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7 th Edition Read-Smith, Ginn Records Management © 2002 South-Western Educational Publishing Chapter 6 Records Retention, Retrieval, and Transfer
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© 2002 South-Western Educational Publishing Records Retention Program Established policies and procedures relating to What documents are kept Where the documents are kept How long documents are kept
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© 2002 South-Western Educational Publishing Records Retention Program Part of the disposition and maintenance phases in the records life cycle Records Life Cycle Creation Distribution Use Maintenance Disposition Records Life Cycle Creation Distribution Use Maintenance Disposition
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© 2002 South-Western Educational Publishing Records Inventory A detailed listing of an organization’s records that could include Types Locations Dates Volumes Equipment Classification systems Usage of data
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© 2002 South-Western Educational Publishing Records Survey Prepared by each department Includes information such as Types of records (official, record copy, or nonrecord) Records media—paper, electronic, or image Useful in preparing a retention schedule
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© 2002 South-Western Educational Publishing Value of Records Records are classified for making retention decisions as Nonessential—not worth keeping Useful—for short-term storage of up to three years Important—for long-term storage of approximately seven to ten years Vital—for permanent storage
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© 2002 South-Western Educational Publishing Records Retrieval The process of locating and removing a record or file from storage The action of recovering information on a given subject from stored data A record or information can be retrieved manually, mechanically, or electronically
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© 2002 South-Western Educational Publishing Retrieval Steps Request records Check index for location Search for records Retrieve records Remove records from storage Charge-out records Send record to requester
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© 2002 South-Western Educational Publishing Retrieval Steps Follow-up borrowed records Receive records for storage Store records, remove OUT indicators, and update log
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© 2002 South-Western Educational Publishing Requisition A written request for a record or information from a record Record Request Name on Record: Nguyen TranDate on Record: 4/12 Date Taken: 4/27Date to be Returned: 5/4 Requester: Latisha KennedyExtension: 3987 Department: Administrative Email: lkennedy@bllf.comlkennedy@bllf.com Services Record Request Name on Record: Nguyen TranDate on Record: 4/12 Date Taken: 4/27Date to be Returned: 5/4 Requester: Latisha KennedyExtension: 3987 Department: Administrative Email: lkennedy@bllf.comlkennedy@bllf.com Services
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© 2002 South-Western Educational Publishing On-Call Form A written request for a record or information from a record that is out of the file 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
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© 2002 South-Western Educational Publishing Confidential Records So valuable that they are stamped Confidential, Classified, Secret, Vital, or Personal Confidential Not released from storage without proper authorization
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© 2002 South-Western Educational Publishing Charge-Out Procedures Establish the current location of a record when not in the records center or central file Supplies needed include OUT OUT Indicators Carrier Folders Charge-Out Log
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© 2002 South-Western Educational Publishing Follow-Up Procedures Assure the timely and proper return of records to the file The length of time records may be borrowed depends on the Type of business Number of requests received for the records Use of a copying machine Value of the records
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© 2002 South-Western Educational Publishing Charge-Out Log Name on Record Date on Rec. Name and E-mail of Borrower Ext. No. Date Out Due Date Date Ret. Date Overdue Notice Sent Ext. Due Date Albermarl Photo1/15A. Castor acast@xyz.net 64232/12/82/4 Zyphone, Inc.12/28R. Franklin rfrank@xyz.net 43992/22/9 Biagio’s Restaurant 1/30J. Thompson jthom@xzy.net 43782/32/10 2/17
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© 2002 South-Western Educational Publishing Records Transfer Relocating records from one storage area to another Inactive records may be housed in On-site storage Off-site storage Archives storage
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© 2002 South-Western Educational Publishing Record Types Active record—needed to perform current operations; usually located near the user Inactive record—does not have to be readily available but must be kept for legal, fiscal, or historical purposes Archive record—has continuing or historical value to an organization and is preserved permanently
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© 2002 South-Western Educational Publishing Records Transfer Perpetual transfer method—records continuously transferred from active storage to inactive storage when no longer needed for reference Periodic transfer method—records transferred to inactive storage at the end of a stated period of time, usually one year
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© 2002 South-Western Educational Publishing Records Transfer Records Retention Schedule RecordYears in Office Active Years in Storage Inactive Total Years Accounting and Fiscal Accounts Payable Invoices336 Balance Sheets336 Financial Reports—Annual3PP P = Permanent
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© 2002 South-Western Educational Publishing Records Center Control Procedures Ensure the appropriate security and accession of the records Inactive records index—lists all records in the inactive records storage center Charge-out and follow-up file—tickler file contains requisition forms filed by dates that records are due back in records center
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© 2002 South-Western Educational Publishing Records Destruction The disposal of records of no further value Destruction date file—tickler file with scheduled destruction dates and related information Destruction file—contains information on the actual destruction of inactive records
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© 2002 South-Western Educational Publishing Records Center Software Helps manage all types of records Electronic Imaged Microfilmed Paper Used in active records systems and inactive records centers and archives
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