Record Management• What is Record Management• What is a Record Retention Schedule• Why do I need a schedule• I do not have records• Records with legal or Litigation hold• Employee Responsibilities• Benefits of Record Management• Questions
What is Record ManagementThe field of managementresponsible for thesystematic control of thecreation, maintenance,use, and disposition ofrecords in order toachieve adequate andproper documentation ofthe policies andtransactions anorganization and effectiveand economicalmanagement of agencyoperations
What is What is Record Management• Records management addresses Record Management Life the life cycle of records. The life cycle usually consists of three Cycle stages:• Creation or receipt• Maintenance and use• Disposition Creation• Tools for maintaining and using records include file plans, indexes, and access and security Maintenance procedures. The main tool used to manage the disposition of records is the records schedule.• The archival and historical agency Disposition of the State of North Carolina shall be the Department of Cultural Resources. (1945, c. 55; 1955, c. 543, s. 1; 1973, c. 476, s. 48.)
What is a Record Retention and Disposition Schedule?• A records schedule is a tool for the employees of the Elizabeth City State University to use when managing the records of the university. It lists records found in an office and gives an assessment of their value by indicating when (and if) those records should be destroyed. The schedule is also an agreement between the office, the University Archives and Records Service (UARS) and the North Carolina Department of Cultural Resources (DCR).• This schedule serves as the inventory and schedule that the Department of Cultural Resources is directed by North Carolina General Statutes 121-5 (c) and 132-8 to provide. It supersedes all previous editions, including all amendments.
What is a Record Retention and Disposition Schedule?• Tools for maintaining and using records include file plans, indexes, and access and security procedures. The main tool used to manage the disposition of records is the records schedule.• The archival and historical agency of the State of North Carolina shall be the Department of Cultural Resources. (1945, c. 55; 1955, c. 543, s. 1; 1973, c. 476, s. 48.)
What is a record retention and disposition schedule?ECSU Record Retention andDisposition Schedule ECSU Disposition Schedule • • Administrative Records • File Cabinet One • • GU02 Accreditation: Departmental, college, program and/or Southern Association of Colleges and /or School (SACS) accreditation. Items: correspondence, reports questionnaires, guides. DISPOSITION INSTRUCTIONS; Original: Transfer 1 copy of final report to the University Archives after process ends. Destroy in office remaining records when administrative value ends. • • GU02 Accreditation 2009 • • GU03 Activities & Events: Activities and events that are initiated or sponsored by the University. Items: bulletins, memorandums, circulars, invitations, announcements, press releases, photographs • DISPOSITION INSTRUCTIONS: Original: Transfer to University Archives after 3 years. Reference: Destroy in office when event is completed. • • GU 03 – Activity & Events 2009 • GU03 Departmental Honors Convocation Nominees • GU 03 - 2009 Departmental Honors Convocation Nominees • GU 03 - 2008 Departmental Honors Convocation Nominees • GU 03 – 2007 Departmental Honors Convocation Nominees • • GU04: Administrative and official operations of an individual office. Items: reports, memorandums, correspondence, and directives DISPOSITION INSTRUCTIONS: Original: Transfer to University Archives after 5 years. Reference: Destroy in office when reference value ends. • • GU04 Departmental Minutes • GU04 Departmental Minutes 2008-2009 • GU04 Departmental Minutes 2007-2008 •
What does “reference” mean?A reference copy is usually a record • GU03 Activities & Events: Activities and that your office has for its own use events that are initiated or sponsored by the and is not the original or official University. copy for the entire university. As an Items: example, many academic bulletins, memorandums, circulars, invitation departments maintain copies of s, announcements, press student records (transcripts, releases, photographs applications, etc.); however, the • DISPOSITION INSTRUCTIONS: Original: official record keeper for these Transfer to University Archives after 3 years. records is the University Registrar. Reference: Destroy in office when event is Since the academic department completed. needs these records for their own use - or reference use - they are listed in the schedule as "REFERENCE." Reference copies have different retention periods based upon their designation as a reference copy.
Record Management• Q. What if I have two records series with the same name in my schedule - an official and a "REFERENCE"?• A. It is possible for an office to have official or record copies and reference copies of the same records series. A records series is a group of related records (in any format) held by an organization. An example would be Committee and Council Records. The official records of a committee are maintained by the chair of the committee. If your office has someone who is the chair of a committee, their records are the official/record copy and would follow that series in your schedule. However, if that person is a member of a committee (not the chair) those records would be reference copies and should follow the reference series in your schedule.
Why do I need a ScheduleAccording to G.S. 132-5 and G.S. 132-3, youmay destroy public records only with theconsent of DCR. DCR has an agreement withUARS to provide records managementservices to the University of North Carolinaat Chapel Hill. This schedule is the primaryway DCR gives consent through UARS for thedestruction of university records. Without anapproved schedule, your office cannotdestroy any record, no matter howinsignificant.
I Do Not Have RecordsNearly every university officegenerates, receives, or uses records.Computer files of any kind, includingdrafts and email, are public records.Even if your records are not the officialor final versions, your records arepublic records. Not all records havegreat historical, legal, or fiscalvalue, but they all must be managedaccording to a records retention anddisposition schedule.
What is a “legal hold” or “litigation hold” on Records and When does it Apply?Records that are subject to a legal hold or litigation hold mustnot be destroyed until officially released from the hold. A hold isplaced when either an official discovery order is served on theuniversity requesting the production of certain records (for alitigation, regulatory investigation, audit, open recordsrequest, etc.), or when litigation is pending and the university ison notice to preserve all potentially relevant records. You mustensure that for a claim or litigation that is reasonably foreseeablebut has not yet been initiated, any relevant records (in paper orelectronic formats) are preserved and not destroyed untilreleased by the University Counsel. The records in question mustnot be destroyed until the completion of the action and theresolution of all issues that arise from it regardless of theretention period set forth in the schedule. If you have anyquestions contact the University Counsel.
What if I have two records series with the same name in my schedule – an official and a “REFERENCE”?It is possible for an office to have official or recordcopies and reference copies of the same recordsseries. A records series is a group of related records(in any format) held by an organization. An examplewould be Committee and Council Records. Theofficial records of a committee are maintained by thechair of the committee. If your office has someonewho is the chair of a committee, their records are theofficial/record copy and would follow that series inyour schedule. However, if that person is a memberof a committee (not the chair) those records would bereference copies and should follow the referenceseries in your schedule.
What are the benefits of Record Management• What are the benefits of records management?• Records enable and support an agencys work to fulfill its mission. Every organization, including Federal agencies, must address well-defined objectives that add value, either by achieving the organizations goals or by reducing costs. Since records contain information, a valuable resource, it is essential to take a systematic approach to the management of records. Records management:• Contributes to the smooth operation of your agencys programs by making the information needed for decision making and operations readily available• Helps deliver services in a consistent and equitable manner• Facilitates effective performance of activities throughout an agency• Protects the rights of the agency, its employees, and its customers• Provides continuity in the event of a disaster• Protects records from inappropriate and unauthorized access
Record Management• Meets statutory and regulatory requirements including archival, audit, and oversight activities• Provides protection and support in litigation• Allows quicker retrieval of documents and information from files• Improves office efficiency and productivity• Provides better documentation more efficiently• Supports and documents historical and other research• Frees up office space for other purposes by moving inactive records to storage facilities• Avoids unnecessary purchases of office equipment