OST184 Records Management

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OST184 Records Management

• Chapter 7
• Storing, Retrieving,
• and Transferring Records

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• 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.

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• 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.

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The Value of RecordsThe classification by value
of the record to the firm is useful for making
retention decisions. Four categories of records
values
Nonessential Records that are not worth keeping. Important Records 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. Vital Records for permanent storage essential for the continuation or survival of organization necessary for recreating organizations legal and financial status.
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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.

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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)

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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.

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Records Inventory
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

• 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.

• 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

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

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Web Records

• The organization needs a policy thataddresses
  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.

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

• How long will the record be used?
• In what form should the records be kept?
• How accessible should the records be?
• When should the records be determined inactive?
• Which records should be transferred offsite and
  when?
• How will such records be accessed?
• Will transferred records maintain their integrity
  and security?
• What are the applicable federal, state, and local
  laws?
• What are the comparative costs for keeping
  records or not keeping records?
• When and how will records be disposed of?

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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.

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Steps in the Retrieval Process

1. 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.

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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.
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On-Call (Wanted) Form

• Occasionally, another user will request a
  recordthat 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.

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On-Call (Wanted) Form

• 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.

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

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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.

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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.

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Charge-Out Procedures

• 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.

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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.

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• 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.

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Charge-out Log

• Usually, an organization will have a charge-out
  logon 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.
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The charge-out log should be kept current and
used in the follow-up procedure.
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Records Transfer

• The final phase of the records life cycleis
  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.

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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.

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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.

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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.

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

• WHAT records are to be moved?
• HOW are the records to be prepared for transfer?
• WHEN are the records to be transferred?
• WHERE at the transferred records to be stored?

• Answers to the first three questions will depend
  on the transfer method selected and the
  organizations 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.

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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

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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.

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Records Center Control Procedures

• 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.

• 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.

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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.

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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.

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RFID (radio frequency identification)Web Sites

• http//www.accutrac.com/products/rfid_wireless_rec
  ords_tracking_solutions.html
• http//www.barcodebook.com/html/file_document_trac
  king_system.html

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• Proper control procedures ensure that the right
  record is available to the right person at the
  right time.