Managing Inactive Records LIS 513 Records Management Fall 2014.
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Transcript of Managing Inactive Records LIS 513 Records Management Fall 2014.
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Managing Inactive Records
LIS 513 Records Management
Fall 2014
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• Define inactive records
• Outline steps for creating storage facilities
• Examine arrangement of records
• Discuss administrative processes
Today, We Will. . .
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Life Cycle of Records
Creation
Active Phase
Inactive Phase
Disposition
Archives
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Identifying Inactive Records
• Records inventory
• Records survey
• Periodic review of active records
• Infrequency of use
• Retention schedules
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Using Inactive Storage
• Saves money
• Improves efficiency
• Provides physical security
• Protects from unauthorized access
• Provides systematic disposition
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Storing Inactive Records
• Onsite and in-house
• Offsite records center
• Offsite commercial facility
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Onsite Storage
• Often requires a renovation project
• Can be less secure than other options
• Allows direct control and easier access
• No rental fees
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Offsite Records Center
• Efficient use of space
• Saves money
• Formalized operating procedures
• Security
• Environmental controls
• Systematic disposition of records
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Records Storage Vendor
• Fees for storage and other services
• Research the quality of storage site and level
of service
• Conduct a cost comparison
• Must have a contract
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Inactive Storage Development
• Site selection
• Physical planning
• Equipment
• Administration
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Site Selection Factors
• Physical structure
• Space requirements
• Environment
• Safety
• Security
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Physical Structure
Involve professionals
Building and fire
inspectors
General contractor
Engineers
Architects
Examine
Floor strength
Wall construction
Structural soundness
HVAC systems
Wiring
Plumbing
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Determining Space Requirements
• Inventory, survey, site inspection
• Collect information about
– Volume, format, retention
• Add 30% to total cubic feet for growth
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Consider Other Formats
• Microfilm
• Discs
• Photos
• Negatives
• Blueprints
• Tapes
• Maps
• Bound volumes
• Videos
• Glass negatives
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Environment
• Temperature (65-72º F)
• Humidity (40-55%)
• Cleanliness
• Air circulation
• Lighting
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Safety
• Fire prevention
• Flood prevention
• Disaster planning
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Security
• Restrict access
• Install locks and limit keys
• Alarms and guards
• Install security cameras
• Get management support
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Shelving, Tracking, Locating
• Shelving plans and layouts
• Tracking and locating systems
• Labels and contents
• Databases
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Shelving Layout
• Use steel shelving
– Of proper gauge and dimensions
– That meets your needs
• Allow for
– 30% growth in records storage
– Adequate aisle widths
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Storage Equipment
• Shelving
• Boxes
• Archival supplies
• Map Towers
• Map Cabinets
• Oversized
• Ladders
• Carts
• Dehumidifiers
• Shredders
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Making Records Accessible • Processing records
• Box contents and labels
• Physical arrangement
• Tracking systems
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Processing Inactive Records
• Step 1. Purge obsolete records
– Identify record in schedule
– Separate records to be destroyed
– Obtain authorization
– Document disposition process
– Destroy obsolete records
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Processing Inactive Records
• Step 2. Process remaining records
– Organize by records series
• Retain original order or sequence
• Don’t mix records from different departments
– Box and label
– Record tracking data
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Box Contents
• One records series per box
• Or one retention period per box
• No hanging folders
• No binders
• No folding or over packing
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Labels
• Use uniform labels on all boxes
• May use preprinted labels
• Include necessary information
• Choose labels with good adhesive
• Supply each unit or department
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Label Types
• Standard labels
• Blind labeling
• Color-coded labels
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Permanent Records
• Use alkaline, pH-neutral, lignin-free boxes and
file folders
• Protect photographs with inert polyester sleeves
• Remove rubber bands, staples, tape
• Unfold and flatten records
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Physical Arrangement
• Place records on shelves by
– series
– department or unit
– other logical sequence
• Plan beforehand
• Can include three to four elements – Row – Unit – Shelf - Space
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Space Numbering Systems
• Adopt simplest appropriate system– Space (001)
– Row-Space (A-001)
– Row-Unit-Space (A-01-001)
• Number spaces in each shelving unit . . .– Top-to-bottom
– Left-to-right
• Assign same space numbers to boxes
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Tracking Methods
• Sign-out log
• Barcoding
• RFID: Radio Frequency Identification
• Database applications
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Databases for Managing Records
• Enhances access and retrieval
• Update after disposition and transfer
• Provides perpetual inventory of records
• Generates labels and reports
• Identifies records for destruction
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Administration of Inactive Records Program
• Make part of overall RM plan
• Policies and procedures
• Staff
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Benefits of Developing Policies and Procedures
• Promote program permanence
• Reinforce uniform practices
• Aid staff training
• Document procedures
• Establish responsibilities
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Policy and Procedures Topics
• Transfer of records
• Access and retrieval
• Reference services
• Disposition
• Reporting
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Transfer Process
• Periodic or perpetual schedule
• Select records to transfer
• Prepare and document records
• Contact RMO
• Move to inactive storage
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Accessioning Records
• Receive transferred records
• Review boxes and lists
• Determine space requirements
• Update records locator
• Add records to storage area
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Access and Retrieval
• Outline policies and procedures
• Create and distribute necessary forms
• Establish list of authorized personnel
• Educate storage facility staff
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Requesting Records
• Complete request form
• Obtain authorized signature
• Send request in advance
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Reference Services• Rules for Use and Visitor’s Log
• Photocopy services
• Microfilm reader/printers
• Public-use computer
• Tables for reference
• Regular hours of operation
• Security
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Destruction of Records
• Destroy appropriately
• Destroy completely
• Complete Authorization for Destruction form
• Get appropriate signatures
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Reporting • Justify current needs
• Improve operations
• Make informed decisions
• Validate existence of dedicated storage
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Summary
• Identify your inactive records
• Determine the best storage facility
• Establish policies and procedures
• Treat records responsibly