from the computer and satisfies the other rules for record keeping. You must keep the originals of any vouchers showing that tax has been taken from your income, even if you've microfilmed or imaged them. This includes

Bank and building society certificates giving details of the tax deducted from any interest you've received Dividend vouchers Certificates of tax deducted under the subcontractors scheme Details of foreign tax withheld from overseas income.

You do not have to keep payslips showing tax deducted under PAYE, although you may still find it useful to keep paper records. VAT records may be kept on computer provided they maintain all of the required information. They must be kept in such a way that our officers can easily verify your VAT returns. Top What happens if I don't keep proper records? We want you to pay only as much tax as you owe. However, if you can't show sufficient evidence of your income and outgoings, you could end up paying more tax than you should. If you do not maintain good records, you might not be able to render your VAT return on time and this can result in a surcharge

Wherever possible, we will give you the benefit of the doubt, but don't forget there are penalties for failing to keep proper records to back up a tax return or claim. If you are charged any penalties, you have the right to appeal against them to independent tribunals. Introduction

The State Archives general schedules are broad documents, applicable to many different organizations. Because of this, these schedules are sometimes not easy to use, especially for people who do not work with records retention as a regular part of their job. By using the retention periods in State Archives schedules as a guide, you can prepare your own detailed office schedules to guide retention, transfer and disposition of records. Office schedules have the following features:

Shorter than State Archives schedules Office retention schedules list only those records each office actually maintains, so every item on the schedule is pertinent to the particular office. Because the schedules are shorter, they are easier to use. Can include longer retention periods State Archives schedules show only the legal minimum retention periods, but you can use office schedules to document any increased retentions your organization has decided to follow. In this way, your office retention schedule can become official documentation that youre keeping records longer. This documentation may be important if your organization is involved in legal actions where you need to prove you are following these retention periods in the normal course of business. Identify records series by common names An office retention schedule can identify your records series by the names commonly used in your office, instead of the sometimes unfamiliar titles used in State Archives schedules. Indicate retention within the office and other useful information One of the most important benefits of an office retention schedule is that it indicates when to transfer records from active office space to inactive storage. Office schedules can also include notes on methods of destruction, weeding, confidentiality of record series, and transfer procedures. Can serve as list of records for FOIL New Yorks Freedom of Information Law (FOIL) requires government agencies to maintain a "subject matter list" of all its records for use by the public. Although many local governments use one of the general schedules as this subject matter list, an office retention schedule would provide a much more exact catalog of the records held by your organization.

A word of warning: Be careful not to make office schedules more complicated than necessary. Small organizations might have a single sheet for each work unit, listing only the office retention and total retention periods. Larger organizations, on the other hand, may need more complicated schedules that add such information as retention in semi-active storage (temporary vault or file room storage), comments on records appraisal and weeding, or notes on the type of destruction for each records series. Remember that your goal is to make a useful office schedule that you and your co-workers will actually use.

Elements of Office Retention Schedules

Office retention schedules may contain much information, including information not in the retention schedules developed by the State Archives. See Appendix B, "Sample Office Retention Schedules," for examples of how others have designed their office schedules. Some particular types of information in an office schedule can include

Department and unit Most printed versions of office retention schedules are arranged by the departments and units of the local government or the offices and units of the state agency. In this way, each unit of the organization has only that part of the office schedule it needs. Records series title For the office retention schedule to work, it must first identify the record series. Keep in mind that you also have the option of using the common title used in your office as the records series title. Format of records It is often useful to include a brief description of the format of the records. For example, you may decide that the electronic version of your minutes needs to be kept for only a few years, even though youll maintain the paper copy forever. Office retention period (active) A true office schedule must identify the in-office retention period. This helps you easily identify when to move records out of the office. Intermediate retention period (semi-active)

This level of detail will not be necessary in most offices. However, some offices maintain a central filing room that serves as semi-active storage for those records not quite active enough to keep in the office but not inactive enough to move to inactive storage. Total retention period Most office retention schedules also include the total retention for each records series. State Archives schedule item number If you identify the item number from the appropriate State Archives retention schedule, you will have an easy way to look up and verify the minimum retention for records. Location Some office schedules indicate the location of each series to make it easier to find the records. Comments You might also want to add additional comments to the office retention schedule. As with anything in the schedule, be sure to add only the information you need. Below are a few possible areas of comment. Appraisal or retention notes These notes indicate your reasons for deciding to keep any records longer than the State Archives retention schedule indicates.

Official or secondary copy Some office schedules indicate whether a series is the official copy or a duplicate copy. This can formalize the process of identifying the official copies of records in your offices.

Confidentiality To ensure that people in your organization protect confidential records, add a note to your office retention schedule as a reminder.

Type of disposition Sometimes, you will need to require different types of disposition for different records. For instance, you might indicate in the office retention schedule that all student psychological files should be shredded but that general office correspondence may be discarded in the trash.

 Notes on weeding the files If only part of a file is discarded at a certain time, you might note this. For some complicated case files, some offices produce case file retention sheets indicating which records to discard and which to keep.

Setting Office Retention Periods

Keeping medical records - guidance for doctors By Dr Sally Old, MDU medico-legal adviser - 30th November 2010 5:54 pm The MDU has developed new guidance for doctors embarking on their first consultant post. In the fourth of a series of articles guiding you through the more common non-clinical challenges you might face, we provide tips on perfecting your record keeping.

Imagine the scenario. A doctor sees a patient who is semi-conscious and decides to give her a penicillinbased antibiotic. They consult the notes which make no mention of any allergy, administer the drug, only for the patient to have a severe allergic reaction and need resuscitation.

The doctor later realises that they had unfortunately been looking at the wrong patients notes. The actual notes include details of the patients allergy and the hospital doctor realises she is also wearing a wristband warning of her allergy.

This extreme case, though fictionalised, provides a stark example of the value to patient care of effective records. As no ones memory is wholly reliable, records provide a useful reminder of a course of events, steps taken, outcomes and further action required.

Records are primarily intended to support patient care and should authentically represent each and every consultation (including by telephone). Records can also remind you or another member of your team, of your care and management plan. The notes may become important later on, if there is a complaint or claim, which will typically be made months or years after a consultation.

The GMC guidance in Good Medical Practice (2006) makes clear that records are a fundamental part of a doctors duties. The GMC explains that in providing care, you must keep clear, accurate, legible and contemporaneous patient records which report the relevant clinical findings, the decisions made, the information given to patients and any drugs or other treatment prescribed.

Electronic records

Records of patient consultations are now often held electronically. While entering the notes of a consultation on a computer may ensure they are legible, it also requires care - for example, in ensuring that information is attributed to the correct patients medical records.

Storing records

Records (including hand-written notes, computer-generated notes, blood test results, x-rays, copies of correspondence, photos or slides and theatre records) should be stored securely and protected against accidental loss, including corruption, damage or destruction. All records need to be kept secure and confidential at all times. Technology is not foolproof and regular back-ups should be made. It is advisable to consider keeping these securely at a different site.

Private patients

As a consultant in independent practice, you may also need to take on the added responsibility of managing your private patients medical records. Such records are the property of the individual doctor although patients have rights of access under the Data Protection Act 1998. Make sure that patients know what will happen to the data held about them and that they agree to its processing or disclosure. You will also need to register with the Information Commissioner under the Data Protection Act 1998.

Clinical records must be kept confidential at all times, including during transfer between sites, such as if your secretary works from home and you need to send data to him or her. It is also important to ensure any admin staff are aware of confidentiality obligations, for example, locking paper records away in a suitable filing cabinet and ensuring security of computer systems.

Retaining records

The Private and Voluntary Health Care (England) Regulations 2001, Schedule 3, lays down minimum periods for the retention of private records, ranging from eight years for the majority of records to until the patient reaches 25 years old, for childrens records. The MDU advises that, if possible, records should be kept for beyond the prescribed periods, as claims do sometimes arise after these timescales, and it may prove difficult to successfully defend a claim without the records.

Ideally, all records should be reviewed before they are destroyed, and it is sensible to keep any patient records where there has been an adverse incident or complaint. Disposal should be carried out in such a way that protects patient confidentiality, for example, by shredding paper records. Computer-held records may be difficult to delete entirely from a hard drive and you may need to seek appropriate IT advice.

Tips for good record keeping

1. Write legibly

Take a little extra time and care to write legibly in paper records. While you may be able to read your own handwriting, can anyone else?

2. Include the date and time

Dated and timed hand-written notes will be invaluable if a claim arises several years later. Such details will clarify the sequence of events during your treatment of the patient, even though you may not be able to remember clearly what happened. With electronic records, the time and date will be automatically recorded.

3. Avoid abbreviations

What does PID mean? Prolapsed intervertebral disc or pelvic inflammatory disease? It may be clear to you, but could be ambiguous. If you must use abbreviations, limit them to those approved in your workplace.

4. Do not alter an entry or disguise an addition

Clinical notes should be made at the time of treatment or as soon as possible afterwards. If it transpires that the notes are factually incorrect, for example, an entry has been made in the wrong patients records, then the amendment must make this clear. Errors should be scored out with a single line so the original text is still legible and the corrected entry written alongside with the date, time and your signature. Never try to insert new notes. Computer records have an audit trail that will allow alterations to be discovered. Tampering with records has led to GMC investigations.

5. Avoid unnecessary comments

Offensive, personal or humorous comments are unprofessional, often misunderstood and could damage your credibility. Patients have a right to access their records and a flippant remark in the notes might be difficult to explain to a judge or GMC fitness to practise panel.

6. Check dictation and reports

Letters dictated and then typed up later by a secretary should be checked, corrected and signed by the doctor who dictated them. Errors can arise due to problems with the quality of recording or simple misunderstandings of medical terminology.

You will need to see, evaluate and initial every report or letter before it is filed in the patients records. Most results are electronically transmitted, so care should be taken to record abnormal findings in the clinical records and document any appropriate action.

The MDUs new consultant pack contains 18 factsheets on subjects such as communicating with patients and colleagues, good record keeping, supervising staff and marketing and media. The pack is available free to the MDUs consultant members. General Filing Procedures Records are filed in the Official Personnel Folder to document events in an individual's Federal employment history that have long-term consequences for the employee and the Government. Care should be exercised in filing documents correctly to ensure that all documents pertaining to an employee's rights and benefits are available in the personnel folder when needed. Agency approved forms as exceptions to Standard Forms, e.g. ES and CES 436's in lieu of the SF 50, Notification of Personnel Action, are filed in accordance with the filing instructions for the related Government wide forms. Documents are filed in chronological order by effective date. File the document with the most recent effective date on top of the document with the earlier effective date. When forms have no effective date they are filed by the completion date, and if more than one form has the same effective date the forms are filed in any order within the effective date. Personnel folder documents are either long-term or temporary documents. Certain document must never be filed in the personnel folder. Long-term documents are records kept for the life of the folder, usually 115 years from the employee's date of birth. These documents are filed in chronological order on the right side of the personnel folder. Only documents authorized by the Office of Personnel Management (OPM) may be placed on the right side of the folder. Temporary documents are documents that are not kept for the life of the personnel folder. These documents are filed on the left side of the folder. Prohibited document are records that must never be placed in a personnel folder. The prohibition may come from law, such as the Privacy Act, or from regulation such as title 29, Code of Federal

Regulations. An example of a prohibited document is any document that includes information that can be used to identify an individuals' race and national origin. Occasionally documents filed in the personnel folder are rescinded. When filing requirements are rescinded, the document(s) should no longer be filed on the right side of the personnel folder. A list of rescinded forms follows the information on obsolete forms. Some forms may become obsolete because of legislative or procedural changes in the Federal human resource programs. The obsolete form may be replaced by other forms or documents, or the entire process that created the forms may be discontinued. Even though the form is obsolete, the reason for keeping the form as a part of the employee's history may still exist. The form may still be filed appropriately as a long-term document in the personnel folder. A list of obsolete forms authorized for long-term retention follows the information on right side and left side document filing

Procedure 1. Management ofActivePaperRecords 1.1 Objectives Paperbased, active records aremanaged in office locations where they are used.Overtime the electronic formats ofrecords will becomemore prevalent.However, a portion of BCITsrecords will continue to existin paperformat. This procedure will provide records custodians with their proceduresforthemanagement of active paperrecords. Paperbased documents will be filed into uniquely identified case filesthat are assigned a classification number within theDirectory of Records. Each case files whereabouts becomesRecords Management Procedure 6701PR1

Procedure Procedure

standardized through itsmanagementapproved office responsible, and retention schedule. Its availability isfurthered by an automated indexing and retrievalmethod,theDirectory of Records database. A systematized approach to purgingmeansthatrecords occupy office space only while in active use. TutorialsfortheDirectory of Records are found at https://helpdesk.bcit.ca/fsr/admin/rm/dorintro.html 1.2 Responsibilities Records custodians have the responsibility to: Maintain the index and retrievalsystemof office filesthrough theDirectory of Records Requeststandard file foldersfromSupply Management Produce file folderlabelsthrough theDirectory of Records database, or an appropriate alternative, indicating the classification to which files belong File incoming documentsinto the recordsmanagementsystemto supportthe business process Use papers when needed and eliminate paper duplicates Use appropriate file supplies and equipment Conduct an annual purge of active recordsto destroy those no longer needed, and transferto semiactive storage or archivesthose no longer needed in the office Assist other office staff with propersecurity levelsto identify and retrieve the active records. 1.3 File SystemArrangement The basic options offile arrangement are alphabetic, numeric, alphanumeric, and chronological. When arranging case files within each classification, a department chooses a filing option arrangementthat bestservesitsretrieval needs. The scope notes oftheDirectory provide guidance on case file arrangement.

1.4 Indexing andFilingAids Each recordsseriesrequires an indexing tool andmethod. Some of BCITsinformation systems will provide a sufficientindexingmethod for paperbased files. Forinstance,the Banner Finance Systemwillsufficiently index the accounts payable files and the payrollfiles. In otherinstances, the records custodians will use the enterprisewideDirectory of Records database to create file labels,to index active and semiactive records, and provide the transfer and disposition review datesforfiles. Filing aids are the lists and indexesthatsupplementthe collection offolders. The file listshows the case file names within the department,the date of coverage forthe files,the classification number, and the transfer date.Othertypes of filing aids are:registers; computer databases; list ofstandards and abbreviations. TheDirectory of Records database providesthe following finding aids: File lists and indices within a custodiansfiling station Crossreferences and synonymsearch capability Disposition lists Fulltextsearch capability.Records Management Procedure 6701PR1

Procedure Procedure 1.5 Advice onFiling Systems The Records ManagementOffice will provide active records and filing systemadvice to custodians on topicssuch as: Electronic filingmethods Indexingmethods Filing supplies and equipment

 File labeling and colour codingmethods Retrievalsystems. 2. Management of SemiActivePaperRecords 2.1 Objectives BCIT reducesits volume of active records,savesmoney, and increases accessibility to allrecords through the provision ofsemiactive recordsstorage systems. The cost ofstoring lowuse, paper based recordsin a warehouse is onetenth ofthe cost ofstoring the recordsin an office location. 2.2 Offsite Storage Locations BCIT contracts with Butler Box and Storage Inc.for offsite storage ofsemiactive records. The costsfor Butler Storage are paid froman Institutewide budgetmanaged by the Records ManagementOffice. A department wishing to use a differentstorage space forsemiactive records,such as a campus location,should consult with BCITs Manager, Records Management. An oncampus,semiactive recordsstorage locationmust adhere to the following standards: Sufficient use ofsemiactive recordsto warrant onsite storage Fire, vermin, and water protection Adequate floorloading capacity Temperature (1618 degrees Celsius) and humidity level within the acceptable ranges Protection fromunauthorized access Use ofshelf and storage unitlocator numbersystemfor adding and deleting boxes Use ofDirectory of Records database to track the warehoused records. 2.3 ReviewofActive File Cabinets Records custodians have the ongoing responsibility to purge files continually by reviewing folders and eliminating unnecessary paper, duplicates, and transitory documents. TheDirectory of Records database application will indicate to custodiansthose files which are

ready fortransferto semiactive storage orfinal disposition. Records custodians are responsible for annually reviewing office file cabinetsto remove the following categories offiles. Filesscheduled forimmediate destruction Filesthatrequire furtherstorage in an approved,semiactive recordsstorage centre Filesthat need to be transferred to BCITs Archives.Records Management Procedure 6701PR1

Procedure Procedure 2.4 PreparingBoxes and Directory ofRecords Database Entries The stepsto prepare paperrecordsforsemiactive storage are a sequence of database and manual processes asfollows. These directions are best understood when you have the database open and themenu items visible. Tutorialsforthe database are found at https://helpdesk.bcit.ca/fsr/admin/rm/dorintro.html 1. Database process In the My Case Filesmenu item,select case filesthat have closed in the last year and update each case file with the Superseded date (S) and expiry dates. 2. Database process In the My Boxes BoxNumbersmenu item,request new, unique box numbers based on an estimate of howmany boxes you expectto use. 3. Manual process Requestfromthe Records ManagementOffice,through telephone or email, BCIT box labelsfor all boxes and Butler bar code labels(ONLY for boxesthat will be sentto Butler). In other words, only those boxesthat will be stored at Butlerrequire the bar code label. 4. Database process In the My Boxes Files Ready to Boxmenu item,selectthe filesto be stored fromthe appropriatemenu itemand print a pick list. 5. Manual process Procure standard boxesfromSupply Management and place a box label on all boxes and bar code (bar code isONLY for boxesthat will be sentto Butler).

6. Manual process Pullthe filesfromthe file cabinet and place themin the boxes; a partial box should be held in the office until itisfull; package only records with a common disposition date into any one box. 7. Database process In the My Boxes Assign Filesto Boxmenu item, enterthe BCIT box numberto a new box record and (ONLY for boxes are stored at Butler) also enterthe bar code number. 8. Database process In the My Boxes Assign Filesto Boxmenu item, on the same screen as above, for box location, pull down the location where the box will be stored. If at Butler,then indicate NonBCIT location, and click on Butler in the location box. If the box will be stored on campus, indicate BCIT location,then the building and room number on campus. Click on the case files,that appearin a list,that have been placed within each box; and the database will now show that each case file soassigned is placed within a BCIT box number. 9. Manual process After all boxes have been filled with files, and the database has been edited to show which box each file is placed in, phone the Records ManagementOffice for approvalto store. The Manager, Records Management willstop by your office to double check the quality of data entry and ensure thatthe boxes are ready forstorage. 10. Database process On the My Boxes BoxNumbersmenu item, click on box picked up within each box record.Now you have concluded the process. 11. Manual process The Records ManagementOffice will phone Butler Storage to arrange forthe boxesto be picked up. When you wish to retrieve boxes, you can use the database to identify the Butler bar code. You can then contact Butler by email or phone to requestthatthe box be delivered to your office.Records Management Procedure 6701PR1 Directory of Records Classification 06 Procedure

Procedure 2.5 Retrieving andRefiling fromStorage The RM / FOIPOP Contactfor each department will determine which staffmembersin the departmentrequire authorization to retrieve files and boxesfromButler Storage. Contacts should complete the Records Retrieval Authorization formand have authorized staffsign the form. Upon request,the offsite recordsstorage vendor, Butler Storage,submitsfiles and boxesto BCIT within two hoursforrush requests orthe next day forregularrequests. Any authorized staff memberfromthe department can fax or email Butlerstorage asfollows: Fax: 6046694312 Email: bbsrequest@look.ca When you retrieve a box fromstorage, update the database record asfollows: 1. On the My Boxes BoxNumbersmenu item,selectthe BCIT box numberthat you are retrieving fromstorage; click on that box number. 2. On the screen that appears, click on the radio button Charged out. Thismeansthatthe box has been temporarily charged out ofstorage and will be found in your office. 3. Upon returning the box to storage, click on the button Charged in to indicate thatthe box has been returned to storage. The following information isrequired by Butlerto identify a file or a box forretrieval: Department name Name of person who isrequesting the file or box Butler bar code numberforthe required box(es) File name, ifthe requestisfor a file. Itisthe responsibility ofthe person obtaining the box fromstorage to return the box /file without undue delay back to Butler. The procedure to return a box orfile to Butleristhe same as

retrieval. Contact Butler by phone or email and ask to have the file / box picked up. 3. Disposition ofPaper,Electronic, andFilm Records 3.1 Objectives ofRecords Disposition Records disposition procedures will allow recordsto be destroyed ortransferred to BCITs historical Archives atthe appropriate time so thatthe volume ofrecords at BCIT remains constant overtime and contributesto costeffectivemanagement ofrecords. 3.2 Definition ofRecords Disposition The final disposition for allrecordsseriesisindicated, as amatter of BCIT policy, in theDirectory of Records. This disposition is also restated in theDirectory of Records database.During the active and semiactive phase ofrecords,the department hasfull jurisdiction forrecords; however,the departments custodianship is eliminated atthe disposition phase.Disposition has two categories; each is discussed below.Records Management Procedure 6701PR1

Procedure Procedure 3.3 Destruction The first disposition category is physical destruction. Some records are scheduled for destruction immediately after active use; others are scheduled for destruction afterthe semiactive phase of retention. Physical destruction for paperbased and filmrecordsis defined as confidentialshredding. BCIT has a contract with a recordsshredding company forthisservice. Physical destruction for electronic documents and email or physical destruction ofstoredmedia is defined as deleting the documentsfromactive computersystemrepositories. As BCIT retains backup tapes, itmay takemore than one cycle ofthe backup processto assure that an electronic record is actually deleted and no longer accessible.

3.4 ArchivalRetention The second disposition category is archivalretention. TheDirectory of Recordsindicatesthose recordsthat will be sentto BCITs historical Archives upon completion of active and semiactive phases ofthe life cycle.Once the records are accessioned into the Archives: The originating office no longer hasthe records custodianship The records will be arranged and described in accordancewith accepted archival standards Accessto the records will be provided to the entire BCIT community and to the public in accordance with the physical integrity ofthematerials, any copyright provisions, and applicable legislation, including the Copyright Act, and the FreedomofInformation and Protection of Privacy Act. 3.5 DestructionofPaperbasedRecords Most categories of paperrecords willrequire a RecordsDestruction Authorization (RDA) when they are due for destruction. BCIT has an automated workflow for obtaining this authorization. (This electronic systemreplacesthe previous RecordsDestruction Authorization and Certificate in hard copy.) To gain authorization, employees accesstheDirectory of Records database system, making a Manual (or adhoc) RDA Requestfor nonregisteredmaterials, or an automated RDA requestforregistered case files orregistered boxes. For other categories ofrecords and papers, an RDA is notrequired, and employees willfollow a different process. There are four questionsto considerin determining the appropriate records destruction process: a) Isthe record onsite or offsite? b) Are you a records custodian, or are you not? c) Isthe record(s)registered in theDirectory of Records database, orisit not? d) Whatisthe category ofthe record? Ifthe record(s)is housed in offsite storage,the Records ManagementOffice will arrange for

destruction approvals according to established retention schedules. For onsitematerials,the category ofrecord will determine whether an RDA isrequired, and themeans of destruction. For recordsthatrequire an RDA,records custodians and noncustodians alike are able to generate an RDA request.However, only custodians are able tomake thisrequestforrecordsthat are registered in theDirectory of Records database.Records Management Procedure 6701PR1

Procedure Procedure The categories ofrecords are asfollows: 1. Scraps:Nonconfidential papers, nonrecords,referencematerials. Notregistered. RDA notrequired. 2. Records: Personal working records, Institute/departmentalrecords, etc. In file folders or boxes. Registered and nonregistered. RDA Required. 3. Adhoc documents and printouts: BCIT confidential information; printouts, loose documents. Notregistered. RDA required. 4. Documents of a highly confidential nature:Documents and papersthat originate in sensitive departmentssuch asHR;typically these have never been set up in departmentalfile folders. Notregistered. RDA not normally required.

Note: See Destruction of Paper Records at BCIT, Section 9 ofthis procedure formore detailed descriptions ofthe four categories, and instructionsfor preparing the records or papersfor destruction. The table below determinesthe correct processfor destruction of paperbased records. Record Location Records Custodian? Record is registered in DOR? Category of Record Authorization Process Preparation ofrecordsfor destruction Onsite Yes or no No 1 None required Place in office recycling box. 2 Manual RDA Request Place in boxes, label, and keep secure until pickup for destruction. 3 Manual RDA Request Place in boxes, label, and keep secure until pickup for destruction. 4 None required Place in lockbox for pickup

and secure destruction, orshred in office shredder. Yes Yes 2 CaseFile RDA (OnSite CaseFiles or OnSite Boxes) Label, and keep secure until pickup for destruction. Offsite n/a n/a n/a The RMO will arrange for destruction approvals according to established retention schedules.Records Management Procedure 6701PR1

Procedure Procedure Generating the Requestfor RecordsDestruction Authorization For paperrecordsthat are due for destruction and require an RDA,the electronic system provides a choice ofthree types of RDA requests. The table above indicates which RDA request to choose: Manual Request, Onsite Case Files, or Onsite Boxes. The Records ManagementGuidebook provides detailed,stepbystep, illustrated instructionsfor using the automated systemto generate an RDA requestfor all employees and for all categories ofrecords.Use thislink to accessthe relevantsection oftheGuidebook. Notes: 1. When generating an RDA request, all employees use the same electronic forms, but non custodians navigate to the forms via amore limited Records ManagementGuidebook screen than that of custodians. 2. The boxes ofrecordsmust be clearly labeled for destruction, andmaintained in a secure place untilscheduled for pickup by Logistics.

3. Once the employee has completed the request process and prepared the files or boxes for pickup,there is no furtherrequirement on the part ofthe employee; Logistics will pick up the boxesfor confidential destruction fromthe office location specified. 4. The turnaround time for pickup ofthe boxesistwo to three business days afterthe destruction authorization isreceived by the RMO. 3.6 Destructionof ElectronicRecords BCIT staff will establish electronic directoriesthat align to the retention classifications within the Directory of Records. Fromactive informationsystemdocumentrepositories, atleast quarterly each year,records custodian staff will delete those electronic documentsthat are no longer required. 3.7 TransferRecords toArchives 1. Records custodians who are purging active orsemiactive recordsto apply the disposition schedules will package recordsfor archival disposition into standard records boxes(12 x 10 x 15 inches) with an attached lid. These boxesmay be requested fromSupply Management. Forrecords otherthan correspondence files, film, drawings, discs, etc. contactthe Records ManagementOffice for advice on suitable storage boxes. 2. Discard transitory documents and duplicates,remove paper clips of alltypes, and discard rubber bands. 3. Complete the Archives Accession form/inventory listfor each box. 4. Once records are ready fortransfer, place a copy ofthe inventory listin the box,retain a copy ofthe inventory listin your office, and send a copy ofthe inventory listto the BCIT Archives with the Archives Accession form. 5. Create a Logistics Requestto send the box(es)to BCIT Archives, Library, SE14,room206.Records Management Procedure 6701PR1 9 of 18 Procedure

Procedure 4. Management of Electronic Documents 4.1 Objectives Electronic records are increasing as a percentage of BCITstotalrecords volume. Since they exist in amicroformat and amachine is needed to identify,retrieve and read them,managing electronic documents and electronicmailmessages(referred to in this procedure as electronic documents) callsforrequirements differentfromthose thatmanage paperbased records. Electronic documentsreceived and created in the conduct of BCITs business are considered officialrecords and, assuch,may be accessed in response to FOIPOP, litigation, and operations. Atthe same time,most electronic documents are transitory andmust be destroyed immediately aftertheir usefulness has expired. This procedure aimsto ensure that BCITs electronic document practices comply with industry standards and federal legislation, which include: Ensuring that electronic documents are verifiable as evidence (i.e., not altered) Destroying, with approvals, electronic documents when their use has expired and in accordance with theDirectory of Recordsretention schedules(i.e., not destroying them prematurely or keeping the documentsfortoo long) Sending electronic documentsto the officialrepository asindicated in BCITsDirectory of Records; either: Printing and filing in the paperbased recordssystemthose recordsfor which a paperfile isrequired according to theDirectory of Records(e.g., for certain legal contracts), or Submitting the electronic documentto the custodian forthe electronic documentlibrary. The CanadianGeneral Standards Board (CGSB) has a standard for electronic records(CAN/CGSB 72.34). Thisstandard is compatible with an International StandardsOrganization (ISO)standard on recordsmanagement(ISO15489). The federal government's Personal Information Protection

and ElectronicDocuments Act(PIPEDA) provides guidelinesfor electronic systemsthat, if adopted by an organization, will provide supportin a court oflaw that an organization's electronic records are the bestrendition of events. Emailmessagesin which the contentis of a personal nature are notrecords of BCIT and should be considered transitory in nature. Transitory electronic documentsmust be destroyed immediately aftertheir usefulness has expired. 4.2 Electronic Documents inBusinessProcesses Departmentsthatrely on electronic documentsto support business processes need to: Documentthe business processin which electronic recordssupportthe business activity, stating how the process demandsthat electronic documents bemanaged Conductregular audits and ensure the security ofthe information system Document proceduresfor: imaging and capture ofinformation,security, and audittrail of changesto the electronic documents Demonstrate thatthe recordsin question are treated in amanner consistent with other recordsin BCIT (e.g., demonstration ofroutine ratherthan adhoc records destruction) Ensure thatthe structure (layout orformat and linksto attachments), content(the information contained in themessage), and the context(information pertaining to the sender and recipients and transmittal date) are retained as evidence of BCIT businessRecords Management Procedure 6701PR1

Procedure Procedure Create appropriate indexing data concerning the document(metadata) and enterthe metadata into a suitable database. 4.3 Indexing andSavingElectronic Documents All BCIT staff create, index,save,retrieve, distribute, and referto electronic documents. Staff will

create documentfolders on the computersystems(Quickplace, LotusNotesDocument Libraries, LANDirectories, emailsystems, C drives)that align with the retention requirements and records seriestitles asindicated in theDirectory of Records. Staff will ensure thatthe privacy protection provisions ofthe FOIPOP legislation are adhered to in the distribution, filing, and retrieval of electronic documents. Electronic documents will be indexed and classified such that all BCIT staff with a need to know can accessthe documents. Each BCIT staffmember will ensure thattransitory electronic records are destroyed immediately after use. The specific techniques and proceduresfor achieving this objective will depend on the information systemapplications. Additional proceduresmay be written to tailorthe business practicesto the technology productsthat will be implemented. 5. Microimaging ofRecords 5.1 Objectives Microimaging ofrecordsinto filmor digitalmedia resultsinmore compactrecordsstorage,the ability to back up vitalrecords, and the ability to distribute records digitally in business processes. Filming and digitalscanning of paperbased documents have an associated cost and related benefits. The imaging ofrecords can occur at any phase ofthe life cycle:semiactive or active. The objective ofthis procedure isto ensure that a cost and benefit analysis and businessprocess review are conducted priorto imaging and thatthe imaged records willsupply evidentiary requirements. 5.2 Definitions 5.2.1 Microfilming Microfilmreducesrecordsstorage space requirements by 98% and allows a lowcost back up to be produced for vitalrecordsforthe long term. The cost offilming documentsis

$.10 to $.25 per page plusthe document preparation, quality assurance, and indexing time. Itis economicalto filmpaperbased recordsthatmust be retained for atleast 10 years. Microfilmthatis produced to archivalstandards will lastmore than 100 years. 5.2.2 DigitalImaging (or Imaging) Digital imaging involvesscanning a paper orfilmoriginal documentinto a digitalformat. The cost of digitizing documentsis $.15 to $.25 per page, plusthe document preparation, quality assurance, and indexing time. Itis economicalto digitize paperbased records when the business process efficiencies outweigh the costs of digitizing.Digital imagesthatRecords Management Procedure 6701PR1

Procedure Procedure need to be retained formore than five years will need to bemigrated to new technology standards as hardware and software change. Therefore,the future costs and responsibilities ofmigrating the digital imagesmust be considered in the cost and benefit analysis. 5.2.3 Feasibility Studies A feasibility study is prepared to define the scope ofthe records problemthat will be solved by imaging orfilming. The study should consider both filmand digital images as optionsfor alternative formats. Thisstudy requiresthe input ofthe business process departmentmanager, Information Technology Services, and the Records Management Office. Imaging and filming technologiesrequire an investmentthat could be shared by differentschools and departments. 5.3 DocumentPreparation,QualityAssurance, andIndexing Imaging and filming technologies necessitate a process of preparing documents by removing staples,rubber bands, and file folders, and filming / digitizing the source documents. After

scanning,the quality ofimages needsto be checked on a sampling basisto assure the accuracy ofthe scanning / digitizing processes. An indexing plan needsto be established tomeet allthe recordsretrieval needs and to use an appropriate database systemforthe index. Afterscanning,staff within the business process will create the documentindex. 5.4 Imaged / FilmedRecords as Documentary Evidence Following are the criteria of a recordsmanagement programwhich enablesitsimaged orfilmed recordsto be acceptable as evidence or used forlitigation orfor a financial ormanagement audit: The programis authorized by BCITsmanagement and is a routine business process The systems and procedures are established, documented, and a log ofimages produced ismaintained The index ismaintained to permitthe immediate location of any document The records are of commercial quality and exhibit a high degree oflegibility and readability when displayed on proper equipment orreproduced on paper A systemof quality assurance isin place Equipmentforreading the recordsis available. The Records ManagementOffice will provide advice and assistance with feasibility studies and indexing analysisforthemicroimaging ofrecords. 6. VitalRecordsProtection 6.1 Objectives The vitalrecords protection procedures aimto identify those records which are vital and importantto BCIT, and to evaluate the potentialrisksto the records. A school or department must develop and implementrecordsmaintenance practicesto protectthe designated records fromvarious potentialrisks. TheDirectory of Recordsidentifiesrecordsthat are vital andRecords Management Procedure 6701PR1

f 18 Procedure Procedure importantto BCIT. Typical hazardsinclude: natural disasters; fire, water, acid or humidity damage;theft; accidental error,misplacement orloss; unauthorized access. These hazards cannot be totally eliminated but can beminimized.Generally,five to ten percent of BCITsrecords are considered to be vital and/orimportant. 6.2 Procedures For each recordsseries designated by theDirectory of Records as vital and important,the cost and risk oflosing the recordsis compared to the cost ofsafeguarding the records. The criteria for determining whether a recordsseriesis vital include one ormore ofthe following conditions. The recordsseriesis: Irreplaceable; whereby a reproduction does not have the same value asthe original(such as a signed contract) Needed in orderthatmoney can be recovered promptly Required to expedite the restoration of a criticalservice Evidence oflegalstatus, ownership, accountsreceivable, land title, and/or obligations. The criterion foridentifying a record as an importantrecord isthatit can be replaced, but only at considerable time, expense and labour. A protectionmethod will be selected fromthesemethods: Direct copying and dispersalto anotherlocation onsite or offsite Microimaging into filmor digitalformat and dispersalto anotherlocation Storage in a fireprotected cabinet Storage in a fireprotected roombuiltto the standard oftwohour protection

 Duplication at alternative offices,service bureaus, etc. The protectionmethod which isthemost efficient and costeffective tomaintain, considering staff costs and space, will be selected for each vital and importantrecordsseries. The Records ManagementOffice will provide advice and assistance with the analysis of protectionmethodsfor vitalrecords. 7. Forms Management 7.1 Objectives A formis any record designed forrecording specific data, usually having preprinted headings, captions, lines, boxes, or other devicesto guide entry and subsequentinterpretations and use of the information. Forms,themost voluminous of all businessrecords,represent a substantial investmentin stafftime and processing. Formsmay be paperbased or electronic. The forms management procedure seekstomanage the costs and improve efficiency and effectiveness of business processesthrough applying formsdesign techniques and controls. 7.2 DepartmentRole Records Management andPrivacyOffice The Records Management and Privacy office will work with the departmentsto streamline the business processes where possible and assure that all data elements are valid for collection fromRecords Management Procedure 6701PR1

Procedure Procedure the legislative perspective. FOIPOP notification will be crafted when required. The Records Management and PrivacyOffice will also ensure recordsmanagement needs aremet, e.g. Directory of Records classification reference numbers are assigned. The new and revised forms will be assessed for possible elimination or amalgamation with similarforms. 7.3 DepartmentRoles BCITImaging The Imaging departmentmaintainsthe formsregister with a control numberfor each form. The

department will alsomaintain binders with the current versions of each formactively being used. The Imaging department will design formsthat adhere to the standards described in this procedure (see below). Imaging will ensure the correct BCIT branding and logo are being used and will assessthe new /revised formsfor duplication /redundancy. A repository ofthe static forms(pdf) in an accessible electronic repository will be provided as a reference toolfor BCIT staff. 7.4 DepartmentProcedures for Initiating andRevising Forms Each department(s)identifiesthe formsrequired and appoints a key person to work with Imaging on forms design when a new formis being designed or a formis being redesigned. The key contactthen provides a list ofindividualsto proofforms. The key contact will discuss automation with Information Technology Servicesin advance, keeping inmind that other electronic formsrequire design by BCIT Imaging, and Records Management and Privacy review by the Records Management office. Upon receipt of a new orrevised form,the department will notify BCIT Imaging. Imaging will add the formfile and numberto the Master Formslist and determine ifthe formcan be amalgamated with anothersimilarformor eliminated altogether. When a formis needed, Imaging will do a first draft and send the formto the Records Management office for Privacy and Records Managementreview where needed. The Records Management office willsend the formback to Imaging for a second draft and revision. Imaging willforward a copy to the key contact person and to the Records Management office. The key contact person gathers all departmentinput onto onemessage, incorporating allthe necessary ideasso asto keep the number of draftsto aminimumdue to the heavy workload of BCIT Imaging. The key contact person and the Records Management office willsign off on the final draft, and advise Imaging ofthe print order, quantities, and paperstock. BCIT Imaging will complete the

print order. If aDepartment wantsto create a formthat can be filled electronically,the finalformmust be reviewed and approved by both the Records Management and PrivacyOffice and BCIT Imaging priorto publishing on the BCIT web site.Records Management Procedure 6701PR1

Procedure Procedure 7.5 Forms DesignStandards (PrintedForms) 1. All box captions are upper/lower case characters, in the upperleft corner ofthe boxes, and allformtitles are centred, in bold (and no need forthe word form in the title). 2. Formtitles are simple and concise, e.g. RequestforOfficial Transcript becomes Official Transcript Request. 3. Formsmust use themost current BCIT logo and place itin the upperlefthand corner. 4. The name ofthe issuing departmentis placed in the upperrighthand corner. 5. Boxes and linesmust allow the reader and individuals enough roomforfilling outthe forms. 6. All checkbox textshould be placed in the lefthand side ofthe check box. 7. Formnumbersmust be printed in the lowerlefthand corner with the revision date. 8. When proceduresinstructions are needed, place these below the logo (upperlefthand side ofthe form) with Procedures or Instructions where appropriate. 9. TheDirectory of Recordsfiling classification number will be supplied by the Records Management office. 10. Determine the number ofset copies with the user ofthe business process/formand eliminate unnecessary lines and boxesfromthe formthat do not add value to clarity. 11. Ifthe formcollects personal information,the Records Management and PrivacyOffice

willsupply the FOIPOP language. 12. Ifthe formis used to enter data to an electronic information system, ensure thatthe flow ofinformationmatchesthe data entry screens. 8. Management of ElectronicRecordsRepositories 8.1 Objectives This procedure will outline the responsibilitiesforrecords custodiansin themanagement of electronic repositories according to BCIT Records Management policy. Electronic records and electronicmailmessagesreceived and created in the conduct of BCITs business are considered records, assuch,may be accessed in response to FOIPOP, litigation, andmanaging BCIT operations. BCIT policy callsfor employeesto distinguish officialrecordsthatrequire retention and storage fromtransitory documents and nonrecords. Most electronic documents are transitory, and employeesmust delete these immediately aftertheir usefulness has expired. Some electronic documents are nonrecords(such as personal emailmessages and correspondence notrelated to BCIT operations). Once an employee hasrecognized that an electronic documentisrequired as a record, he orshe mustsubmitthe erecord / emailrecord to the electronic recordslibrary /repository asshown in BCITsDirectory of Records (http://notesmail.bcit.ca/apps/RecMan.nsf?opendatabase&login&RecMan). The records custodian or a delegate will importthe electronic record into the designated repository so thatitRecords Management Procedure 6701PR1 Dire Procedure Procedure can be used by employees on a needtoknow basis. 8.2 Responsibilities

8.2.1 BCIT Department Itis a collaborative processinvolving the departmentsmanager and staffto determine the situations when an electronic repository is needed forrecordkeeping and shared retrieval of electronic documents. The department will designate one person to actin the role ofrecords custodian forthe electronic repository. The department will decide who among BCIT employeesmay accessthe electronic repository. 8.2.2 Records Custodian The custodian will contactInformation Technology Services(ITS) and requestthe necessary electronic repository (LotusNotes documentlibraries,Quickplace, or a Local AreaNetwork directory). The custodian will ensure thatthe repository aligns with the retention requirements and recordsseriestitles asindicated in theDirectory of Records database. 8.2.3 InformationTechnology Services (ITS) ITS willmaintain a listing of electronic repositories, who the custodian is, and who the authorized staff are thatmay accessthe repository. ITS willshare the list of electronic libraries with BCITs Records Management and PrivacyOffice. 8.2.4 Records Management andPrivacyOffice The Records Management and PrivacyOffice will create a case file on BCITsDirectory of Records database and ensure that a link to the electronic repository ismade in the database. If electronic records are not comprehensively allocated to a designated electronic documentlibrary but are instead stored in several locations,thissituation produces partial case filesin several locations. When staffrely on partial information,this could lead to making decisions based on incomplete information and otherrisks. 8.2.5 Records Custodians for Electronic Document Libraries

Records custodians have the responsibility to: Assist office staff with propersecurity levelto identify and retrieve the active electronic document Communicate within the departmentthat a documentlibrary is being used for specific classifications ofrecords Create appropriate indexing data concerning the document(metadata) and enter metadata for each electronic document Arrange to transferto the archivistthe recordsselected for permanent orlongterm preservation Advise ITS and the Records Management and PrivacyOffice when an electronic documentlibrary is no longer being used and the request hasto be deleted Atleast once each year, delete fromactive documentrepositoriesthose electronicRecords Management Procedure 6701PR1

Procedure Procedure documentsthat are no longerrequired. 8.2.6 ElectronicRepositories: Document Categories andArrangement The basic options ofthe file arrangement are chronological,topical, or alphabetical. Index termsmay be also assigned.When arranging documents within each library,the custodian and department chooses an arrangementthat bestservesitsretrieval needs. 8.2.7 Advice onElectronic Libraries The Records Management office will provide active records and filing systems advice to Custodians on topicssuch as: Indexingmethodsfor electronic documents Retrievalsystemsfor electronic documents

 Purging electronic documents. 9. DestructionofPaperRecords atBCIT 9.1 Objectives BCIT has paperrecords destruction proceduresin orderto ensure: Thatrecords are retained forthe time frameslisted in BCITsretention schedules Thatthe necessary approvals are obtained forrecords destruction Thatrecords are destroyed in a confidentialmanner Cost effectiveness and timeliness ofrecords destruction. 9.2 Records Categories The procedure to follow depends on the category ofthe record(s). Category 1: Scraps Category 1 consists of nonconfidential papers and nonrecords. Examples: Scrap paper, copies of calendars and appointments,meeting requests, published articles and journals, association information,referencematerial. None ofthismaterial isregistered in theDOR database. Procedure No RecordsDestruction Authorization (RDA) processisrequired. Place in recycling bin. Category 2: Records Category 2 consists of personal working records, departmentalrecords, papersset up in file folders, BCIT businessrecords. These typically include paperbased filesfromfile cabinets and employee workstations. Forthis category,the records custodian or noncustodian employee routinely (atleast once per year)reviews and removesfor confidential destruction filesthat are due for destruction according to BCITsDirectory of Recordsretentionsschedules.Records Management Procedure 6701PR1

Procedure Procedure Recordsmay be in file folders or boxes. This category includesDORregistered and nonregisteredmaterials. Procedure RecordsDestruction Authorization isrequired. 1. Pullrecordsfromfile cabinets and / orfromcomputer printers and placesthemin any type of box with a lid. 2. Labelthe boxes clearly forshredding, and place themin a secure location until pickup by Logistics. 3. Complete the electronic RDA request.Nonrecords custodians are able to generate electronic RDA requests only forrecordsthat have not been registered in theDirectory of RecordsDatabase. The authorization processincludes obtaining the department managers approval. Forinstructions on thisstep,see Generating the Requestfor RecordsDestruction Authorization in Section 3.5 ofthis procedure. 4. Afterthemanager approvesthe RDA request and forwardsitto The Records Management and Privacy office (RMO),the RMOapprovesthe request, and notifies Logisticsto pick up the box(es) for confidential destruction. 5. Boxesshould be picked up within two to three business days. Category 3: Adhoc documents and printouts Category 3 includes printouts containing personal or BCIT confidential information, individual loose documentsthat have never been set up in departmentalfile folders, BCIT business, and confidential papers(including completed exams after one year). Thesematerials are notregistered in theDirectory of Records database. Thematerialsmay be in file folders, boxes, ormay be loose.

Procedure RecordsDestruction Authorization isrequired. 1. Place the documents or papers due for destruction into any type of box with a lid, and labelthe box clearly forshredding. 2. Store the box in a secure place until picked up by Logistics. 3. Complete the electronic RDA request. The processincludes obtaining the department managers approval. Forinstructions on thisstep,see Generating the Requestfor RecordsDestruction Authorization in Section 3.5 ofthis procedure. 4. Afterthemanager approvesthe RDA request and forwardsitto The Records Management and Privacy office (RMO),the RMOapprovesthe request. 5. Boxesshould be picked up within two to three business days. Category 4: Documents ofaHighly ConfidentialNature Category 4 includes documents and papersthat originate in sensitive departmentssuch as Human Resources,the PresidentsOffice, etc. Typically these documents and papers have never been set up in departmentalfile folders.Records Management Procedure 6701PR1 Direct Procedure Procedure Thesematerials are notregistered in theDirectory of Records database. Procedure No RecordsDestruction Authorization is normally required. Departmentsthat produce Category 4materials willtypically keep a Lock Box, with a pre arranged, periodic pickup time fortransport and destruction. In small quantities,thesematerials may also be shredded in the office shredder. Forthe lock box:

1. Pullrecordsfromfile cabinets, workstations, and / orfromcomputer printers and place themin the lock box. 2. Maintain the lock box in a secure location until pickup time. 3. The records destruction vendor willsecurely shred the lock box on a schedule of either once ortwice permonth. FormsAssociatedWithThisProcedure A. Records Retrieval Authorization LIB71 B. Archives Accessing FormLIB46 C. BCIT Storage Box Label Amendment History 1. Revision 1 2007Dec 01 2. Revision 2 2008 Sep 30 3. Revision 3 2011Dec 15 (revision to chapters 3 and 9)

Inward Mail

Some firms ask for correspondence to be addressed to the general manager, rather than to a particular individual. This is unhelpful, since it means more sorting has to be carried out. In any large organisation however, there would need to be preliminary sorting of mail. In large organisations, there is usually a separate postal department, which does this after the post has been sorted according to the department. It may be further sorted according to the individual or section to which it is addressed.

In large organisations such as the civil service post may be transferred from one floor to another through a lift system. Some offices require juniors to sort all the post as part of their clerical training. Whilst the post office will usually deliver mail to the firm, some organisations collect from the post office at times, which are convenient to them. They can do this through the use of a private box system. This can be helpful when there are vast quantities of correspondence which needs to be sorted early in the

day. Mail must be opened in a systematic way and in particular attention has to be paid to any money which is sent, whether in the form of cheques or cash. In some offices, the post is opened by workers in the postal departments.

It is best in the interest of security and confidentiality that the post is delivered to the relevant departments and individuals can open. Even in those offices in which post is opened in the post-room letters and parcels marked confidential will be delivered unopened.

A further advantage to the post being delivered unopened from the posts room viewpoint is that the person to whom a letter or parcel is addressed can tell by looking at the postmark when it was posted. This is particularly important if the letter or parcel is a competition entry or a job application. Firms often have a system of pigeonholes, which are used for sorting the inward mail once it has been received by the post room. This enables the mail to be sorted according to the appropriate departments and in many cases into smaller subsections within those departments. This is easiest to do if the firms themselves use references denoting the different departments. It is important that the date the post room receives mail is stamped on it by people working in the post-room.

In this way, if there is a delay in the letter being sent to the appropriate department they can easily be checked to see if it was the fault of the postal department or someone else. It is also easy to check if clients wrote when they claimed to have written. It is important if it is the responsibility of the post room to open the post, but where letters mention enclosures , that these are indeed contained within the packet. Some firms keep a record of all inward mail. This is an extremely expensive and very timeconsuming process. However, most firms require a register of important posts such as recorded delivery or registered letters which are likely to contain documents or certificates or other items of importance.

Registered and recorded deliveries have to be signed for on arrival at the office. Such registers are also likely to contain information about money or cheques which could be sent through the post. Items such as journals and brochures may sometimes need to be circulated to several individuals or departments, but this is less likely nowadays, with the use of emails, where important documents are received, though there may be a circulation list showing who has received it and people then sign to say that they have actually received the document and the date which they send it to the next person. If items are to go to more than one department , it is important if letters are responsibility of more than one department of a note is taken of what date they arrived in one department and then passed on to another. Outward mail

The post room in many large organisations is important. Some offices make sure that their juniors work in the post room in the first few weeks so that they have more information about the type of organisation in which they work, and the various departments. The post room, particularly in firms such as insurance companies acts as a vital means of communication between branches as well as communications with the outside world. In some small firms there may be just one clerk who handles the outward mail.

Sometimes the task is given to office staff as a whole, but this is not helpful as it is difficult then to assign responsibility if anything goes wrong. It is important if there are large volumes of correspondence that not all the outgoing mail is brought down at the last possible time. In some large organisations, therefore, there may be messenger services to collect mail from each office at regular intervals, both internal and external mail. Many offices have a series of out going mail trays.

The post office offers a number of different systems for bulk mailing and also for parcels. Mail which requires first-class post should have an indication upon it as well, as any mail which needs airmail. Firms may well have pigeonholes dealing with external post.

Franking machines

Many organisations use franking machines, which enables firms to keep a record of the number of items sent as well as the total cost of postage. The franking machines will usually also have a weighing machine incorporated so that the right postage is paid.

Many firms also have some procedures to try to ensure that employees do not send their own private correspondence through the firms mailing system unless they pay for it. It is important that there are clear procedures for sending registered letters or items by recorded delivery.

Folding machines

The leaflets or documents which are sent to the customer in large numbers may be needed to be folded in a special way. This can be done manually, but it is time-consuming and very dull work, so folding machines might be used for this. In the United Kingdom, there is now a system of first-class letters as well as second-class.

Recorded delivery is important, where the item to be sent, has no great intrinsic value, but where it is important to ensure that delivery is made. It can therefore be suitable for sending examination certificates or insurer's policies.

Registered post

The service is used, where firms wish to send valuable items which compensation is paid if the items are not delivered correctly.

Certificates of Posting

In the United Kingdom there is no charge for this service , but they can show that the person actually sent the letter on a particular date.

Freepost

This is a useful service for firms which wish to obtain replies from individuals or firms without putting them to the convenience or expense of paying postage.

Business reply service

This service allows people to reply to correspondence from firms without paying for the postage.