This document discusses records storage, retrieval, and transfer. It covers developing a records retention schedule that categorizes records based on their value and determines how long they should be kept. It also discusses conducting a records inventory, different methods for retrieving and tracking records both manually and electronically, transferring records between active and inactive storage following retention periods, destroying records, and using various logs and files to manage this process. Automating parts of this process with barcodes and RFID can improve productivity and tracking.

1. Chapter 7
Storing, Retrieving, and Transferring
Records
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2. Records Storage
• A records retention program relates to
• Documents to keep
• Location and environment for storing
documents
• Length of time documents are to be kept
(Read & Ginn, 2015, p. 155)
• A records retention schedule contains
• A comprehensive list of records
• The length of time records are to be
maintained
• Dates for when records are to be destroyed
(Read & Ginn, 2015, p. 155) 2

3. Value of Records
• Records values may be rated as one of four
categories: (Read & Ginn, 2015, p. 155 and 156)
• Nonessential records = are not worth keeping
• Useful records = are kept for short-term
storage
• Important records = are kept for long-term
storage
• Vital records = are kept for permanent storage
• An inventory of all stored records is needed to
prepare a records retention schedule (Read &
Ginn, 2015, p. 155).
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4. Records Inventory
• A records inventory contains
• Types, locations, dates, and volumes of
records
• Equipment types and locations
• Types of classification systems
• Records usage data
• Bar codes and radio frequency identification
(RFID) technology can speed the records
inventory process (Read & Ginn, 2015, p. 156).
• E-mail and documents from intranets, websites,
or social media may be records (Read & Ginn,
2015, p. 159 and 160).
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5. Records Retrieval
• Types of records retrieval
• Manual
• Mechanical
• Electronic
• Effective records control procedures determine
• Which records are out of storage (Read & Ginn, 2015,
p. 165)?
• Who took the records and when (Read & Ginn, 2015,
p. 165)?
• How long the records will be out (Read & Ginn, 2015,
p. 165)?
• Where the records will be refiled (Read & Ginn, 2015,
p. 165)?
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6. Requisition Procedures
• A requisition is a written request for a record or
information from a record (Read & Ginn, 2015,
p. 165).
• A pick list contains specific records needed for a
given program or project (Read & Ginn, 2015,
p. 166).
• An on-call form is a written request for a record
that is out of the file (Read & Ginn, 2015,
p. 167).
• Access to confidential records is often limited
(Read & Ginn, 2015, p. 168).
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7. Charge-Out Procedures
• Establish the current location of a record when it is
not in the records center or central file (Read &
Ginn, 2015, p. 168).
• Manual procedures
• OUT indicators
• OUT indicator disposal
• Automated procedures
• Bar codes
• RFID tags
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8. Follow-Up Procedures
• Factors affecting the length of time users
may borrow records depends on the type of
business, number of requests received for
the records, use of a copying machine to
make duplicate records, and Value of the
records (Read & Ginn, 2015, p. 169).
• Generally, confidential records must be
returned to storage each night (Read &
Ginn, 2015, p. 170). 8

9. Charge-Out Log
• Shows information for records removed from the
files
• The record that was taken
• When the record was taken (date borrowed)
• Who took the record (name and extension
number)
• Date due for returning the record
• Date returned
• Date overdue notice was sent
• Extended date due (Read & Ginn, 2015, p. 170). 9

10. Records Transfer
• Records transfer is the act of changing the
physical custody of records (Read & Ginn, 2015,
p. 170).
• Records disposition is the final destination of
records after they have reached the end of their
retention period (Read & Ginn, 2015, p. 170).
• Archives store records preserved because of their
historical or continuing value (Read & Ginn, 2015,
p. 172). 10

11. Transfer Methods
• Perpetual transfer method
• Records are continually transferred from active to
inactive storage whenever they are no longer
needed for reference (Read & Ginn, 2015, p. 174).
• This method should be used for e-mail and other
electronic records
• Periodic transfer method
• Records are transferred at the end of a stated
period—one year, qlso called the one-period
transfer method reference (Read & Ginn, 2015,
p. 175).
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12. Transfer Procedures
• Records are transferred either to inactive or archive
(permanent) storage reference (Read & Ginn, 2015,
p. 176).
• At the end of the retention period, inactive records
are destroyed (Read & Ginn, 2015, p. 176).
• Preparing records involves completing transfer
forms and boxing the records (Read & Ginn, 2015,
p. 176).
• In an automated system, bar codes make the
records transfer process much faster (Read & Ginn,
2015, p. 177). 12

13. Records Center Control
Procedures
• Automation in large records centers is extremely
important. (Read & Ginn, 2015, p. 178).
• Automation
• Improves productivity
• Helps center employees provide faster service
• Improves system integrity
• Helps eliminate many manual tasks
• Records tracking systems can use bar codes or RFID
tags to assist retrieval (Read & Ginn, 2015, p. 178). 13

14. Inactive Records Index
• Contains information for all records in the inactive
records storage center (Read & Ginn, 2015, p. 179).
• This index contains details about:
• Dates that records were created
• Descriptions of the records series
• Departments that own the records
• Authorizations for transfer to inactive storage
• Locations in the records storage center
• Retention periods
• Disposition dates
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15. Charge-Out and Follow-Up File
• A requisition form is used to request records
• OUT indicators mark the location of out files
• A tickler file can be used to track dates
• Reminders that overdue files are due for return
• Electronic follow-up files can provide daily reports
on the status of records
• All this information can be found on (Read & Ginn,
2015, p. 179 and 180) 15

16. Destruction Date File
• Shows planned destruction dates for records that
can be a physical or electronic file and uses dates
from the records retention schedule (Read & Ginn,
2015, p. 180).
• A destruction notice is a notification of the
scheduled destruction of records (Read & Ginn,
2015, p. 180).
• A destruction suspension is a hold placed on the
scheduled records destruction (Read & Ginn, 2015,
p. 180). 16

17. Destruction File
• The destruction of records must be witnessed or
proof provided by a certificate of destruction (Read
& Ginn, 2015, p. 181).
• A destruction file documents the destruction of
inactive records (Read & Ginn, 2015, p. 181).
• Electronic destruction files in the records and
information management (RIM) software allow for
easy entry of essential information regarding
records destruction (Read & Ginn, 2015, p. 182).
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18. Resources
• Read, J., & Ginn, M. L. (2015). Storing, Retrieving, and
Transferring Records. In Records management (10th ed.).
Boston, MA: Cengage Learning.
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