Records Management Forms Policy

This policy provides the procedures for submitting Records Management forms and identifies who has the authority to approve/sign for the following actions. Every agency must have an appointed Records Officer (RO) who will follow the Records Management forms policy.

Except for the Request for Reference Services form, all Records Management forms require the signature of a Records Officer (or Commissioner/Agency Head). The Transmittal form can also be signed by the RO Assistant. Any agency seeking to send boxes to the Records Center must have the authorization from the agency Records Officer, RO Assistant, or Agency Head before the material can be accepted.

From the Records Management Manual:
State Agency Responsibility
Each agency must maintain an efficient and continuous records management program and appoint a Records Officer. Assistant Records Officers should also be appointed as needed. The Records Officer will have a thorough knowledge of the agency, its records and functions. The Records Officer will create and maintain appropriate records schedules and appoint agency Cardholders as needed.

Who has Authorization?

  • Request for Reference Services — Agency cardholders can sign this form and request records from the Records Center. Anyone seeking to retrieve records must have an access number. Records Officers and Assistants can also sign this form and request records.
  • Application for Records Retention Schedule and Records Series Inventory — Any inventory may list a specific contact person, but the forms must be signed by an Agency Records Officer or Agency Head.
  • Transmittal of Records — The packing of boxes for transfer to the Records Center needs an oversight process and final approval by a Records Officer/Assistant or Agency Head before records are accepted, even though boxes are often packed by agency cardholders.
  • Records Officer/Cardholder Form — Records Officers and Assistants need approval from the Commissioner or Agency Head. Cardholders can be added by the Agency Records Officer.
  • Disposition Notice — This form needs to be authorized by a Records Officer or Agency Head.