University Archives Records Management
What should I do with all of these old files in my office?
An introduction to the University Archives and Records Management
at the University of Illinois at Chicago.
- Why is the University Archives interested in
our office's old records?
- Why is it important to have a systematic program to destroy records or send
them to the University Archives?
- What is a record?
- If all of the files we regularly use are on a computer,
do we still need a records management program?
- We have plenty of space for all of our records, why should
we worry about a records management plan?
- Our older records are important, why shouldn't we keep them
in our office?
- Could we just scan all of our old records and throw away
the paper copies?
- Can I send my old records to the University Archives?
- If the University Archives only accepts material that will
be permanently retained, what do I do with records that state law or university
policies requires that we keep for say, 5-10 years before destroying?
I. Why is the University Archives interested in our office's old records?
A.
To comply with University of Illinois policy and state law, all UIC campus
and central university offices are required to secure the approval of the University
Archivist before destroying or discarding records used in the transaction of
university business.
B.
Consistent with the General Rules Concerning University Organization
and Procedure (Article VI, Section 4b); the University Archives has issued this set of general
guidelines to assist offices.
C.
The University Archives is the repository for all non-current, inactive official
university records that have sufficient value to warrant their permanent preservation.
D.
The University Archives facilitates compliance with the provision of the
Illinois State Records Act (5 ILCS 160/1), Rules of the State Records Commission,
as well as any other regulatory requirements that may cover specific University
records.
E. The University Archives
will work together with the unit to identify what records are in its possession,
how often the records are used and if there are any legal requirements to
retain the records. The plan will also indicate if record are historically
significant enough to justify transfer to the University Archives once they
are no longer needed by the unit, or when the records can be safely destroyed.
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II. Why is it important to have a systematic program to destroy records
or send them to the University Archives?
A.
A records management program is the most effective and efficient means for
each office to meet its responsibility for maintaining accountable, legally
valid records.
B.
A records management program will help offices efficiently manage non-current
documentation and effectively use computer systems and electronic data storage
units, conventional filing equipment, as well as the office and storage space
they occupy.
C.
By making records management part of its routine operating procedures,
each university office will have a plan for the orderly destruction or archival
transfer of nonÐcurrent records, including those in electronic information
systems.
D.
A records management program will result in the creation, maintenance and easier
accessibility of retained records. The savings in operating costs due to reduction
in staff time, space and equipment, and emergency recovery of "lost"
or damaged files and data can be substantial.
E.
A records management program will enable offices to comply with records legislation
and regulation.
F.
To check if your records management program meets with University of Illinois
polices and Illinois state law, please contact the University Archivist (Douglas
Bicknese 996-2742).
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III. What is a record?
A.
Virtually all information falls under the definition of university records.
The format of the information does not matter and may include paper, photographs,
online computer files, floppy diskettes, etc.
(1) According to Illinois law (5 ILCS 160/1):
"Record" or "records" means all
books, papers, maps, photographs, or other official documentary materials,
regardless of physical form or characteristics, made, produced, executed,
or received by any agency in the State in pursuance of state law or in connection
with the transaction of public business and preserved or appropriate for preservation
by that agency of its successor as evidence of the organization, function,
policies, decisions, procedures, operations, or other activities of the State
or of the State Government, or because of the informational data contained
therein.
(2) Similarly, the University of Illinois General Rules (Article VI, Section 4b)
states:
Records produced
or received by any agency or employee of the University in the transaction
of University business become University property. For the purposes of this
paragraph, records shall be defined as including all documents, correspondence,
accounts, files, manuscripts, publications, photographs, tapes, drawings, or
other material bearing upon the activities and functions of the University
of its officers and employees.
B. Records have a life-cycle:
- Creation:
The record is created to meet a need of the unit.
- Active Use:
Active records are needed for the day-to-day operations of the unit.
- Inactive Use:
Inactive records are generally not needed for ongoing operations, but still need to be saved either for administrative, financial, or legal reasons. Examples may be anticipated audits or accreditation reviews. These records are generally stored at or near the office that created them and not at the University Archives. This will ensure that the records can be accessed in a relatively short period of time. Presently, there is not a records center to store inactive records for units on campus. Because of this, it may be possible that a few units may still need to look into off-site storage to meet their storage needs. However, a good records management plan will substantially reduce the amount of records that need to be stored off-site.
- Disposition:
Eventually, the records no longer serve a functional purpose to the unit that created them. At this point, records which are deemed to have historical significance will be transferred to the University Archives, the remainder will be destroyed in accordance with a records schedule approved by the State Records Commission.
- Archival Preservation:
Records which are judged to have long term historical value will be transferred to the University Archives for permanent retention in a controlled environment.
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IV. If all of the files we regularly use are on a computer, do we still
need a records management program?
Yes. A records management program covers both traditional paper records and electronic records. It is important to have a records management plan for electronic records in order to:
- help locate information when you need it.
- clear computer storage of unnecessary data.
- identify records that are important enough to justify moving to new formats and platforms as software and hardware become obsolete.
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V. We have plenty of space for all of our records, why should we worry about
a records management plan?
A. The best time to develop a records management plan is before a space shortage arises. Implementing a records management plan while your office has space will ensure that your office will continue to have the space it needs to operate.
B. A records management plan will allow for the orderly destruction or transfer of records that over time would otherwise would probably accumulate wherever space is available in your office.
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VI. Our older records are important, why shouldn't we keep them in our office?
A. If you do not use your inactive records more than once every several years, they probably are taking up expensive storage space in your office.
B. Records stored in the University Archives will still be available for se by your office.
C. Records sent to the University Archives will be stored in a climate controlled environment and will be under the custody of trained professionals.
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VII. Could we just scan all of our old records and throw away the paper
copies?
A. Large scale digitization projects of older records are very costly in staff resources. Also changes in software and operating systems will require that staff resources be used every several years to update the records as software and platforms change. Since most records will eventually be destroyed, it often is not cost-effective to scan all of your old records.
B. There may be legal requirements to retain the original paper copy of a record. Careful planning must be done before starting the project to assess the cost-benefit and risk management factors.
C. Please contact the University Archives to discuss any reformatting projects that you may be considering.
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VIII. Can I send my old records to the University Archives?
A. The transfer of inactive records to the University Archives should be part of a records management program developed jointly between the University Archives and the Director or Department Head of the unit in question. This will ensure that the records management plan meets the ongoing needs of the office and that the University Archives has the most complete set of records available.
B. The University Archives can only store records that are judged to have permanent historical value. Records that will eventually be destroyed cannot be stored in the University Archives. Examples of records commonly collected by the University Archives can be found below.
C. Guidelines for transferring records to the University Archives are included at the end of this introduction.
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IX. If the University Archives only accepts material
that will be permanently retained, what do I do with records that state
law or university policies requires that we keep for say, 5-10 years before
destroying?
A. The University of Illinois at Chicago does not have a central records storage facility for non-permanent records. If your office is unable to secure space on campus for storage of records it is required to retain, you may need to look into paying a vendor for off site storage.
B. A list of vendors recommended by the Chicago Chapter of the Association of Records Managers and Administrators (ARMA) is included at the end of this introduction.
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Records commonly scheduled for transfer to the University Archives
include:
1) Constitutions and by-laws, policy and procedure manuals, minutes and proceedings, transcripts, lists of officers of University corporate bodies.
2) Office files: correspondence and memoranda (incoming and outgoing) and subject files concerning projects, activities, functions, and the unit's relationships with student, professional, and community organizations.
3) Historical files documenting policies, decisions, committee and task force reports, and questionnaires.
4) Publications: three record copies of all programs, journals, monographs, newsletters, brochures, posters, and announcements issued by the University or its subdivisions. The University Archives should be placed on college, departmental, and office mailing lists to receive all future publications.
5) Audiovisuals: photographs, films, and sound and video recordings.
6) Personal papers of students, faculty, and staff which relate to the university's work. Contact the University Archivist for guidelines for personal papers.
Records that should not be transferred to the University Archives
but scheduled for disposal after consultation with the Archivist
include:
1) Records of specific financial transactions.
2) Routine letters of transmittal acknowledgment.
3) Non-personally addressed correspondence such as Deans and Directors memoranda (except for one record copy from the issuing officer).
4) Requests for publications or information after the requests have been filled.
5) Replies to questionnaires if the results are recorded and preserved either in the Archives or in a published report.
Items that may be discarded directly from the office when
they
are no longer needed for administrative purposes include:
1) All blank forms and unused printed or duplicated materials.
2) All other duplicate materials: keep only the original copy and annotated copies.
3) Papers, reports, workpapers and drafts, which have been published.
4) Artifacts and memorabilia. Except in unusual cases of great importance and manageable physical size and condition, the archives does not collect non-documentary objects related to the university's history. Please call the Archivist to discuss options for preservation of such objects.
This list is intended as a general introduction. Prior to disposing of any records, the organization in question must work with the University Archivist to develop a record schedule for the material to be discarded. If there are questions about records not listed here or questions about the retention or disposal of specific record series, please contact the archivist (Douglas Bicknese 996-2742).
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Commercial Vendors
If storage facilities located on the UIC campus are not enough for the storage
needs of your unit, you may need to look at storing records off campus. A list
of local vendors who specialize in off-site storage of records can be found
at the Association of Records Managers and Administrators (ARMA) Chicago Vendors
Directory, located online at http://www.armachicago.org/vendors.html#commercialrecordcenters.
The UIC University Archives does not endorse any of the vendors found at the ARMA Chicago Vendors Directory.
Some of these vendors may offer services beyond the storage of records. Examples of this may include conversion to microfilm or scanning. Check with the University Archives prior to entering into any contracts to ensure that your office will still be in compliance with the State Records Act.
When storing your records off site, be sure to tour the facility. Before entering into any agreements, consider the following:
- What are the environmental conditions of the storage facility? Does it have heating, air conditioning, humidity control, etc.? The optimal storage conditions for short to medium length storage of paper is records is 72 degrees Fahrenheit, plus or minus 10 degrees. The optimal medium length storage conditions for magnetic medium such as videotapes, computer tapes, diskettes, etc. is 73 degrees Fahrenheit with a relative humidity of 20-50% (ANSI/NAPM IT9.23). Deviations from these standards, or changes in environmental conditions will shorten the lifespan or the records and may promote the growth of mold and other biohazards. The longer records must be retained, the more important the storage environment becomes. Please contact the University Archives if you have questions about storage environments for long term storage.
- Does the site provide shelving to keep the records organized and off of the floor or just floorspace for you to stack boxes?
- Is the location clean? A dirty facility could attract vermin that could infest and damage your records.
- Is it a self-storage facility or does the vendor provide staff for shelving, retrieval, re-filing, interfiling, etc.?
- Will the vendor provide you with reference services or will you need to visit the facility to examine records? Is there as space onsite where you can comfortably examine the records? Will you be able to make copies, faxes, or phone calls from the reference space?
- Who will have access to the storage facility? How does the vendor ensure the reliability of their staff that may be handing your records? This is especially important if the records contain private information or are vital to your units ongoing operations.
- What are charges for space and services? Are there any minimum charges?
- If the vendor provides services, what are the turnaround time and transportation costs? Is there any compensation if they cannot fill your needs in the time allocated in the contract?
- If your records have an approved records management plan that calls for their destruction after a set period of time, will the vendor pull those records and destroy them for you, or will you need to visit the facility and destroy them yourself?
- Does the facility have a disaster plan in the event of fire, flood, or other natural or manmade disaster? If so, you should ask for a copy and see if it meets your requirements.
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Instructions for Transferring Records to the University Archives
1. Introduction
The University Archives is the official depository for university records having research or historical value. The orderly transfer of records to the University Archives is very important in locating records in the future. Units that wish to deposit records in the University Archives should first contact the Archivist (6-2742) to discuss plans for transferring records.
2. Packing.
a. The University Archives will not accept boxes larger than 15" x 12" x 10" unless special arrangements were made ahead of time. If necessary, the University Archives can provide boxes to departments preparing to deposit records in the University Archives.
b. Pack files as though the files were legal size, do not fill too tightly.
c. Box records in the order they were kept in the filing cabinet. If a box contains material from more than one drawer, use long strips of paper with a short note or similar items to indicate where one file cabinet ended and another started (example: "Correspondence Files, end drawer 1, start drawer 2").
3. Labeling
a. Label each box with unit name, name and title of employee (or indication of position within unit structure), and record series included.
b. If there are multiple boxes, number them to retain proper order.
c. Sample label:
College of x, Department of y
Jane Doe subject files (Dean)
Correspondence, 1984-90
Policies and Procedures, 1984-1987
Box 1 of 3
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4. Inventory
a. A computer generated folder listing of the records should accompany the boxes.
b. Place a printed copy of the folder listing at the beginning of the first box or in an attached envelope. An electronic copy should either be included on a disk or sent by e-mail to the University Archives.
c. Be sure to keep a copy of the inventory for your own files as well.
d. Example:
University Library, Office of Planning
Alphabetical subject files, 1983-1995
Academic Council, Architecture and Art Library, Building Security and Maintenance, Interlibrary Loan
5. Set boxes aside and label clearly "For University Archives."
6. Contact the University Archivist to set up delivery time; please provide a brief description of the records, including number of boxes.
7. Contact Physical Plant to arrange delivery of the materials.
8. If you have any questions, please do not hesitate to contact the University Archives (6-2742).
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Last updated: Wednesday, 17-Dec-2003 10:29:19 CST
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