Chapter 1 – General Administration

14060.6.7 Records Filing

• Active Records

  • Active records shall be filed in an organized manner for the retention period listed in the RRSRecords Retention Schedule. Exception: Duplicate records must be routinely purged and retained a minimal time period.

• Inactive or Discharged Records

  • Inactive or discharged records shall be filed in an organized manner in boxes in the appropriate archives (e.g., local archives for facility records, SRCState Records Center for CDCRCalifornia Department of Corrections and Rehabilitation headquarters’ records, or CDCRCalifornia Department of Corrections and Rehabilitation’s headquarters’ archive for inmate/parolee case records).

  • The following steps shall be followed in filing records:

  • Inspecting: Employees shall ensure that the record has been released for filing.

  • Equipment Labeling: File shelves and drawers shall be plainly labeled for easy identification of contents.

  • Master File Index List: A Master File Index List of all files on each shelf or drawer shall be retained by the file equipment and be easily visible.

  • Indexing: Employees shall determine an appropriate file caption for the record.

  • Coding: The file caption shall be written in the upper right-hand corner of the record or underlined if it is already plainly visible on the record.

  • Sorting: Employees shall sort records before filing.

  • Filing: When a file folder is filled, a new folder shall be created, labeled, and filed in front of it.

  • Out Card: Records removed from files shall be replaced by out cards in the record or file place. The out card should identify the record title, borrower name, and date removed.