2. 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
3. What is Record Management
The field of management
responsible for the
systematic control of the
creation, maintenance,
use, and disposition of
records in order to
achieve adequate and
proper documentation of
the policies and
transactions an
organization and effective
and economical
management of agency
operations
4. 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.)
5. 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. 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. What is a record retention and
disposition schedule?
ECSU 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,
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
•
8. 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.
9. 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.
10. Why do I need a Schedule
According to G.S. 132-5 and G.S. 132-3, you
may destroy public records only with the
consent of DCR. DCR has an agreement with
UARS to provide records management
services to the University of North Carolina
at Chapel Hill. This schedule is the primary
way DCR gives consent through UARS for the
destruction of university records. Without an
approved schedule, your office cannot
destroy any record, no matter how
insignificant.
11. I Do Not Have Records
Nearly 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. 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 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. 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 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.
14. What are the benefits of
Record Management
• What are the benefits of records management?
• Records enable and support an agency's work to fulfill its mission. Every
organization, including Federal agencies, must address well-defined objectives
that add value, either by achieving the organization's 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 agency's 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
15. 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
