Security Services Records Book

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Idaho Records CenterA Program of the Idaho State Archives

Security Services RecordsRetention Schedule of the

Records Management Guide

(This Schedule Revised April, 2008)

C.L. BUTCH OTTER, GOVERNOR

Idaho State Historical Society

Janet Gallimore, Executive Director

Rod House, State Archivist

Idaho State Archives

2205 Old Penitentiary Road

Boise, Idaho 83712

Phone: (208) 334-2620 history.idaho.gov

Email:[email protected]

Fax: (208) 334-2626

history.idaho.gov
mailto:[email protected]:[email protected]:[email protected]://www.bing.com/images/search?q=great+seal+of+idaho&view=detail&id=3E603E6D5E4CCA23C0FC2A9025A16B897A371AAF&first=1mailto:[email protected]


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RECORDS MANAGEMENT GUIDE i

APPENDIX 9 - Security Services Records

TABLE OF CONTENTSGUIDELINES......................................................................................................................................... A-9-1

INTRODUCTION TO RECORDS RETENTION SCHEDULE................................................................A-9-2

HOW TO USE THESE SCHEDULES ...................................................................................................A-9-4

SECURITY SERVICES RECORDS ................................................................................................. A-9-285

Departmental Recovery Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-285

Disaster Planning Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-285

Guard Assignment Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-285

Guard Service Control Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-285

Guard Service Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-286

Insurance Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-286

Key Accountability Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-286

Liability Insurance Policy Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-286

Liability Risk Management Case Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-286

Loss Control Inspection Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-287

Personnel Security Clearance Status Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-287

Property Insurance Policy Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-287Security Logs And Registers - Individual Guard Posts . . . . . . . . . . . . . . . . . . . . . . . . A-9-287

Security Logs And Registers - Master Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-287

Visitor Control Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9-288

Visitor Control Files For Areas Of Maximum Security . . . . . . . . . . . . . . . . . . . . . . . . . A-9-288

SG NUMBER INDEX.................................................................................................................................L-1

INDEX...........................................................................................................................................................1


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RECORDS MANAGEMENT GUIDE A-9-1

APPENDIX 9 - Records Retention Schedule for State Government Agencies Revised: 4/08

APPENDIX 9: RECORDS RETENTION SCHEDULE FOR

STATE GOVERNMENT AGENCIES

GUIDELINES

A record is recorded information, in any form, including data in computer systems, created or

received and maintained by an organization or person in the transaction of business or theconduct of affairs and kept as evidence of such activity.

The following records retention schedule is reviewed and modified, if necessary, on a yearly

basis. The schedule is designed to be a reference in designing individualized agency retention

schedules and to provide a level of uniformity in records retention throughout Idaho state

government. The State Record Center, Department of Administration, should be contacted

regarding proposed changes or modifications to the records in this schedule, or if activities of an

agency require different retention.

All retention periods are filed by either the fiscal or calendar year. For all UNANNOTATED

DUPLICATE COPIES, preferably destroy immediately after administrative need ends by either

the fiscal or calendar year.


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APPENDIX 9: Guidelines



INTRODUCTION TO RECORDS RETENTION SCHEDULE

This schedule is intended for use within an agencys records management program.

Regardless, until an agency creates a version of this records retention series specific to its

facilities, these are the accepted and established time frames and limitations that should be

adhered to.

Retention Schedule Headings

Definitions

Series # Number associated with each schedule type

Series Title A general description of the series

Office of Record Office that commonly creates the record and holds it during its active

period

Retention Period Time to retain the record; life of the record

Transfer Instructions Where a record goes after its active period

Archival A Indicates the record is or may be permanent and have historic

value

R Indicates a required review by the Records Manager to determine

value

Vital X Record is vital for immediate operation of the office of origin or the

institution.

Guidance: Restricted Access RA Refers to the security needs of a record series. Must bejustified.

Access to applicable records should be limited to authorized

personnel and approved individuals due to privacy and

educational interests. Questions about limits should be based

on the type of records, its content and the nature of the request

for access and use.

Records may contain, but are not limited to, confidential, personal or

proprietary information.

Guidance: Authorities Federal and State laws, regulations or requirements that pertain tothe series. Where not specifically referenced, Idaho Code 9-337

through 9-347 of the Public Records Law has been applied. Note that

there are exemptions for the access requirements of this law. These

may be noted as well.


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Retention Codes

(Refer to Records Regardless of Format; Type May Vary)

AC After closed, terminated, completed, expired, settled or last date of contract

AV As long as administratively valuable

CE Calendar Year End (December 31st)

FE Fiscal Year End (June 30th)

LA Life of Asset

PM Permanent

UA University Archives

US Until Superseded


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Concerns about making records available to a public records request should be addressed to the

agencys Records Manager, General Counsel, Deputy Attorney General or the State Archivist.

CREATING AN AGENCYS RETENTION SCHEDULE

Once an inventory is completed and a summary of the record series which occur in the agencysoffice has been compiled, based on this general schedule, a set of decisions will need to be

made to establish the Office of Record for each record type. NOTE:For many common series,

like correspondence, the Office of Record will probably be the office of origin until it is time to

transfer the inactive years of material to the State Archives. Other records have obvious

homes, like payroll records (Accounting or Payroll) and permanent or long-term personnel files

(Human Resources). It should be noted that smaller-scale agencies may find that a central office

becomes the Office of Record for many record types because of staffing or the preference of the

agency director. For agencies with regional offices around the State, these decisions may seem

problematic. However, with a careful focus on the needs of the offices within an agency and by

consulting the State Archivist, these decisions can be made to the benefit of all.

One of the established benefits of records management, with improved accountability of the

Office of Record, is efficiency, in both expense and time, of being able to retrieve a record when it

is truly needed, without multiple copies taking up space throughout an agency or an office.

HOW TO USE THE RETENTION SCHEDULE FORMAT

Please consider the sample inserted below. Microsoft Excel was used to create this version of

the retention schedule document. The fields of the table should be adhered to for compatibility

with other State agencies and offices within a given agency.

The Records Retention Form, an online Excel fill-in form document, may be accessed at http://

adm.idaho.gov/purchasing/record_cnt.htm.
http://adm.idaho.gov/purchasing/record_cnt.htmhttp://adm.idaho.gov/purchasing/record_cnt.htmhttp://adm.idaho.gov/purchasing/record_cnt.htmhttp://adm.idaho.gov/purchasing/record_cnt.htm


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LEGEND:

Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively val

(December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; U

Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determ

Vital: X-Record is vital for immediate operation of the office of origin or the institution

Guidance: RA-Refers to the security needs of a record series. Must be justified.

RECORDS MANAGEMENT GUIDE

APPENDIX 9- Records Retention Schedule for State Government Agencies

SECURITY SERVICES RECORDS

NOTE: All retention periods are filed by either the fiscal or calendar year. For all UNANNOTATerably destroy immediately after administrative need ends by either the fiscal or cale

Series #Series Title

(Additional Description)

Office of

Record

Retention

Period &

SG1301 DEPARTMENTAL RECOVERY REPORTS

Agency reports of operation tests, consisting of consolidated orcomprehensive reports reflecting agency-wide results of testsconducted under emergency plans.

PM

SG1302 DISASTER PLANNING FILES

Files used to prepare statewide plans for action to address anemergency, e.g. fire, flood, earthquake, and other disasters.

PM

SG1303 GUARD ASSIGNMENT FILES

Files relating to guard assignments. Includes ledger records orrequests, analyzes, reports, change notices, and other papersrelating to post assignments.

AC +3, thendestroy

SG1304 GUARD SERVICE CONTROL FILES

Control center key or code records, emergency call cards, buildingrecord, and employee identification cards.

US, thendestroy


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APPENDIX 9 - SECURITY SERVICES RECORDS

LEGEND:








SG1305 GUARD SERVICE REPORTS

Round reports, facility checks, service reports on interruptions andtests, punch clock dial sheets, automatic machine patrol charts, and

registers of patrol and alarm services.

AC +1, thendestroy

SG1306 INSURANCE REPORTS

Reports used for the reference and generation of claims files.

GUIDANCE:- Retain by Risk Management.

RiskManage-ment

AC +15,then destroy

SG1307 KEY ACCOUNTABILITY FILES

Files relating to accountability for keys issued, including keys tomaximum security areas.

PM

SG1308 LIABILITY INSURANCE POLICY FILES

Insurance policy contracts between the State of Idaho and privateinsurers.

PM

SG1309 LIABILITY RISK MANAGEMENT CASE FILES

Case files of the reporting, investigation, and settlement of liabilityclaims filed against the state, colleges and universities.


RiskManage-ment

AC +20,then destroy



Office of

Record

Retention

Period &


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LEGEND:








SG1310 LOSS CONTROL INSPECTION REPORTS

An annual self-inspection report used to identify potential hazardswithin the building or on the agency property. This record may also

be used as evidence in defense of a claim.GUIDANCE:- Retain by agency until superseded or obsolete, then send to Risk

Management.

RiskManage-ment

US +12,then destroy

SG1311 PERSONNEL SECURITY CLEARANCE STATUS FILES

Lists of rosters showing the current security clearance status ofindividuals.

US, thendestroy

SG1312 PROPERTY INSURANCE POLICY FILES

Insurance policy contracts between the State of Idaho and private

insurers.


RiskManage-ment

AC +75,then destroy

SG1313 SECURITY LOGS AND REGISTERS - INDIVIDUAL GUARD

POSTS

Individual guard post logs of occurrences.

AC +3, thendestroy

SG1314 SECURITY LOGS AND REGISTERS - MASTER OFFICE

Central guard logs which are compiled from individual guard postlogs of occurrences.

AC +5, thendestroy



Office of

Record

Retention

Period &


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LEGEND:








SG1315 VISITOR CONTROL FILES

Registers or logs used to record names of outside contractors,service personnel, visitors, and employees admitted to areas, and

reports of passengers in State automobiles.

AC +2, thendestroy

SG1316 VISITOR CONTROL FILES FOR AREAS OF MAXIMUM

SECURITY

Registers or logs used to record names of visitors who are admittedto areas of maximum security.

AC +5, thendestroy



Office of

Record

Retention

Period &


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RECORDS MANAGEMENT GUIDE L-1

SG NUMBER INDEX

SG NUMBER INDEX

SG1301 . . . . . . . . . . . . . . . . . . .A-9-285

SG1302 . . . . . . . . . . . . . . . . . . .A-9-285

SG1303 . . . . . . . . . . . . . . . . . . .A-9-285

SG1304 . . . . . . . . . . . . . . . . . . .A-9-285

SG1305 . . . . . . . . . . . . . . . . . . .A-9-286SG1306 . . . . . . . . . . . . . . . . . . .A-9-286

SG1307 . . . . . . . . . . . . . . . . . . .A-9-286

SG1308 . . . . . . . . . . . . . . . . . . .A-9-286

SG1309 . . . . . . . . . . . . . . . . . . .A-9-286

SG1310 . . . . . . . . . . . . . . . . . . .A-9-287

SG1311 . . . . . . . . . . . . . . . . . . .A-9-287

SG1312 . . . . . . . . . . . . . . . . . . .A-9-287

SG1313 . . . . . . . . . . . . . . . . . . .A-9-287SG1314 . . . . . . . . . . . . . . . . . . .A-9-287

SG1315 . . . . . . . . . . . . . . . . . . .A-9-288

SG1316 . . . . . . . . . . . . . . . . . . .A-9-288
http://rrm%20ap-9-admin%20recs.pdf/http://rrm%20ap-9-admin%20recs.pdf/http://rrm%20ap-9-board%20and%20comm.pdf/


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RECORDS MANAGEMENT GUIDE 1

INDEX

INDEX

D

Data

Documentation For Non-Permanent

Databases - - - - - - - - - - - - - - - - - - - -A-9-6

Departmental Recovery Reports - - - - - - A-9-285

Disaster

Planning Files- - - - - - - - - - - - - - - - - - A-9-285

F

Files

Disaster Planning - - - - - - - - - - - - - - - A-9-285

Guard Assignment - - - - - - - - - - - - - - A-9-285

Guard Service Control - - - - - - - - - - - A-9-285

Key Accountability - - - - - - - - - - - - - - A-9-286

Liability Insurance Policy- - - - - - - - - - A-9-286

Liability Risk Management Case - - - - A-9-286

Personnel, Security Clearance

Status- - - - - - - - - - - - - - - - - - - - - - A-9-287

Property Insurance Policy - - - - - - - - - A-9-287

Visitor Control- - - - - - - - - - - - - - - - - - A-9-288

Visitor Control For Areas Of

Maximum Security - - - - - - - - - - - - A-9-288

G

Guard

Assignment Files - - - - - - - - - - - - - - - A-9-285

Service Control Files- - - - - - - - - - - - - A-9-285

Service Reports - - - - - - - - - - - - - - - - A-9-286

I

Insurance

Liability Policy, Security Services - - - A-9-286

Property Policy, Security Services- - - A-9-287

Reports - - - - - - - - - - - - - - - - - - - - - - A-9-286

K

Key Accountability Files - - - - - - - - - - - - - A-9-286

L

Liability

Insurance Policy Files - - - - - - - - - - - -A-9-286

Risk Management Case Files - - - - - -A-9-286

Loss Control Inspection Reports - - - - - - -A-9-287

P

Periodic Budget Reports- - - - - - - - - - - - - - A-9-6

Personnel

Security Clearance Status Files - - - - -A-9-287

Property

Insurance Policy Files - - - - - - - - - - - -A-9-287

R

Records

Departmental Recovery, Security

Services - - - - - - - - - - - - - - - - - - - -A-9-285

Security Services - - - - - - - - - - - - - - -A-9-285

Reports

Budget, Periodic - - - - - - - - - - - - - - - - - A-9-6

Guard Service - - - - - - - - - - - - - - - - - -A-9-286

Insurance - - - - - - - - - - - - - - - - - - - - -A-9-286

Loss Control Inspection - - - - - - - - - - -A-9-287

S

Security

Logs And Registers - Individual

Guard Posts - - - - - - - - - - - - - - - - -A-9-287

Logs And Registers - Master Office - -A-9-287

Services Records - - - - - - - - - - - - - - -A-9-285

V

Visitor

Control Files - - - - - - - - - - - - - - - - - - -A-9-288

Control Files For Areas Of

Maximum Security - - - - - - - - - - - - -A-9-288

Security Services Records Book

Documents

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