CHAPTER 6: RECORD RETENTION, RETRIEVAL AND TRANSFER - Coggle Diagram
CHAPTER 6: RECORD RETENTION, RETRIEVAL AND TRANSFER
Concept of Appraisal and Disposition
- Appraisal is the process of determining the value of records for further use, and the length of time that value will continue.
- Disposition is the action taken in due course as a consequence of appraisal.
- It covers the variety of ways, in which a department may remove its records from department active records.
- Disposal schedule is the control document that contain appraisal decisions and prescribes disposal action.
- Record retention is the established policy and procedure for determining what documents to keep, where to keep them and how long these documents are to be kept.
- A record inventory and analysis should be conducted to obtain information needed to prepare record retention and destruction schedule.
A detailed listing of an organization’s records that includes:
- Types of records
- Volume of filed records
- Location of record
- Frequency of use
- Classification systems
Collected information include followings:
- Names & dates of records series
- Records locations
- Storage equipment
- Number of storage containers
- Records reference rate
- Records media – paper, micrographic, electronic, or optical
- Record series is a group of related records that normally are used and filed as a unit to determine the record retention period.
- Nonessential Records – Not worth keeping
- Useful Records – Short-term storage – up to three years.
- Important Records – Long-term storage – seven to ten years
- Vital Records – Permanent storage
- Active records – accessed three or more times a month; located near user.
- Inactive records – accessed less than fifteen times a year; stored in less expensive area.
- Archive records – kept for their continuing or historical value; stored in less expensive area, often off-site.
Records Retention Schedule
- A comprehensive list or records, indicating the length of time records are to be maintained, transferring inactive record to storage and destroying records with short-term value.
- Retrieval is the process of locating and removing a record or file from storage.
- Two way to retrieve records:
+Manual retrieval – removing a record from a storage container by hand.
+Electronic retrieval – using a computer to see an electronic record on a screen, in a database or in an e-mail message.
1. Requesting Record and Folders
- A requisition form is a written request for a record or information from a record.
- May be made over the telephone, in person or in writing.
2. Charging Out Records and Folders
- Charge-out is recorded info. that accounts for record that are removed from the files.
- Method commonly used to show:
+The OUT guide
+The requisition sheet
+The OUT folder
+The carrier folder
(1) OUT-Guide Method
- An OUT guide is a marker placed in the file to show that a folder or records have been borrowed.
(2) Requisition Sheet Method
- Requisition sheet is a request for records that also serves as a marker placed in a folder for charged-out papers.
(3) OUT Folder Method
- An OUT folder may be used to substitute for a folder that has been removed from the records area.
(4) Carrier Folder Method
- A carrier folder made of heavy manila stock and distinctive color, carries folder content to the borrower.
3. Canceling Charge-Out for Returned Records
- Happen when papers are returned to the files.
- The method used in the charge-out system determine who cancel charge-out which is come either in three ways:
+OUT Guide and Folder with Pocket
+OUT Guide and OUT Folder with Printed Lines
4. Following Up on Borrowed Records
- Follow up is a check on the return of borrowed records within a reasonable or specified time.
- Helps to ensure the return of borrowed records.
Time Limits for Borrowed Records
- The length of time that record may remain out of the files area varies with the user’s need and company policy-from few hours to several month.
Manual Follow-Up Methods
- Use telephone calls or written reminders to request the return of overdue records.
- To check for overdue records, use one of three basic methods:
+Scanning the files
+Maintaining a charge-out log
+Using a follow-up file
5. Reserving Records
- The record dept. may receive advance request for record needed at a future date.
- So place a requisition form behind the appropriate date in the follow-up file.
- Placing an OUT guide or requisition sheet in the main file showing the date the records are needed.
Electronic Charge and Follow-up of Records
- The computer has changed performance procedures for many office task, by using a computer keyboard or a barcode scanner, information normally recorded on requisition can be keyed or scanned into the computer instead.
Using the Computer for Change-Out and Follow-up Systems
- Computer software can identify and track any record from creation or receipt to transfer to inactive storage or destruction.
- These computer programs will track unlimited numbers of records and produce a variety of useful reports such as:
+Records retention periods
+Record destruction dates
Using Barcode Charge-Out and Follow-up Systems
- Is a fast and accurate means of gathering and transmitting data to a computer.
- File tracking is a method of knowing where charged-out records are when you need them.
- Four components of barcode:
+Personal computer and software
- The act of changing the physical custody of records with or without change of legal title.
- Records are moved from one storage area to another.
- Records are transferred when they are no longer used frequently.
- Perpetual – records are continually transferred from active to inactive storage areas.
- Periodic – active records are transferred at the end of a stated period of time to inactive storage at the end of their fiscal year.
- One-period – records are transferred at the end of one period of time.
- Involves 5 steps:
+Determining when records are to be transferred
+Determining what records are to be transferred
+Preparing records for transfer
+Arranging the transfer
+Receiving records in the storage area
Transfer Supplies and Equipment
- Transfer Boxes and Labels
- Guides and Folder
What is Records Center
- Records center is a building designed or adapted for the low-cost storage, maintenance and communication of semi-current records pending their ultimate disposal
Types of Records Center
- National Records Center
- Departmental Records Center
- Commercial Records Center – Profit private company
Records Center Control Procedures
Records center control files:
- Inactive records index
+An index of all record in the inactive storage center
- Charge-out and follow-up file
+Is a tickler file that contain form filed by dates that records are due back in the inactive records center.
- Destruction date file
+A tickler file containing copies of transmittal forms completed when records are received in a records center.
- Destruction file
+A file containing copies of transmittal forms removed from destruction date file after records are destroyed. Forms are filed by department names and destruction dates.