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:
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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 Records
The classification by value of the record to the firm is useful for
making retention decisions. Four categories of records values:
Nonessential
Important
Records that are not worth keeping.
Records for long-term storage
seven to ten years; contain
pertinent information; need to be
recreated or replaced if lost.
Useful
Vital
Records for short-term storage of
up to three years; helpful in
conducting business operations;
may be replaced at small cost.
Records for permanent storage;
essential for the continuation or
survival of organization; necessary
for recreating organization’s legal
and financial status.
Records Inventory
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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)
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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:

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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
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
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Records and location by
department, office, room, etc.
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Equipment in which records
are stored; shelves, vaults,
etc.
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Records media – paper
micrographic, electronic,
optical, etc.
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Records size – letter, legal,
checks, etc.
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Records housing – folders,
binders, disks, etc.
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Records value – vital, useful,
important, nonessential

Retention requirements
Number of cabinets, shelves,
or other storage containers
How often records are
referenced - daily, weekly, etc.
and why.
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
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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.
Web Records
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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.
The records manager must consider each of the
following interrelated aspects when developing a
records retention schedule:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
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?
Records Retrieval
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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:
– 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.
 Manually
Steps in the Retrieval Process
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Request for stored record or record series - requisition
form prepared.
Check index for location of stored record.
Search for record or record series.
Retrieve record or record series; remove from storage.
Charge out record - insert OUT indicator in place of
records removed – complete charge-out log.
Send record to requester.
Follow up borrowed record.
Receive record for re-storage.
Store record again.
Remove OUT indicator.
Update charge-out log.
Requisition Form
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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.
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On-Call (Wanted) Form
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An on-call form is a written request for a record that is
out of the file.
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This form is similar to the OUT form.
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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.
Confidential Records Requests
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Some records may be stamped Confidential, Classified,
Secret, Vital, etc.
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Do NOT release these types of records from storage without
proper authorization following established procedures.
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In some organizations, the signature of a designated officer
of the organization is required for release of such records.
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Some records are so confidential or valuable that they are
not to be removed from storage under any circumstances.
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These records must be inspected only at the storage
container or in a secure room.
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The signature of someone in authority is required before the
inspection is allowed.
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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.
Charge-Out Procedures

The supplies needed to charge-out
records consists of the following:
•
•
•
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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.
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.
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Follow-up is a system for assuring the timely and proper
return of materials charged out from a file.
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The length of time records may be borrowed from storage
depends on:
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•
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
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The rule concerning confidential records
is generally that the records must be
returned 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 they
are 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
[See next slide for example.]
• Extended date due
The charge-out log should be kept
current and used in the
follow-up procedure.
Records Transfer
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The final phase of the records life cycle
is disposition.
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This is the final destination of records after they have
reached the end of their retention period in active and/or
inactive storage.
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Records may be transferred to an archives for retention
or destroyed.
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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
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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
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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 and
time is available for the records
transfer activity.
5.
Established organizational policy required
every department to transfer records at a
stated time.
Once transfer is decided upon, the
records manager must find answers to
four important questions:
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?
Answers to the first three questions will depend on the
transfer method selected and the organization’s records
retention schedule.
1.
The answer to the last question will depend on the
method selected and on the availability of in-house or offsite storage areas.
Transfer Methods
Perpetual Transfer Method
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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
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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
Whether inactive or archival records are stored
off-site or within the same building as active
records, several control procedures should be
in place to ensure the appropriate security and
accession 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.
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.
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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_wirele
ss_records_tracking_solutions.html
http://www.barcodebook.com/html/file_docu
ment_tracking_system.html
Proper control
procedures ensure that
the right record is
available to the right
person at the right time.