Transcript Slide 1

Records Management Basics:
The Basics, Advanced!
March 24, 2009
Presentation Author, 2006
Why Care about RM: The Stick
• It’s the law!
– Wisc. Stats. 16.61: Public Records
– Wisc. Stats. 19.31: Open Records
– FERPA: Protect AND provide access
• Records MAY NOT be destroyed unless they are
scheduled!
Brad Houston, UWM Libraries, 2007
Why Care about RM: The
Carrot (Administrative)
Time and money saved if records are managed properly
Less need for…
1. File reconstruction
2. Long and/or fruitless search for records
3. Finding extra space (physical and virtual) in the office
Brad Houston, UWM Libraries, 2007
Why Care about RM: The
Carrot (Legal)
It Can Protect Us In Case of An Audit or Investigation
• We have legal cover if investigators seek destroyed records
• We have evidence on hand for our own legal defense
Brad Houston, UWM Libraries, 2007
Why Care about RM: The
Carrot (Historical/Archival)
It Lets You Preserve The History Of Your Department
Think about it: At our Centennial, will we still know our
history?
Brad Houston, UWM Libraries, 2007
Part I: Introduction and Useful
Definitions
Brad Houston, UWM Libraries, 2007
What is Records Management?
• The systematic and administrative control of
records throughout their life cycle to ensure
efficiency and economy in their creation, use,
handling, control, maintenance, and disposition.
– (Source:
http://www.archivists.org/glossary/term_detai
ls.asp?DefinitionKey=200)
Brad Houston, UWM Libraries, 2007
What is a “Record”?
• Records: Recorded information, in any format,
that allows an office to conduct business
– This includes emails and IMs!
– Also documents business processes
• Value of Record determined by content, not
format!
Brad Houston, UWM Libraries, 2007
Records vs. Non-records
Not everything produced by an office is a record
• Duplicate Copies
• Drafts and Informal Notes
• Routing Slips
• Personal Correspondence
Brad Houston, UWM Libraries, 2007
How do I tell the difference?
Do your records:
• Support or document a transaction?
• Document the formulation or execution of a
policy, interpretation of a policy, or change of
policy?
• Document Actions taken in response to an
inquiry?
Brad Houston, UWM Libraries, 2007
How to tell the difference, cont.
Do your records:
• Relate to the substantive business of your office
or work unit?
• Provide information regarding the historical
development of UWM programs or people?
Then Consider Them Records!
Brad Houston, UWM Libraries, 2007
Is it a Record? A 3-step test
• Is this material related to
the duties in my job
description?
• Am I, on UW’s behalf, the
creator or recipient of the
material?
• Is this the official version
of the record?
Brad Houston, UWM Libraries, 2007
If yes to all three…
It is a record!
•Public Records = Practice Records Management
Brad Houston, UWM Libraries, 2007
If no to any of the three…
It is NOT a record!
• Non-records should be removed from University business
tools and offices as soon as possible and on an ongoing
basis
Brad Houston, UWM Libraries, 2007
Records vs. Non-Records: Examples
• E-mail to contractor clarifying terms: Record!
• Memo notifying a subordinate of committee
assignment: Record!
– Sender must retain as record; recipient may
delete as appropriate
• Draft of a report: Non-Record!
– The final report will be a record, however
Brad Houston, UWM Libraries, 2007
What is a “Record Series”?
• A group of similar records that are arranged
according to a filing system and that are related
as the result of being created, received, or used
in the same activity or function
• Copies of same record may belong to different
series– determine which is original!
• Functional unit of Records Schedules
Brad Houston, UWM Libraries, 2007
What is a Records Schedule?
• Also known as Records Retention/Disposition
Authorization (RRDA)
• Prescribes length of time to keep records in an
office– this is known as the Retention Period
• Provides instructions for disposition (destroy or
transfer)
Brad Houston, UWM Libraries, 2007
A Sample RRDA
Brad Houston, UWM Libraries, 2007
General Records Schedules
• Records Schedules that apply to multiple offices
or campuses
• GRSs exist at division, campus, UW-System,
and Wisconsin levels
• Comprehensive List available on RM website
– Key GRSs: Fiscal/Payroll, Personnel, IT
Brad Houston, UWM Libraries, 2007
Specific Records Schedules
• Records Schedules for specific offices
• Currently approx. 200 offices scheduled
• List of active RRDAs available on RM website
– Contact Records Management to obtain a
copy of your schedule
Brad Houston, UWM Libraries, 2007
Part II: The Records Life Cycle
Brad Houston, UWM Libraries, 2007
The Records Life Cycle
Brad Houston, UWM Libraries, 2007
Life Cycle: Creation and Use
• Record is created
• Record is organized into a record series
– Group of similar records related by creator or
function
• Record is distributed throughout office or used,
as appropriate
Brad Houston, UWM Libraries, 2007
Creation: Your Responsibilities
• Ensure the record has all useful metadata
attached/included
– Subject, recipient, author, date, title
• Determine if record is long-term or short-term,
and create accordingly
– File format, storage/delivery medium
Brad Houston, UWM Libraries, 2007
Life Cycle: Records Maintenance
• Records are Filed in office
– See E-records presentation
for some filing hints
• Inactive Records may be
Transferred to Off-site storage
– For records which must be
retained, but which are of
little/no archival value
Brad Houston, UWM Libraries, 2007
Maintenance: Your Responsibilities
• Determine appropriate record series for files
• Classify and store records according to an
organized filing system
• Create an inventory of records
– Usually, folder-level is good enough
• Be prepared to retrieve records for various
purposes
– Administrative need? Public Records Request?
Brad Houston, UWM Libraries, 2007
A Brief Note on Filing
• Be Consistent– File similar records in similar
ways
• Establish a system early—Alphabetic?
Numeric? Chronological? Subject?
• Keep track of dispositions– Mark files by date
and type
• Keep records series separate
Brad Houston, UWM Libraries, 2007
Life Cycle: Disposition
Disposition: when records have reached the end
of their useful life for a particular office. Typically
one of three options:
• Destruction
• Confidential Destruction
• Permanent Archival Retention
Brad Houston, UWM Libraries, 2007
Disposition: Your Responsibilities
• Be aware of disposition periods of various
records series
• Make arrangements for confidential destruction,
as needed
• Prepare records with long-term value for archival
transfer
Brad Houston, UWM Libraries, 2007
Destruction of Records
• Between 95-98 percent of all records should
eventually be destroyed
• Disposition step for records with no enduring
value
• Confidential Destruction is necessary when
records contain sensitive information, such as
student or personnel information
Brad Houston, UWM Libraries, 2007
Litigation Holds
• An important exception to
retention schedules!
• Under litigation holds,
NO RECORDS in that
series may be destroyed
for duration
• Legal Affairs and/or Public
Record Custodian will
inform your office if a hold
is placed
Brad Houston, UWM Libraries, 2007
Archival Retention
• The Archives permanently
preserves records with:
– Enduring administrative
value
– Historical value
• Our goal: document the
history of UWM
Brad Houston, UWM Libraries, 2007
Part III: Electronic Records
Brad Houston, UWM Libraries, 2007
Electronic Records
• Value of a record determined by content, not format!
Electronic Record
E-mail message
E-Form template
Paper Analog
Memo, typed letter
Form master copy
Museum accessions
database
Student paper (e-mailed
or D2L-submitted)
Accession card catalog
Instant message log
Memorandum of
conversation
Brad Houston, UWM Libraries, 2007
Student paper submitted
in class or via mail
Wisconsin Admin. Rule 12
• Electronic Records must retain the following
properties throughout their lifecycle:
1.
2.
3.
4.
5.
6.
Accessible—You can find it
Accurate—Reflects the original record
Authentic—Has not been tampered with
Reliable--Always produced accurately
Legible—The letters are clear
Readable—The content is coherent
Brad Houston, UWM Libraries, 2007
How should I manage my e-recs?
Short-term/active records: PantherFile
• Versioning and Logging produces authenticity
trail
• See e-records slides for more detail on these
functions
• Coming soon-ish: fully-functional records module
within PantherFile
Brad Houston, UWM Libraries, 2007
How should I manage my e-recs?
Cont.
• Long-Term: Three Options
– On-line storage (within existing system)
– Near-line storage (exported to CD,
PantherFile, etc.)
– Off-line storage (printed out and filed)
• If historical records: transfer via
CD/PantherFile to UWM archives
Brad Houston, UWM Libraries, 2007
E-mail Records
• The most common type of electronic record
• Should be treated as regular correspondence
with respect to records responsibilities
• See e-mail presentation on RM webpage for
organization tips
• See also:
http://www.uwm.edu/Libraries/arch/recordsmgt/email.html
Brad Houston, UWM Libraries, 2007
E-mail Records Schedule
• Business Communication: Transitory
– Scheduling, mass-emails, CCs, etc.
– 7 days or end of admin value and destroy
• Business Communication: Routine
– Project correspondence, report drafts, etc.
– 6 months after end of project and destroy
• All other emails
– Retain/Dispose according to related existing
RRDA
Brad Houston, UWM Libraries, 2007
E-records Security
• Don’t take home records, or put records on a
laptop or USB device that leaves the office
• Maintain a robust password for any account with
sensitive information (FERPA info, SSNs, etc.)
• Don’t use UWM email for personal matters, or
personal email for UWM matters
• Dispose of records according to record schedule
Brad Houston, UWM Libraries, 2007
If a security breach occurs...
• Contact appropriate UWM Staff
– Information Security (x4040)
– Legal Affairs (x4278)
– Records Officer (x6979)
• Compile list of potential affected persons
– You may be asked to provide this to legal
• Don’t Panic!
– You’re neither the first nor the last to do this
– Focus on minimizing damage
Brad Houston, UWM Libraries, 2007
Part IV: What can UWM Records
Management do for you?
Brad Houston, UWM Libraries, 2007
Records Scheduling
• RM staff performs records surveys, or
assessments of scheduling needs
• If a new schedule is necessary:
– RM staff will work with your office to
determine most appropriate disposition
– The Records Officer will write an RRDA for
the approval of your Office/Department
Manager
• Schedule records as soon as they are created
Brad Houston, UWM Libraries, 2007
Records Schedule Updates
• RRDAs ‘sunset’, or expire,
every 10 years
– This allows for changes
in format, need, etc.
• Process for renewing
RRDAs same as for creating
new ones
• Most offices have expired or
soon-to-expire RRDAs
Brad Houston, UWM Libraries, 2007
Records Schedule Reference
• http://www.uwm.edu/Libraries/arch/recordsmgt/schedules.html
• Includes links to UWM General Records
Schedules, UW-System Schedules, Wisconsin
DoA Schedules
– Examples: Personnel, Fiscal/Accounting,
Payroll
• Coming soon: all schedules hosted on this site!
Brad Houston, UWM Libraries, 2007
Records Transfers
• Contact UWM Records Management for
assistance with transfers to the Archives
• To expedite processing, we suggest:
– Preliminary weeding: drafts, duplicates, etc.
– Completion of Records Transfer form–
available on RM website
– Completion of Records Inventory: know what
you’re giving to the Archives!
• See also:
http://www.uwm.edu/Libraries/arch/recordsmgt/transfer.html
Brad Houston, UWM Libraries, 2007
UWM Archives is interested in:
•
•
•
•
Subject Files (Projects, reports, correspondence)
Publications (Newsletters, posters, flyers)
Minutes (and related material in appendices)
Any other materials that “tell the story” of the
department or of the University as a whole
• See also:
http://www.uwm.edu/Libraries/arch/recordsmgt/collection.html
Brad Houston, UWM Libraries, 2007
Additional Transfer Preparation
• Folder all material– remove binders and other
unusual containers
• Box all folders and label boxes
• Maintain original order of the files according to
how they were filed in your office
Brad Houston, UWM Libraries, 2007
Records Retrieval
• Many of our clients require occasional reference
to their records after transfer
– Example: Graduate School imaging project
• Contact Records Management for assistance
with retrieval of these records.
• May be helpful to designate dept. “courier” for
records pickup
Brad Houston, UWM Libraries, 2007
Confidential Records
Destruction
• Your building may have its own shredding bin
– List at
http://www.uwm.edu/Libraries/arch/recordsmgt/confiden.htm
• If not, RM staff will pick up confidential records
for destruction
• Non-confidential records should be destroyed at
your office
Brad Houston, UWM Libraries, 2007
RM Program Assistance
• A dedicated Records Coordinator can be a great
help towards records management compliance
• Make sure that the entire office staff is aware of
their Records Management responsibilities
• Office-specific versions of this presentation
• Remote reference service– Records
Management help is a call or email away!
Brad Houston, UWM Libraries, 2007
For More Information
• Records Management Website
– http://www.records.uwm.edu
– Includes general schedules, forms, hints
• Contact Records Management
– [email protected]
– 414-229-6979
Brad Houston, UWM Libraries, 2007