Records Management, SPEC Kit 305 (August 2008)

Center, Jr., Clark E.

SPEC Kit 305: Records Management · 63
Assessment
24. What metrics are used to assess the performance of the records management program? Check all
that apply. N=23
Percentage of departments that participate in the program 11 48%
Turnaround time for retrieval requests 7 30%
Turnaround time for accessioning, creating box lists, moving items to storage 6 26%
Volume of backlog 4 17%
Other, please describe 13 57%
“1.Questions regarding retention, storage, training, electronic records, compliance. 2. Training classes. 3.
RIM financial impact. 4. Collaboration with other units. 5. Web site. 6. User satisfaction — evaluations. 7.
Feedback on offsite storage, recycling, and secure document shredding.”
“Annual reports.”
“At this point there is no assessment of the records management program.”
“No metrics are used to assess the performance of the records management program.”
“None.”
“Number of calls and e-mails regarding basic records management questions. This tells us if people are using
our self-service resources or not.”
“Number of transactions (boxes stored, retrieved, destroyed, transferred to Archives). Schedules approved
(number).”
“Performance is not assessed.”
“The performance of the program has never been evaluated.”
“There are no metrics for records management.”
“This %refers to consultations, fee-based services for projects/consultations.”
“We have not done an assessment of the program.”
“We use no metrics beyond documenting the volume of material and business (reference questions, file
requests, etc.)”

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62 · Survey Results: Survey Questions and Responses
“Web training modules (not webinars).”
23. Are all staff members trained to manage all formats of records? N=22
Yes 13 59%
No 9 41%
If no, please explain which staff are trained to manage which type(s) of record(s).
“Just the University Archivist and the Electronic Records Archivist.”
“Most staff is trained only in the management of text, a/v, and graphic materials. Coordinator (Department
Head) has training in the management of electronic records.”
“No training currently available for electronic records.”
“Paper and electronic as well as other formats as needed.”
“Since April, 2007, all university new employees are trained in basic office records management with
an emphasis on electronic records. This is accomplished in collaboration with the Human Resources
Department. A PowerPoint presentation created by the Records Program and the Legal Office is viewed by
the new employees, and a Records Program brochure is distributed during the day long orientation. The
same presentation is used to educate colleges such as medicine, nursing, and law. It is found that when a
college, department, or job position group like the budget officers request a session in records management,
the response is well received. Also, it has been found that when training is offered to the offsite office
representatives, there is a positive result. These are the employees who work with the Records Manager on
a continuing basis to send non-permanent records to offsite storage, to transfer permanent records to the
University Archives, or to destroy non-permanent records which have reached their retention. Individuals
e-mail or phone the Records Manager and this group receives one-on-one training via e-mails with the
schedule and records procedures plus phone conversations concerning their questions. When necessary,
onsite visits are facilitated. During these visits the Records Manager evaluates the records in question as
to the record name and number, retention, and whether ready for offsite storage, transfer to the University
Archives, or destruction. The liaisons receive e-mails, phone calls, and training sessions based on the need.
Typically, an annual workshop is held for these liaisons who include the offsite storage representatives from
each office. In past years, the President of the University has e-mailed the employee listserve to encourage
sound records management practices. Generally in January and August, an annual review period (ARP) is
encouraged by the college or department heads. During this review, records management activities increase
as the office representatives evaluate their records as pertain to use and space.”
“The Head is trained in text records, but has limited experience with electronic records.”
“Training, at present, tends to be driven by specific job functions and data access policies.”

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64 · Survey Results: Survey Questions and Responses
Additional Comments
25. Please enter any additional information regarding records management at your library that may
assist the authors in accurately analyzing the results of this survey. N=19
“A Records Management Task Force was created and had its first meeting on February 27, 2008. At this time,
the resumption of a records management program is in its very infancy.”
“Although the records management program has been in place since 1984, recent developments have
improved the level of service and security of the program. A records center warehouse was established
revised retention schedules have been developed, and program and retention information have been deployed
via Web sites. Issues related to electronic records are beginning to be addressed, but further development will
need to take place.”
“As stated earlier, we are trying to create a more systematic procedure for records retention and transfer
throughout the University as well as advise campus staff on what records should be retained on a permanent/
semi-permanent basis. We are also beginning to ingest ‘born digital’ university records into our Institutional
Repository. Our activities for the past FY have included: analysis of the Libraries current University-related
record holdings, research into ‘born digital’ documents housed within campus Web sites, educational and
instructive outreach to campus departments, ‘on site’ surveys, and transfer of materials to the Archives.”
“Our now defunct RM program was the result of an NHPRC grant to establish an RM program as well as a
the University archives (we are the last of the Ivys to establish an institutional archive). Supported by the
University Secretary in 1986, the program received backing and support from University administration.
When the Secretary who initiated the program and hired the staff retired and the administration changed, the
RM program ceased to exist and the University Archives stopped actively soliciting records. The UA became
part of the University Libraries in July 2006 while there is no formal RM program in place, I have began the
process of outreach to solicit archival records and to assist offices in maintaining their office records.”
“We have an official records management program for the New York State College of Human Ecology. For the
rest of the university, we have an official retention policy, which the University Archives ‘manages,’ but we
primarily provide consultation and guidance for all records, but only specific assistance in storage and access
for permanently scheduled archival records.”
“Early on in this survey, I failed to understand the distinction being made between discarding and destroying.
Except for cases where something blatantly inappropriate has been shipped to us, we process all materials
through our secure destruction cycle.”
“From 1977 to 1987, the Records Program was administered by the Vice President for Administration and
Finance, sometimes named the VP for Business Services at other universities. This VP is now the Custodian
of Records who handles the Open Records requests in cooperation with the Chief Legal Counsel and the
Records Manager. This position is kept abreast of the campus records management workshops. In 1987, the
mission for the Records Program was transferred to the University Archives and the duty of the University
Archivist. In the fall of 1987, the Library assumed administrative responsibility for the university’s ten-year-old
records program, and University Archives was renamed ‘the University Archives and Records Program.’ There
followed an extensive survey of the records of the institution’s major administrative offices and academic

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