Records Management

Records ManagmentOverview

What is Record ManagementWhat is a Records Retention ScheduleWhy do I need a schedule I do not have records Records with legal or Litigation Employee Responsibilities Benefits of Record Management Question

Record ManagementWhat is Record Management

The field of management responsiblefor the systematic control of the creation, maintenance, use, and disposition of records in order toachieve adequate and properdocumentation of the policies andtransaction and effective and economical management ofagency operations

Record ManagementWhat is Record Management

Records management addresses the life cycle of records. The life cycle usually consists of three stages:

Creation or receipt Maintenance and use Disposition 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.)

Record Man-agement Life

Cycle

Creation

Main-ten-ance

Disposition

Record ManagementWhat 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.

Record ManagementWhat 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.)

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, 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 directivesDISPOSITION INSTRUCTIONS: Original: Transfer to University Archives after 5 years. Reference: Destroy in office when reference value end 

 

Record ManagementWhat does “reference” mean

A reference copy is usually a record that your office has for its own use and is not the original or official copy for the entire university. As an example, many academic departments maintain copies of student records (transcripts, applications, etc.); however, the official record keeper for these records is the University Registrar. Since the academic department 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.

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.

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 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.

Record ManagementWhy 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.

Record ManagementI 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.

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.

Record ManagementWhat 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

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

Record ManagementQuestions and Comments