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OST184 Records Management

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Title: OST184 Records Management


1
OST184 Records Management
  • Chapter 7
  • Storing, Retrieving,
  • and Transferring Records

2
  • 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.

3
  • 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.

4
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.
5
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.

6
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)

7
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.

8
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

9
Records inventory worksheet - a detailed listing
that could include the types, locations, dates,
volumes, equipment, classification systems, and
usage data of an organizational records.
10
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.

11
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.

12
  • 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?

13
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14
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.

15
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.

16
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.
17
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.

18
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.

19
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.

20
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.

21
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.

22
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.

23
  • 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.

24
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.
25
The charge-out log should be kept current and
used in the follow-up procedure.
26
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.

27
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.

28
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.

29
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.

30
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.

31
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

32
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.

33
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34
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.

35
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.

36
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.

37
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

38
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39
  • Proper control procedures ensure that the right
    record is available to the right person at the
    right time.
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