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This manual is designed to provide accurate and authoritative information for the proper management of records at Southern Illinois University-Carbondale, in order to meet the requirements of the State Records Act and State Records Commission Rules.  The State Records Act is, “An act relating to State records, providing for a State Archives division of the office of Secretary of State, creating the State Records Commission and defining its powers and duties, providing for a continuing records and paperwork management program and repealing an Act therein named." This act shall be known as "The State Records Act,"  (Sec. 1, 43.4 - State Records Act).

This act includes all parts, boards and commissions of the executive branch of the State government including but not limited to State colleges and universities and their governing boards and all departments established by the “Civil Administrative Code of Illinois,” as hereto or hereafter amended  (State Records Act, Sec. 2, Paragraph 2, effective Jan. 1, 1984).

The contents of this manual include guidelines for records management, file management, records retention schedule vital records protection, forms management, electronic records and maintenance, Micrographics and University Archives.  These procedures are intended to assist University departments in establishing efficient office filing systems, which both meet their daily operational needs and meet legal requirements for retaining, transferring, preserving, and destroying state records and non-records.

Questions about the use of this manual, or any of the specific procedures should be directed to the Director of Records Management or Assistant Records Management Officer at 536-6613.

Southern Illinois University Carbondale Records Management Policy

A.    TERMS

  1. Active record – those records that are referred to frequently in the daily operations of University business.
  2. Archives – a facility that houses records retained for historical or research value after their primary purpose has been fulfilled.
  3. Disposal of records – is the disposal of the actual record, either by physical destruction or transfer to University Archives.
  4. Electronic record – is a permanent set of data stored on a computer’s hard drive, computer disk, tape drive or other electronic mediums.  This includes electronic mail, databases and web sites.
  5. Inactive record – records referred to on an average of once per month or less.  Only inactive records of value are to be microfilmed.  (10 year retention or more)
  6. Non-university record – extra or duplicate copies of University records or documents preserved only for convenience of reference; stocks of printed or reproduced documents kept for supply purposes where file copies have been retained for record purposes; books, periodicals, newspapers, posters and other library and museum materials made or acquired and preserved solely for reference or exhibition purposes; private materials neither made nor received by a University staff member in connection with the transaction of University business; duplicate microfilm or University records; magnetized, perforated and photographically coded cards and tapes provided that the documents containing the same information have been retained or approved for disposal; material not filed as evidence of department operations or for its informational value such as telephone call slips, letters of transmittal, routing slips, etc; dictation tapes, machine tapes and mechanical records which have been transcribed into typewritten or printed form; preliminary drafts of letters, memoranda, reports, work sheets, and informal notes which do not represent significant basic steps in the preparation of the record document.  When in doubt, refer to manual.
  7. Office of Record – any office that produces records and has the sole responsibility to maintain that record.
  8. Retention schedule – a schedule used to control the automatic flow of records from their creation to final disposition.
  9. University record (original) – any papers, books, maps, photographs, original microfilm, or other documentary materials regardless of physical form or characteristics, made, produced, executed or received by any academic or administrative staff member in connection with the transaction of University business.
  10. Vital record – records essential for the continuous operation of the University.

B.    RECORDS MANAGEMENT

The overall objective of the Records Management Program is to provide for the effective scheduling, retention, retrieval, disposition and safekeeping of all records.  This specifically includes:

  1. Establish, plan, and develop a records policy for Southern Illinois University-Carbondale.
  2. Plan and develop long-range goals for the University in the area of records management.
  3. Work with State Records Commission and the University on new applications and reclassification of records.
  4. Arrange for the orderly transfer of inactive records to Micrographics.
  5. Work with University Archives to maintain a vital records protection program.
  6. Provide assistance in maintaining filing systems to assure efficient usage and prompt retrieval of records.
  7. Provide assistance to all University departments in all matters relating to records management, filing systems, electronic records, and microfilm systems.

The responsibilities of the Records Management Program are categorized into the following areas:

Director of Records Management

The Director of Records Management shall promote sound records management practices as follows:

Records Coordinator

The Records Coordinator is the vital link between the department and the Director of Records Management.  The Records Coordinator’s responsibilities includes:

Micrographics

Micrographics will provide for the microfilming and destruction of University records that have been approved by the Director of Records Management in accordance with the records retention schedule and the State Records Commission. 

Micrographics will:

Departments doing their own microfilming can use the Micrographics facility for the processing of their film unless otherwise approved by the Director of Records Management.

Services provided by micrographics is free to each department.

C.    MICROGRAPHICS

Micrographics is the technical art and science of reducing any form of information to a microfilm format. The Micrographics department at SIUC uses only one method of micrographic conversion of information.

Source document microfilming is the filming of source papers such as checks, invoices, personnel files, etc.  This application of microfilm has been a common practice for decades.

 Micrographics plays a primary role in coordinating the University’s records management program by providing specialized assistance to departments by coordinating the administration of recordsmanagement needs at the University.  An effective Records Management/Micrographics system benefits both the department and Micrographics by allowing:

WHEN TO CONSIDER MICROFILMING

Each Records Coordinator, along with the Director of Records Management should conduct a review to assure that their records are in compliance with the Records Retention Schedule as often as needed.  During this process they should look for potential micrographic applications.  The following guidelines will be helpful when determining specific records for conversion to microfilm:

APPLICATIONS DEVELOPMENT

The first step in having your records converted to microfilm or electronic format is to contact Micrographics.  A test will be conducted to ensure that your specifications are met.  After approval, an ongoing microfilming system will be set up for your records.

MICROGRAPHICS

The Micrographics department is a full-equipped in-house microfilming operation; designed to convert  paper based records to a variety of microfilm formats.  All systems are set up based on the department’s specifications.  Once the records have been microfilmed, they will be destroyed with the proper approval from the State Records Commission.  The microfilm now becomes the legal record copy.

1) Document Preparation
Each department is requested to prepare their own records for microfilming according to the prescribed specifications.  If the department fails to follow these specifications, the records will  be returned to the department for proper preparation.

 MICROGRAPHICS WILL NOT DATA PREP ANY RECORDS!  (See Document Preparation Check List)

2)  Transfer or Records
Each department should contact Micrographics by Wednesday afternoon to request a pick-up of records.  Boxes may be obtained from Officemax (see Storage Box section on web page).  Along  with each box, the department should fill out a box label and attach to the front of each box.  (see Box Label in Forms section on web page)

3) Storage of Microfilmed Records in Micrographics Vault
Micrographics has an environmentally controlled vault for the storage of microfilm records, including COM and CD-ROM.  These records can last indefinitely while stored in this vault.

4)  Requesting Hardcopy Prints, Microfilm Duplicates, Retrieval of Microfilmed Records
To request additional duplicates or hardcopy prints of specific records, contact Micrographics.  Give your name, department, and the records you wish to retrieve.  Micrographics can either send your request via Campus Mail, by fax, or by e-mail or Transit.  Please specify which type of delivery is preferred.  If delivery is by Campus Mail, please allow two days for this delivery.  If delivery is by Transit, it is the responsibility of the department to purchase the Transit tickets.

5)  Retrieving Paper Records For Microfilming
If a file needs to be returned to the department once it has been transferred to Micrographics, call Micrographics and explain what is needed and when the box was sent to Micrographics for filming. 

Micrographics will retrieve the file from the box and return it to you. This file will be microfilmed once it has been returned to the Micrographics department.

6) Disposal of Microfilmed Records
Microfilmed records retain the same characteristics they had when in paper form.  As a result, the retention period and disposal date set up for the record remains the same once the records are microfilmed.

Micrographics will not release any requested information to anyone other than the department of record.

 D.    VITAL RECORDS PROGRAM

        All University records designated by the State Records Commission and the University are to be secured, either by microfilm or other comparable and suitable methods.  These records are essential to the  operation of the University and if destroyed would seriously impair or disrupt normal University affairs, or which by their loss might place the University in a state of legal or fiscal jeopardy (see Records Retention Schedule).

University departments that have vital records are responsible for the security of these records until they are transferred to Archives.  Microfilming schedules or alternate methods of securing these records will be worked out between the Director of Records Management, the department, and University Archives.

TRANSFER OF MATERIALS TO THE UNIVERSITY ARCHIVES 

Mandates:

In compliance with the State Records Commission re the State Records Act implemented at SIUC in 1990, offices retain control of their vital records until such time as they are transferred to the University Archives for long-term storage.   The documents become the property of the University Archives upon receipt.

The Office of Record (office sending the material to be placed in University Archives) may request access to University Archives files at any time by notifying archives staff of the materials needed and scheduling a research visit. 

Future Access to Records:

Once records have been transferred to the University Archives repository, they will be accessioned and inventoried, then processed and described for long-term access, and made available for viewing and research within the Special Collections Research Center Reading Room.  Please call 3-2516 or email speccoll@lib.siu.edu to request access to materials and to schedule a visit.  A staff member will be happy to assist you. 

Temporary Restrictions:

Files for which you request a temporary restriction on public access will not be released or referenced until the date designated.  All requests for these materials will be denied in the interim unless they are accompanied by written permission from the Office of Record, on official office stationery.  This can be done by fax from your location, if need be, as long as it is on your official office stationery.  The fax number for SCRC is 453-3451. 

Box and Folder Suppliers:

The University Archives recommends retaining a supply of:

  1. lignin free (means “acid free”) boxes and file folders
  2. file supports that allow file folders to stand upright inside

for periodic transfers from your department/unit.  Acid-free folders are of primary importance as they will directly envelop the delicate paper documents. If no acid-free materials are possible, please transfer the records in sturdy records storage boxes, of the cubic-foot size.  Please contact University Archives for further assistance with materials and purchasing, or visit one of these, or similar, supplier websites.

 

Gaylord
Phone: (800) 448-6160
Go to http://www.gaylordmart.com
look under - “Archival Storage & Preservation”
click à Documents, Maps and Prints
click à Document Storage
click à Storage Boxes (for boxes)
click à File Folders (for file folders)

University Products
(800) 532-9281
Go to http://www.universityproducts.com

Metal Edge Inc.
Go to http://www.metaledgeinc.com
click à Enter the Store
click à Record Storage Boxes
click à SafeCare Record Storage Boxes-Acid/Lignin-free

Brodart Library Supplies and Furnishings
Phone: (888) 820-4377
Go to http://www.shopbrodart.com/shop/cb/product.aspx?pgid=3107

Hollinger Corporation
Phone: (800) 634-0491
Go to http://www.genealogicalstorageproducts.com

Conservation Resources International
Phone: (800) 634-6932
Go to http://www.conservationresources.com
click à Online Catalog

Step-By-Step Guide to Transferring Records:

The following is a step-by-step guide to help you in the transfer of your outdated office files.  Some offices have a designated Records Manager, who acts as a liaison to the Special Collections Research Center, ordering a store of acid-free/lignin-free supplies for ongoing transfers, organizing the transport of boxes to the Archives, and retaining indexes of transferred materials.

Part A: Weeding

  1. Go to http://www.siuc.edu/~microgr/ to find the Records Retention Schedule implemented by the  University in1990.
  2. At the Micrographics homepage, under “Records Management Administration and Consulting,” you will see "Records Management Policy Manual,” followed by the words, “RETENTION SCHEDULE.” Scroll down the page from that point until you see an index; the first entry of which is, “87-61, Office of the Board of Trustees”.

    Locate and select the administrative area under which your office is located.  For example, if your office were in Student Development, you would look under the heading, 87-64, Vice Chancellor for Student Affairs.

    3. Note:  You will need Adobe Acrobat to read these files, as they all have a .pdf extension.

  3. Read the recommendations for your specific office files and weed your files accordingly.
  4. In addition, the Archives generally recommends weeding the following, but please do not hesitate to ask if you have questions about individual kinds of documents:
    • Records of specific, routine, mundane financial transactions
    • Routine notes: requests for insignificant materials and thank-you’s after materials were received.
    • Non-personally addressed correspondence such as “To: Deans and Directors” mass memos that have come into your office files. (We save the copy that the writer sends, so we do not have to save all the received copies)
    • Stacks of individual replies to mass-questionnaires, as long as the results are recorded and preserved either in the archives or a published report.
    • Blank forms and unused printed or duplicated materials
    • Duplicate material that does not contain special notes or markings that make it unique

Part B: Creating Box Inventories

  1. Create a separate inventory (a Word document) for each box by typing the file folder heading of each file in the box, front-to-back, and listing them in that order.  Please indicate on this inventory if any of the files contain sensitive material that should be temporarily restricted.  This would apply to confidential files, grievance files, personal financial information, etc. 

    Please send the inventories as Microsoft Word attachments via e-mail to Library Specialist, Darla Loftus, at dloftus@lib.siu.edu.  Please also place a paper copy of each inventory inside the box on top of the files to which it corresponds.  Do not write on the outsides of the boxes, except to number them as described below, and do not tape them shut.
  2. If you wish the boxes to stay in a given sequence, (if you have alphabetized or numerical files that carry over from one box to another) you may number in pencil on the side of the box, usually the right side, in the space provided for a box number.  This number is the ONLY mark that should be placed on the box. Also, please indicate the correct box number in the titles of the inventories that you email to Darla Loftus.  For example, if you have a box that you have marked with a pencil as "Box 1," the Word document that lists the corresponding files in that box should also be titled: "Box 1."  The numbers may later be changed by Archives staff in processing, but you will receive by email updated copies of the finding aid inventories as processing occurs.
  3. Type the date, office name, phone number, and the name of the person preparing the files for transport on a file folder label, and paste it in the lower left corner, at the back of each box.

Part C: Preparing for Transport via Campus Mail

  1. Wet a piece of string, and tie around each box, so the lids do not come off in transit.  When the string dries, it will hold the lid on tighter.  This will keep the contents of the boxes from spilling out, if dropped.   A note to Campus Mail with instructions on delivery of the box(es) can be taped under the string, thus avoiding any tape being applied to the box itself.
  2. Call University Archives at 3-4097 to alert the staff that boxes are going to be delivered by Campus Mail.  Tell the Archives staff how many boxes are to be delivered (10 boxes at a time, maximum).  
  3. Call Campus Mail (3-5348) to pick up your boxes.  Have them deliver the boxes to the Library Storage Building 1/2, McLafferty Road, Attention: Darla Loftus, Special Collections Research Center, Room 103.  We will inform you of their safe arrival.  Campus Mail does not charge for this service, but does business on a first-come, first-served basis.

The Special Collections Research Center will email you the updated finding aids for your records, as they are processed. 

University Archives
Special Collections Research Center
Southern Illinois University Carbondale
Carbondale, Illinois 62901
(618) 453-4097
(618) 453-3451 (fax)
Leah Broaddus, Archivist
lbroaddu@lib.siu.edu

Darla Loftus, Library Specialist

dloftus@lib.siu.edu

UNIVERSITY RECORDS TRANSFER AUTHORIZATION

Complete this form and attach a file/folder-level listing (sample on next page), indicating what files/folders are being transferred. Please also email an electronic version of the list to dloftus@lib.siu.edu.

 

Date of transfer:

 

Campus Unit/Department:

 

Unit records manager name and title:

 

Campus telephone extension:

 

Email address:

 

Total number of boxes:

 

Date span(s) covered:

 

Please describe below any confidential or sensitive records that will need to be temporarily restricted from public access and indicate the end-date of the restriction period (Please also note this status next to folder titles on the corresponding box listing):

 

  

 

University records transmitted to the University Archives for permanent retention will be reviewed and appraised by University Archives staff, prior to official acceptance.

 

University records are public records and once fully processed are made available for public research, except as temporarily restricted by the originating campus unit/office or by SIUC University Archives faculty.  The temporary closure of university records is subject to compliance with applicable laws.  The SIUC University Archives supports the ethics of open and equal access established by the Society of American Archivists.  Records closed to the public for an indefinite period will not be accepted into the Archive.

 

Please contact the Special Collections Research Center if you have questions.  Thank you for your interest in preserving these records.

 

I certify that I am authorized to transfer these records on behalf of ______________________

                                                                                                                        UNIT

to the University Archives, Special Collections Research Center, Southern Illinois University

 

Carbondale and that the attached inventory list provided is accurate.

 

 

SIGNATURE:                                                                                                     

 


FOR ARCHIVES USE

Accession no.: ____________________ Location: ________________Local Call number_____________

Extent: __________________________  Archives staff: ____________________

This form and the included examples are customized and quoted from the following sources:

 Neal, Kathryn (Feb 2006).  Sample Records Transmittal Form The Bancroft Library Website <http://bancroft.berkeley.edu/collections/uarc/transmittal_form_sample.pdf> Accessed: 9/25/06 Morris Library SCRC University Archives

Bentley Historical Library - University Of Michigan (Sept 1999).Transfer Agreement The University Archives and Records Program <http://bentley.umich.edu/bhl/uarphome/forms/trsagr.doc> Accessed: 9/25/06 Morris Library SCRC University Archives.


Page 2

SAMPLE FILE/FOLDER-LEVEL LISTING (You need not use this specific format)

 

CAMPUS UNIT: Office of External Affairs

 

Box no.                         Folder no.          Folder title                     Date span

1                      1-3                   Fiscal reports                 1998-1990

2                      1-10                  Alumni Club files                        1988-1990

2                      11-27                Meeting Minutes            1985-1991

2                      28-35                Conference Planning       1990-1991

3                      1-15                  Alumni Club Newsletters 1955-1975

E.    DISPOSAL OF UNIVERSITY RECORDS (ORIGINAL)

An original University record is any papers, books, maps, photographs, original microfilm, or other documentary materials regardless of physical form or characteristics, made, produced, executed or received by any academic or administrative staff member in connection with the transaction of University business.

All University records are scheduled for disposal through the Director of Records Management and the State Records Commission, which determines the administrative, legal, fiscal and historical value of all records. 

University (original) records shall not be destroyed or otherwise disposed of by any University officer or employee of his/her own initiative.

Disposal of Confidential or Sensitive Records

  1. All confidential or sensitive University records approved for disposal are physically destroyed by any method of destruction making record reconstruction impossible.
  2. The State Records Commission and Director of Records Management will determine what constitutes confidential or sensitive records.  (Student academic records, health, payroll and personnel files are  examples of confidential records).
  3.   Departments may transfer to Micrographics all records approved for disposal, which require physical destruction.
  4. A destruction label must be included on all records being transferred to Micrographics for physical destruction.  (See Destruction Label in Forms section on web page)

DISPOSAL OF STORED RECORDS

All University records stored in the Micrographics vault will be merged in a records disposal schedule approved by the University and the State Records Commission.  These records will not be destroyed without written consent from the State Records Commission and department.   These may be photocopied by departments for their use.

All stored records scheduled for destruction will be shredded by the Micrographics department.

DISPOSAL OF NON-UNIVERSITY RECORDS

Non-record materials or materials not included within the definition of records as contained in the State Records Act may be destroyed at any time by the department in possession of such material without the prior approval of the State Records Commission.  The Commission may formulate advisory   procedures and interpretation to guide in the disposition of non-record materials.  (Sec. 20, 43.23   – State Records Act).  The Director of Records Management in conjunction with the State Records Commission may implement guidelines and procedures for the destruction of non-record materials.

F.  FILING

Filing systems are methods of arranging records in a systematic sequence.  These systems are needed for the easy location of any particular record in a file.  The ready location of records is the sole reason for maintaining files.

A standardized file folder and file guide arrangement for all departments using conventional drawer files is to:

Folder and index guides can be purchased through Officemax.  Colored labels can also be used to assist in file identification.

The Director of Records Management may be contacted for information and assistance in helping your department implement a filing system.

G.     ELECTRONIC RECORDS

An electronic record is any permanent set of data stored on a hard drive, computer disk, tape drive or other mediums.  The provision of the University Records Management Program applies to all electronic records owned by the University which are currently in use or which may be proposed for development.  All records that are electronically produced will be stored on microfilm also.  The management of electronic records follows many of the same principles used to manage traditional records to ensure   compliance with the State Records Commission.

 Examples of common electronic records:

RESPONSIBILITIES OF OFFICE OF RECORDS MAINTAINING ELECTRONIC RECORDS

CONFIDENTIALITY OF DATA

Each electronic record must be reviewed and a level of confidentiality established for all data elements within the electronic record.  This review must be conducted by the designated Office of Record and should involve representatives from other areas as appropriate.

 Levels of confidentiality to be assigned:

  1)   Level I – available only to persons designed by the Office of Record

  2)   Level II – available only to the Office of Record

PRIVACY OF DATA

Every reasonable precaution will be taken to assure the privacy of all information on individual employees, students, alumni, and others associated with the University.

All information in each electronic record must be reviewed to assure that:

This review must be conducted by the Office of Record and should involve representatives from other areas as appropriate.

SECURITY OF ELECTRONIC RECORDS

All electronic records designated as vital to the operation of the University must be copied periodically and stored in a highly secure area located remotely from the computing facility holding the data set.  This secure area must be sufficiently protected to assure against destruction or theft of the data set by any reasonable force.

Revised 5/07