Records Management Basics The Basics Advanced March 24
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_detail s. asp? Definition. Key=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: 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 Museum accessions database Paper Analog Memo, typed letter Form master copy Accession card catalog Student paper (e-mailed or D 2 L-submitted) Instant message log Student paper submitted in class or via mail Memorandum of conversation Brad Houston, UWM Libraries, 2007
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: Panther. File • Versioning and Logging produces authenticity trail • See e-records slides for more detail on these functions • Coming soon-ish: fully-functional records module within Panther. File 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, Panther. File, etc. ) – Off-line storage (printed out and filed) • If historical records: transfer via CD/Panther. File 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 (x 4040) – Legal Affairs (x 4278) – Records Officer (x 6979) • 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 Do. A 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 – houstobn@uwm. edu – 414 -229 -6979 Brad Houston, UWM Libraries, 2007
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