How to Organize and Manage Your Records for Maximum Performance

Records Management

Best practices in records management

for dance companies and choreographers

Table of Contents

Acknowledgements

3

Introduction

4

What is records management?

4

How will records management help me?

4

What are records?

4

Getting started

5

Record identification chart

6

Physical Records: Organization and Storage

9

Organization

9

Organizational systems chart

10

Controlled vocabulary examples

12

Storage

13

Digital Records: Organization and Storage

15

Filing structures

15

File naming conventions

17

Email

18

Cloud computing

18

Preservation and Storage

19

Inventories

20

Terminology

20

Templates

22

Record Retention and Destruction

24

Sample Record Retention and Destruction schedule

24

Additional Resources

27

Physical Storage and Preservation

27

Digital Storage and Preservation

27

Acknowledgements

This guide was developed using resources from the Library of Congress, the Society of American Archivists, the Northeast Document Conservation Center, the California State Archives, Arlene Yu, and Nichole Arvin. I gratefully acknowledge the artists and artistic staff that aided my research from the Lar Lubovitch Dance Company, the Trisha Brown Dance Company, the Joe Goode Performance Group, the Deborah Slater Dance Theater, Nancy Karp + Dancers, and Ma Fish Co. Special thanks to Arlene Yu and Meagan Samuelsen for their expert consultation. Top

Introduction

The life of a dance work extends beyond the rise and fall of the stage curtain; as an active company or choreographer, you constantly generate new records and materials crucial to your continued creative output, organizational functions, and legacy. By organizing your records for optimal access and use you will be able to more efficiently promote your work, apply for funding, and develop your legacy.

What is records management?

Records management is the ongoing process of establishing and using organizational systems to retain control over your records during their creation, use, maintenance and disposition. The resources in this guide are meant as suggestions for you to consider when establishing your own standards for organizing and describing your materials; before you develop your own systems, consider the ways in which you use your records, and adapt these guides to suite your unique needs.

How will records management help me?

 You will be able to find what you need more easily.Records will be organized, making it easier to find what you need to run your company, apply for funding, and create

promotional materials.

 You will save space and money. By implementing a system for determining which records to save and which records to get rid of you will minimize the amount of storage space you need.

 You will solidify your institutional identity.Institutional memory will be preserved on paper, as well as throughpeople.

 You will preserve your legacy. Legacy materials will be identified and properly cared for. Photographs, videos, and documentation will be inventoried and stored in a way that makes it easier for people to appreciate the value of your work in the future.

What are records?

Records are documents or materials that were created as a result of your company’s activities. These types of materials can range from recordings of rehearsals and performances, publicity materials, photographs, and music scores to administrative and outreach documents like budgets, calendars, correspondence, and mailing lists.

Not all of the records you create need to be saved. If a record does not demonstrate one of the following characteristics, you do not need to save it.

 Administrative Value: records that document your operating or business procedures.

 Fiscal Value: records that document the use of funds.

 Historical Value: records that document what your company creates and accomplishes.

 Legal Value: records that document business transactions.

 Operational Value: records that document fulfillment of the institution’s mission or mandate.

Getting Started

It’s not as overwhelming as it sounds. You probably already have some kind of organizational system in place, however provisional. Rather than creating a new system, identify and refine what you already have in place. What you come up with will be more sustainable for you if it’s based on what you were doing before. Before you start thinking “systematically,” write down or collect your answers to these questions:

 What are the mission, vision, and goals of my company?

 What types of records do I create, and how do I use these records to support these goals?

 Are my records currently organized in a way that makes it easy for me to find the documents I need to support these goals?

 Which aspects of my current organizational system work well and why?

 Which aspects would I like to improve, and why?

 Who else uses my records and how do they use them?

 What resources do I have to assist me (for example: database programs, interns, etc.)? Top

Record Identification Chart

Use the following chart to identify the types of records your company creates, how they are used, and how they are currently organized. This outline will give you a sense of whether your current organizational systems meet your needs.

Type of Record What is it used for? Who uses it? Where is it? Example: Performance photographs Promotional materials Marketing department Saved on office computer and back-up hard drive, arranged by work

Example: Performance videos Promotional

materials; restaging work Marketing department; Artistic director On shelf in office, arranged by work

Example: Contracts with dancers Reference for future

contracts Production manager In top drawer of filing cabinet in office, arranged by work and dancers’ last name Creative materials: Choreographic notes Costumes

Musical scores and CDs Performance videos Photographs

Rehearsal videos Set pieces

Production materials:

Administrative/travel details for engagements

Auditions Correspondence

Engagement contracts and technical riders

Production binders

Production details for each tour/venue

Promotional materials:

Posters Programs

Press Clippings: articles, profiles, announcements, etc.

Press Clippings: reviews Newsletters

Organizational materials:

Board minutes and correspondence Contracts with photographers/videographers/ other collaborators Insurance Leases

Tax and financial, including audits

Education materials:

Curricula/teaching materials Educational marketing kits

Development materials: Correspondence Donor records Grant applications Grant follow-ups Other: Top

Physical Records: Organization and Storage

When creating a system for organizing your physical records (programs, posters, photographs, videotapes, contracts, tax forms, etc.) consider the ways in which you use these records. For example, you will probably look for creative records such as choreographic notes, rehearsal videos, set designs, etc. first by work and then by date. The table below outlines suggestions for ways in which you might want to organize your records.

Separate materials by format (i.e. group all programs together, all tapes together, etc.). This will help both with consistency in organization and description, and also in preservation. By keeping like materials together, you can better control the conditions in which they are stored. The table below outlines best practices for storing your records.

Organization

Best Practices:

 Consistency is key. No matter what system you develop for organizing your records, it is important to maintain consistency in the system across time and personnel to avoid lost or duplicate records.

 Clearly identify, label, and date all items and storage containers in easy to understand and consistent terms.

 Develop a standard set of names and phrases to describe works, events, and places (this is called a controlled vocabulary.) This will help you to avoid labeling and filing items related to the same topic in different ways, thus making it difficult to locate materials.

 Once you create a system for organization and description, create a written document describing the system to include in staff and volunteer orientations.

Organizational Systems Chart Examples

The following table provides suggestions for how you might want to organize your records. The first column lists types of materials you may choose to group together. Use the second column to brainstorm alternative ways to organize your materials.

These are just a few ways you may choose to organize your materials; the most important aspect of an organizational system is that it makes sense for the company and is simple to maintain. Use the Record Identification Chart above to see how you are currently organizing your records and how you can expand or refine those systems to better meet your needs.

Creative materials Option 1 Option 2

Choreographic notes Work→ Date

Costumes Work

Musical scores and CDs Work→ Composer

Performance videos Work→ Date

Photographs Work→ Date

Rehearsal binders Work→ Date

Rehearsal videos Work→ Date

Set pieces Work

Production materials:

Administrative/travel details for engagements

Tour Date→ Presenter

Auditions Work→ Last Name, First

Name

Correspondence Correspondent’s Last

Name, First Name→ Date Engagement contracts and technical

riders

Tour Date→ Presenter

Production binders Work

Production details for each tour/venue

Tour Date→ Presenter

Promotional materials:

Posters Date Work→ Date

Programs Date Work→ Date

Press Clippings: articles, profiles, announcements, etc.

Press Clippings: reviews Work→ Date

Newsletters Date

Organizational Materials:

Board minutes and correspondence Date Contracts with

photographers/videographers/other collaborators

Last Name, First Name/Company Name

Insurance Company Name

Leases Company Name

Personnel files, including contracts Last Name, First Name Tax and financial, including audits Date

Education Materials:

Curricula/teaching materials Date Educational Marketing Kits Date

Development Materials:

Correspondence Donor/Funder’s Last Name,

First Name→ Date

Donor records Donor’s Last Name, First

Name→ Date

Grant applications Funder→ Date

Grant follow-ups Funder→ Date

Controlled Vocabularies

The following table provides suggestions for terms you might want to use to describe your records. Using a consistent set of terms will help you to avoid labeling and filing items related to the same topic in different ways, thus making it difficult to locate materials.

Formats

Resource Type Physical Electronic Location Copyright Press Clipping Print, 8.5 x 11 Raster Image/Photo: Admin desktop,

[directory\file]

[Company Name]

Rehearsal Photo Print, 8.5 x 14 JPG Admin laptop,

[directory\file]

Agreement on file

Rehearsal Video Print, large format PSD Co. Manager desktop,

[directory\file]

Unknown

Interview Audio Photo negative GIF Development laptop,

[directory\file]

Interview Video Photo slide TIF Exec. Director's

laptop, [directory\file]

Performance Photo Canvas JP2 Artistic Assoc. laptop,

[directory\file]

Performance Video CD Vector Graphic: Old hard drive,

#_____, [directory\file]

Press Photo DVD AI Backup hard drive,

[directory\file]

Press Video VHS SVG DVD binder

Donor Event Photo DVCAM CDR Master videotape box

#_____

Donor Event Video Mini DV INDD Master DVD box

#_____

Education Photo 3 1/2" disk Audio: Performance files

Education Video Zip disk MP3 Engagement

administrative/legal files

Costume Minidisc WAV Education files

Set Piece AAC Company legal files

Program Video: Company

administrative files

Venue Brochure MP4 Company personnel

files

Poster AVI Production binder

Souvenir WMV Rehearsal binder

Educational Material DAT c/o Artistic Associate

F4V c/o Rehearsal Director

FLV c/o Merchandising Director MOV Storage Document: PDF DOC XLS WPD Top

Storage

Best Practices:

 Store materials in a cool and dry environment with adequate ventilation.

 Do not store materials in attics, basements, near water pipes, or in hot and damp places.

 Use metal shelving, and do not place materials directly on the floor.

 Store oversized items flat, not rolled, when possible.

 Make sure magnetic tape (audio and video) is tightly wound and stored upright with the wound side down.

 Do not expose materials to unnecessary light.

 Minimize the use of staples, glue, rubber bands, and other adhesives.

 Dust and inspect materials periodically for signs of mold.

 Identify and date each item directly on the item itself, using pencil on paper materials, and an acid free archival marker (not a Sharpie) on other materials; labels can be added to tapes using archival cloth tape and acid-free marker.

Audiotapes  Store on edge, never flat

 Always rewind completely

 Minimize exposure to dust

 Do not stack

Books  Avoid strings and rubber bands

 Store vertically next to similarly sized

materials if possible, and use bookends large enough to support the book

 Protect from light and moisture

Diskettes/Minidiscs/Zip disks  Copy files to a hard drive

 Back up to at least two copies

 Store copies separately and minimize

exposure to dust

DVDs/CDs  Have at least three copies: one “master,”

one “duplicate master” from which you make copies, and one “use” copy

 Store copies separately, and store masters

vertically in jewel cases

 Use an acid--‐free, archival marker (not a

Sharpie) to mark the discs, keeping

completely to the clear inner ring (best) or to the outside edges of the CD/DVD

 Do not use stick-on labels

Email  Print out important emails and file with

other paper correspondence

Hard drives  Back up to at least two copies

 Whenever possible, migrate files from old

computers to new hard drives

 Store copies separately and minimize

exposure to dust

 Add permissions to files so they cannot be

overwritten or altered; quarantine high-resolution copies of photo and moving image files

Magazine articles and magazines  Fold as little as possible

 Do not tape, clip, staple, or rubber band

together

Newspaper clippings  Make copies, or scan and make prints as

soon as possible, and discard originals

 Make sure your copy/scan includes

information on the newspaper title and date

Paper (8x11 or 8x14 or smaller, including programs and brochures)

 Avoid adhesives

 Fold as little as possible

 Do not tape, clip, staple, or rubber band

together Paper (large format, such as posters, light

plots)

 Store flat (horizontal) in a map drawer or

portfolio

Photo prints/negatives/slides  Store each photo separately in archival

sleeves made of polyethylene or polypropylene

Videotapes  Store on edge, never flat

 Always rewind completely

 Minimize exposure to dust

 Do not stack

Digital Records: Organization and Storage

Introduction

For many individuals or small companies, systems for managing digital records were developed haphazardly as electronic record keeping and communication became increasingly prevalent. As greater numbers of digital records are created and accumulated, more people begin to interact with the system, and file formats and hardware become obsolete, informal

organizational systems are no longer sufficient. Implementing a formal records management program for your digital records, either from scratch or restructuring a current system, may seem daunting. In the long run, by implementing a simple organizational structure and standardizing file names you will be able to increase efficiency in administration, find the records you need to promote your work, and ensure that your legacy is not erased with a crashed hard drive or obsolete file formats.

Filing Structure

Developing a structure

The organizational systems that you use for filing your paper materials may not be the best system for filing electronic records. Quantity, duplication, alterability, and differing file types are only a few of the ways electronic records differ from paper records and therefore demand differing systems of organization and identification.

Filing structures should reflect your organization’s activities and how you use your files, so that most records will have a clear home. It is important to develop a system that is simple and intuitive so that you and your staff are inclined to use it! Before you create your filing system, create a list of your organization’s departments and/or functions. Some examples of this could be:  Creative  Development  Education  Financial  Human Resources  Public Relations

After you have established your top level of folders based on departments or functions, create a second level of folders based on activity or project. Some examples of this could be:

Best Practices

 Don’t make the organizational system so individualized that people who come after you won’t be able to take it over. Before instating a new system, discuss it with your staff and volunteers to make sure that it is easily understandable and useable by all.

 If your organization has several staff members or volunteers managing records, define clear roles and responsibilities.

 Having a policy or system in place does not mean that others will follow it. When instituting the system, or training new staff or volunteers, make sure they understand the importance of the system and how it will help them and the organization in the long run.

File Naming Conventions

Establishing a standard format and set of guidelines for naming electronic files will aid organization and make it possible to identify the content of the document without opening it. While it is helpful to determine a shared system that everyone follows, it is more

important that the titles be clear, consistent, and meaningful rather than overly prescriptive and formalized. It will be helpful to establish a standard set of names and phrases to

describe works, document types, and creators (this is called a controlled vocabulary.) This will help you to avoid labeling and filing items related to the same topic in different ways, thus making it difficult to locate materials.

 Include DATE, DESCRIPTION, and CREATOR in file names

o For example, “2013_05_16_mellongrantapplication_mfw.docx” o “2005_program_nutcracker.psd”

 Include DATE, WORK, LOCATION, PHOTOGRAPHER, and NUMBER IN SERIES in photograph names

o “2005_nutcracker_oakland_smith_.004.tif”

 Use lowercase letters when possible

 Eliminate spaces between words, periods, and backslashes in the file name to minimize potential OS and software problems.

 Dates should be yyyy_mm_dd

 Develop a system for establishing version control

o Numerical indicators such as 1_0, 1_1, 1_2, …, 2_1, 2_2, … o Phrases such as “draft,” “review,” and “final”

o For example, “2013_05_16_mellongrantapplication_mfw_draft.docx” o Or, “2013_05_16_mellongrantapplication_mfw_1_3.docx”

 Create a document outlining your file naming conventions, and share it with all staff and volunteers.

Email

Email is often perceived as different from other types of electronic records; it is subject to highly individualized systems of organization and not incorporated into shared filing structures. Not all emails need to be saved outside of the email client and into the filing system, but many relevant records and correspondence are rendered inaccessible when they remain only in email. Developing a shared understanding of what constitutes an importantemail to save will ensure that significantorganizational decisions and transactions will remain accessible to everyone even after the current staff members move on or in the event of a malfunction with the email client.

Best Practices

 Consider saving email messages that:

o Need to be forwarded for information purposes

o Contain discussions relevant to internal operational systems o Contain information about business transactions

o Contain information about hiring or firing staff or volunteers o Contain information about or discussions with funders or donors

 Determine who is responsible for saving email messages to the filing system o For internal messages, the sender of the email

o For messages sent externally, the sender of the email

o For external messages received by one person, the receiver of the email o For external messages received by more than one person, the person

responsible for the area of work related to the message

 Use meaningful titles in the “Subject” field of the email

 When saving emails to the filing system, file them with related materials (i.e. save email correspondence with a donor in the “Development” file) and follow established file naming conventions

 Provide clear direction to staff and volunteers regarding when and how to save an email into the filing system

Cloud computing

Cloud computing is a technology that allows you to store and access digital records on multiple servers and through the Internet. Cloud computing is a useful tool when working

collaboratively, working from home or on the road, or sharing documents and files with others. While this freedom to share and collaborate on documents can be conducive to productivity, it also means that files can be easily changed, removed, or deleted by others. It is important to implement a records management plan within these cloud-computing environments so that you are able to maintain control over the documents that are important to your organization.

Best practices

 Be selective when granting editing permissions.

 Be consistent in your organizational and file naming systems. Follow the same

organizational structure and naming conventions in the cloud as you do on your own server. This will help in locating documents across platforms.

 Save copies of final documents onto your server. Saving final copies of documents will ensure that future revisions, accidental deletions, or the termination of a user account will not jeopardize the document. These documents should be saved in the filing structure.

 Before a user account is terminated, make sure other users will be able to retain access to important emails, documents, calendars, etc.

Preservation and Storage

The most important thing you can do to protect your digital records is to regularly back up your hard drive. An external hard drive is the most reliable format for creating your back-ups. Store these hard drives in as geographically diverse areas as possible. For example, consider sending a back up hard drive to a board member located in a different city or state. CDs, flash drives, and online services can be used as temporary forms of back-up, but do not rely on these types of media for long term storage as they may become obsolete or inaccessible.

Keep these materials in a cool and dry location away from dust and water pipes. Be sure to save one copy of your records on a hard drive that you do not access on a regular basis. Top

Inventories

An inventory not only helps you locate your materials, but it is vital when calculating insurance, applying for funding to work on collections, transferring your files to another organization, or developing a disaster plan. Listed below are sample fields to choose from when you are creating your inventory. By selecting the fields that are relevant to your needs you have the flexibility to develop an inventory only as detailed as you need. Think about how items are already labeled and how that information can be transferred to a spreadsheet as you develop your inventory template.

Best Practices

 Create separate Excel spreadsheets for different materials for large inventories or one sheet with different sections.

Fields:

Choreographic Work

Use a standardized name of the work from your controlled vocabulary, or what was written in the program

Condition

Describe visual damage

Creator

Include choreographer, designers, videographer, etc.

General Notes

Include information that does not belong in previous fields that could help when searching for an item

Date of Creation

Use a standardized format, can be specific or a range

Generation

Possible entries are: raw footage, edited original, master, copy

Location

Possible entries are: Room Name, Drawer #, Box #

Material Type/Format

Place of Performance

Include theatre/venue name, city, state, and country

Storage Specs

Describe format of physical storage

Title of Item

Title of item, Work, or other unique description

Unique numbers

All audiovisual items should receive a unique identifier for inventory purposes and item-level processing. If you already have a system that is clear and easy to use, don’t feel that you need to redo anything. If you are starting from scratch, here are some suggestions for designing a system. Most importantly, find a work flow that is efficient and clearly identifies your materials.

 Start your unique identifier with the acronym for your organization (e.g., DTH for Dance Theatre of Harlem). The letters will help identify the item if it is borrowed or moved. Also, the letters prevent confusion if the item or label is upside-down.

 After the acronym, use a 4 or 5 digit number sequence depending on the number of tapes in your collection.

 The first digit can represent the format of the item. So 1 = VHS; 2 = Mini-DV; 3 = Beta-SP; etc.

 The next 4 or 5 digits are unique to that item and can go from 001 or 0001 to 999 or 9999.

 Following the system above, numbers may look like ABC_20020, indicating the ABC company's 20th tape in Mini-DV format

 If you have tapes that are copies or excerpts of other items, you should use your

numbering system to reflect relationships. Keep the system simple and standard across all your items.

Volume

List how many items you possess, i.e. 1 box, 1 folder, 25 CDs Top

Paper Materials

Field Example

Location Back Office, File Cabinet 4

Title of Item Office Lease

Material Type/Format Office files/Paper

Volume 2 folder Choreographic work Place of Performance Date of Creation 1988-1995 Creator Condition General Notes

Photo Materials

Location Artistic Associate’s laptop

Title of Item Dance of the Devil

Material Type/Format jpg

Volume 1 set of 45 images

Choreographic work Dance of the Devil

Place of Performance Tan Theatre

Date of Creation 2000/0716 Creator A. White Condition General Notes

Video Materials

Location Media Room, Box 7

Unique Number DVD_1-10

Title of Item Dance ABC

Material Type/Format Rehearsal DVDs

Volume 10

Choreographic work Dance ABC

Place of Performance Organization HQ, Studio Z, Washington, DC

Date of Creation 2005/06

Creator Jane Doe (choreographer)

General Notes Julie White (lead)

Generation Raw footage

Costume Materials

Field Example

Location External storage site

Title of Item Costumes for “Divine”

Material Type/Format costume

Volume 15

Choreographic work Divine

Place of Performance

Date of Creation 1998/07

Creator A. Kotler

Condition Hole needs to be sewn

General Notes

Digital Materials

Field Example

Location Cab 1, Shelf 2

Unique number 1

Title of Item Old computer files

Storage Specs Lacie 2TB hard drive

Material Type/Format Scripts and writings

Volume 1.52 TB Choreographic work Place of Performance Date of Creation Creator Condition General Notes

Audio Materials

Location LIB-1, Drawer2-13.1

Unique number AUD-57

Material Type/Format Volume

Choreographic work Place of Performance Date of Creation

Creator Bizet, composer

Condition General Notes

Generation Copy

Top

Record Retention and Destruction

Once you determine what records your company has, you can use that information to develop a records retention schedule. The following document is intended to provide guidance in developing your company’s document retention and destruction schedule. Statutes of

limitations and state and government agency requirements vary from state to state, therefore each organization should carefully consider its requirements and consult with legal counsel before adopting a Document Retention and Destruction Policy.

SAMPLE

Document Retention and Destruction Schedule

Electronic documents should be retained as if they were paper documents. All electronic documents that fall into the following document types should be maintained for the

appropriate amount of time, after which they should be deleted from individual computers, databases, networks, and backup storage.

Organizational:

Incorporation Documents: articles of incorporation, bylaws, mission statement

Permanent Tax-exemption Documents: application for

tax exemption, IRS determination letter, state determinations

Meeting/board documents including agendas, minutes, etc.

Permanent Human Resources:

Payroll records and summaries (including W-2’s, 1099’s, 941’s, state reports)

7 years

Personnel records Permanent

Employee’s W-4 form Entire time it is in effect plus 3 years Records of employee exposure to hazardous

materials or conditions

30 years after termination of employment Workers comp claims (after settlement) 7 years

Employment applications 3 years

Retirement plan benefits Permanent

Employee handbooks Permanent

Employee orientation and training materials 7 years after use ends

Timesheets 7 years

Withholding tax statements 7 years Real Estate:

Deeds, mortgages, contracts and leases still in effect

Permanent Contracts, mortgages, notes, and leases

(expired)

7 years Insurance Records:

Insurance records, current accident reports, claims, policies, etc. (active and expired)

Permanent Financial:

Audit report by outside CPA Permanent

Payroll records 7 years

Check register and checks 7 years

Bank deposits and statements 7 years

Chart of accounts 7 years

General ledgers and journals (includes back reconciliations)

7 years Investment performance reports 7 years

Equipment files and maintenance records 7 years after disposition

Contracts and agreements 7 years after all obligations end Correspondence regarding important matters Permanent

Technology:

Software licenses and support agreements 7 years after all obligations end Operations:

Ticket stubs Until FY audit is completed

Miscellaneous internal reports 3 years Miscellaneous historical records Discretionary Contracts (still in effect) Contract period

Correspondence (general) 2 years

Correspondence (legal and important matters)

Permanent Trademark registrations and copyrights Permanent Development:

Grant applications Duration of grant plus 5 years Grant compliance documentation Duration of grant plus 5 years Donor history-detail 5 years from last gift

Artistic:

Correspondence (important matters) Permanent

Archival video Permanent

Production Files Permanent

Programs Retain 3 copies permanently

Calendars Permanent

Top

Additional Resources

Physical Storage and Preservation

The Northeast Document Conservation Center offers storage advice for a variety of paper records.

http://www.nedcc.org/free-resources/preserving-private-and-family-collections/caring-for-private-and-family-collections

The American Institute for Conservation of Historic and Artistic Works

http://www.conservation-us.org/index.cfm?fuseaction=Page.viewPage&pageId=497&parentID=472

Digital Storage and Preservation

The Library of Congress’ Personal Archiving: Preserving Your Digital Memories website provides simple and practical strategies for preserving digital photographs, audio, video, email, personal digital records, and websites.

http://www.digitalpreservation.gov/personalarchiving/

File Naming Conventions and Electronic Records Management

Best practices for file naming from the North Carolina Department of Cultural Resources http://www.records.ncdcr.gov/erecords/filenaming_20080508_final.pdf

Electronic records management and file naming guidelines from the Minnesota State Archives http://www.mnhs.org/preserve/records/electronicrecords/erfnaming.html