Relocation and Records Issues
Making a Move? .... Renovating? ..... Building?
Make sure to incorporate planning for your records.
—Step by Step Process
—Step 1. Allow sufficient time
—Step 2. Put someone in charge
—Step 3. Obtain an overview of records
—Step 4. Determine
records and non-records, or What is a Record? (new page)
—Step 5. Use campus-wide records
schedules
—Step 6. Locate and implement department
records schedules
—Step 7. Prepare records for packing
—Step 8. Records destruction or transfer
—Moving Computer Equipment
—DOs and DON'Ts
One component that is often forgotten when it comes to planning for a
major event such as moving or renovating is the department's records.
Consideration of records concerns are often left until staff are almost
ready to turn the lights out and lock the door. After all, what can be
so complicated about putting paper in boxes and shipping them somewhere?
Like considerations for lighting, setting an office layout plan, and
acquiring a communication system, records require planning. The objective
of this ARMS Bulletin is to outline the minimal planning steps that should
occur in preparing to move, discard, or temporarily relocate records as
part of an office move. Packing and moving an entire office's records
can appear to be nothing less than a monumental task. There are, however,
several procedures that can help to eliminate confusion and provide needed
direction to staff about what their responsibilities are toward records.
Planning Objective: The overall objective should be a smooth transition
of a department's records from one office environment to another with
minimal disruption to client service and without loss of control over
the records and information assets of a department.
General records responsibilities. This Bulletin will not address
in detail the records responsibilities of all staff. ARMS Bulletin #1
"Your Work Responsibilities and Records"
provides detailed information about the records responsibilities of all
University employees. It is important to note that records do not belong
to an individual employee with the exception of faculty and staff personal
papers. All records created and maintained in the course of University
business belong to the University.
Step By Step Process
Step 1. Allow sufficient time
A minimum of two months should be alloted for a records move. If it is
a large move, for example an entire building or college, allow six to
ten months for planning and moving.
Step 2. Put someone in charge of the project.
As with any other activity in order for the move of records to be completed
smoothly and efficiently, someone needs to be in charge. This person should:
—Make certain that each activity is documented.
—Ensure records accountability.
—Secure proper authorization for disposal.
—Set up a central point for acquiring supplies and forms.
Step 3. Obtain an overview of records.
A quick survey of the records in your office can be enormously beneficial
in providing information for use in planning for the move. The following
information should be collected:
—Categories, types of records, and date spans.
—Volume and location of records.
—To whom to the records belong.
—Special circumstances or concerns--i.e. whether records are poorly
organized, damaged, unknown owner, etc.
REMINDER: Not all records are paper based. Remember
to account for electronic records as well.
Step 4. Determine
Records and Non-Records (new page)
Step 5. Use the campus-wide records schedules posted
on the Archives and Records Management web site to further purge department
records. www.archives.library.wisc.edu/rm/gensked/gensched.html
Use of the campus-wide schedules can greatly reduce the volume of records
you need to maintain and/or store. Such items as recruitment records and
course evaluation forms are voluminous, and offices frequently have vast
accumulations of these items. For example, applicant recruitment files
need only be retained for six (6) years past the date the position is
filled. Current campus-wide general schedules include:
—Business/Financial
—Departmental Academic Administrative Information
—Faculty and Academic Staff Personnel Records Retention Policy
—Payroll (U.W. System-wide)
—Risk Management
—Student Employment Records
For records that are eligible for destruction, see Step 8for recommendations
on records destruction.
Step 6. Locate and implement department records schedules
By Wis. Statute 16.61, all records are to be governed by records retention
schedules. While many of the more common administrative records are covered
by campus-wide schedules, departments will have record material that is
unique to them and should therefore be covered by a specific records retention
authorization. Many departments on campus have developed records schedules
but have never implemented them! Planning for a move can be the opportunity
to either implement existing schedules or develop them if they do not
already exist. If records schedules need to be developed, consult the
ARMS web site and/or contact the campus records officer for further assistance.
Step 7. Preparing records for packing
Do not start packing for the move without documenting what's being moved,
where it's going, who is to be responsible for it, and how it's to be
arranged.
—Computer checklists: Generate computer reports to use
as checklists for the move. Sort by office, destination, and staff person
assigned to the files. Use the reports as box packing lists and to determine
if records are missing. It is recommended that staff generate a packing
list detailing box contents before packing anything. Put one copy in
the box and provide one to the Records Coordinator.
—Train staff: Assign staff to be accountable for particular
records before, during, and after the move.
—Boxes: Use State Records Center boxes and copy paper size
boxes. Do not exceed 30-50 lbs per box. Determine standard methods to
mark box contents. Information on how to obtain Records Center boxes
is available on our website:
http://archives.library.wisc.edu/rm/faq/faq_forms.html
—Organize records: Pack records into boxes in the order
that files will be maintained on shelves or in file cabinets.
Step 8. Records Destruction or Transfer
For records that can be discarded based on records retention policies,
follow these guidelines.
—The recycling bin is sufficient for most types of office paper.
—Records containing any type of personally identifiable information,
social security numbers, personal identifiers, charge card numbers, etc.
should be confidentially destroyed. The Department of Administration-Records
Management Section has a contract for confidential disposal that is available
to all University departments. Please contact the Records Management office
for more information about this service.
—Shredding. Records containing personally identifiable information
can certainly be shredded. However, shredding documents can be labor intensive
and pose environmental problems. Particularly, if there is a substantial
volume of record material to be shredded, it is recommended to use the
DOA services.
For more information on paper record destruction, see the DOA web site,
Fact Sheet #4
"Options for Destruction of Paper Records" http://www.doa.state.wi.us/facts_view.asp?factid=17&locid=2
For more information on transferring records please see our website:
www.archives.library.wisc.edu/rm/manual/ManualDisp_ch4_.html
Moving Computer Equipment
Your computer contains records and their safe transfer should be considered.
Remember to check UW and department records schedules. What are your obligations
to retain the electronic data? How will you access it later if needed?
1. Records schedules apply to electronic files as well as hard copy.
Delete/erase those items that have exceeded recommended retention times.
2. Back up your data before unplugging the computer.
3. Move record items to appropriate storage media. Diskettes are not
viable long term storage media. Do not place permanent records on diskettes
when transferring them to the Archives. Transfer to a recognized language
(e.g. ASCII) where appropriate.
4. For long term storage of data tapes, check periodically for readability
and playback quality.
5. Before discarding any storage media all record material should be
thoroughly erased. The same is true for discarding computer equipment
such as hard drives.
DO's and DON'Ts for Moving Records and Information
DO's
1. DO call the ARMS office at least a month in advance. It will be
so much easier for you, and we can better job of meeting your needs.
2. DO use the State Records Storage carton. It is the only box the State
Records Center and the University Archives will accept!
3. If you are reorganizing as part of the move, DO inventory the records
of both offices, functions, entities, etc. that will be merged or divided.
This will permit you to do some organizing on paper or on the screen
before you actually begin shuffling files. It will also permit the identification
of duplication records and information that can simply be destroyed
as opposed to moved!
4. If multiple offices are moving boxes simultaneously, use color labels
to aid in identification of boxes belonging to specific organizational
units.
DON'Ts
1. Do not remove documents from their folders. Folder headings and
file tabs provide helpful information about organizational structure,
topic or subject covered, dates, and other critical information that
you and others will need in order to retrieve or use the documents at
a future date.
2. Do not remove folders from file cabinets or other storage equipment
without recording organizational scheme information. See number #1.
3. Do not leave sensitive or confidential information unattended on
loading docks or other unsupervised areas. Theft or inadvertent loss
of personal or confidential information cannot only be embarrassing
to the University but costly as well.
4. Do not leave computer equipment or electronic storage media containing
sensitive or confidential material unattended in openly accessible areas
such as loading docks. Electronic storage devices (e.g. hard drives
and disks) that are being discarded must be erased before disposotion.
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