Ardington Archives. Components of the process. Audit of needs. Cataloguing. Retrieval. Collection and deposit. Destruction. The archiving.

Transcription

1 Ardington Archives Components of the process Audit of needs Cataloguing Retrieval Collection and deposit Destruction The archiving process

2 3 Section Contents ARCHIVING PROCESS The archiving process Reference Title Pages 3 The archiving process Components of the process Audit of needs Cataloguing Collection and deposit Retrieval Destruction 22 We all need to play our part to support the environment.

3 THE ARCHIVING PROCESS Components of the Process Components of the process The archiving process is essentially a five-stage procedure, consisting of the following steps: 1. Audit of archiving needs 2. Cataloguing and boxing of the documents to be archived THE ARCHIVING PROCESS 3. Collection and deposit of the archive boxes 5. Confidential Destruction 4. Retrieval, either of entire archive boxes or of individual files 10

4 3 Audit of Needs THE ARCHIVING PROCESS 3.2 Audit of needs The question of when to archive a particular document is often a difficult one. When to archive? Do it too early and you will have to dig it out again. Do it too late, and it will be taking up valuable office space for no good reason in the interim. At the same time, even when the document is in active use, it will need to be stored somewhere. Our experience shows that around 90% of requests for retrieval of archived information come in the first year after it was archived and that very few retrieval requests are made after the information has been archived for a period of three years. The other critical question is what documents need to be archived in the first place? 1. In some cases this depends on legal requirements and best practice guidelines. 2. In other cases it is a business decision that is dependent on the sector within which any given business works and the nature of the documentation at hand. 11

5 THE ARCHIVING PROCESS Audit of Needs 3 The first stage in the archiving process is to carry out an audit of archiving needs. This should cover the following issues: What documents need to be archived and when? Current storage situation: location and circumstances of current storage. Assessment of the documents to be stored: source and type of documents to be stored, whether already stored in suitable cartons or not. Estimated quantity of documents to be stored, and likely box requirements. Format in which documents are to be stored: whether lever arch files, paper-based or in document wallets. Cataloguing needs: whether a current catalogue of documents exists, and in what format? Timescale for storage of documents: when should storage commence and for how long will it be required. Retrieval needs: how quickly might documents need to be retrieved? Security needs: do items need to be held in security vaults, on back-up tapes, CD files etc? Ensure that material of different security levels are stored in different boxes and marked accordingly. Confidential destruction requirements: whether this is necessary. Collection needs: whether from single or multiple sites, difficulty of access to files, personnel required. Ardington Archives offers in-depth assistance in assessing these issues and reaching an appropriate archiving solution based on your individual needs. We have particular experience in cataloguing documents to be archived. 12

6 3 Cataloguing THE ARCHIVING PROCESS 3.3 Cataloguing Cataloguing the documents to be archived is of supreme importance. Ease of retrieval of files is directly related to the quality of cataloguing prior to storage or to put it another way, the more information given about each archived document, the quicker it will be to retrieve from the archive in the future. The first step is to open up an archive catalogue. This document contains a record of the boxes archived and what is contained in each box. See Appendix 3 for an example of an archive catalogue. Enter the relevant information in the catalogue. As much information about the content of each box should be entered as possible. Bear in mind that the box may be stored for a long period perhaps over ten years and it is therefore extremely likely that the person who placed it in storage will no longer be working at the firm (or in the same capacity) when it is next retrieved. The catalogue should ideally exist in a computerised form. Ardington Archives can assist you in setting up a free computerised cataloguing system and can also provide full on-site training and telephone back-up. Cataloguing 13

7 THE ARCHIVING PROCESS Collection and Deposit Collection and deposit The next stage in the archiving process is the deposit of boxes in the archive store. This process can be broken down into five distinct steps, which are outlined below Prepare for archiving The following matters should be considered when preparing to archive documents. This is important both from an environmental and cost-effectiveness standpoint. Weed the following from the material to be archived: duplicates useless documents or paper plastic folders * unnecessary files and folders * these cannot be recycled when the documents come to be destroyed and will have to be laboriously removed. Decide what can be discarded (i.e. recycled). Consider whether the archived material needs to be in lever arch files or not. If not, use boxes with dividers to separate and organise the material. These can be obtained from Ardington Archives see section 4 Security tags can be used to hold papers together if there s a danger of them being muddled up. Decide what type and size of box to use. The different box types offered by Ardington Archives are discussed in section 4. Preparation 14

8 3 Collection and Deposit THE ARCHIVING PROCESS Box the documents Ensure that: Similar documents (particularly with regard to the necessary level of security) are placed in the same box. The documents stored in the box all have the same destruction date (i.e. that they need to be stored for the same period as all the other documents in the box). If a box must be stored at a higher level of security, assess the level of security needed by reference to our security vault specifications at below, and then write the name of the required vault IN CAPITALS on the front of the box and on the box deposit schedule. Decide on numbering system to be adopted in respect of the archive boxes. Typically, the first three letters of the company or organisation in question are used, followed by an identifying number (e.g. COM001). Ensure that each box weighs no more than 15kg when fully filled (be nice remember that many of our staff and your office staff, who will have to lift these things, are human beings). Placement 15

9 THE ARCHIVING PROCESS Collection and Deposit Complete a new box deposit schedule We provide a document called a new box deposit schedule which the owner of the archive completes (with training assistance from Ardington Archives where requested). This document identifies the individual archive boxes by reference to their contents using an identifying number. The identifying number is later cross-referenced with the store location number showing where the box has been physically placed in our facility. Schedules More details on the contents of the schedule are set out in below. The following steps need to be taken: Number the boxes clearly, using a black marker pen. Enter the numbers in the archive catalogue and in the new box deposit schedule. Every single box that goes into the archive store must be detailed on the new box deposit schedule as well as the archive catalogue. The schedule contains the following information: Serial number identifying the schedule. Customer s reference number for each archived box (the customer is responsible for generating and inserting this number). Review date for each archived box (this must be determined by the customer). Archive location reference number for each archived box. This is generated and inserted by Ardington Archives. Date and time of transfer of boxes to archive store. This is done by the haulier on collection. Signature and name of operative handling the consignment. 16

10 3 Collection and Deposit THE ARCHIVING PROCESS Transfer boxes to store Collection Once the archives have been packed into boxes, take the following steps: Contact us (by telephone, fax or ) and give details of the number of boxes to be collected, their exact location and a contact name. We will then liaise with you to arrange a suitable time and date for collection. Ensure that the boxes are stacked for pick-up near to the loading point. This makes life easier for our driver and also reduces the time needed to carry out the collection. Ensure the stack of boxes is made in a logical numerical sequence, matching the entries recorded on the box deposit schedule. This will also help save time, and reduces the scope for error, when the boxes are transferred to the archive store. On arrival at your premises, our driver will check every box loaded onto the vehicle used for collection (which is an unmarked van) against the new box deposit schedule you have completed. The top copy of the new box deposit schedule will remain on your premises as the record of boxes sent to Ardington Archives. Any discrepancies will be highlighted and the necessary action taken. Transfer 17

11 THE ARCHIVING PROCESS Collection and Deposit Transfer boxes to store On arrival at the store On arrival at the archive store, the following steps are taken: The boxes are unloaded and checked by the warehouse staff, who verify the number of boxes being deposited and sign a copy of the new box deposit schedule as confirmation. Every box is security banded, and a percentage of each batch is checked for humidity content. The boxes are assigned a location in the store. The nature of this location depends on (1) the destruction date of the documents stored in the boxes (2) the level of security required (3) the size and weight of the boxes The location reference number of the boxes is entered on their labels next or beneath the box number. This reference number identifies the location of a particular box by reference to the store number, row, bay and the level on which the bin is located. The boxes are then numbered according to their position in the bin, starting from the left at the back. Therefore, the number 2D3B001 refers to the first box placed on level B of bay 3 in row D of Store 2. See for more information on this subject. The location reference number is entered on the new box deposit schedule. One copy of the schedule is retained in the store and the other returned to the owner. A random humidity check is carried out. Arrival 18

12 3 Collection and Deposit THE ARCHIVING PROCESS Put the boxes away We put the boxes away, ensuring that they are placed exactly in the locations assigned to them. We transfer the information contained in the deposit schedule onto a computer program. The information stored includes: the box location number original reference number the date it was archived the serial number of the deposit schedule the box size box review date (if no review date is given, a safe default is 10 years). Location 19

13 THE ARCHIVING PROCESS Retrieval Retrieval We offer guaranteed next day retrieval or sooner if requested. Retrieval can either be made: physically by delivering the requested box directly to you or via scanning either by placing the requested documents in our online vault, which can be accessed by unique client password, or by sending it to you by Decision criteria When considering the retrieval of documents from archived boxes, the following matters need to be addressed: Identify the information to be retrieved and how many pages. Identify in which box the information is stored. Decide whether the original documents are needed or whether they could be scanned for retrieval by means of online security vaults or sent by . Consider how urgently the documents are required. As noted in the introduction, scanning is an excellent means of obtaining a small quantity of documents (up to 50 pages) in a speedy and environmentally friendly manner, but becomes more expensive where large quantities of documents are required. Retrieval 20

14 3 Retrievals THE ARCHIVING PROCESS Procedure for obtaining physical documents The person who requires the information should send us a fax or requesting the return of specific boxes - including the relevant box references. We can then arrange for collection. When a box is retrieved, the following actions are taken: The box is physically taken to the person who wants it. The person who authorised retrieval signs a form acknowledging receipt. The computer records in relation to the box are amended to show that the box is on retrieval. When a box is returned to the archive facility after retrieval, the following actions are taken: The Box Return schedule is completed and signed. The box is rebanded. It is replaced in its original location. The computer records are updated to show that the box has been returned Procedure for requesting scanned documents If specific documents are required, not the whole box, this can be done via our On.line Vault. This on-line system is accessed from a secure Client Area on the Ardington Archives website: It requires a detailed description of the documents in question, together with advice as to where they are to be sent and the authorisation form. The documents are then retrieved, scanned electronically and posted to our online vault for download, or dispatched by to you. On returning the documents to their box after scanning, the box is rebanded and replaced in its location in the store. Ardington Archives On.line Vault The security of the On.line Vault is assured by the use of SSL (Secure Socket Layer) technology and an https web address. Client access is via username / password protected login. 21

15 THE ARCHIVING PROCESS Destruction 3 Destruction 3.6 Destruction In an ideal world destruction should be carried out strictly by reference to: (1) a comprehensive retention schedule; or (2) if there is no legal requirement to keep the documents longer, to other pre-identified business reasons (value IP content, best practice issues etc.) In all cases, destruction of documents must be authorised by a person designated by the owner. The following steps should be taken: Amend relevant records. Dispose of documents in a manner that ensures confidentiality is preserved. Retain certificate of destruction (this may be a legal requirement in some countries). In practice, destruction is carried out under the following procedure: A quarterly report shows the boxes due for review during current quarter. This should be provided to the designated person responsible for authorising destruction. The designated person reviews the report and either signs the boxes off to be destroyed or gives a new review date, then signs and returns. Boxes are then confidentially destroyed (by shredding) and recycled (pulped). A certificate of destruction is obtained and confirmation is given in writing of the boxes which have been destroyed. 22