Records Management and the Cooper-Hewitt, National Design Museum

1. Records Management and the Cooper-Hewitt, National Design Museum Presented by Jennifer Wright Smithsonian Institution Archives November 14, 2008

2. Goals of the Presentation • Introduce the Smithsonian Institution Archives (SIA) and its Records Management Services • Discuss the CHNDM Records Disposition Schedule • Describe the Processes for Discarding, Transferring, and Retrieving Records • Answer Questions

3. SIA’s Mission • Appraise, acquire and preserve records of the Institution • Assist in the proper disposal of records • Offer a range of reference, research, and records services • Create products and services which promote understanding of the Smithsonian and its history

4. SIA’s Authority – SD 501 • “All documents created or received by employees of SI in the course of official business are records of the Institution, and none may be disposed of except in accord [with guidelines] established by the Smithsonian Archives.”

5. Records Management Services • Help identify what to keep and what to discard • Create records disposition schedules • Assist you in organizing your records – advice and file plans • Maintain and care for records • Provide access to records • Destroy records according to established schedules

6. What is a Record? • Any official recorded information, regardless of medium or characteristics, created, received, and maintained by a Smithsonian museum, office, or employee • Records include paper files as well as: • Word Processing Files • Film, Video, and Audio Recordings • E-mail • Spreadsheets and Databases • Photographs • Websites • PowerPoint Presentations

7. Appraising Records • Decisions about which records to keep or discard are based upon: • Function of the office • Which records best document that function • Where the most complete set of those records are located • Existing guidelines established by SIA, other SI offices, or outside institutions • Appraisal decisions are not based on media types

8. CHNDM Records Disposition Schedule • Created based on a museum-wide records survey in 1999 and signed by CHNDM and SIA administration • Gives guidance on how long to keep certain types of records and what to do with them when they are no longer needed • Includes general schedule for records commonly found in most offices and individual schedules for records specific to each office

9. Record Schedule Structure • Consists of 6 columns • Series Title • Series Description • Office of Record • Retention Period • Source • Disposition

10. Series Title and Description • Series • A group of records that serve the same function and are often filed together • Series Title • A descriptive title used to identify a series of records • Series Description • A detailed description of the types of records that are included in this series.

11. Office of Record • Office of Record is responsible for maintaining the official and most complete set of the record • Office of Record may be your own office, another CHNDM office, or another SI office • If you keep copies of records, you are probably not the office of record for that series

12. Retention Period • Permanent Records • Historical, enduring value • Best document your office’s activities • Temporary Records • Records of short-term value • Records for which you are not the Office of Record • Administrative, routine, housekeeping functions • Information files • Permanent/Temporary Records • Records with short-term value that are interfiled with records of permanent value and need to be weeded before transfer

13. Appraisal Source • Documentation of legal authority or appraisal decision on which retention decisions are based • SIA • National Archives and Records Administration General Records Schedules • Policies and procedures written by other SI and federal offices

14. Records Disposition • Instructions for the maintenance or transfer of records once they become inactive (no longer needed to conduct current business) • Disposition information instructs units in how long to keep records in this series and what to do when that time period is over

15. Transferring Permanent Records • Contact SIA with the series and quantity of records to be transferred or to discuss a transfer of electronic records • Ensure that all records are in labeled folders (remove from hanging folders and binders) • Number the boxes and create a list of folder titles within each box • Place a copy of the folder list within each box • E-mail the folder list and the mailing date to SIA

16. Discarding Records • Three methods for discarding records • Discard/Destroy on-site • Send directly to a commercial shredding company • Transfer to SIA’s Records Center to be destroyed • Files with SSNs, personal contact information, account numbers, or other sensitive information must be destroyed (shredded) • Electronic records containing sensitive information can be destroyed via OCIO

17. Transferring Temporary Records • Any type of temporary record can be transferred to SIA’s Records Center • SIA will provide mailing labels and any sturdy box may be used to ship the records • At transfer, a destruction date will be assigned • SIA will ensure the timely destruction of records • Destruction will be suspended pending investigations or legal actions that might bear upon the records • Staff from your office will be able to access the records at any time until the destruction date

18. Records Retrieval • After the records transfer, SIA will provide you with the accession number and, for permanent records, a copy of the folder list and will place another copy on the SIA website with full-text search • To access your records, contact the SIA Reference Team • Most records are available for use in 36-48 hours • Records may be used in the SIA Reading Room

19. Contact Information • General questions, records appraisals, and records transfers: Jennifer Wright, WrightJM@si.edu or 202-633-5924 • Technical assistance for electronic records: Ricc Ferrante, FerranteR@si.edu or 202-633-5906 • Reference Services: osiaref@si.edu or 202-633-5870 • SIA Website: http://www.siarchives.si.edu