Tuesday, May 13, 2008
Records, who is responsible?
The responsibility of records management falls on all persons within any organization. These responsibilities include maintaining properly ordered files, which can be called upon to be produced as part of their day to day job duties. Each department head, who is responsible for all employees within their jurisdiction, must insure that records are properly organized and that they meet their responsibilities to those records. Specific duties and responsibilities include:
1. Determining what records are produced and housed in their respective departments.
1. Determining what records are produced and housed in their respective departments.
2. Determining if their records are permanent or non-permanent using the records retention schedule.
3. Identifying vital records and establishing procedures for their protection.
4. Destroying records in accordance with the published disposition schedules.
5. Arranging with the University Archivist transfer of permanent historical records.
Understanding Records Retention Abbreviations
ACT: active. The period while a matter is active.
ACY: ACT+CY. The period of time starting after the matter is no longer active and after the end of the current calender year.
CY: current year. A period of time starting after the end of the current calender year-December 31.
D: day
IND: indefinite. A long period of time that cannot be determined in advance.
M: months.
SUP: superseded. Retain records until they are replaced by more current versions.
Source: Donald S. Skupsky., Records Retention Procedures: Your Guide to Determine How Long to Keep Your Records and How to safely Destroy Them! (Englewood, Colorado: Information Requirements Clearinghouse, 1994).
ACY: ACT+CY. The period of time starting after the matter is no longer active and after the end of the current calender year.
CY: current year. A period of time starting after the end of the current calender year-December 31.
D: day
IND: indefinite. A long period of time that cannot be determined in advance.
M: months.
SUP: superseded. Retain records until they are replaced by more current versions.
Source: Donald S. Skupsky., Records Retention Procedures: Your Guide to Determine How Long to Keep Your Records and How to safely Destroy Them! (Englewood, Colorado: Information Requirements Clearinghouse, 1994).
Understanding Records Retention Schedule Groups
ACC - Accounting
ADM- Administrative
EDU- Education
FIN- Financial
LEG- Legal
PER- Personnel
REF- Reference
Source: Donald S. Skupsky., Records Retention Procedures: Your Guide to Determine How Long to Keep Your Records and How to safely Destroy Them! (Englewood, Colorado: Information Requirements Clearinghouse, 1994).
ADM- Administrative
EDU- Education
FIN- Financial
LEG- Legal
PER- Personnel
REF- Reference
Source: Donald S. Skupsky., Records Retention Procedures: Your Guide to Determine How Long to Keep Your Records and How to safely Destroy Them! (Englewood, Colorado: Information Requirements Clearinghouse, 1994).
Records Management Cheat Sheet
Or what to do when you don't know where to start?
1. What records does your office create (by file folder)?
2. What records do the employees in your department have?
3. List records and then match them to the records retention series.
4. If a file folder has both official and non-official records, use official records for deciding on retention (see: official and non-official records for the distinction between them). If there are duplicates of official records, use the same retention as the non-duplicate official record.
5. If the file folder has multiple documents with differing retention periods, use the documents with the longest retention.
6. Write the retention on the file folder and the date of destruction or transfer. Do this for each folder (unless you know a complete group of file folders having all the same dates and belonging to the same series).
7. When the date of destruction or transfer arrives, fill out the appropriate form and send documents to be destroyed or to the archives.
8. Get further help from University Archivist.
1. What records does your office create (by file folder)?
2. What records do the employees in your department have?
3. List records and then match them to the records retention series.
4. If a file folder has both official and non-official records, use official records for deciding on retention (see: official and non-official records for the distinction between them). If there are duplicates of official records, use the same retention as the non-duplicate official record.
5. If the file folder has multiple documents with differing retention periods, use the documents with the longest retention.
6. Write the retention on the file folder and the date of destruction or transfer. Do this for each folder (unless you know a complete group of file folders having all the same dates and belonging to the same series).
7. When the date of destruction or transfer arrives, fill out the appropriate form and send documents to be destroyed or to the archives.
8. Get further help from University Archivist.
Thursday, April 3, 2008
Glossary
For a comprehensive list of archival terms, please go to:
Archivist's Glossary
ACCESSION
The process of "accessioning" a record group into the University Archives involves the transfer of
the legal title and the physical transfer of materials. The legal title is assigned in the Transfer
Agreement form. Once the records arrive at the Bentley Library, a member of the staff will
document the acquisition in the donor file and in the accessions database.
ACID-FREE
The chemical characteristic of having a pH of 7.0 or greater. The Archives uses acid- free paper,
file folders, and boxes for preservation of permanent records. See also ARCHIVES BOX.
ACTIVE RECORDS
Generally, records move through phases of activity. Active records are records currently in use or
that are considered open. It is best practice to transfer permanent historical records to the
University Archives when the records are viewed as inactive. Non-permanent inactive records
should be sent to Records Center or kept in office until destruction.
ADMINISTRATIVE VALUE
The usefulness of records to the office of origin for carrying out its day-to-day activities.
APPRAISAL
Appraisal is the process of determining the value of records--it is making a decision on what
needs to be kept for administrative, legal, historical, and fiscal use. While appraisal is one of the
most discussed principles in archival science, office personnel also make numerous appraisal
decisions. The University Archives is interested in maintaining records that contain significant
information about the activities, policy, and goals of a unit. Significant records would also include
related documents that reflect the actions, motives, and underlying causes leading to changes
within a unit or that illuminate an important aspect of the university history or development of a
specific academic discipline.
ARCHIVES
(1) The non-current records of an organization or institution preserved because of their continuing
value. (2) The agency responsible for selecting, preserving, and making available records
determined to have permanent or continuing value. (3) The building or part of a building where
archival materials are located.
ARCHIVES BOX
A cardboard storage container made from acid-free materials intended to house archival
materials.
ARRANGEMENT
Arrangement refers the work process our staff undertakes once records are transferred and
accessioned into the University Archives. The process is based on accepted archival principles,
particularly the concepts of provenance and original order. The processes associated with
arrangement usually include packing, foldering, labeling, and shelving.
BOX INVENTORY
A listing of the contents of all the boxes that comprise a collection, folder by folder; this listing may
also include indications of which materials have been moved to oversize boxes or map drawers
or transferred to other storage areas such as the photograph, memorabilia, or audio-visual
collection. See also CONTAINER LIST.
BULK DATES
Dates of those documents that constitute the largest part of a collection, record group, subgroup,
or series. Bulk dates are used to inform researchers of the chronological or period strength of
archival materials, particularly when inclusive dates are misleading.
COLLECTION
An artificial accumulation of materials devoted to a single theme, person, event, or type of
document acquired from a variety of sources. A general term used to describe groupings of
archival or manuscripts materials.
CONFIDENTIAL RECORD
Student files; personnel files; intellectual property; or any records that contain Social Security
Numbers, Student ID numbers, bank account numbers, credit card numbers, etc.
CONTAINER LIST
A listing of the contents of all the boxes that comprise a collection, folder by folder; this listing may
also include indications of which materials have been moved to oversize boxes or map drawers
or transferred to other storage areas such as the photograph, memorabilia, or audio-visual
collection. See also BOX INVENTORY.
CONTEXT
Context refers to the organizational, functional, and operational circumstances in which
documents are created and/or received and used. Context plays an important role in informing
researchers about events and actions that may have occurred just a few years or many years
ago. SEE APPRAISAL
CORRESPONDENCE
Letters (administrative or personal), memoranda, postal cards, and electronic mail
communications. Over the past fifteen years, however, electronic mail has become a primary
means of communication. As in the paper-based environment, a system for the management of
important communications needs to be established in the digital environment. See the procedures
manual for email best practices.
CREATOR
Person, office or other entity that generates records.
CREATING OFFICE
See CREATOR.
CUBIC FEET
A standard measure of the quantity of archival materials on the basis of the volume of space
occupied. For example, a typical 12 x 12 x 12 archives box occupies 1 cubic foot (cu. ft.).
DEED OF GIFT
A signed, written instrument containing a voluntary transfer of title to real or personal property
without a monetary consideration. Deeds of gift to archives and manuscript repositories frequently
take the form of a contract establishing conditions governing the transfer of title to documents and
specifying any restrictions on access or use.
DESTROY
Destruction through recycling or placement in garbage recepticles.
DESTROY CONFIDENTIAL
Destruction via shredding.
DIGITAL RECORDS
Digital records are all records, regardless of their digital format, prepared, owned, used, in the
possession of, or retained by university administrators, faculty acting in administrative capacities,
and staff of university units in the performance of an official function.
DISPOSAL
A disposal process that results in the obliteration of records.
DISPOSITION
Materials' final destruction or transfer to an archive as determined by their appraisal.
DOCUMENT
A written paper, recording, photograph, computer file, or other item that bears the original, official,
or legal form of something and can be used to furnish evidence or information. Letters to an
individual, business reports, architectural drawings, photographs, videos, and computer files are
all examples of documents.
ELECTRONIC MAIL (E-MAIL)
Any memo, letter, note, report, or communication between individuals and groups that is stored
and/or transmitted in a format that requires an electronic device to capture and access.
ENCRYPTION
The process of rendering plaintext unintelligible by converting it to ciphertext that can be read
only by those with the knowledge to decode the plaintext from the ciphertext.
EVIDENTIAL VALUE
The usefulness of records as the primary or legal evidence of an organization's authority,
functions, operations, transactions, and basic decisions and procedures.
FILE FOLDER
Filing unit, preferably made from acid-free materials; titles of file folders are listed in the box
inventory in a FINDING AID.
FINDING AID
General term used to describe the various research tools the Archives creates to provide
information about its holdings; types of finding aids prepared by the department include BOX
INVENTORIES (or CONTAINER LISTS) and COLLECTION GUIDES.
FISCAL VALUE
The usefulness of records for information about the financial transactions and obligations of an
organization.
HISTORICAL VALUE
The usefulness of records for historical research concerning an organization's functions and
development, or for information about persons, places, or events.
IN-ACTIVE RECORDS
Non-permanent or permanent records used rarely. See ACTIVE RECORDS for disposition
recommendations.
INCLUSIVE DATE
The dates of the oldest and most recent items in a collection.
INFORMATIONAL VALUE
Factual data about the persons, events, problems, and conditions of the record creator, and
which may be useful for historical research or other studies.
INTELLECTUAL CONTROL
A series of measures, such as box and folder inventories, card catalog entries, and indexes that
enable users of records to find the information they need.
LEGAL VALUE
The usefulness of records to contain evidence of legally enforceable rights or obligations of the
government or private persons.
LIFE CYCLE
The theory that the paperwork of an institution goes through distinct phases: records are created,
used for some purpose, stored or filed for future reference, evaluated, and eventually disposed of
or transferred to an archives for permanent retention.
MIGRATION
The process of moving data from one information system or storage medium to another to ensure
continued access to the information as the system or medium becomes obsolete or degrades
over time.
OFFICE OF ORIGIN
The office in which a given record or record series was originally created or accumulated. See
CREATOR
OFFICIAL RECORD
An official record is a record that in law is legally recognized and judicially enforceable as
evidence of an act or event.
ORIGINAL ORDER
The archival principle of not intermingling records from different creating bodies.
PERSONAL PAPERS
Personal papers refers to papers created or accumulated by an individual, belonging to him or
her, rather than papers created by a university unit. Papers of members of the university faculty
are considered personal papers. Further information on faculty papers is available within the
forms section of the website.
PRELIMINARY INVENTORY
A type of finding aid that is created upon accession of new materials to an archive or manuscript
repository. The preliminary inventory usually contains a box or folder level listing, but usually does
not attempt to arrange items in a collection into series or other groupings. See also CONTAINER
LIST.
PROCESSING
The activities of accessioning, arranging, describing, and properly storing archival materials.
PROVENANCE
The origin of records or original source of the materials in a collection. The section in a finding aid
that describes how the University Archives acquired the collection in question
PUBLIC RECORD
Section 149.011 of the Ohio Revised Code, defines “Records” as including any document,
device, or item, regardless of physical form or characteristic, including an electronic record as
defined in section 1306.01 of the Revised Code, created or received by or coming under the
jurisdiction of any public office of the state or its political subdivisions, which serves to document
the organization, functions, policies, decisions, procedures, operations, or other activities of the
office.
RECORDS CENTER
A records storage facility established to provide storage of inactive, permanent and non-
permanent records before final disposition.
RECORD GROUP
A body of organizationally related records established on the basis of PROVENANCE with
particular regard for the administrative history of the record-creating institution or organization.
For example, University Archives record groups include the Board of Trustees and the Miller
College of Business. For a complete listing of processed record groups in the University Archives,
please click here.
RECORD-KEEPING SYSTEM
Coordinated policies and procedures that enable records to be collected, organized, and
categorized to facilitate their management, including preservation3, retrieval, use, and disposition.
RECORDS MANAGEMENT
Or RM, is the practice of identifying, classifying, archiving, preserving, and destroying records.
The ISO 15489: 2001 standard defines it as "The field of management responsible for the
efficient and systematic control of the creation, receipt, maintenance, use and disposition of
records, including the processes for capturing and maintaining evidence of and information about
business activities and transactions in the form of records".
RECORD SUB-GROUPS
Smaller (than record groups) bodies of organizationally related records placed within a record
group to correspond to the subordinate administrative units that collectively form the record
group.
RECORDS RETENTION/DISPOSITION SCHEDULE
The RRDS is the form used to secure approval for the disposition of all public records. It
describes the life cycle of records and their disposition after a retention period has ended.
RESEARCH VALUE
The usefulness of records for research by the government, business, private organizations,
individuals, and scholars. See also HISTORICAL VALUE.
RESOURCE GUIDE
List of materials in an archive or manuscript repository that relate to a certain subject or theme.
The Archives and Special Collections Research Center has created several resource guides;
click here to view the complete list.
RETENTION
The process of holding documents for use.
RETENTION PERIOD
The maximum and minimum lengths of time that a record must be kept by law or policy.
RETENTION SCHEDULE
The timetable and description of a records series' lifecycle, including instructions for disposition.
For University Records, the retention schedule takes the form of the Records
Retention/Disposition Schedule (RRDS).
SCHEDULING
The process of analyzing and appraising the value of a given set of records, and then preparing a
retention schedule showing the disposition of the records.
SERIES
A grouping of file units or documents arranged in accordance with a unified filing system or
maintained by the records creator as a unit because of some relationship arising out of their
creation, receipt, or use. For example, correspondence or meeting minutes are typical series
designations within an archival/manuscript COLLECTION or RECORD GROUP.
TRANSFER
The movement of records from one custodian to another. Usually moving records from active or
semi-active office files to off-site storage or to the University Archives.
UNIVERSITY ARCHIVES
The University Archives is the repository for a broad range of materials, including official office
records, printed publications, photographs, and memorabilia, documenting the history and
present activities of a university.
Archivist's Glossary
ACCESSION
The process of "accessioning" a record group into the University Archives involves the transfer of
the legal title and the physical transfer of materials. The legal title is assigned in the Transfer
Agreement form. Once the records arrive at the Bentley Library, a member of the staff will
document the acquisition in the donor file and in the accessions database.
ACID-FREE
The chemical characteristic of having a pH of 7.0 or greater. The Archives uses acid- free paper,
file folders, and boxes for preservation of permanent records. See also ARCHIVES BOX.
ACTIVE RECORDS
Generally, records move through phases of activity. Active records are records currently in use or
that are considered open. It is best practice to transfer permanent historical records to the
University Archives when the records are viewed as inactive. Non-permanent inactive records
should be sent to Records Center or kept in office until destruction.
ADMINISTRATIVE VALUE
The usefulness of records to the office of origin for carrying out its day-to-day activities.
APPRAISAL
Appraisal is the process of determining the value of records--it is making a decision on what
needs to be kept for administrative, legal, historical, and fiscal use. While appraisal is one of the
most discussed principles in archival science, office personnel also make numerous appraisal
decisions. The University Archives is interested in maintaining records that contain significant
information about the activities, policy, and goals of a unit. Significant records would also include
related documents that reflect the actions, motives, and underlying causes leading to changes
within a unit or that illuminate an important aspect of the university history or development of a
specific academic discipline.
ARCHIVES
(1) The non-current records of an organization or institution preserved because of their continuing
value. (2) The agency responsible for selecting, preserving, and making available records
determined to have permanent or continuing value. (3) The building or part of a building where
archival materials are located.
ARCHIVES BOX
A cardboard storage container made from acid-free materials intended to house archival
materials.
ARRANGEMENT
Arrangement refers the work process our staff undertakes once records are transferred and
accessioned into the University Archives. The process is based on accepted archival principles,
particularly the concepts of provenance and original order. The processes associated with
arrangement usually include packing, foldering, labeling, and shelving.
BOX INVENTORY
A listing of the contents of all the boxes that comprise a collection, folder by folder; this listing may
also include indications of which materials have been moved to oversize boxes or map drawers
or transferred to other storage areas such as the photograph, memorabilia, or audio-visual
collection. See also CONTAINER LIST.
BULK DATES
Dates of those documents that constitute the largest part of a collection, record group, subgroup,
or series. Bulk dates are used to inform researchers of the chronological or period strength of
archival materials, particularly when inclusive dates are misleading.
COLLECTION
An artificial accumulation of materials devoted to a single theme, person, event, or type of
document acquired from a variety of sources. A general term used to describe groupings of
archival or manuscripts materials.
CONFIDENTIAL RECORD
Student files; personnel files; intellectual property; or any records that contain Social Security
Numbers, Student ID numbers, bank account numbers, credit card numbers, etc.
CONTAINER LIST
A listing of the contents of all the boxes that comprise a collection, folder by folder; this listing may
also include indications of which materials have been moved to oversize boxes or map drawers
or transferred to other storage areas such as the photograph, memorabilia, or audio-visual
collection. See also BOX INVENTORY.
CONTEXT
Context refers to the organizational, functional, and operational circumstances in which
documents are created and/or received and used. Context plays an important role in informing
researchers about events and actions that may have occurred just a few years or many years
ago. SEE APPRAISAL
CORRESPONDENCE
Letters (administrative or personal), memoranda, postal cards, and electronic mail
communications. Over the past fifteen years, however, electronic mail has become a primary
means of communication. As in the paper-based environment, a system for the management of
important communications needs to be established in the digital environment. See the procedures
manual for email best practices.
CREATOR
Person, office or other entity that generates records.
CREATING OFFICE
See CREATOR.
CUBIC FEET
A standard measure of the quantity of archival materials on the basis of the volume of space
occupied. For example, a typical 12 x 12 x 12 archives box occupies 1 cubic foot (cu. ft.).
DEED OF GIFT
A signed, written instrument containing a voluntary transfer of title to real or personal property
without a monetary consideration. Deeds of gift to archives and manuscript repositories frequently
take the form of a contract establishing conditions governing the transfer of title to documents and
specifying any restrictions on access or use.
DESTROY
Destruction through recycling or placement in garbage recepticles.
DESTROY CONFIDENTIAL
Destruction via shredding.
DIGITAL RECORDS
Digital records are all records, regardless of their digital format, prepared, owned, used, in the
possession of, or retained by university administrators, faculty acting in administrative capacities,
and staff of university units in the performance of an official function.
DISPOSAL
A disposal process that results in the obliteration of records.
DISPOSITION
Materials' final destruction or transfer to an archive as determined by their appraisal.
DOCUMENT
A written paper, recording, photograph, computer file, or other item that bears the original, official,
or legal form of something and can be used to furnish evidence or information. Letters to an
individual, business reports, architectural drawings, photographs, videos, and computer files are
all examples of documents.
ELECTRONIC MAIL (E-MAIL)
Any memo, letter, note, report, or communication between individuals and groups that is stored
and/or transmitted in a format that requires an electronic device to capture and access.
ENCRYPTION
The process of rendering plaintext unintelligible by converting it to ciphertext that can be read
only by those with the knowledge to decode the plaintext from the ciphertext.
EVIDENTIAL VALUE
The usefulness of records as the primary or legal evidence of an organization's authority,
functions, operations, transactions, and basic decisions and procedures.
FILE FOLDER
Filing unit, preferably made from acid-free materials; titles of file folders are listed in the box
inventory in a FINDING AID.
FINDING AID
General term used to describe the various research tools the Archives creates to provide
information about its holdings; types of finding aids prepared by the department include BOX
INVENTORIES (or CONTAINER LISTS) and COLLECTION GUIDES.
FISCAL VALUE
The usefulness of records for information about the financial transactions and obligations of an
organization.
HISTORICAL VALUE
The usefulness of records for historical research concerning an organization's functions and
development, or for information about persons, places, or events.
IN-ACTIVE RECORDS
Non-permanent or permanent records used rarely. See ACTIVE RECORDS for disposition
recommendations.
INCLUSIVE DATE
The dates of the oldest and most recent items in a collection.
INFORMATIONAL VALUE
Factual data about the persons, events, problems, and conditions of the record creator, and
which may be useful for historical research or other studies.
INTELLECTUAL CONTROL
A series of measures, such as box and folder inventories, card catalog entries, and indexes that
enable users of records to find the information they need.
LEGAL VALUE
The usefulness of records to contain evidence of legally enforceable rights or obligations of the
government or private persons.
LIFE CYCLE
The theory that the paperwork of an institution goes through distinct phases: records are created,
used for some purpose, stored or filed for future reference, evaluated, and eventually disposed of
or transferred to an archives for permanent retention.
MIGRATION
The process of moving data from one information system or storage medium to another to ensure
continued access to the information as the system or medium becomes obsolete or degrades
over time.
OFFICE OF ORIGIN
The office in which a given record or record series was originally created or accumulated. See
CREATOR
OFFICIAL RECORD
An official record is a record that in law is legally recognized and judicially enforceable as
evidence of an act or event.
ORIGINAL ORDER
The archival principle of not intermingling records from different creating bodies.
PERSONAL PAPERS
Personal papers refers to papers created or accumulated by an individual, belonging to him or
her, rather than papers created by a university unit. Papers of members of the university faculty
are considered personal papers. Further information on faculty papers is available within the
forms section of the website.
PRELIMINARY INVENTORY
A type of finding aid that is created upon accession of new materials to an archive or manuscript
repository. The preliminary inventory usually contains a box or folder level listing, but usually does
not attempt to arrange items in a collection into series or other groupings. See also CONTAINER
LIST.
PROCESSING
The activities of accessioning, arranging, describing, and properly storing archival materials.
PROVENANCE
The origin of records or original source of the materials in a collection. The section in a finding aid
that describes how the University Archives acquired the collection in question
PUBLIC RECORD
Section 149.011 of the Ohio Revised Code, defines “Records” as including any document,
device, or item, regardless of physical form or characteristic, including an electronic record as
defined in section 1306.01 of the Revised Code, created or received by or coming under the
jurisdiction of any public office of the state or its political subdivisions, which serves to document
the organization, functions, policies, decisions, procedures, operations, or other activities of the
office.
RECORDS CENTER
A records storage facility established to provide storage of inactive, permanent and non-
permanent records before final disposition.
RECORD GROUP
A body of organizationally related records established on the basis of PROVENANCE with
particular regard for the administrative history of the record-creating institution or organization.
For example, University Archives record groups include the Board of Trustees and the Miller
College of Business. For a complete listing of processed record groups in the University Archives,
please click here.
RECORD-KEEPING SYSTEM
Coordinated policies and procedures that enable records to be collected, organized, and
categorized to facilitate their management, including preservation3, retrieval, use, and disposition.
RECORDS MANAGEMENT
Or RM, is the practice of identifying, classifying, archiving, preserving, and destroying records.
The ISO 15489: 2001 standard defines it as "The field of management responsible for the
efficient and systematic control of the creation, receipt, maintenance, use and disposition of
records, including the processes for capturing and maintaining evidence of and information about
business activities and transactions in the form of records".
RECORD SUB-GROUPS
Smaller (than record groups) bodies of organizationally related records placed within a record
group to correspond to the subordinate administrative units that collectively form the record
group.
RECORDS RETENTION/DISPOSITION SCHEDULE
The RRDS is the form used to secure approval for the disposition of all public records. It
describes the life cycle of records and their disposition after a retention period has ended.
RESEARCH VALUE
The usefulness of records for research by the government, business, private organizations,
individuals, and scholars. See also HISTORICAL VALUE.
RESOURCE GUIDE
List of materials in an archive or manuscript repository that relate to a certain subject or theme.
The Archives and Special Collections Research Center has created several resource guides;
click here to view the complete list.
RETENTION
The process of holding documents for use.
RETENTION PERIOD
The maximum and minimum lengths of time that a record must be kept by law or policy.
RETENTION SCHEDULE
The timetable and description of a records series' lifecycle, including instructions for disposition.
For University Records, the retention schedule takes the form of the Records
Retention/Disposition Schedule (RRDS).
SCHEDULING
The process of analyzing and appraising the value of a given set of records, and then preparing a
retention schedule showing the disposition of the records.
SERIES
A grouping of file units or documents arranged in accordance with a unified filing system or
maintained by the records creator as a unit because of some relationship arising out of their
creation, receipt, or use. For example, correspondence or meeting minutes are typical series
designations within an archival/manuscript COLLECTION or RECORD GROUP.
TRANSFER
The movement of records from one custodian to another. Usually moving records from active or
semi-active office files to off-site storage or to the University Archives.
UNIVERSITY ARCHIVES
The University Archives is the repository for a broad range of materials, including official office
records, printed publications, photographs, and memorabilia, documenting the history and
present activities of a university.
Tuesday, April 1, 2008
Official and Non Offical Records
Official Records: reflects the final, official recorded position of an organization related to the specific content of the record. Official records reflect the intent of an organization both to commit to a position and to record that position. These records reflect the information and position that the organization believes is true and complete, will rely upon to conduct its affairs and hopes others will also rely upon. These will be the records an organization will likely attempt to introduce into evidence as "business records" under the rules of evidence. Official records consequently must be subject to rigorous procedures for creation, modification, and destruction under a records management and a records retention program.
Unofficial Records: Official records can be distinguished from drafts, work-in-progress, handwritten notes, copies of documents, word processing, electronic documents used to create official signed documents, unsigned letters and other material that is either in a preliminary state of development or has not yet been authorized or approved by an appropriate person. These "unofficial records" do not yet reflect the official position of the organization and remain subject to change before completion.
Legal example: In S.C. Johnson & Son, Inc. v. Louisville & Nashville Railroad Co. (695 F.2d 253[7th. Cir. 1982]), plaintiff destroyed handwritten notes regarding the condition of products damaged in shipment after converting the information to a typed memorandum documenting his findings. An employee testified that the notes were destroyed because they were illegible to others and that all the necessary information had been included in the memorandum.
The court rejected the defendent's claim that relevant information contained in the notes could help determine whether the findings in the memorandum were accurate, and accepted the records destruction. Even though the notes were not destroyed under any company policy, the court found no reason to believe that the plaintiff destroyed the notes in bad faith. Although the court did not distinguish between official and unofficial records, the court did conclude that the important information from the hand written notes had been transferred to the final memorandum.
Duplicate Records: The Uniform Rules of Evidence permit the admission of duplicate records. See: Fed. R.Evid. 1003.
Non-Record Material: consists of library material, printed publications, commercially-available computer software, blank forms and other materials that do not reflect the recorded position of the organization.
Note: The above information comes from Skupsky and Montana, Law, Records and Information Management: The Court Cases, Information Requirements Clearinghouse (1994).
Unofficial Records: Official records can be distinguished from drafts, work-in-progress, handwritten notes, copies of documents, word processing, electronic documents used to create official signed documents, unsigned letters and other material that is either in a preliminary state of development or has not yet been authorized or approved by an appropriate person. These "unofficial records" do not yet reflect the official position of the organization and remain subject to change before completion.
Legal example: In S.C. Johnson & Son, Inc. v. Louisville & Nashville Railroad Co. (695 F.2d 253[7th. Cir. 1982]), plaintiff destroyed handwritten notes regarding the condition of products damaged in shipment after converting the information to a typed memorandum documenting his findings. An employee testified that the notes were destroyed because they were illegible to others and that all the necessary information had been included in the memorandum.
The court rejected the defendent's claim that relevant information contained in the notes could help determine whether the findings in the memorandum were accurate, and accepted the records destruction. Even though the notes were not destroyed under any company policy, the court found no reason to believe that the plaintiff destroyed the notes in bad faith. Although the court did not distinguish between official and unofficial records, the court did conclude that the important information from the hand written notes had been transferred to the final memorandum.
Duplicate Records: The Uniform Rules of Evidence permit the admission of duplicate records. See: Fed. R.Evid. 1003.
Non-Record Material: consists of library material, printed publications, commercially-available computer software, blank forms and other materials that do not reflect the recorded position of the organization.
Note: The above information comes from Skupsky and Montana, Law, Records and Information Management: The Court Cases, Information Requirements Clearinghouse (1994).
Thursday, February 21, 2008
Confidential Records
Personnel Files are not confidential records and under the Ohio Public Records Laws are open to the public, with a few exceptions, most notably medical records, social security numbers, and peace officer, fire fighter or EMT's residential and familial information. In order to facilitate compliance with Public Records Laws, medical records should be maintained in a separate folder from the personnel file. When providing personnel information as a result of a public records request the social security number must be redacted from any documents before they are disclosed. Forms, correspondence, and reports generated during a disciplinary, grievance, harassment or discriminatory proceeding are public record. [See: Ohio 1347.01 take reasonable precaution to protect personal information from unauthorized modification, destruction, use or disclosure]. [See also: Federal Laws that effect records, Ferpa].
Confidential Records should be stored separately from personnel file and may include:
Physical examination reports
Disability establishment
Disabilities accommodation requests
Psychiatric records
Psychological records
Maternity Leave/FMLA/personal/medical leave documents
Medical Records (medical history, diagnosis, prognosis, or medical condition)
Workers compensation claim documents
Social security numbers (must be redacted from all public documents prior to disclosure)
Attorney-client communications to or from university attorneys concerning university legal matters
Trade secrets: scientific, technical business and other information that derives independent economic value from, which is maintained under, confidential circumstances. Faculty research, until such time as it is patented, copyrighted or otherwise voluntarily made public, may be classified as a confidential trade secret
Confidential Records should be stored separately from personnel file and may include:
Physical examination reports
Disability establishment
Disabilities accommodation requests
Psychiatric records
Psychological records
Maternity Leave/FMLA/personal/medical leave documents
Medical Records (medical history, diagnosis, prognosis, or medical condition)
Workers compensation claim documents
Social security numbers (must be redacted from all public documents prior to disclosure)
Attorney-client communications to or from university attorneys concerning university legal matters
Trade secrets: scientific, technical business and other information that derives independent economic value from, which is maintained under, confidential circumstances. Faculty research, until such time as it is patented, copyrighted or otherwise voluntarily made public, may be classified as a confidential trade secret
Federal Laws that effect records
FERPA (Family Educational Rights and Privacy Act): The Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR Part 99) is a Federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education. (Source: http://www.ed.gov/policy/gen/guid/fpco/ferpa/index.html)
SOX (Sarbanes-Oxley Act of 2002): The legislation establishes new or enhanced standards for all U.S. public company boards, management, and public accounting firms. It does not apply to privately held companies. The Act contains 11 titles, or sections, ranging from additional Corporate Board responsibilities to criminal penalties, and requires the Securities and Exchange Commission (SEC) to implement rulings on requirements to comply with the new law. (Source: http://en.wikipedia.org/wiki/Sarbanes-Oxley_Act) For further reading see: http://www.sec.gov/news/studies/principlesbasedstand.htm#executive
Fair Labor Standards Act: The Fair Labor Standards Act of 1938, as amended (referred to as "the Act" or "FLSA"), is published in law in sections 201-219 of title 29, United States Code. The Act provides for minimum standards for both wages and overtime entitlement, and spells out administrative procedures by which covered worktime must be compensated. Included in the Act are provisions related to child labor, equal pay, and portal-to-portal activities. In addition, the Act exempts specified employees or groups of employees from the application of certain of its provisions. (Source: http://www.opm.gov/flsa/overview.asp) Requires employers to retain for 3 years.
Family and Medical Leave Act (FMLA): Covered employers must grant an eligible employee up to a total of 12 workweeks of unpaid leave during any 12-month period for one or more of the following reasons:
for the birth and care of the newborn child of the employee;
for placement with the employee of a son or daughter for adoption or foster care;
to care for an immediate family member (spouse, child, or parent) with a serious health condition; or
to take medical leave when the employee is unable to work because of a serious health condition.
Source: (http://www.dol.gov/esa/whd/fmla/) Requires employers to retain for 3 years.
Federal Equal Employment Opportunity Laws (EEOC): The Federal laws prohibiting job discrimination are:
Title VII of the Civil Rights Act of 1964 (Title VII), which prohibits employment discrimination based on race, color, religion, sex, or national origin;
the Equal Pay Act of 1963 (EPA), which protects men and women who perform substantially equal work in the same establishment from sex-based wage discrimination;
the Age Discrimination in Employment Act of 1967 (ADEA), which protects individuals who are 40 years of age or older;
Title I and Title V of the Americans with Disabilities Act of 1990 (ADA), which prohibit employment discrimination against qualified individuals with disabilities in the private sector, and in state and local governments;
Sections 501 and 505 of the Rehabilitation Act of 1973, which prohibit discrimination against qualified individuals with disabilities who work in the federal government;
the Civil Rights Act of 1991, which, among other things, provides monetary damages in cases of intentional employment discrimination.
The U.S. Equal Employment Opportunity Commission (EEOC) enforces all of these laws. EEOC also provides oversight and coordination of all federal equal employment opportunity regulations, practices, and policies.
Other federal laws, not enforced by EEOC, also prohibit discrimination and reprisal against federal employees and applicants. The Civil Service Reform Act of 1978 (CSRA) contains a number of prohibitions, known as prohibited personnel practices, which are designed to promote overall fairness in federal personnel actions. 5 U.S.C. 2302. The CSRA prohibits any employee who has authority to take certain personnel actions from discriminating for or against employees or applicants for employment on the bases of race, color, national origin, religion, sex, age or disability. It also provides that certain personnel actions can not be based on attributes or conduct that do not adversely affect employee performance, such as marital status and political affiliation. The Office of Personnel Management (OPM) has interpreted the prohibition of discrimination based on conduct to include discrimination based on sexual orientation. The CSRA also prohibits reprisal against federal employees or applicants for whistle-blowing, or for exercising an appeal, complaint, or grievance right. The CSRA is enforced by both the Office of Special Counsel (OSC) and the Merit Systems Protection Board (MSPB). (Source: http://www.eeoc.gov/abouteeo/overview_laws.html) Requires employers to retain for 2 years.
Health Insurance Portability and Accountability Act of 1996 (HIPAA): The Standards for Privacy of Individually Identifiable Health Information (“Privacy Rule”) establishes, for the first time, a set of national standards for the protection of certain health information. The U.S. Department of Health and Human Services (“HHS”) issued the Privacy Rule to implement the requirement of the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”). 1 The Privacy Rule standards address the use and disclosure of individuals’ health information—called “protected health information” by organizations subject to the Privacy Rule — called “covered entities,” as well as standards for individuals' privacy rights to understand and control how their health information is used. Within HHS, the Office for Civil Rights (“OCR”) has responsibility for implementing and enforcing the Privacy Rule with respect to voluntary compliance activities and civil money penalties.
Protected Health Information. The Privacy Rule protects all "individually
identifiable health information" held or transmitted by a covered entity or its business associate, in any form or media, whether electronic, paper, or oral. The Privacy Rule calls this information "protected health information (PHI)."
(Source: http://www.hhs.gov/ocr/privacysummary.pdf) Requires employers to retain for 6 years.
SOX (Sarbanes-Oxley Act of 2002): The legislation establishes new or enhanced standards for all U.S. public company boards, management, and public accounting firms. It does not apply to privately held companies. The Act contains 11 titles, or sections, ranging from additional Corporate Board responsibilities to criminal penalties, and requires the Securities and Exchange Commission (SEC) to implement rulings on requirements to comply with the new law. (Source: http://en.wikipedia.org/wiki/Sarbanes-Oxley_Act) For further reading see: http://www.sec.gov/news/studies/principlesbasedstand.htm#executive
Fair Labor Standards Act: The Fair Labor Standards Act of 1938, as amended (referred to as "the Act" or "FLSA"), is published in law in sections 201-219 of title 29, United States Code. The Act provides for minimum standards for both wages and overtime entitlement, and spells out administrative procedures by which covered worktime must be compensated. Included in the Act are provisions related to child labor, equal pay, and portal-to-portal activities. In addition, the Act exempts specified employees or groups of employees from the application of certain of its provisions. (Source: http://www.opm.gov/flsa/overview.asp) Requires employers to retain for 3 years.
Family and Medical Leave Act (FMLA): Covered employers must grant an eligible employee up to a total of 12 workweeks of unpaid leave during any 12-month period for one or more of the following reasons:
for the birth and care of the newborn child of the employee;
for placement with the employee of a son or daughter for adoption or foster care;
to care for an immediate family member (spouse, child, or parent) with a serious health condition; or
to take medical leave when the employee is unable to work because of a serious health condition.
Source: (http://www.dol.gov/esa/whd/fmla/) Requires employers to retain for 3 years.
Federal Equal Employment Opportunity Laws (EEOC): The Federal laws prohibiting job discrimination are:
Title VII of the Civil Rights Act of 1964 (Title VII), which prohibits employment discrimination based on race, color, religion, sex, or national origin;
the Equal Pay Act of 1963 (EPA), which protects men and women who perform substantially equal work in the same establishment from sex-based wage discrimination;
the Age Discrimination in Employment Act of 1967 (ADEA), which protects individuals who are 40 years of age or older;
Title I and Title V of the Americans with Disabilities Act of 1990 (ADA), which prohibit employment discrimination against qualified individuals with disabilities in the private sector, and in state and local governments;
Sections 501 and 505 of the Rehabilitation Act of 1973, which prohibit discrimination against qualified individuals with disabilities who work in the federal government;
the Civil Rights Act of 1991, which, among other things, provides monetary damages in cases of intentional employment discrimination.
The U.S. Equal Employment Opportunity Commission (EEOC) enforces all of these laws. EEOC also provides oversight and coordination of all federal equal employment opportunity regulations, practices, and policies.
Other federal laws, not enforced by EEOC, also prohibit discrimination and reprisal against federal employees and applicants. The Civil Service Reform Act of 1978 (CSRA) contains a number of prohibitions, known as prohibited personnel practices, which are designed to promote overall fairness in federal personnel actions. 5 U.S.C. 2302. The CSRA prohibits any employee who has authority to take certain personnel actions from discriminating for or against employees or applicants for employment on the bases of race, color, national origin, religion, sex, age or disability. It also provides that certain personnel actions can not be based on attributes or conduct that do not adversely affect employee performance, such as marital status and political affiliation. The Office of Personnel Management (OPM) has interpreted the prohibition of discrimination based on conduct to include discrimination based on sexual orientation. The CSRA also prohibits reprisal against federal employees or applicants for whistle-blowing, or for exercising an appeal, complaint, or grievance right. The CSRA is enforced by both the Office of Special Counsel (OSC) and the Merit Systems Protection Board (MSPB). (Source: http://www.eeoc.gov/abouteeo/overview_laws.html) Requires employers to retain for 2 years.
Health Insurance Portability and Accountability Act of 1996 (HIPAA): The Standards for Privacy of Individually Identifiable Health Information (“Privacy Rule”) establishes, for the first time, a set of national standards for the protection of certain health information. The U.S. Department of Health and Human Services (“HHS”) issued the Privacy Rule to implement the requirement of the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”). 1 The Privacy Rule standards address the use and disclosure of individuals’ health information—called “protected health information” by organizations subject to the Privacy Rule — called “covered entities,” as well as standards for individuals' privacy rights to understand and control how their health information is used. Within HHS, the Office for Civil Rights (“OCR”) has responsibility for implementing and enforcing the Privacy Rule with respect to voluntary compliance activities and civil money penalties.
Protected Health Information. The Privacy Rule protects all "individually
identifiable health information" held or transmitted by a covered entity or its business associate, in any form or media, whether electronic, paper, or oral. The Privacy Rule calls this information "protected health information (PHI)."
(Source: http://www.hhs.gov/ocr/privacysummary.pdf) Requires employers to retain for 6 years.
Ohio Records Laws
9.01 Official records - preserving and maintaining
http://codes.ohio.gov/orc/gp9.01
149.011 Documents, reports, and records definitions
http://codes.ohio.gov/orc/149.011
149.33 State records program - office of state records administration.
http://codes.ohio.gov/orc/149.33
149.351 Prohibiting destruction or damage of records.
http://codes.ohio.gov/orc/149.351
149.40 Making only necessary records.
http://codes.ohio.gov/orc/149.40
149.43 Availability of public records for inspection and copying.
http://codes.ohio.gov/orc/149.43
149.432 Releasing library record or patron information.
http://codes.ohio.gov/orc/149.432
CHAPTER 1306: UNIFORM ELECTRONIC TRANSACTIONS ACT
http://codes.ohio.gov/orc/1306
CHAPTER 1347: PERSONAL INFORMATION SYSTEMS
http://codes.ohio.gov/orc/1347
http://codes.ohio.gov/orc/gp9.01
149.011 Documents, reports, and records definitions
http://codes.ohio.gov/orc/149.011
149.33 State records program - office of state records administration.
http://codes.ohio.gov/orc/149.33
149.351 Prohibiting destruction or damage of records.
http://codes.ohio.gov/orc/149.351
149.40 Making only necessary records.
http://codes.ohio.gov/orc/149.40
149.43 Availability of public records for inspection and copying.
http://codes.ohio.gov/orc/149.43
149.432 Releasing library record or patron information.
http://codes.ohio.gov/orc/149.432
CHAPTER 1306: UNIFORM ELECTRONIC TRANSACTIONS ACT
http://codes.ohio.gov/orc/1306
CHAPTER 1347: PERSONAL INFORMATION SYSTEMS
http://codes.ohio.gov/orc/1347
E-mail and Voice Mail Policies
All official records as defined by Section 149.011 of the Ohio Revised Code, (paper, microform, electronic, or any other media) will be retained for the minimum periods stated in the Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000).
The Ohio Revised Code does not provide a specific definition for electronic mail but it does state that: “any document, device, or item, regardless of physical form or characteristic, created or received by or coming under the jurisdiction of any public office of the state or its political subdivisions.”
The above statement clearly qualifies the case of e-mail being a record, just like paper or any other medium is as well. The question than is not if e-mail is a viable record (it is not medium but the content that needs to analyzed) that should be saved but whether it should be saved because of its content.
There are four categories to consider in appraising e-mail content:
Non-record messages – personal (non-business) communication, such as lunch plans and meeting reminders.
Transitory messages – communication with limited significance, such as discussions on scheduling meetings, draft documents, and discussion threads.
Intermediate Messages – communication related to business processes or procedures, but are only substantial within given time period of significance, such as contract agreements, invoices, and project plans.
Permanent messages – communication related to business processes or procedures that are meaningful beyond an established time period, such as policy announcements and mission statements.
Non-record and transitory messages can be immediately deleted. Intermediate Messages must be seen in the context that they were created in. Intermediate e-mail messages and their attachments must be retained for the minimum periods stated in Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000). If the records are permanent historical messages they must be printed and filed with correspondence or creating documents for eventual transfer to the YSU Archives (please see: transfer procedures).
It is recommended that voice mail not be used to conduct university business, especially for sending and receiving intermediate and permanent messages.
Transferring records to the archives
Some of the records listed in your office's Schedule will state that they should be transferred to the University Archives. These records are considered permanently valuable for historical reasons. Fill out the Records Transfer Form (online), obtain the appropriate signatures and forward to the archive. Contact the University Archives (330-941-3788) prior to transferring these records to the University Archives. The following is an example of a filled Transfer form. Please use the Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000).
Records Management: Getting Started
- Read the Youngstown State University Records Management Mission and Policies.
- Each department director is the liaison and responsible official for the records within their jurisdiction. They are to contact the University Archives at (330-941-3788) to set up a records training session.
- Once training is complete, commence a file folder analysis of the records in your office or under your care using the Records Retention Cheat Sheet. The schedule will be based upon the Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000).
- Once the schedule is complete it will be reviewed by the University Counsel and Archivist.
- The Schedule is to be used for the disposition of all records created by your office. A Records Destruction Form must be completed and approval from the University Counsel and Archivist attained prior to the destruction of records.
- Records that are designated as permanent historical will be transferred to the University Archives using the Records Transfer Form. Any questions concerning E-mail, please see E-mail and Voice mail policies.
- Creation of new Records Series in a office mandates an immediate review and revision of the Records Retention Schedule. Please contact the YSU Archives.
Youngstown State University Records Management Mission & Policy Statement
In compliance with Section 149.33 of the Ohio Revised Code, Youngstown State University, by the authority of its Board of Trustees, has established a records management program under the jurisdiction of the President’s Office and University Archives & Special Collections for the purpose of insuring proper scheduling, storage and disposal of university records. Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000) will be used as the basis for Youngstown State University’s records management program. This program is designed to reduce the number of non-current records occupying expensive office space, eliminate unnecessary duplication of records between offices, offer a systematic method of records destruction and create an awareness of documents with a permanent archival value.
Youngstown State University recognizes the need for orderly management and retrieval of all official records and a documented records retention and destruction schedule congruent with all state and federal laws and related regulations. All official records as defined by Section 149.011 of the Ohio Revised Code, (paper, microform, electronic, or any other media) will be retained for the minimum periods stated in the Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000). After a specified period of time, official records must be disposed of in a manner that is consistent with, and systematically carried out in accordance with, prescribed records and information management guidelines and procedures.
The Records Retention for Public Colleges and Universities in Ohio: A Manual provides a list of official records for each department on the campus and prescribes the periods of authorized retention. The schedule may be revised periodically to include a newly created record series, to change retention periods, or to delete a record series no longer useful. Appropriate approval procedures must be followed and completed before any revisions would become effective.
All records to be kept for a minimum periods listed in the Records Retention for Public Colleges and Universities in Ohio: A Manual. Notwithstanding such minimum retention periods, all records must be maintained until all required audits are completed and should be retained beyond the listed retention periods when there is a probability of litigation either involving records or requiring their use.
Records may not be destroyed without first insuring that all legal requirements and retention periods have been met as listed in the Records Retention for Public Colleges and Universities in Ohio: A Manual. Records not listed in the Manual must be reviewed by the University General Council and the University Archivist before destruction is approved. Before final destruction a certificate of records disposal form needs to be filed to report that the records retention schedule has been met and documents have been disposed of according to institutional policy.
Youngstown State University recognizes the need for orderly management and retrieval of all official records and a documented records retention and destruction schedule congruent with all state and federal laws and related regulations. All official records as defined by Section 149.011 of the Ohio Revised Code, (paper, microform, electronic, or any other media) will be retained for the minimum periods stated in the Records Retention for Public Colleges and Universities in Ohio: A Manual (Inter-University Council of Ohio, 2000). After a specified period of time, official records must be disposed of in a manner that is consistent with, and systematically carried out in accordance with, prescribed records and information management guidelines and procedures.
The Records Retention for Public Colleges and Universities in Ohio: A Manual provides a list of official records for each department on the campus and prescribes the periods of authorized retention. The schedule may be revised periodically to include a newly created record series, to change retention periods, or to delete a record series no longer useful. Appropriate approval procedures must be followed and completed before any revisions would become effective.
All records to be kept for a minimum periods listed in the Records Retention for Public Colleges and Universities in Ohio: A Manual. Notwithstanding such minimum retention periods, all records must be maintained until all required audits are completed and should be retained beyond the listed retention periods when there is a probability of litigation either involving records or requiring their use.
Records may not be destroyed without first insuring that all legal requirements and retention periods have been met as listed in the Records Retention for Public Colleges and Universities in Ohio: A Manual. Records not listed in the Manual must be reviewed by the University General Council and the University Archivist before destruction is approved. Before final destruction a certificate of records disposal form needs to be filed to report that the records retention schedule has been met and documents have been disposed of according to institutional policy.
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