Records Management

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Records Management at Elizabeth City State University

Records Management at Elizabeth City State University

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  • 1. Records Management
  • 2. Records Managment OverviewWhat is Record ManagementWhat is a Records Retention ScheduleWhy do I need a scheduleI do not have recordsRecords with legal or LitigationEmployee ResponsibilitiesBenefits of Record ManagementQuestion
  • 3. Record Management What is Record ManagementThe field of management responsiblefor the systematic control of thecreation, maintenance, use, anddisposition of records in order toachieve adequate and properdocumentation of the policies andtransaction and effective andeconomical management ofagency operations
  • 4. Record Management What is Record Management Records management addresses Record Management the life cycle of records. The life Life Cycle cycle usually consists of three stages: Creation or receipt Maintenance and use Disposition Creation Tools for maintaining and using records include file plans, indexes, and access and security procedures. The main tool Maintenance used to manage the disposition of records is the records schedule. The archival and historical agency of the State of North Carolina shall Disposition be the Department of Cultural Resources. (1945, c. 55; 1955, c. 543, s. 1; 1973, c. 476, s. 48.)
  • 5. Record Management 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.
  • 6. Record Management 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.)
  • 7. Record ManagementWhat is a Record Retention and Disposition 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, pres s 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 end
  • 8. Record Management What does “reference” meanA reference copy is usually a record GU03 Activities & Events: Activitiesthat your office has for its own useand is not the original or official and events that are initiated orcopy for the entire university. As an sponsored by the University.example, many academicdepartments maintain copies of Items:student records bulletins, memorandums, circulars, in(transcripts, applications, etc.);however, the official record keeper vitations, announcements, pressfor these records is the University releases, photographsRegistrar. Since the academicdepartment needs these records fortheir own use - or reference use - DISPOSITION INSTRUCTIONS:they are listed in the schedule as Original: Transfer to University"REFERENCE." Reference copieshave different retention periods Archives after 3 years. Reference:based upon their designation as a Destroy in office when event isreference copy. completed.
  • 9. Record ManagementWhat 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 record copies andreference copies of the same records series. A records series is agroup of related records (in any format) held by an organization.An example would be Committee and Council Records. Theofficial records of a committee are maintained by the chair of thecommittee. If your office has someone who is the chair of acommittee, their records are the official/record copy and wouldfollow that series in your schedule. However, if that person is amember of a committee (not the chair) those records would bereference copies and should follow the reference series in yourschedule.
  • 10. Record Management Why do I need a ScheduleAccording to G.S. 132-5 and G.S. 132-3, you may destroypublic records only with the consent of DCR. DCR has anagreement with UARS to provide records managementservices to the University of North Carolina at Chapel Hill.This schedule is the primary way DCR gives consentthrough UARS for the destruction of university records.Without an approved schedule, your office cannot destroyany record, no matter how insignificant.
  • 11. Record Management I Do Not Have RecordsNearly every university office generates, receives, or uses records. Computer files of any kind, including drafts and email, are public records. Even if your records are not the official or final versions, your records are public records. Not all records have great historical, legal, or fiscal value, but they all must be managed according to a records retention and disposition schedule.
  • 12. Record ManagementWhat 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 must not be destroyed until officially released from the hold. A hold is placed when either an official discovery order is served on the university requesting the production of certain records (for a litigation, regulatory investigation, audit, open records request, etc.), or when litigation is pending and the university is on notice to preserve all potentially relevant records. You must ensure that for a claim or litigation that is reasonably foreseeable but has not yet been initiated, any relevant records (in paper or electronic formats) are preserved and not destroyed until released by the University Counsel. The records in question must not be destroyed until the completion of the action and the resolution of all issues that arise from it regardless of the retention period set forth in the schedule. If you have any questions contact the University Counsel.
  • 13. Record Management What are the benefits of Record 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
  • 14. Record ManagementWhat are the benefits of Record Management Cont 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
  • 15. Record Management Questions and Comments