Guidelines derived from the UMBC Records Management Policy.

Please note that these guidelines focus on the I drive, not on traditional paper files which may also require weeding and organization.  While some of the guidelines listed here are also applicable to print records, it is recommended that the full Records Management Policy be consulted for guidelines for print records.

CDMWG recommends that each department schedule a session with the University Archivist for a personalized review of the Records Management Policy and to answer individual questions on applying the policy to print and I drive files that are specific to your department.  Please contact Lindsey Loeper at lloepe1@umbc.edu or x56290 to arrange an appointment.

Guidelines

1. Department staff members should meet to determine who will review the department's files on the I drive.  The department may designate one person as the records manager or divide the folders based on subject specialty.

2.  Within each department's I drive there should be two folders created:

1. Trash:  Place files in this folder that you believe are no longer needed (deaccessioned).  They can then be reviewed by co-workers or the department head.  Files should be held in this folder for 6 months; if they are needed in that time then the file should be removed and stored in the appropriate folder.  After 6 months the folder contents should be deleted.  It will be helpful to sort this folder by date to aid in locating files that have reached the six month review period.

2. Archives:  Place files in this folder that need to be retained but that are no longer being actively used (inactive).  Refer to the retention periods in the UMBC Records Management Policy for assistance.  At this time there is no policy for electronic records.  It is recommended that after the file has been determined to not be actively needed that the file should be transferred to the University Archives or deleted, as specified in the Records Management Policy.

3.  Please be aware of duplicate files.  Do not save files for which you are not the Office of Record.  It is encouraged that departments arrange their folder system so that interdepartmental access is available; this will reduce duplicate files.

4.  In order to maintain available space on the I drive, it is suggested that departments review their files yearly.

Selected document types and their retention period

1. General Files includes alpha, subject, administrative, and chronological correspondence containing original incoming and copies of outgoing correspondence, email, reports, memoranda, statistics, proposed programs, minutes, policy and procedure statements, special projects, and substantive data concerning the operation of the office that maintains it.
Retention: Material with continuing administrative or legal value should be kept in paper by Office of Record for 5 years beyond the date that the file is declared inactive, then destroyed. Significant email should be printed and placed in a file along with other correspondence at least once a year. Non-current material deemed by the archivist to have historical value should be transferred to the UMBC Archives.

2. Departmental Meeting Minutes includes policy issues and other data relating to the department that are of historical significance. Retention: Retain for 3 years then send to UMBC Archives.

3. Employee Resumes, Retention: Send copy to University Archives when received.

4. Budget Files including email, correspondence, memos, notes, and printed reports. Retention: Screen annually and destroy that material for which no further reference is required. Documents with continuing administrative value should be kept in paper by department for 5 years, then destroy.

5. Contract and Grant Files includes records that document contracts and grants received by any department from any source, including applications, proposals, agreements, research reports, publicity notices, acknowledgements and transfer of funds records, controlling rules and regulations, copies of periodic reports, correspondence, and memoranda.  For the complete retention guidelines for these files please see the UMBC Records Management Policy.

6.  Position Files includes requests for position classification action, lists of eligibles, study numbers, and position descriptions. Retention: Retain for 3 years after position is abolished, then destroy.

Payroll, personnel, performance review and development files are all retained by the Office of Records, Human Resources.

Accounting records are maintained by the Office of Record, Accounting Department.

Purchasing card transaction and purchasing files are maintained by the Office of Record, Procurement.

Guidelines for weeding

There are three categories of non-current records to be weeded from files:

1. Papers that need to be kept as a short-term record, but have no enduring value to the University. These can and should be destroyed as a standard filing maintenance procedure.  Items of this sort are:

• All blank forms and unused printed or duplicated materials

• All other duplicate materials: keep only the original copy and annotated copies

• Papers, reports, work papers and drafts, which have been published.

• Records from other departments sent for informational purposes.

2. Classes of documents which under retention schedules are to be held for a specific period, then destroyed. These should be removed, labeled, and sent to records storage (or stored in the Archives folder for your department).

3. Documents that due to historical significance are designated for permanent retention. These should be transferred to the University Archives, with the exception of those classes of documents scheduled for permanent retention in an official 'Office of Record'.

Record Management definitions

Understanding the terms below will help with following the UMBC Records Management Policy.

Active records:  These are documents and files that are currently in use.  Active records may be consulted daily, monthly, or even yearly.
Inactive records:  Files that are associated with recently completed projects but that need to be retained for a designated amount of time are called Inactive records.
Deaccessioned records:  Records that no longer need to be retained by the records creator can be deaccessioned in one of two ways: 1) printing out and sending the record to the University Archives (when applicable) or 2) deleting the file.
Office of Record:  In many cases multiple departments will have a copy of a file saved to their individual department folders.  After the file is no longer an active record it should be retained only be the Office of Record, typically the creator of the record.
Retention period:  This is the designated period of time that a record needs to be kept after it is no longer active.  Please keep in mind that some records, such as the supply purchase request forms mentioned above, become inactive very soon after their creation.  After the retention period for a file has passed it should be deaccessioned as specified in the Records Management Policy.