Frequently Asked Questions
NEW - The Records Management Team is now the Archives and
Information Management Team.
Categories
General Records Management Information
What is records management?
Records management is the systematic control of records throughout their life cycle - from the moment they are created to the moment they are destroyed or transferred to the Archives for permanent retention. [top]
Why is records management important?
Ultimately, records management ensures that institutional records of vital historical, fiscal, and legal value are identified and preserved, and that non-essential records are discarded in a timely manner according to established guidelines. Benefits of records management include more effective management of your current records (both paper and electronic), a reduced/eliminated level of record-keeping redundancies, reduced costs for records storage equipment and supplies, and increased usable office space through the elimination of unnecessary file storage. In addition, records management provides institutional accountability and timely access to information.
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What authority does SIA have for records management?
According to Smithsonian Directive (SD) 501, "Archives and Records of the Smithsonian Institution": "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."
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What is considered a record?
A record is any official recorded information, regardless of medium or characteristics, created, received, or maintained by a Smithsonian museum, office, or employee. Records document decisions, actions, policies, and procedures; serve as legal evidence; provide an audit trail; provide for accountability; or create a corporate memory. Records may be found in filing cabinets, in storage rooms, on servers, or on electronic media. Records are often paper, but may also be photographs, film, video, audiotapes, email, spreadsheets, databases, word processing documents, or any number of other formats. In general, three-dimensional objects and apparel are not considered records.
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What records management services
does the Archives and Information Management Team provide?
The Archives and Information Management Team
provides the following services for all SI units upon request:
- help identify which records to keep and which to discard (appraisal of records)
- create records disposition schedules
- assist in organizing records in the form of advice or file plans
- supply boxes and physically transfer records to the Archives or SIA's Records Center
- destroy records according to established schedules
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Who is my contact person on the Archives and Information
Management Team?
The Archives and Information Management Team assigns one
or two SIA staff to be the liaisons for each SI unit. A
list of these liaisons can be found here.
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How do I manage the files in my office?
The Archives and Information Management Team provides general
guidance for organizing and managing your active files here.
For more specific or customized guidance, contact your Archives
and Information Management Team liaison.
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What is the difference between active and inactive records?
Active records are your current working files that are regularly used to conduct business. Inactive records are no longer needed to conduct current business, but may be needed for infrequent consultation. [top]
What do I do with records I no longer need in my office?
All records should be appraised to determine if they are permanent or temporary records. Permanent records should be sent to the Archives. Temporary records, depending on the type of record, should be discarded, destroyed, or sent to SIA's Records Center to be destroyed at a later date. Information about having your records appraised can be found here.
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Records Disposition Schedules
What is a records disposition schedule?
A records disposition schedule is a set of instructions governing the retention and disposition of current and noncurrent recurring records series of an organization or agency. It is used to determine if a particular type of record is permanent or temporary, how long that type of record needs to be kept, and what should ultimately happen to that type of record. It may also be referred to as a retention schedule. [top]
How do I find out if my unit has a records disposition schedule?
Completed records disposition schedules are placed on the
SI intranet (PRISM) for use by staff. Links to these schedules
may be found here.
Schedules are considered to be draft documents until they
are signed by the unit and SIA directors. Contact your Archives
and Information Management Team liaison if you know there
is a draft schedule for your unit and wish to discuss it.
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What if my unit does not have a records disposition schedule?
Contact your Archives and Information
Management Team liaison to have your records appraised
(for more information, click here).
If your unit is planning to clean out records located throughout
the office, you may want to request a records disposition
schedule be created for your unit. The process to create
a records disposition schedule may take anywhere from 6
weeks to over a year depending on the size of your unit.
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What is an office of record?
An office of record is the office responsible for maintaining the most complete set of a particular records series. When multiple units have copies of the same records, one unit is assigned to maintain those records until they can be discarded or sent to the Archives. Units that are not the office of record are required to maintain their copies for a shorter time period and will not send their copies to the Archives. Assigning an office of record lessens duplication between units and within the Archives. [top]
Transferring, Discarding, and Accessing Records
How do I send records to the Archives?
Instructions for transferring records to the Archives can be found here. [top]
Does SIA supply boxes?
SIA supplies records center boxes for temporary records
and acid-free boxes for permanent records. These boxes should
only be used for records being transferred to the Archives
or SIA's Records Center. SIA does not supply boxes for any
other purpose. If a unit requires more than 100 acid-free
boxes or more than 100 temporary boxes in a single fiscal
year, that unit is responsible for buying the additional
boxes. Units may also use any box about the size of a banker's
box or photocopier paper box to transfer temporary records.
Contact your Archives and Information
Management Team liaison for more information.
Units outside of the Washington, DC, metropolitan area will
usually need to mail their records to SIA. SIA does not
supply mailing boxes because they are often damaged in the
mail. SIA will provide postage paid mailing labels for records
mailed within the United States. Once the records arrive,
they will be transferred to appropriate boxes.
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What happens to my permanent records?
When permanent records are transferred to the Archives, they are maintained there forever. Each records transfer will receive a unique accession number and information about the records will be entered into SIA's Collection Management System (CMS). In most cases, a finding aid to the collection will be placed on the SIA public website. Researchers and staff can access the finding aids by browsing through lists organized by unit, by entering the accession number, or by performing a full-text search across all of SIA's online finding aids. Information about the collection will also be added to the Smithsonian Institution Research Information System (SIRIS). If there are no restrictions on the records, or after the restriction period has passed, the records may be used by any researcher. Finding aids for permanent records at SIA may be found here. The SIRIS on-line catalog may be accessed here.
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What if I need to access records that I have already transferred to the Archives?
To access your records or any other records within the
Archives, contact the SIA Reference Team at osiaref@si.edu
or 202-633-5890. It is helpful if you know the accession
number that was sent to you at the time the records were
transferred. If you do not have this information, the reference
archivist will assist you in finding the records you need.
Records may be consulted in the SIA Reading Room or charged
out to you if they are needed for an extended period of
time. No appointment is necessary to visit the Reading Room,
but many of the collections are located off-site and may
need to be ordered up to a week in advance; therefore SIA
recommends that you contact the Archives prior to visiting.
The Reading Room is located in Capital Gallery West, Suite
3000, and is open from 9:00 to 5:00, Monday through Friday.
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What happens to my temporary records?
When temporary records are transferred to SIA's Records Center, they are assigned a unique identifier and a destruction date. The records will be maintained at Records Center until that date and then automatically sent out for destruction. Your unit will be notified after the records have been destroyed, unless prior arrangements have been made with the Archives. Only staff within your unit may access your records at Records Center except those who are given written permission by your unit.
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What if I need to access records that are scheduled for destruction?
You can access your records at SIA's Records Center just as easily and in the same way as you can access your permanent records (see above for instructions). [top]
What if records scheduled for destruction become subject to an active investigation or litigation?
If there are any possible or pending investigations or
legal actions that might bear upon records you have sent
to SIA's Record Center, notify your Archives
and Information Management Team liaison immediately
or call the SIA general number at 202-633-5870. This includes
any investigation or legal actions to which your office
is a third party. Upon notification, SIA will immediately
suspend the destruction of these records.
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Can I discard or destroy records without transferring them to SIA's Records Center?
Yes. Before discarding or destroying records, follow the
guidance found here. If you
have records containing sensitive information, they must
be destroyed. If you have more sensitive records than is
practical to attempt to destroy within your office, consider
transferring the records to SIA's Records Center or using
a professional shredding service.
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Records Management Presentations
What if I missed a records management presentation given to my unit?
The Power Point presentations and handouts from recent records management presentations can be downloaded here.
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