RECORDS MANAGEMENTJudith Read and Mary Lea Ginn

Chapter 7Storing, Retrieving, and

Transferring Files

Copyright 2011 South-Western, Cengage Learning

Records Storage

• Records retention program • Documents to keep• Location and environment for storing documents• Length of time documents are to be kept

• Records retention schedule (RRS)• A comprehensive list of records• The length of time records are to be maintained• When records are to be destroyed

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Value of Records

• Nonessential• Useful• Important• Vital

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Records Inventory

• Records inventory contents– Types, locations, dates, and volumes of records– Equipment– Classification systems– Usage data for records

• Bar codes and RFIDtechnology

• E-mail and web records

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© parfta, 2009 Used under license from Shutterstock.com

Bar codes are used in automated records storage systems.

Records Retrieval

• Three types of records retrieval– Manual retrieval– Mechanical retrieval– Electronic retrieval

• Effective records control– What records are out of storage– Who took the records and when– How long the records will be out – Where the records will be refiled

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Requisition Procedures

• Requisition form• Pick list• On call form

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0N CALLWanted By Records Wanted Delivered

Date Name Date Description Date

9/27 Scott Luis

8/17 Frost Construction File

9/30

• Confidential records request

Charge-Out Procedures

• Manual procedures– OUT indicators– OUT indicator disposal

• Automated procedures– Bar codes– RFID tags

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3M™ Handheld reader, Courtesy of 3M

RFID tags identify documents or folders.

Follow-Up Procedures

• Factors affecting the time users may borrow records – Type of business– Number of requests received for the records– Use of a copying machine to make duplicate records– Value of the records

• Procedures for confidential records

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Charge-Out Log

• Shows information for records removed from the files– The record that was taken– When the record was taken (date borrowed)– Who took the record (name and extension number)– Date due for returning the record– Date returned– Date overdue notice was sent– Extended date due

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Records Transfer

• Perpetual transfer method– Records are continually transferred from active to

inactive storage whenever they are no longer needed for reference

– This method should be used for e-mail and other electronic records

• Periodic transfer method– Records are transferred at the end of a stated period– One-period transfer method

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Transfer Procedures

• Equipment and supplies• Inactive or archive storage• Records transmittal form

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Courtesy of Fellowes, Inc.

Records boxes hold approximately one cubic foot of records.

Inactive Records Index

• Information for all records in the inactive records storage center– Dates the records were created– Descriptions of the records series– Departments that own the records– Authorizations for transfer to inactive storage– Locations in the records storage center– Retention periods– Disposition dates

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Charge-Out and Follow-Up File

• Requisition form• OUT indicator• Tickler file to track dates• Reminders of overdue files• Electronic follow-up files

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Destruction Date File

• Shows planned destruction dates for records– A physical or electronic file– Dates from the records retention schedule

• Destruction notice• Destruction suspension

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Destruction File

• Documents the destruction of records• Records destruction methods

– Incinerating– Macerating – Pulping – Shredding

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Records Center Software

• Typical functions– Box and/or records inventories– Storage management– Records and information searches– Records retention schedule correlations– Destruction methodology correlations– Accounting– User tracking– Bar code and RFID tracking

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