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Section 3. Records Maintenance

Effective and proper management of records ensures that:

Proper records maintenance also contributes to economy of operations by facilitating records disposition. This section covers general records maintenance policies and practices, regardless of media, and several aspects of records maintenance that apply specifically to paper-based records. The next section specifies additional requirements for special records; i.e., records other than traditional paper text.

A. General

checkbox Yes checkbox No 1. Has the program or office established standards and procedures for classifying, indexing, filing, and retrieving records and made them available to all employees?
checkbox Yes checkbox No 2. Is access to all records, regardless of media, limited to authorized personnel?
checkbox Yes checkbox No 3. Are cutoffs (file breaks) clearly defined and implemented for each records series?
checkbox Yes checkbox No 4. Are permanent series of records identified and maintained separately from temporary records?
checkbox Yes checkbox No 5. Has the program or office established and implemented regulations or procedures for the storage of confidential business information (CBI), Privacy Act, and other restricted records?

B. Paper-based Records

checkbox Yes checkbox No 1. Has each office designated official file locations (file stations)?
checkbox Yes checkbox No 2. Is a file plan for each series of records maintained at each file station?
checkbox Yes checkbox No 3. Does each office have procedures for filing, charging out, and refiling its records?
checkbox Yes checkbox No 4. Are file drawers and folders labeled correctly?

For further information, see the following NARA publications: "Files Maintenance," "Files Operations," "Subject Filing," and "Checklist for Evaluating Recordkeeping Practices in Your Office." The National Records Management Program also has a selection of products addressing these topics in the Records Management Collection and on the NRMP web page.

Introduction | Section 1 | Section 2 | Section 3 | Section 4 | Section 5 | Section 6

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