OST184 Records Management

Chapter 7

Storing, Retrieving,

and Transferring Records

Five Phases of the Records Life Cycle Creation Creation Distribution Use Maintenance Disposition

The last two phases are discussed in this chapter.

Maintenance includes storing, retrieving, and protecting records.

Disposition includes transferring, retaining, or destroying records.

An effective records and information management (RIM) program adheres to best practices to assure that records that continue to have value to the organization are stored and retained (kept).

Records Retention Program – consists of policies and procedures relating to: What documents to keep. Where and in what type of environment the documents are kept. How long these documents are to be kept.

Records Retention Schedule (RRS) – a comprehensive list of records, indicating the time records are to be maintained.

Retention policies allow destruction of records that no longer have value to the organization.

Storing records no longer needed is costly because more floor space is used, more storage supplies and equipment are purchases, and more labor is required.

The Value of RecordsThe classification by value of the record to the firm is useful for making retention decisions. Four categories of records values:

NonessentialRecords that are not worth keeping.

ImportantRecords for long-term storage seven to ten years; contain pertinent information; need to be recreated or replaced if lost.

Useful Records for short-term storage of up to three years; helpful in conducting business operations; may be replaced at small cost.

VitalRecords for permanent storage; essential for the continuation or survival of organization; necessary for recreating organization’s legal and financial status.

Records Inventory

A records inventory is a detailed listing that could include the types, locations, dates, volumes, equipment, classification systems, and usage data of an organization's records.

It usually involves a survey conducted by each department, with a member of each department assigned the task of inventorying its records and documenting important information about those records.

Survey information from all departments is incorporated into an organization-wide records retention schedule.

RFID (Radio Frequency Identification) Some organizations use bar code and radio frequency

identification technology to speed the records inventory process.

A bar code is a coding system consisting of vertical lines/bars set in a predetermined pattern that, when read by an optical reader, can be converted into machine-readable language.

Bar codes are used for tracking locations of documents, folders or boxes of records.

Does not require direct contact or line-or-sight scanning. Therefore, boxes do not need to be unpacked to scan individual bar code labels on folder and/or documents. The result is reduced labor costs and improved accuracy.

The use of bar code technology brings improvement in data accuracy over keyboard data entry.

Three components: An antenna A transceiver/reader A transponder (the tag or chip)

Terms An official record (often called record copy or official copy) is a

significant, vital, or important record of continuing value to be protected, managed, and retained according to established retention schedules. Retained for legal, operational, or historical purposes.

The office of record is an office designated to maintain the record or official copy of a particular record in an organization.

A nonrecord is an item not usually included within the scope of official records such as a convenience file, day file, and reference materials. These are not retained past their usefulness. Typically not included in a records retention program.

A record series is a group of related records that normally are used and filed as a unit and can be evaluated as a unit to determine the records retention period.

The retention period is the time that records must be kept according to operational, legal, regulatory, and fiscal requirements.

Records Inventory

Name and date

Records and location by department, office, room, etc.

Equipment in which records are stored; shelves, vaults, etc.

Number of cabinets, shelves, or other storage containers

How often records are referenced - daily, weekly, etc. and why.

A records inventory is a valuable tool for helping managers decide which filing methods (alphabetic, subject, numeric, or geographic) to use. Information obtained from a records survey and inventory usually include the following:

Records media – paper micrographic, electronic, optical, etc.

Records size – letter, legal, checks, etc.

Records housing – folders, binders, disks, etc.

Records value – vital, useful, important, nonessential

Retention requirements

Records inventory worksheet - a detailed listing that could include the types, locations, dates, volumes, equipment, classification systems, and usage data of an organizational records.

Email records may or may not be considered records. Email is widely used for sending business-related messages;

therefore, records received or transmitted via email are included on a records retention schedule in appropriate records series.

Email messages are deleted from the system after a predetermined time if they no longer have value to the organization.

Any important email messages that need to be stored for longer periods should be printed and filed with other paper records.

Some organizations routinely purge/delete all email after 30 days, while other organizations allow each user to determine what to retain as long as the user is following the organization’s policy regarding retention.

Email Records

Web Records The organization needs a policy that

addresses web records. Generally, when materials are posted to an

organization web site, the materials qualify as records.

Web records go through the same life cycle stages as records in other formats. However, these stages are accelerated because web sites may be updated frequently.

Documents for online transactions are included and t hey should be retained for the length of time required by relevant regulations, statues, and company policies.

1. How long will the record be used?2. In what form should the records be kept?3. How accessible should the records be?4. When should the records be determined inactive?5. Which records should be transferred offsite and when?6. How will such records be accessed?7. Will transferred records maintain their integrity and security?8. What are the applicable federal, state, and local laws?9. What are the comparative costs for keeping records or not

keeping records?10. When and how will records be disposed of?

The records manager must consider each of the following interrelated aspects when developing a records retention schedule:

Records Retrieval Retrieval is the process of locating and removing a

record or file from storage. It is also the action of recovering information on a

given subject from stored data. A record or information from it can be retrieved in

three ways: Manually – A person goes to the storage container and

removed by hand a record. Mechanically – A person does something like press a

button to rotate movable shelves. Electronically – A person uses a computer to locate a

record.

Steps in the Retrieval Process1. Request for stored record or record series - requisition

form prepared.

2. Check index for location of stored record.

3. Search for record or record series.

4. Retrieve record or record series; remove from storage.

5. Charge out record - insert OUT indicator in place of records removed – complete charge-out log.

6. Send record to requester.

7. Follow up borrowed record.

8. Receive record for re-storage.

9. Store record again.

10. Remove OUT indicator.

11. Update charge-out log.

Requisition Form A requisition form is a written request for a record or

information from a record. Answers the questions:

Who? – What? – When? – Where? – How long? The form may be prepared by the requester or completed

by the filer from information given orally or in writing by the requester.

This form may be prepared in duplicate:

The original stays in the folder from which the document was retrieved to serve as a OUT indicator. The copy serves as a reminder to assure the record is returned on time.

On-Call (Wanted) Form Occasionally, another user will request a record

that has already been borrowed. A requisition form replaced the record in the file, and it

identifies who has the record and when it will be returned. The filer should notify the second requester that the record

is on loan and state when it is scheduled for return. If the second request is urgent, the filer will notify the

original borrower that someone else wants the record and ask that it be returned to storage.

Notification may be made orally, in writing on an on-call form, or by fax or email.

An on-call form is a written request for a record that is out of the file.

This form is similar to the OUT form. Two copies of an on-call form are made:

• One copy goes to the borrower.• The other copy is attached to the original OUT

indicator in storage.

On-Call (Wanted) Form

When the borrowed record is returned to storage, it is charged out to the second borrower by the standard method.

Confidential Records Requests Some records may be stamped Confidential, Classified, Secret, Vital, etc.

Do NOT release these types of records from storage without proper authorization following established procedures.

In some organizations, the signature of a designated officer of the organization is required for release of such records.

Some records are so confidential or valuable that they are not to be removed from storage under any circumstances.

These records must be inspected only at the storage container or in a secure room.

The signature of someone in authority is required before the inspection is allowed.

A requisition form is not required, but a record of the persons inspecting the records may be kept.

Charge-Out Procedures

Charge-out is a procedure to establish the current location of a record when it is not in the records center or central file.

A record is charged-out to the borrower who is held responsible for returning it to storage by an agreed-upon date.

Borrowers seem to be more conscientious about returning records when they know that the record have been charged out in their name.

The supplies needed to charge-outrecords consists of the following:• OUT indicators to show that records have been removed from

storage.• Carrier folders to transport borrowed records while the original

folder remains in the file.• Charge-out log.

Disposing of OUT Indicators• When a borrowed record is returned to storage, the OUT form

inserted while the record was gone must be removed immediately.

• In some offices, OUT forms are kept for tallying purposes – to see how many records are being requested, to determine the workload of employees, and to see which records are being used frequently and which are not.

Charge-Out Procedures

Follow-up Procedures Whoever is responsible for retrieving records from storage and

charging them out is also responsible for checking in the records on their return.

Follow-up is a system for assuring the timely and proper return of materials charged out from a file.

The length of time records may be borrowed from storage depends on:

• The type of business.

• The number of requests received for the record.

• The use of a copying machine.

• The value of the records. Experience shows that the longer records remain out of the files, the

more difficult their return becomes.

Follow-Up for Confidential Records

The rule concerning confidential recordsis generally that the records must bereturned to storage each night.

An additional reminder to obtain the record before the end of the day is used. Because the memory jogger must remind the filer that a confidential records are out of storage and must be returned, it must be something unusual.

Charge-out Log Usually, an organization will have a charge-out log

on which to record information for all records as theyare removed from storage.

A charge-out log is a written form used for recording the following information:

• What record was taken (subject title or correspondence title)• When the record was taken (date borrowed)• Who took the record (name-email-phone number)• Date due• Date returned• Date overdue notice was sent• Extended date due

[See next slide for example.]

The charge-out log should be kept current and used in the

follow-up procedure.

Records Transfer The final phase of the records life cycle

is disposition.

This is the final destination of records after they have reached the end of their retention period in active and/or inactive storage.

Records may be transferred to an archives for retention or destroyed.

Inactive storage may be housed on-site or off-site.

Archives are the records created or received and accumulated by a person or an organization in the conduct of affairs and preserved because of their historical or continuing value.

Records Transfer Records transfer is the act of changing the physical custody of

records with or without change of legal title. It is the relocating of records from one storage area to

another. The basis for making the decision to transfer records is the

frequency of use of the records. As records age, they are less frequently accessed.

Records analysts define three degrees of records activity:• Active record – subject to frequent use and usually located near the

user.• Inactive record – does not have to be readily available but which must

be kept for legal, fiscal, or historical purposes.• Archive record – a record that has continuing or historical value to an

organization and is permanently preserved.

Records Transfer

Procedures to handle all situations should be described in the policies and procedures manual developed for the organization.

Other factors that must be considered when making transfer decisions:• Helps reduce equipment costs because contains may

be less expensive• Space will then be provided for new, active files.• Efficiency of storage and retrieval of active files is

improved because crowding of files has been eliminated.

Reasons which greatly influence when and why transfer takes place:1. No more active records storage space is available.

2. Costs of more storage equipment and extra office space is increasing.

3. Stored records no longer requested.

4. Workloads have been lightened andtime is available for the recordstransfer activity.

5. Established organizational policy required every department to transfer records at a stated time.

1. WHAT records are to be moved?

2. HOW are the records to be prepared for transfer?

3. WHEN are the records to be transferred?

4. WHERE at the transferred records to be stored?

Once transfer is decided upon, the records manager must find answers tofour important questions:

Answers to the first three questions will depend on the transfer method selected and the organization’s records retention schedule.

The answer to the last question will depend on the method selected and on the availability of in-house or off-site storage areas.

Transfer Methods

Perpetual Transfer Method Records are continually transferred from active storage to

inactive storage whenever the records are no longer needed for reference.

Not recommended for business correspondence or records that are referred to often and that must be available quickly.

Examples: Student records after graduation; legal cases that are settled; research projects when results are finalized.

Periodic Transfer Method Active records are transferred at the end of a stated period

of time, usually one year, to inactive storage. Completed on a scheduled basis. Advantage: ease of operation Disadvantage: frequently requested records will need to be

retrieved

Transfer Procedures At the time records are transferred, the transferring department

completes a multicopy set of the records transfer form. (See next slide.)

• The transferring department retains one copy while the box is in transit to storage.

• The original and two copies accompany the box to inactive storage where the box is logged in and its location on the storage shelves is noted on all copies of the transmittal form.

• One copy of the form is returned to the sending department for reference when a record from that box is required. The copy that was first retained in the department is now destroyed.

When records are borrowed from inactive or archival storage, the same controls are needed as are used in active storage – requisition, charge-out, and follow-up.

The records manager must ensure that all departments use the same size box to facilitate stacking and to use space more economically.

Records Center Control Procedures

Inactive Records Index – an index of all records in the inactive records storage center. Contains dates, description, department, authorization, location,

retention period, and disposition date.

Charge-out and Follow-up File – a tickler file that contains requisition forms filed by dates that records are due back in the inactive records center. If a record is not returned by the due date, reminders are sent to

the borrower to return the record(s) to the center.

Whether inactive or archival records are storedoff-site or within the same building as activerecords, several control procedures should bein place to ensure the appropriate security andaccession of the records.

Destruction Date File Records Destruction - the disposal of records of no further value by

incineration burning), maceration (soaked in a chemical to soften the paper, then bailed), pulping (shredded and mixed with water, then bailed), or shredding.

Destruction data file - a tickler file containing copies of forms completed when records are received in a records center. Destruction dates are determined when a records retention schedule is created.

Destruction notice- a notification of the scheduled destruction. The manager of the department signs an authorization form .

Destruction suspension - a hold placed on the scheduled destruction of records that may be relevant to foreseeable or pending litigation, governmental investigation, audit, or special organizational requirements. These are referred to as frozen records.

Destruction File

Whether the records are destroyed by a service provider or by records center employees, the actual destruction must be witnessed or proof provided by a certificate of destruction.

A destruction file contains information on the actual destruction of inactive records and how the file was destroyed.

These forms are filed by department names and dates the destruction was carried out.

RFID (radio frequency identification)Web Sites

http://www.accutrac.com/products/rfid_wireless_records_tracking_solutions.html

http://www.barcodebook.com/html/file_document_tracking_system.html

Proper control procedures ensure that

the right record is available to the right

person at the right time.