Off-site storage: An Overview

Off-site storage is storage of inactive records in a facility other than the normal place of business. Off-site storage is an economical, safe, environmentally-sound and secure storage option for offices needing to manage their records off-site. Whether an office has run out of space or needs a more secure and safe environment, off-site storage can be a valuable service. During their lifecycle at the facility, records are kept well organized and remain available to the records creator. Additionally, off-site storage meets vital records/disaster recovery and security needs and typically offers secure and safe disposal.

When choosing a vendor, an office should ensure the facility is secure, clean, monitored, accessible, and able to protect your records. The storage of electronic records requires additional considerations, including vaulted space, appropriate racking, cases, or other storage appropriate to the media being stored, and a higher level of service.

Some questions to ask when considering off-site storage:

• What does your department hope to gain by this action?
• What are the minimum requirements that your department has for records storage?
• Does your department require that all records be maintained in the same location?
• Does your office expect the vendor to carry out disposal requirements?
• What is it that you are going to store and what is its value? (This question should be answered in an approved retention schedule.)
• What level of protection is needed?

Off-site storage for inactive records is available through the State Records Center (SRC). To access the services of the SRC, an office must have an approved records schedule, also known as an RDA, or be using a general records schedule.

The SRC is an inactive records storage facility operated by the Wisconsin Department of Administration and is available to all state agencies. After an approved RDA has been established, departments may transfer records to the SRC for storage until their retention time expires. After the approved retention time has expired, the SRC will carry out the recommended disposition; normally this is disposal or transfer to the University Archives for preservation. The SRC is not an archival facility. In other words, they do not accept records for permanent preservation.

The SRC is a program revenue operation and does charge for its services. However, there is no direct cost to University departments, except for those departments that accrue program revenue. For those departments that will be direct billed, the current rate schedule may be found on the SRC web site.

How do I use the State Records Center?

Securing Access:

To begin using the SRC, departmental staff responsible for records management will need to request access to Versatile, the SRC's online inventory system. We highly discourage authorizing access for student employees; instead, only staff members with responsibility for managing records for their department or unit should be added. Multiple employees may be given access for the same UDDS number, but we suggest limiting the total number to two access points whenever possible. To become an authorized user of the SRC, simply email us with the following information:

• Name of user
• UDDS
• Division
• Department
• Mailing Address
• Phone
• Email

It is important to note that the University Archives and Records Management Services does not generate the login and password to the online inventory system but requests the information from the SRC. Once your request has been received, you should receive an email within 72 hours from the SRC staff with your login and password.

Preparing Records for transmittal:

• Select the correct storage box: Boxes may be purchased from MDS and are available in three sizes. The MDS order numbers are as follows:

• 3189-BUNDLE Rec Storage Carton 10"H x 15"L x 12"W * (5)
• 3191-BUNDLE Rec Storage Carton 10"H x 15"L x 12"W * (10)
• 3195-EACH Rec Storage Carton 12"L x 10"W x 24"D
• 3220-EACH Rec Storage Carton 4 1/2"H x 15"L x 12"W

*Standard box size; most widely used

• Identify and label records consistently: Using a marker, label each box with title, dates, and succinct description of contents, usually no longer than a few words. The information listed on the box should match both the information entered into Versatile and the contents of the box. Only one series may be placed within a box.

• Pack the boxes: The records should be packed in the cartons in the same arrangement as they appeared in the file drawer; records must not be removed from their original file folders and/or jackets, nor should any portion of the records be discarded unless stipulated by the governing records schedule. The boxes can accommodate both letter (front to back) and legal files (side to side).
  
  NOTE: Diskettes and optical media should not be packed inside cartons with paper records. Separate handling of these mediums is required for adequate preservation. If you have electronic media that you are transferring, please contact the Archives.
  
  Do not over pack the box. A hand should be able to be inserted into the box easily and the box should be able to be lifted. Offices should be mindful of health and safety regulations regarding weight. Boxes should not not weigh more than 30 pounds. In addition, please be sure to remove hanging files before packing the box.
  

• Prepare an inventory or box listing: Although this process is optional, it highly recommended to aid in search and retrieval at a later time. In some cases you may want to create a listing of each file folder in the box, while other times it may be more beneficial to list by subject or dates. In order to create a useful inventory, prepare the inventory to the level that you will need to retrieve records, if necessary.
  
  
• Access Versatile: Login to Versatile to input boxes for transfer to the SRC. Tutorials are available for sending and searching/retrieving records at the SRC. Remember that the SRC will not accept transfers of records until a records schedule (RDA) has been prepared and approved. General Records Schedules are available for campus departments to use. However, if the records to be transferred are outside the scope of the general schedules and a departmental records schedule does not exist, one will need to be created prior to transfer. Contact Records Management for assistance.
  
  
• SRC Labels: After the boxes have been entered into Versatile, SRC staff will mail the appropriate labels to the address you indicated when requesting Versatile access. Review labels for accuracy. If incorrect, contact the SRC with corrections. Otherwise, place label in a blank spot on the same side of the box as the handwritten descriptive information. Contact the SRC and schedule a pick-up. The SRC staff will ask you for your agency and UDDS coding and any special instructions about the records.
  
  If boxes are to be transferred to the UW-Madison Archives rather than the State Records Center, please see "How do I transfer records to the University Archives?" section of this page.

How do I dispose of records?

Records disposition is the final phase in a record's lifecycle. It normally involves two possibilities: destruction or transfer to the University Archives for preservation. On rare occasions, the disposition may be to transfer to another State or Federal agency. The disposition of a records series is noted on the records schedule (RDA). See the "Records Schedules" section for information on preparing an RDA.

NOTE: It is the department's responsibility to obtain the proper authorization prior to proceeding with disposition; i.e. having an approved records schedule (RDA) on file with the Public Records and Forms Board. The Archives cannot provide verbal approval for the disposition of University records.

Disposition of records should occur routinely in accordance with the provisions of the RDA. If the RDA states the records are to be retained 3 years from the date of the record and then destroyed, records disposal should occur promptly at the conclusion of the 3 year retention regardless of format. This ensures that file space will be used efficiently and lessens the possibility that active records which are needed for day-to-day operations do not become interfiled with records which have outlived their administrative usefulness. IMPORTANT: These policies apply to electronic records as well.

In 2007, a campus committee comprised of members from SWAP, Legal Services, Purchasing, and Records Management developed the document Guidelines for University departments concerning best practices for the disposal and destruction of records. This publication offers guiding principles for the proper disposal of University records in all formats.

EXCEPTION for LITIGATION, AUDIT and OPEN RECORDS: If a request for information has been filed on the records under the open records law or the records are involved in litigation or audit, physical destruction may NOT be carried out until all legal or audit action has concluded.

Physical Destruction, Non-Confidential: When the final disposition of the records is DESTROY, and the records have been retained within your office area, it is appropriate to place the material in your building's recycling or trash receptacles. It is not necessary to notify the Archives or seek further authorization. The approved RDA is your authorization to destroy. If records are stored at the State Records Center, the department will receive a report two times a year requesting authorization to destroy those boxes that have met their retention time.

As a general rule, all office paper can be recycled. There are some exceptions. Check the Office Recycling Guide for details.

Physical Destruction, Confidential: When the final disposition is DESTROY CONFIDENTIAL, special precautions must be taken to ensure that the material is securely handled prior to and during the destruct process. Records marked confidential must not be placed in trash receptacles, which would permit access by those not authorized to view the information, nor in containers which would permit the material to be easily scattered, such as boxes or other containers without secure lids. The same precautions that were taken to protect access during the record's active life need to be extended to the inactive period and during the final disposition. The State Records Center can assist you with confidential shredding. See the "Other Services" section of this web page for more information.

How do I retrieve records from the State Records Center?

Use Versatile, the online inventory system, to search and retrieve records from the SRC. Once logged in, indicate which boxes need to be retrieved and submit the request to the SRC. The SRC will deliver the boxes to your office. In rare cases, a department may want to view their records at the SRC facility; simply indicate in the request note field that you would like to review the records at their facility and provide a date and time of your arrival.

A tutorial is available for searching/retrieving records at the SRC.

How do I transfer records to the University Archives?

Records should be prepared for transfer using the same boxing and and packing procedures as those outlined in the sections above. The transfer of records to the University Archives is coordinated by the Archives section. Their step-by-step guide will assist you in preparing and transferring your records. If records are stored at the SRC, the department will receive a report twice a year requesting authorization to transfer those boxes that have met their retention time. If authorization is granted, boxes will be automatically transferred to the University Archives.

What other services are offered?

Another service available to departments is confidential shredding. We have an agreement with the State Records Center to provide this service to departments. Contact the State Records Center for more information.

If your require on-site shredding for large amounts of records, another option is Pellitteri. They take most media and provide a method to witness destruction. Another company to consider is Shred-it.

Please note that if the anticipated cost for services will be over $25,000 then the department must complete the bid process through the normal channels.

Whom do I contact?

Records Management:

• Development of RDA
• Access to the State Records Center
• Information about the semi-annual disposition report

University Archives:

• Transfer of records for permanent preservation

State Records Center:

• Pick-up of records going to off-site storage
• Confidential shredding
• Problems with Versatile

A complete listing of University Archives and Records Management Staff is available.

Outside Vendors

The State Records Center will be the best option for most departments; however, if you require additional services not offered by the SRC, contracting with an outside vendor may be necessary. When using vendors other than the SRC, keep in mind the following:

• Define the type of services you require and the expectations for performance. For example, do you need inactive records storage only, 24 x 7 access and service, records destruction, routine reporting, or witnessed destruction.
  
  
• Research the vendor. Some questions to ask are:
  • How many years has the vendor been in operation?
  • Do they employ trained personnel?
  • What type of computer tracking system do they use?
  • If they accept electronic records, does their facility have the appropriate storage and security mechanisms in place?
  • Are they able to provide University Archives and Records Management Services with reports if required?
  • What is their fee schedule?
  • Do they meet ANSI standards?
  • What types of notification and verification does the vendor provide for records destruction?
  • What are their access and security policies?
  • If patient or medically related, do they have a 'business agent' agreement?
  • Does the vendor provide electronic records monitoring and maintenance? If so, at what cost?
• Visit the facility. Take the time to tour the facility and ask questions about their storage mechanisms and facility operations.
  
  
• Ask about media maintenance. If your records require maintenance, it is important to ask whether they have the capacity for maintaining media. Some examples of media maintenance are: media recopying, media inspections, media refreshing, rewinding, and media acclimatization. Administrative Rule 12 requires readability and retrieval checks at least every 3 years and transfer to new media storage at least every 5 years.
  
  
• Determine vendor costs. When determining vendor costs, be sure to include fees for storage, service, transportation, re-files, destruction, and other incidental services such as faxing, indexing and photocopying.
  
  
• Review vendor agreement. Determine what type of agreement you should have with the vendor and specify applicable performance measures. The agreement should be reviewed by appropriate personnel to ensure compliance with University policies and regulations.

The following guidelines developed by ARMA International, a not-for-profit professional association and the authority on managing records and information, may be helpful when making decisions about outside vendors:

• Guideline for Evaluating Offsite Records Storage Facilities
• Guideline for Outsourcing Electronic Records Storage and Disposition