Transcript Records Retention and Archival Policy (BU-PP 038)

Training Session
January 7, 2013
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Background on the Policy (Juan)
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Policy Roll-out Process (Pattie)
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Records Management Self-Assessment (Amanda and John)
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Policy website and other sources for support (Juan)
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Next Steps (Juan)
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Regents Approved in February 2012
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Purpose
◦ Identification
◦ Preservation
◦ Collection
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Benefits:
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Streamline storage costs
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Spend less time and money managing data
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Greater ease in finding important information
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Streamline response to litigation or investigations
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Committee Composition and Meetings
Development of the Records Management
Self-Assessment
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Overview
◦ What records do you have?
◦ Where are the records located?
◦ What records do you have to keep?
◦ How do digital records factor in to this?
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Financial—invoices, P-card, contracts
HR—applications, personnel files, immigration
documentation
Faculty—tenure review notebooks, curriculum action,
student disciplinary
General—meeting records, reports, photos and AV
materials, policies, office publications
Other—what records are unique to
your office?
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Paper or digital? Consider how both are kept (and security
needs).
Are records centrally managed or for each, his/her own?
(physical files AND servers)
Can you easily find records when you need them?
Do you use off-site storage, microfilming, or imaging? Do
you transfer records to the University Archives?
Does your office keep records that are the primary
responsibility of another office? (personnel files, invoices,
etc.)
Do other offices maintain records that ultimately are your
responsibility?
How do you know when to keep, transfer or destroy records?
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Record: recorded transactions of Baylor’s activities
and affairs, in any format (including without
limitation paper, electronic and audiovisual
materials), both created and received by Baylor
See Records Retention and Archival Policy and
Common Record Guidelines—but each office
should prepare its own retention policy to address
its unique records
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Whatever retention needs apply to paper also apply to
born-digital records
ITS backups
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Regular backups do occur of systems like TRAX and
BANNER
Desktop computer backups—kept from 30 days of
creation (especially important when handling employee
exits)
Exchange (email) server backups—kept from 14 days of
creation
Employees are ultimately responsible for their own
recordkeeping practices
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Emails are records which may contain evidence of
official University actions, decisions, approvals, or
transactions.
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Most received and sent emails have a very temporary
value—but some are very important.
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Preliminary drafts
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Routine replies/requests for information
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Emails sent as reference or for informational
distribution*
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Emails used to schedule meetings
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Announcements*
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Acknowledgements
*assuming this information is documented elsewhere
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Consult the Appendix to the Records Retention and
Archival Policy and Common Records Guidelines. Also
consider your office’s needs in retaining emails for
reference as you prepare a retention schedule.
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Email records might include:
◦ Policy and procedure directives
◦ Instruction regarding the implementation of substantive
decisions regarding matters of University business
◦ Legal or audit issues
◦ Approvals for purchases or other actions to be taken
◦ Final reports or recommendations
◦ Receipts for purchases made electronically
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How to keep email
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Retain electronically (preferred): Use Outlook’s Archive feature to
save emails in local digital folders and retain searchability. The
employee is responsible for ensuring that the email remains
accessible (for all who need it) for the full retention period and that it
is backed up.
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Print and file: Lose keyword search capability and ability to use links,
possible loss of attachments or understanding of back-and-forth
dialogue; can promote sharing with colleagues as necessary
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Consult with the University Archivist if you believe your office has
emails that belong with the office’s records in the Baylor University
Archives
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Website - http://www.baylor.edu/ia/
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Training Sessions (Dates TBD)
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Internal Audit & Management Analysis
◦ 710-3867
◦ [email protected]
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Keep a record of all your hardware & software (so
you know how to access old file formats and such)
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Keep your records retention schedule current
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Be aware of electronic “footprints” – delete does
not always mean delete (contact ITS for guidance)
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Stop any document destruction on receiving
notice of any legal/audit action
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Implementation deadline
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Sources for assistance
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Internal Audits