Chapter 7 - application 7-3

Family Records

Birth certificate Permanent Diploma Permanent Divorce settlement Permanent Marriage certificate Permanent Military service Permanent Naturalization papers Permanent Passport Until receipt of renewed passport Pet papers For life of pet Social security Permanent Will Permanent

Manual charge out procedures

Charge-out 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

requisition, charge-out, and follow-up

Effective records control includes following standard procedures for requesting records, charging them out, and ensuring that they are returned

disposition phase

(1) destroy a record, (2) retain a record permanently, or (3) transfer a record to inactive storage.

destruction suspension

(sometimes referred to as a records hold or legal hold) is 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. Records for which destruction has been suspended are often referred to as frozen records.

Retrieval - way 1

1. Manually. A person goes to a storage container and removes by hand a record that a user has requested or makes a note of the information someone has requested from it.

Records Retrieval Procedure

1. Receive request for stored record or records series—requester or records center employee prepares requisition form. 2. Check index for location of stored record(s). 3. Search for record or records series. 4. Retrieve (locate) record or records series. 5. Remove record(s) from storage. 6. Charge out record(s) to requester: Insert OUT indicator in place of record(s) removed from storage; complete the charge-out log. 7. Send record(s) to requester. 8. Follow up borrowed record(s). 9. Receive record(s) for re-storage. 10. Store record(s) again. Remove OUT indicator. Update charge-out log.

charge-out

A control procedure to establish the current location of a record when it is not in the records center or central file, which can be a manual or automated system.

Requisition Form

A frequently used requisition form is a 5-inch-by-3-inch or 6-inch-by-4-inch preprinted card or slip of paper with blanks to be filled in.

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 date due, written reminders, telephone calls, faxes, or e-mail messages are used to remind the borrower to return the record(s) to the center. Electronic charge-out and follow-up files can be programmed to provide daily reports of records due and send notices to borrowers. Borrowers may return the borrowed record(s) or request an extension via reply e-mail.

3 groups of records - group 1

ACTIVE RECORDS Needed to perform current operations Used frequently Located near user Accessed manually or online Accessed three or more times a month Stored in very accessible equipment in active storage area or online

3 groups of records - group 3

ARCHIVE RECORDS - Kept for their continuing or historical value Preserved permanently Used to: Maintain public relations Prepare commemorative histories Preserve corporate history Provide financial, legal, personnel, product, or research information Provide policy direction Stored in less-expensive storage area, often off-site

record copy

Another name for an official record or the official copy of a record that is retained for legal, operational, or historical purposes. The record copy is sometimes the original. For example, a document printed from an electronic file is often considered the official record, rather than the electronic file, because the print copy can be read easily. It is durable, and it is easy to use. The electronic file must still be retained for a week or two.

Employment Records

Contracts 4 years after completion Correspondence 4 years after leaving job Pay stubs 1 year

Legal and Financial Records

Deeds Permanent Contracts (mortgage, promissory notes, leases) still in effect Permanent

E-mail Records

Electronic messages should accurately reflect the purpose of intended communications, decisions, or completion of actions.

Retrieval - way 3

Electronically. A person uses some means, such as a computer, to locate a record. The requester is shown the requested information or informed on a screen in a database or in an e-mail file as to where it can be found. The physical record may not need to be removed from storage.

Taxes

Federal income tax forms 7 years State income tax forms 7 years

Active records

Frequently used records needed to perform current operations.

3 groups of records - group 2

INACTIVE RECORDS - Do not have to be readily available Kept for legal, fiscal, or historical purpose Accessed less than 15 times a year Stored in less expensive storage area

Retain and Dispose of Records - questions to ask before destroying

Is the information important to my life, personal interests, or job? Has this information become outdated? Can I find a more current document? How easily can I replace this document if I need the information later?

RFID technology

Locate a box on a shelf. Check out/in a box or file. Locate a folder in a box. Identify a file or box for destruction. Charge back faxing, copying, microfilm searches, and other activities to departments that requested such services. Because pertinent information is not keyed each time, input errors are virtually eliminated when bar codes or RFID tags are used.

Retrieval - way 2

Mechanically. A person uses some mechanical means such as pressing the correct buttons to rotate movable shelves to the correct location of a record, removing the record manually, or recording information requested from the record.

when and why transfer takes place

No more active records storage space is available. Costs of more storage equipment and extra office space are rising, and less costly areas of nearby storage or off-site storage become attractive alternatives. Stored records are no longer being requested and therefore are ready for transfer. Workloads are lighter, and time is available for records transfer activity. A retention event has occurred. Case or project records have reached a closing or ending time (the contract has expired; the legal case is settled or closed). Established organizational policy requires every department to transfer records at a stated time.

Sarbanes-Oxley Act

One important effect of the Sarbanes-Oxley Act on organizations is that they must retain more documents and for longer periods of time than previously. No one retention period can fit all web records, which need to be scheduled according to function or purpose.

requisition

Preparing a requisition is the first step in the retrieval process. A request is an in-person, mail, telephone, fax, or e-mail inquiry for information about or from records stored in a records center or an archives. A requisition is a written request for a record or information from a record.

Records Center Control Files

Records Center Control Files - Contains a complete listing of all stored inactive records Contains a complete listing of all stored inactive records - Contains requisition forms Destruction Date File - A tickler file containing copies of forms completed when records are received in a records center. Contains copies of transmittal forms Destruction File - Contains copies of transmittal forms after records are destroyed

one-period transfer method.

Records are transferred at the end of one period (6 months or 1 year). For example, a records manager may decide on October 1 to transfer records dated January 1 through June 30, 2014. The main advantage of the one-period transfer method is the ease of operation. The main disadvantage is that some frequently requested records will be in inactive storage, and users must make frequent trips to the inactive storage area

RFID tags - software

Records center software combined with bar codes or RFID tags can eliminate many manual tasks. The software should be able to perform the following main functions: Box and/or records inventories Storage management Records and information searches Records retention schedule correlations Destruction methodology correlated with retention schedules Accounting User tracking Additionally, the software can be programmed to include bar code and RFID tracking, cross-referencing, global searching, off-site storage control, label preparation, document indexing, spell-checking, report generation, audit trails, and more

archives

Records that are preserved because of their historical or continuing value; also the building or area where archival materials are stored.

archive records

Records that have continuing or historical value and are preserved permanently by an organization.

3 advantages of records transfer

Records transfer helps to reduce equipment costs because inactive records may be stored in less-expensive cardboard containers. Cabinets or shelves formerly used by the transferred files provide additional space for new active files. The space in drawers, cabinets, shelves, or computer storage is increased because files are no longer crowded, which improves efficiency of storage and retrieval of active files.

Records retrieval - crucial step

The crucial step - the point at which a problem is most likely to arise—is the first step, with the words used to request a record or information.

Transfer form procedure

The transferring department keeps 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 requested. The copy that was first retained in the department is then destroyed because it does not contain the location of the box.

Uniform boxes for transfer

Using uniform box sizes facilitates stacking, uses space most economically, and looks neater.

retrieval questions

Who? What? When? Where? How long?

Records retention schedules

are based on the value of the information contained in the records and not on the storage media

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.

Automated Charge-Out Procedures

bar codes and RFID tags can be used to charge out records. An electronic form is created when the bar code on the record is scanned, indicating whether the record is checked out, to whom, and for how long. Copies of the form may be printed or stored electronically. A bar code representing the electronic form may be printed and affixed to an OUT indicator and placed into the file where the requested record should be re-filed. When the record is returned, the bar code is scanned again; the OUT indicator is located; the record is returned to the file; and the requester is "cleared" of any borrowed records.

destruction file

contains information on the destruction of inactive records. Usually, the type of destruction is determined at the time the records are transferred to the records center. This information is recorded on the transmittal forms in the destruction date file, which are moved to the destruction file after the records are destroyed.

What goes on the transfer form

contents of a box, such as a description of the records series, the time span of the records, the department name, and the retention information.

Transfer Procedures

ensure that adequate storage equipment is available and at the correct location to receive transferred records. Records are transferred either to inactive or archive (permanent) storage. Inactive storage indicates that the record may be infrequently referenced. At the end of the retention period, inactive records are destroyed.

Electronic destruction

files in the RIM software allow for easy entry of essential information regarding the destruction dates, destruction methods used, and department names. Necessary physical forms may be scanned and stored electronically as well.

Records Center Control Procedures

improves productivity, helps center employees provide faster service, and improves system integrity.

records 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. For example, purchase orders for July are a records series. Bank statements retained for a year or longer are also a records series.

pick list

is a list containing specific records needed for a given program or project. A filer can use a pick list to retrieve all records on the list. The records are then sent as a group to the requester. The same list can be used to return the records to the proper files/locations.

records center

is a low-cost centralized area for housing and servicing inactive records whose reference rate does not warrant their retention in a prime office area.

destruction notice

is a notification (memo, listing, form, e-mail message, etc.) of the scheduled destruction of records. Notice includes a records disposal authorization number. This number is assigned when the records are transferred to the records center. If a written authorization is on file, the number in that column is all that is needed to proceed with the destruction.

An archivist

is a person professionally educated, trained, experienced, and engaged in the administration of archival materials, including the following activities: appraisal and disposition, acquisition, preservation, arrangement and description, reference service, and outreach to historical societies and individuals or groups interested in preserving documents and other important or historical records. Used by: US government, most US states, colleges and universities, and corporations. These records may include physical documents, photographs of important events, and other records media

Cross-cut shredding

is a safe way to dispose of any physical records that contain your name, Social Security number, driver's license, account numbers, address, and bank information.

official record

is a significant, vital, or important record of continuing value to be protected, managed, and retained according to established retention schedules. The official record is often, but not necessarily, an original

Follow-Up Procedures

is a system for ensuring the timely and proper return of materials charged out from a file. Many organizations stipulate a period of a week to 10 days, with two weeks being the absolute maximum amount of time records may be borrowed

index

is a systematic guide that allows access to specific items contained within a larger body of information. A records center maintains an index to assist filers in locating inactive records.

Radio frequency identification (RFID)

is a technology that incorporates the use of an electromagnetic or electrostatic radio frequency to identify an object, animal, or person. RFID is increasingly used as an alternative to bar codes. The advantage of using RFID is that it does not require direct contact or line-of-sight scanning. An RFID system consists of three components: an antenna, a transceiver/reader, and a transponder

destruction date file

is a tickler file containing copies of forms completed when records are received in a records center. This file may be physical or electronic, and the forms, filed by destruction dates, may be physical or electronic. Destruction dates for each records series are determined when a records retention schedule is created, and these dates are recorded on records transmittal forms. Another copy of the transmittal form can be placed into the destruction date file. Documents in this file are moved into the destruction file after the documents are destroyed.

Charge out log

is a written or electronic form used for recording the following information: What record was taken (correspondent name or subject title on the record and date on the record) When the record was taken (date borrowed) Who took the record (name of person, extension number, e-mail address) Date due for returning the record Date returned Date overdue notice was sent Extended date due

On-Call (Wanted) Form

is a written request for a record that is out of the file. This form is similar to an 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.

Retention value classifications

nonessential, useful, important, and vital.

records inventory

is also a valuable tool for helping managers decide which filing method (alphabetic, subject, numeric, or geographic) to use. Information obtained from a records survey and inventory usually includes the following: Name and dates of records series Records location by department or office, then building, floor, and room, if necessary Equipment in which records are stored—cabinets, shelves, or vaults Number of cabinets, shelves, or other storage containers How often records are referenced—daily, weekly, monthly, or annually—and why Records media—physical/paper, micrographic, electronic, or optical Records size—letter, legal, tab/checks, other Records housing—folders, binders, disks, reels, and so on Records value—nonessential, important, useful, vital Retention requirements

Inactive Records Index

is an index of all records in the inactive records storage center. This index contains details about the inactive records: the dates the records were created, a description of the records series, the department that owns the records, an authorization for transfer to inactive storage, their location in the records storage center, the retention period, and the disposition date.

nonrecord

is an item not usually included within the scope of official records such as a convenience file, a day file, reference materials such as dictionaries, and drafts. Nonrecords should not be retained past their usefulness. Typically, nonrecords are created, modified, and destroyed without formal RIM procedures and are not included in a records retention program.

office of record

is an office designated to maintain the record or official copy of a particular record in an organization.

optical disk record

is retrieved on a computer terminal and faxed or e-mailed to the requester. Microfilm is scanned into a computer terminal and faxed or e-mailed to the requester. In both cases, the official record is not removed from its file

Records transfer

is the act of changing the physical custody of records, with or without change of legal title. In other words, records are moved from one storage area to another, but the same company usually still owns them. Records are transferred when they are no longer used frequently. In most cases, the active files contain the current year's records plus those of the immediate past year.

Records destruction

is the disposal of records of no further value by incinerating (burning), macerating (soaking in a chemical solution to soften the paper, then bailing it), pulping (shredding and mixing with water, then bailing), or shredding.

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 records

retention period

is the time that records must be kept according to operational, legal, regulatory, and fiscal requirements.

Periodic - Transfer method

method of transferring active records at the end of a stated period of time—usually one year—to inactive storage. If records are systematically transferred annually, new folders are prepared for the active records system at the beginning of each year. Electronic records dated within the specified time frame are also transferred to inactive storage.

perpetual - Transfer method

records are continually transferred from active to inactive storage areas whenever the records are no longer needed for reference. Examples of records that can be transferred by the perpetual method include student records after graduation; closed legal cases; research projects when results are finalized; medical records of cases no longer needing attention; prison and law-enforcement case records; and completed construction or architectural jobs. The perpetual transfer method is not recommended for business documents or records that are referred to often and must be available quickly.

Records disposition

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 they may be destroyed. Inactive storage may be housed on-site or off-site. On-site storage is storage of inactive (usually) records on the premises of an organization. Off-site storage is a potentially secure location, remote from the primary location, at which inactive or vital records are stored.

metadata

they provide information by which those records are located and managed. Metadata for electronic message records fit into three broad categories: content metadata, records management metadata, and records utilization metadata. Metadata are used to ensure the authenticity, reliability, integrity, and usability of an electronic message record.

records center box

usually made of corrugated cardboard and is designed to hold approximately one cubic foot (12 inches high by 12 inches wide by 12 inches deep) of records, either legal or letter size. These boxes may have lift-up or lift-off tops or lift-out sides. Hold 1 cubit foot of records