Chapter 10: Inactive Records
Section 1: Active Records Opposed to Inactive Records
Life Cycle of Records
Document and record life cycle management is an essential
component in records management. Document organization, creation/receipt,
classification, use, retention, and disposition (i.e., transfer to
state archives, or destruction are all important milestones in a
record life cycle.
Active Records
Active records are defined as documents which require access
for on-going business activities and are referred to for day-to-day
operations. If a record is still being processed or is referred
to at least once a month, then it is considered “active”. Records
are grouped as a record series for a specific period during which
they are most likely to be referenced.
Inactive Records
Inactive records are defined as documents no longer needed
to conduct current business; however, they must be preserved until
the retention period is met. It is important to purge inactive records from
high-cost equipment, office space and on-line servers to control
the costs of maintaining records.
Benefits of Utilizing Inactive Storage
The benefits of proper implementation of the TxDOT Records
Retention Schedule and use of inactive records storage are as follows:
- Reducing the volume of records, equipment, and space.
- Increases the filing and retrieval efficiency in the office.
- Minimizes the cost of storing official records for the required retention period.
- Preserves accessibility to records during their required retention periods.
- Ensures proper coordination and documentation of the destruction of official records.
Records Eligible for Storage at the TxDOT Records Management Warehouse
Only official records listed on the TxDOT Records Retention
schedule are eligible for storage at the Records Management Warehouse.
Districts should maintain a similar policy for storing records to
conserve resources.
Convenience copies are not eligible for storage since they
can be disposed of without formality.
A record series with a retention code of Administrative Value
(AV) is not eligible for Records Management Warehouse storage unless
a specific retention period and destruction date is assigned to
it.
For assistance contact TxDOT Records Management or reference
the
.
Storage Locations
Offsite storage for inactive records may be stored locally
within a District or Division, or at the Records Management Warehouse
in Austin.
Recommended Storage Requirements for Paper Records
Physical offsite storage requires appropriate handling and
protection of TxDOT’s physical records, including, but not limited
to, paper records, audio tapes, video tapes, and photographs. Heat
accelerates chemical reactions that can damage paper and photographic
media. High humidity, in combination with heat, promotes the growth
of mold, fungi, and other contaminants.
The temperature and relative humidity in records storage areas
must consequently be controlled, but the nature and extent of required
control depends upon the retention period. Generally, the shorter
the retention period, the less stringent the environmental controls
need to be.
All physical documents with a retention period exceeding ten
years must be stored in a well-ventilated open warehouse to prevent
stagnant air with temperature less than 80 degrees F and with a relative
humidity below 60%. A typical air-conditioned office environment
with stable temperature and humidity where paper will have minimum
exposure to light and contaminants, is generally adequate for film
to be retained for ten years or less.
Make sure storage areas are secure. Provide protection from:
- Elements: Windowless, air-conditioned environment is best.
- Insects, food, drink, and smoking should not be allowed in the storage area.
- Fire: Fire-suppression sprinkler system is ideal. Suitable fire extinguishers should be accessible.
- Do not volatile substances in or near the same place as records.
- Access by unauthorized people.
- Use shelving. Metal shelves are best. Keep the bottom shelf at least two or three inches off the floor. For fast retrieval, you may organize the shelving area by record types, fiscal years, etc. Use shelf labels.
- Stack boxes. If shelving is not practical or available, stack boxes on pallets or some other support that keeps them off the floor. Cardboard document storage boxes may be stacked up to six high. It helps to insert 1/4-inch plywood between boxes. Cut plywood sheets a little larger than the lids of the boxes. Attach a large label identifying the stacked records to a box on the outside of the stack, or even individual outside boxes. Retrieval is more difficult with this storage method.
For guidelines on how to secure physical records, see “Chapter
4, Protecting and Securing Information”.
Selecting Records for Storage
Points to consider when evaluating whether to transfer inactive
records include:
- Volume of records and required minimum retention period.
- The frequency the records are needed or used.
- The urgency of need when they are required.
- Time requirements for retrieval.
- Availability, cost and use of office space and filing equipment vs. the lower cost of offsite storage.
- Viability of imaging (See Chapter 6 “Document Imaging”) as an alternative to hard copy storage.