Implement a Records Management Program in Your Department

Identify the individuals responsible for maintaining records

• The Record Coordinator interprets policies and retention requirements related to a specific record type and provides  guidance about the retention and destruction of records
• The Record Custodian oversees departmental records

When developing or improving a filing system, the record custodian should gain the support of both the administration and the users of the system. Administrative support legitimizes the project and confirms the cooperation of all members of the department.

Every member of the department should be involved in the process. The record creator may provide important insight when analyzing the records. Staff can help determine which aspects of the present system work well and should be retained. Staff can also help identify specific problems that must be changed. Most importantly, involving others in the process makes them more amenable to using the system once it is implemented.

Identify departmental records

• Understand the type of information and records your department creates and maintains
• Determine what records are created, why they are created, and how they are used

Consider the following criteria to identify a record:

• Who creates the records
• Who uses the records
• How are records requested
• How often are various types of records requested
• What is the volume of records created
• How long do records remain current
• How many people need access to the records
• How much equipment is available to store the records
• How much space is available for equipment and growth
• Which records are confidential
• What are the legal requirements for retaining the records

Conduct an inventory of departmental records

• Determine location, quantity and format (e.g., paper, electronic)
• Identify filing cabinets, shelves, desks, computers, and other areas where information may be stored

An inventory will help identify:

• Records
• Materials which are not records (e.g., reference materials, personal papers, extra copies of documents, publications, forms), 
• Records that would need to be immediately available in the event of an emergency

Determine if your department is the Office of Record

• The Office of Record is the unit responsible for retention and timely disposition of the original copy of official university records
• For many records, only one department is considered the office of record; it is usually unnecessary for other departments to keep a copy

The university is required to follow the retention guidelines in the State University of New York (SUNY), New York State (NYS), or Research Foundation (RF) record retention schedules. Use the appropriate schedules to identify the retention period for the records (regardless of medium) your department maintains.

Transient records, regardless of medium, convey information of temporary value, have a very short-lived administrative, fiscal or legal value and can be disposed in an appropriate manner once the need has expired. Typically, the retention is event-driven and not a fixed period of time.

Clean out records that are beyond the approved retention period

• Dispose of records in a safe and secure manner
• Timely disposition of records that have reached the end of their retention period will reduce future audit and litigation risks as well as unnecessary storage expense

List the departmental records and describe how they are organized and maintained.

An effective file plan will help to:

• Document activities accurately
• Identify records consistently
• Retrieve records quickly
• Disposition records no longer needed
• Meet statutory and regulatory requirements

Develop a file structure, which is the framework for the file plan

• Use the arrangement that works best for the records and the department (e.g., chronological, numerical, alphabetical, alpha-numeric)
• Arrange folders or documents within a records series; a record series are those files or documents kept together because they relate to a particular subject or function, result from the same activity, document a specific type of transaction, take a particular physical form, or have some other relationship because of their creation, receipt, maintenance or use

Document the file plan (i.e., recordkeeping requirements and procedures) and provide details on:

• How departmental records are organized
• Who is responsible for doing what
• When it should be done
• What happens to records when they are no longer needed in the department

Organize and store remaining records

• Store records consistently to provide protection against misplacement, misuse, damage, destruction or theft
• The most efficient and economical filing system is one that works well for the department and is easily understood by its users
• Consider easy identification and retrieval of records and files
• Identify records requiring special protection

Implement and communicate the records program

• Train department users on how to organize, label, store and dispose of departmental records
• Determine that staff has sufficient knowledge of records handling and retention requirements

Monitor and revise the program as needed

• Dedicate time each year to focus on records
• Apply records retention schedules and records management principles to all university records, regardless of media or format
• Routinely dispose of records that meet retention requirements
• Meet with separating employees to discuss records in their care
  • Identify and review records under the control of that employee including records about which the employee has sole knowledge
  • Manage paper and electronic records in the possession of separating employees so that important university information is not inadvertently destroyed or made public