1. 7 th Edition  Read-Smith, Ginn Records Management © 2002 South-Western Educational Publishing Chapter 6 Records Retention, Retrieval, and Transfer

2. © 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

3. © 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

4. © 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

5. © 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

6. © 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

7. © 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

8. © 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

9. © 2002 South-Western Educational Publishing Retrieval Steps  Follow-up borrowed records  Receive records for storage  Store records, remove OUT indicators, and update log

10. © 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

11. © 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

12. © 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

13. © 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

14. © 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

15. © 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

16. © 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

17. © 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

18. © 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

19. © 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

20. © 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

21. © 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

22. © 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