HANDJn)K FOR MA.~AGING INACTIVE RECORDS AT MICHIGAN STATE UNIVERSITY C April 1, 1977 In 1969 the Board of Trustees established an archival program which provided that 1) the important inactive records of the University should be preserved to meet legal requiranents or fiscal or administrative needs or because of historical significance, 2) those inactive records which are to be preserved should be transferred to the Archives, and 3) non-essential records should be destroyed upon the joint approval of the head of the unit in which they are produced or accurrrulated and the director of the Archives. As defined by law, the records of a public agency include files of letters sent and received, books, photographs, maps, drawings, tapes or other documents or copies thereof that have been made by that agency or received by it in connection with the transaction of its business. Those records which are not currently in use in an agency, ( but which must be retained for future legal, fiscal or administrative u0es or because they contain historically significant information are delined as inactive records. This handbook has been prepared to assist University officials and members of their staffs in the managanent of their inactive records, especially the selection, preparation and transfer of such records to the Archives. The procedures for transfer of records which are enumerated in this handbook supercede those in the 1973 Records Control Manual. MAINTENANCE OF INACTIVE RECDRDS: PROBLEMS The maintenance of inactive records in University offices poses some problans, not the least of which is the cost. Usually records are filed in expens ive vertical or lateral filing cabinets. If allowanGe is made for aisles and work area, a filing cabinet will occupy about 2 six square feet of space. Office space is valued at an average cost of six dollars per square foot per year in the University. Thus the average cost of space per year to place a filing cabinet in an office is about $36.00. Since a four-drawer file contains about 8 cubic feet of records, the cost of floor space is approximately $4.50 per cubic foot of records per year. This does not include the initial purchase price of the cabinet which is about $13.00 per cubic foot, or the salaries of personnel to maintain the file. Under present practice many offices simply purchase another file cabinet when their cabinets are full, resulting in increased expense and increased use of valuable floor space. The cost for records storage in the University Archives is considerably less than the cost for office storage of records. Archives space costs approximately one third the cost of office floor space (~2.00 vs. $6.00 per square foot). Through the use of special equipment the Archives can store three times the rurount of records per square foot Lhat can be stored in an equivalent rurount of office floor space. Likewise there is a corresponding reduction in archival equipment versus office equipment costs. Office storage equipment costs $13.00 and up per cubic foot of records, whereas archival equipment costs are presently $3.70 per cubic foot of records. The net result to the University is that storage of inactive records in the University Archives costs approximately one seventh the cost, spacewise, of equivalent storage in orJices. Equipment costs for Archives storage are less than one fourth the equipment costs for office storage. Other factors should also be considered. In files crowded with both current and inactive records filing becomes more difficult and tedious, ( ....... ( 3 and the probability of misfiling is increased. Searching for misplaced records is frustrating and costly. In addition, the file cabinets required to house inactive records take up valuable space and increase the congestion in the office. Storage in closets, basenents or other areas where the records are susceptible to environmental damage and tampering is not an acceptable alternative. MAINTENANCE OF INACTIVE RECDROO: SOLUTION The only logical solution to the problem of storing inactive records is to rarove them fran the office files and transfer them to the University Archives. Here they can be preserved, maintained econanically, and retrieved quickly when needed. The archival storage areas are designed to ensure maximum environmental and physical security. To eliminate the possibility of unauthorized use of records, the Archives storage areas are closed to individuals unless they are accanpanied by a member of the Archives staff. SELECTING RECDROO FOR TMNSFER 'ID THE UNIVERSI1Y ARCHIVES Not aJl records belong in the Archives. Only inactive records should be transferred. Active records--those which are used frequently- should be kept in the office under the supervision of its head until the office no long~r needs them. In order to ascertain the actions which should be taken with r egard to records, retention and disposal schedules will eventually be made for each University office. Such schedules will be created by the Archives stafJ working closely with the department or unit. Retention and disposal schedules will provide for the systematic and orderly transfer of records fran office files. They are designed to 1) identify ( l I ' / 4 the various types of records held by each office, 2) identify the permanent records which must be preserved, and 3) specify the length of time the oHice should maintain the records, and the time when the records should be transferred to the Archives or be destroyed. At the present time, however, budget and staff limitations do not allow for the examination of records presently in University offices, except on an ad hoc basis. Such examination is necessary to produce retention and disposal schedules. Therefore, under present procedures tor the transfer or disposal of records, the office desiring to transfer records from its files must canplete two forms. The first is entitled "Identification of University Records". This form, when canpleted, identifies the types, dates, and am::>unts of records held by the office. It also identifies, after joint approval by the Archives and the department or unit, which records are to be transferred to the Archives, and which records, if any, are to be destroyed. Use of this form eliminates the transfer of useless records to the Archives and relieves the transferring office of making a detailed folder inventory of records destined to be destroyed. (See sample form on page 6.) It will thus be necessary to list on the second form, "Records Transnittal and Inventory", only those records transferred to the Archives. This completed Jonn provides a folder-by-folder inventory of the transferred records, and enables the transferring office to specifically identify records when t, requests infonnation from the Archives. j It is essential that the r<~cords be listed completely and accurately on this form; time spent on the inventory list will be repaid later in rapid retrieval of infonnation. (See sample forms on pages 11 and 12.) [ TRANSFER PID.,'WURES 5 l. The department or office should telephone the Archives (355-2330) to indicat~ that it has records to be rEmJved fran its files. 2. The Archives will send "Identification of University Records" forms to the office. 3. The office should canplete the "Identification of University Records" form, supplying infonnation under items 1 through 5. Under itan 3, "Description of Records", the office should list in detail the types of records found in its files. The description will enable the Archives to make the proper decisions regarding disposition of the records. The office should canplete three copies of the form, retaining one for its files and sending t\\O to the Archives. (See sample form on page 6.) 4. The Archives will recomnend the appropriate disposition for each type of record listed and will return t\\O copies of the form to the office. 5. The chai rman or head of the unit should sign the form in the appropriate space if he or she approves the recarrnendations. If questions arise concerning the recarrnendations the Archives should be contacted. The office should then return one copy of the form to the Archives and retain the other for its files. The temporary copy Ji led earlier may be destroyed at this time . l 6 MIOIIGAN STATE UNIVERSI'IY University Archives and Historical Collections Identification of University Records SEND THE ORIGINAL AND OOE CDPY APPROVALS PLEASE PREPARE IN !I'RIPLICATE. ID THE ARQIIVES . 1) Department or Unit College of Social Science, Office of the Dean 2) Date Prepared 2-15-76 3) Description of Records 4) Date(s) Chainnan or Head of Unit (Signature) Director of Archives (Signature) FOR ARCHIVFB USE 5) Anount (File Drawers or in Fraction) Office Archives Retain Transfer to Destroy minutes of meetings: Curriculum Committee Tenure Committee Student Affairs Committee All-College Faculty Meetings budget files: purchase orders and invoices fund ledgers travel reports student payroll records publications Handbook of Undergraduate Courses Guest Speaker Series 1971 1971 1971 1971 1970-1971 1968-1971 1965-1970 1968-1973 1966-1972 1970-1972 Report: Follow-Up of Social Science Graduates 1970 (with supporting materials) 1/2 1/4 1/4 1/4 1/2 1/2 1 1/4 1/2 3/4 1 ( ..._ 7 ( 6. The Archives will send records storage containers-'- and "Records 1 Transnittal and Inventory" forms to the office. Additional containers and forms are available upon request. 7. Without disturbing the existing file arranganent, pack records firmly in the containers. Do not force than. To make later reference easier, records should not be packed so tightly that later withdrawal is difficult. Do not place folders on top of other folders within the containers. Place legal-size files across the fifteen-inch side of the container. Place letter-size files across the twelve-inch side. When both legal-size and letter-size files are mixed within the same container, pack than across the fifteen-inch side. Likewise, pack hanging files across the fifteen-inch side. Records ffilaller than conventional letter or legal-size files should be packed in records storage containers using the ITDst practical arranganent possible . ..... 12" '..... LEITER SIZE IX:CUMENTS LEGAL SIZE IXUJMENTS SMALL IXXJJMENTS (8x5, 6x4, 5x3, ETC.) 1 To make the ITDst efficient use of space in the Archives, records are s t ored in s tandard-sized records storage containers. These containers are also used to transfer records to the Archives. File cabinets, tr:.:i.nsfer J'iles, or other boxes should never be used. The records storage conta iners have inside dimensions of ten inches by twelve inches by fifteen inches a11d hold one cubic foot of records. They are especially designed t o use with the Archives shelving and are constructed of durable materials capable of protecting records fran dust, srroke, water damage, and other env i ronmental hazards. l ·- 8 Nunber folders as records are packed. Each box should begin with folder 1. Nunber containers consecutively as they are packed. Place the cover securely on the container. Do not tape or fasten it. Records which are too large to be placed in storage containers, such as bound ledgers, should be tied in bundles with sturdy cord and labeled with identification tags. Large drawings and maps can be wrapped in paper or packed in cardboard tubes and labeled. A University Archives label must be attached to each container. Fill in the spaces as directed below. Accession No.: Leave this space blank. The Archives staff will MICHIGAN STATE UNIVERSITY assign this number when containers arrive at the Archives storage ARCHIVES area. Box No. : Enter both the number ACCESSION NO. of the container and the total number of containers in the shipnent. For example, the label on the second of seven boxes will read "Box No. 2 of 7". Office sending records: Enter BOX NO. 2 of 7 OFFICE SENDING RECORDS Office of the Provost 0 10062 the name of the office preparing the shipnent. The labe l has a water-soluble adhesive backing. Place it on the twelve-inch side of the container below the handle cut-out. Use only one label per container. - ( -- 9 Ccmpletjng the "Records Transmittal and Inventory' ' . This fom consists of a first page and a supplanentary page. (See sample forms on pages 11 and 12.) The t\\O differ only in that the first page requests information about the shipment of records which need not be repeated on supplenentary pages. Because in rrost cases offices will require rrore than one page to list records being transferred, eliminating repetition of this information allows rrore space for listing records. For every shipment of records, the office should complete one first page and as many supplenentary pages as are necessary to list all folder titles in the shiµnent. The office should prepare three copies of the "Records Transmittal and Inventory". Information should be supplied under itans 1 through 10 as directed below. Item 1) name of the office transferring records 2) date the fom is prepared 3) signature and title of the head of the unit 4 and 5) name and telephone number of the person packing containers and completing the fom 6 and 7) box and folder numbers of records in the shipment 8 and 9) canplete file folder titles and inclusive dates of materials contained in folders 10) Write "none" in this space if there are no restrictions on use. If records are restricted indicate box and folder numbers and specify length of time restrictions are in effect. (Refer to Records Control Manual, page 8.) The office should complete itans 1 through 6 on supplementary pages of the ''Records Transni ttal and Inventory'' . 10 ( When listing the last folder title in a box, skip a line before listing the first folder title of the next box. It is not necessary to use a separate page for each box. (See page 12.) Records which are not sent in standard records containers should be listed separately under "File Folder Title" on the "Records Transmittal and Inventory" form. Entries should contain notations about special packing provisions. For example, a group of large scrapbooks tied in a bundle should be listed as "three (3) scrapbooks, tied in a bundle, not in containers''. When records other than paper documents are being transferred, the type of recording medirnn should be indicated, i.e., microfilm, audiotape, etc. The original and one copy of the form should be sent to the Archives. ( ...__ ·-- 11 ··------ ~ --=~---------------------, MIO!IGAN S'I'ATE UNIVERSITY University Archives and Historical Collections Records Transnittal and Inventory tit.EASE PREPARE IN TRIPLICATE. SEND Tl!E ORIGINAL AND ONE CDPY 'fO TIIE ARCHIVES. 1) Department or Unit 12) Date 7-7-74 15) Telephone Number 355-0000 Department of English 3) Chainnan or Head of Unit (Signature and Title) Odw DJ-c _ 4) PerSbn Preparing Shipnent ' Chairman Joan Smith Box Folder 6)No. 7)No. 8) File Folder Title 1 ' 1 I ! 1 j ' 1 i I ! 1 1 I I 1 1 1 1 J ---- 1 I I 1 - I 1 [. 1 I 1 ! 1 1 2 3 4 5 6 7 . 8 9 10 11 12 J.3 14 15 16 17 Appointments Appointments Appointments Appointments Ballots Chairmen's meetings Chairmen's meetings Chairmen's meetings Chairmen's meetings NDEA NDEA Placement Placement Scheduling Summ€'r Session Summer Session Waivers - Gen. Ed. Courses 1 18 Waivers - Gen. Ed. Courses 1 I ' - - - 20 tr Staff meetings - minutes I ---- ;7r-;;· Staff meetings - minutes Staff mee tings - minute s Staff u,ee t ings - minutes I 1 21 page_:___ of_2_ FDR A"RCTIIVES t'SE Accession Number Date Received Director of Archives FOR ARCH IVES 9)Dates USE 1969-70 1970-71 1971-72 1972-73 1967-73 1970 1971 1972 1973 1969-70 1970-71 1971-72 1972-73 1972-73 1969 I I I 1970-72 I 1971 1972 1967-68 ! 1968-69 1969-70 1970-71 ··-- l . 10) Restr1ct10ns on Use of Records (If no restr1ct1ons, v.T1te "none'.) ! L ___ . ---- ----- none 12 - ·- MICHIGAN 5TATE UNIVERSI'IY University Archives and Historical Collections Records Transmittal and Inventory IU:ASE PREPARE IN TRIPLICATE. SEND TiiE ORIGINAL AND OOE CXlPY TO TiiE AROiIVES. I i! 1) Department or Unit J Department of English Box ll''Older 2)No. 3)No. 4) File Folder Title 23 24 25 26 27 1 2 3 4 5 6 7 8 9 10 11 12 Staff meetings - minutes Staff meetings - minutes Faculty Advisory Cormnittee ~1eetings Faculty Advisory Committee Meetings Faculty Advisory Committee Meetings Faculty Advisory Committee Meetings Annual Report Annual Report Annual Report Annual Report Correspondence Correspondence Correspondence Correspondence Department publications Department publications Department publications l l 1 1 1 2 2 2 2 I I I I 2 I I 2 j I 2 2 I \ 2 2 2 2 I : : ! ' I \ I I i .I I ; I - I i ! ' ;, I 6) Restrictions on Use of Records (If no restrictions, write "none". ) I i -- ---r--·-·-~----- -- ·· none page...:_ of...:_ SOPPLOOm'ARY PAGE l.l'\.ll{ ARCHIVES USE Accession Nllliler I l ! Fat AIDiIVES ltJSF. 5)1:ates 1971-72 1972-73 1970 1971 1972 1973 1970 1971 1972 1973 1969-70 1970-71 1971-72 1972-73 1971 1972 1973 ·- -- -- .. 13 8. The Archives staff will check t he form to ensure that it is canplete and wiJl then telephone the office to indicate that the records may be sent. 9. After receiving approval fran the Archives to transfer the records, the office telephones M.S.U. Stores to request that the records be moved to the Archives . storage area, A-lE Wells Hall. Be sure to state that the Archives must be contacted by Stores prior to delivery in order to receive the shipnent at its storage area. 10. The Archives will receive the shiµnent, note its receipt on the ''Records TranSTii ttal and Inventory'' form, and return one copy of the form to the office. ( 11. The off ice should file the canpleted "Records TranSTiittal and Inventory" form. discarding the tanporary copy filed earlier. The office should note that an accession mnnber is assigned by the Archives to each shiµnent of records. In all corrmunication with the Archives concerning the records this accession number must be cited. 14 Procedures 1. Depa.rtrrent or unit telephones Archives to indicate that it bas records to be raroved fran its files . 9x9o --------\. 2. Archives sends "Identification ~ 7 of University Records'' forms 3. Departrrent canpletes "Identificatio~n to departmen[[Jt. of University Records" fonns and sends t\\O copies to Archives. l 5. 7. 9. 11. CD 4. Archives makes recannendations on forms and returns both copies to department for approval. (signs) fonns and returns one copy to Archives. Department chainmn approves ~ 0 0 . Q / ~ Archives sends records Department packs records approved ~ B Transnittal and Inventory" fonns to department. for transfer; COOJ!)letes "Records Transnittal and Inventory" fonns; and sends t\\O copies of forms to ~ i r e s .~ ~ • containers and ''Records ~ 0 O Archives approves forms and telephones department to indicate that records are approved for transfer. Departrrent asks Stores to t r an s f~ records to Archives storage area. (Stores notifies Archives before delivery.) ~ 10. Archives receives records ; ~ ~ro-t.o cai;,letes "Records Transnittal and Inventory" fonns; and returns one copy of ccrnpleted , ~ -------.:: 7 Department files canpleted "Records Transnit tal and Inventory" fonn. Whenever i t needs to refer to the transfer red records, it cites the accession number and other infonnation fcxmd on the fonn. ~ ~ { OBTAINING REFERENCE SERVICE 15 Upon request fran the transferring office, the Archives staff will provide three types of reference service: 1) infonnation fran records stored in the Archives, 2) copies of records stored in the Archives, and 3) tanporary return of records to the transferring office. Requests for reference service may be made by telephone or in writing. Written requests should be made using the "Request for Reference Service" form which is available fran the Archives. When requests are made by telephone, the form will be canpleted by a menber of the Archives staff. (See sample form on page 17.) Arrangenents may also be made to consult the records in the Archives reading room. Hours are 8 a.m. - 12 noon and 1 p.m. - 5 p.m., Monday through Friday. If possible, the Archives should be notified at least one day prior to a visit. Departmental personnel must complete a "Request for Reference Service" before consulting records. In canpleting the form, check the type of reference service requested. List the accession number, box number, folder number and f ile folder title where the requested records or infonnation can be found. To obtain this infonnation, consult the office copy of the canpleted "Records Transnittal and Inventory" form. Add any renarks or special instructions in the space provided. Each "Request for Ref er ence Service'' must contain the name of the off ice making the r eference request and the name and title of the person within the office authorized to consult r ecords transferred to the Archives. The chairman of t he department or head of the unit must sign the ''Request for Re.ference Service" if tanporary return of records is requested. 16 Unless large quantities of material are involved, the Archives prefers to send copies rather than the original records in response to reference requests. This eliminates the need for return of the records to the Archives. Copies of records furnished by the Archives are for information only. They should not be filed in the office file cabinets. They should be destroyed when no longer needed. Records reroved from the Archives should be returned as soon as they are no longer needed. They should be accanpanied by the ''Request for Reference Service" which will accanpany the records being t81lp0rarily returned. This will enable the Archives staff to easily identify the returned records and place than in their proper containers. , r " ~ --------·---~ ... __,.. __ , _____________________ . __ ___ ~.- -----------.. - -----~----- ____ , __ . _,.. .. ---·------- MICHIGAN STATE UNIVERSI'IY Archives Request for Reference Service ----- 1 Tyye of Service Requested (Check one only) ___x_ Copies of Records Infonnation fran Records Tanporary Return of Records Accession No. . Box Folder No. No. File Folder Title UA 306 1 6 Faculty meetings, spring term 1965 . r-' ....:i Ranarks Copies of the minutes of the April 6, 1965 meeting only. Na.IlE of Requesting Office Department of Mathematics ,,. Signature and Title .. ,/;,. 1 / / , Chairman . 7) · ( Date 2-9-77 FOR ARCHIVES USE ----- - ···--·--·--~--···-·- --------·-- - ·---- ·----------·---------