This document provides an overview of records management. It defines records management as the systematic control of records creation, maintenance, use and disposition. It discusses the three stages of a records life cycle - creation, maintenance and use, and disposition. It also discusses the purpose and components of a records retention schedule, including providing examples of records series from the Elizabeth City State University schedule. The document outlines the benefits of records management such as meeting legal requirements, improving efficiency, and supporting research. It also discusses the importance of legal holds in preserving relevant records during litigation.

1. Records Management

2. Records Managment
Overview
What is Record Management
What is a Records Retention Schedule
Why do I need a schedule
I do not have records
Records with legal or Litigation
Employee Responsibilities
Benefits of Record Management
Question

3. Record Management
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
transaction and effective and
economical management of
agency 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 Management
What 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” mean
A reference copy is usually a record GU03 Activities & Events: Activities
that your office has for its own use
and is not the original or official and events that are initiated or
copy for the entire university. As an sponsored by the University.
example, many academic
departments maintain copies of Items:
student records bulletins, memorandums, circulars, in
(transcripts, applications, etc.);
however, the official record keeper vitations, announcements, press
for these records is the University releases, photographs
Registrar. Since the academic
department needs these records for
their own use - or reference use - DISPOSITION INSTRUCTIONS:
they are listed in the schedule as Original: Transfer to University
"REFERENCE." Reference copies
have different retention periods Archives after 3 years. Reference:
based upon their designation as a Destroy in office when event is
reference copy.
completed.

9. Record Management
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.

10. Record Management
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. Record Management
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. Record Management
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. Record Management
What are the benefits of Record 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

14. Record Management
What 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