Tools for Records Management
Here are some
guidelines for
managing paper and electronic records. In 1953 the
In general, records
are created
for persons to document policies, decisions and transactions. Records
also keep
the organization accountable to its constituency. After 5-10 years some
records
have value in telling the organization’s history and shaping its
identity.
This work requires
gifts of
management, discernment and custodianship. The guidelines are general
enough
for a CEO to implement a records management system.
The tools are also specific enough for a
person to manage current, semi-active and historical records.
Appraisal
of Current, Semi-active and Archival Records.
1. A key tool is
managing and appraising records through
their life cycle. This is from their creation to their active use to
their
ultimate disposition, either destruction or retention.
2. Current paper records
have a life span of 1-3 years, and
then are culled with important files transferred
to
semi-active status.
3. Transfer files into
uniform boxes, number them, and
place boxes at a location where they can be safely stored and easily
retrieved.
A list of the contents is maintained at the main desk.
4. Electronic e-mail
records are organized into mailboxes
and have a life span of 3 months-1 year.
5. After a year, e-mail
needs to be weeded with the important
mailboxes transferred to an electronic archives section.
Mailbox names should include a date, for example: Event Files, 2003.
One organization, MCC, has all cc: (carbon copies) automatically
deposited into a department’s centralized mailboxes. A staff member is
assigned to manage this material.
6.
All other
computer files need to be sorted annually. Names of folders and the
overall
organization should be reviewed and updated, with folders including
inclusive
dates.
7. Maintain an electronic archives on the computer, which is
different
than backup files.
8. All computer files
should be burned onto a CD annually,
with each CD clearly labeled for contents, department, person, date,
and
restrictions. This includes e-mail.
9. Semi-active paper
records have a life span of 3-10 years. Then they are appraised to
determine
archival value. One can cull 60-75% of the individual files, keeping
only
samples, OR keep whole sets of important records, and identify those
sets which
can be destroyed.
10. Archiving by
originating agency – It is expected that
the organization which generated the official minutes or annual reports
are
responsible for their archiving. (For example, Mennonite Mutual Aid
does not
keep minutes of Mennonite Education Agency)
11. Electronic records
should also be reviewed in their
semi-active life cycle, maybe once every 3 years. Entire folders can be
kept or
destroyed, or one can pick out key files. Most of the work may involve
naming
and organizing folders so one can easily find the archival records.
12.
Archival records are those identified for long-term preservation and
use, usually after 10 years. These files represent the memory of the
organization, and are deposited at a regional
archives.
Before transferring materials to the archives, one may want to compare
files
being retained by the different departments, and do a final appraisal
of the
records. One should also become acquainted with where your
organization’s vital
records are kept, and what is already at the archives.
13. The main task is to
list all the files that have been
retained. Type the list on the computer, and include a short
departmental
history, a list of persons who served during this time period, and who
archived
them. Send this inventory to the archives, along with the files.
14. An inventory of
electronic records is just as important–
document what files were burned onto CDs, and include a history of the
IT
department, etc., before sending to the archives.
Identifying
Type, Function and Value of Records
15. Clearly identify the
types or “series” of records in
your office. Each set may be used for a different purpose. This series can include minutes,
reports, program
files, financial records, constitutions, bylaws, publicity materials, subject files, correspondence files regarding a
certain
project, case files, personnel files, membership records, photographs,
videos,
CDs, books, and artifacts. A set can include a single type, like
minutes, or a
mixture, like correspondence with receipts and invoices. Naming the
sets helps
to manage the records.
Computer records
include the
same types and “series” of materials, but in electronic form. Some of
the
language and formats are different, but the use of the records is the
same.
16. Understand the
function of each section of files in your
office. Some records are used actively for the short term until a
report has
been generated, like invoices and receipts, which are then transferred
to
semi-active status state law allows for their destruction. Program
files may be
kept in the office until that particular project has been completed.
17. Terms used to
describe the different values of records
include administrative value, legal value, fiscal value, evidential
value
(evidence of activity), informational value, and intrinsic value. It is
these
values, along with a knowledge of the type and function of records,
which help
decide how long to keep records, and their ultimate preservation and
destruction.
Records
Schedule and Survey
18. A records schedule is
the place where one notes the
decisions made on the disposition of each set of records.
It indicates which files are kept for how long,
and when they can be disposed of or sent to the
archives.
_______________________________________________________________________
Example: Indiana Public Schools Records Schedule,
1995
Administration – Financial
Services
(No financial records
may be destroyed until after audit
completed, report filed and exceptions satisfied, per IC 5-15-6-3)
Record
Type
Retention Period Disposition
Audit report by State Board
P
Retain
permanently
Automated financial data, stored
Indefinite
Until updated summary information
Bank Ledgers / Bank Account History
Indefinite
Destroy after 5
years and audit
Budget, Annual
– record
copy
P
Retain
permanently
Comment:
One change could be to retain annually an electronic copy of the
automated
financial data.
_______________________________________________________________________
Example: United
Records Retention and
Disposal Schedule
Code
Title
Description
Keep as Current Record
Send
to Archives Total
LOC.001
Administration Administrative
Board or Council
CY+1
Yes
P
LOC.002
Annual Reports Annual Reports of
the local church
CY+2
No
3
LOC.003
Audio-Visual Audio
and video
tapes
CY+9
Yes
P
LOC.004.01 Banking
Statements
CY+3
No
4
Comment:
The one change for
19. Take a survey of all
the records found in your office,
department, or entire organization. This is the best tool to develop a
records
schedule. Include name of office, types of records, dates of material,
person
in charge of the records, and how long to keep files in the office.
In the list, include
all
semi-active records found in filing cabinets, closets, and storage
areas, and
any permanent or archival records found in fireproof cabinets or a
vault. This inventory acts as a bird’s eye
view of
the organization’s records, and at the same
time
manages records throughout their life cycle.
One can then show this
inventory to persons within the organization, and to the
Minding Mennonite Memory