Records Management Overview
description
Transcript of Records Management Overview
Records Management Records Management OverviewOverview
Why?Why? It’s theIt’s the LawLaw It’s University It’s University PolicyPolicy Fiscal and Legal Fiscal and Legal ComplianceCompliance Reduced Reduced CostsCosts and Increased and Increased EfficiencyEfficiency Preserve the Institutional Preserve the Institutional MemoryMemory
What’s in it for me?What’s in it for me?
More organized and efficientMore organized and efficient Easily find and retrieve recordsEasily find and retrieve records Less work for supervisorsLess work for supervisors
What is Records ManagementWhat is Records Management??
Systematic control of recorded information, Systematic control of recorded information, regardless of format, from the time a record regardless of format, from the time a record is created until its ultimate disposition.is created until its ultimate disposition.
Terms and FormsTerms and Forms
Retention ScheduleRetention Schedule Record SeriesRecord Series Transmittal FormTransmittal Form Records Destruction CertificateRecords Destruction Certificate
Retention ScheduleRetention Schedule
Different Different typestypes of public records. of public records. How How longlong records must be kept. records must be kept. When or When or ifif records may be destroyed.records may be destroyed.
Record SeriesRecord Series
……Basic unit for organizing and Basic unit for organizing and controlling files. controlling files.
It is a group of files or documents kept together (either physically It is a group of files or documents kept together (either physically or intellectually) because they relate to a particular subject or or intellectually) because they relate to a particular subject or function, result from the same activity, document a specific type function, result from the same activity, document a specific type of transaction, take a particular physical form, or have some other of transaction, take a particular physical form, or have some other relationship arising out of their creation, receipt, maintenance, or relationship arising out of their creation, receipt, maintenance, or use (use (36 CFR 1220.14). ).
National Archives National Archives
http://www.archives.gov/records-mgmt/faqs/federal.html#serieshttp://www.archives.gov/records-mgmt/faqs/federal.html#series
Schedules used by NKUSchedules used by NKU
State University Model Records Retention State University Model Records Retention ScheduleSchedule
General Schedule for Electronic and General Schedule for Electronic and Related RecordsRelated Records
State University ModelState University Model
Identifies records by series, title, Identifies records by series, title, function and content.function and content.
Gives retention time and disposition Gives retention time and disposition instructions. instructions.
Provides legal authority to destroy Provides legal authority to destroy records.records.
ProcessProcess
DetermineDetermine the the type of record – type of record – ContentContent matters not the formatmatters not the format
LocateLocate the series on the records schedule the series on the records schedule
ApplyApply the retention period to your records the retention period to your records
A–Z IndexA–Z Index
KDLA WebsiteKDLA Website
http://www.kdla.ky.gov/recmanagement/schedules/kyuniversitymodel.pdf
University Records FormatsUniversity Records Formats
Paper FilesPaper Files
Electronic RecordsElectronic Records
Video TapesVideo Tapes
Audio TapesAudio Tapes
Printed PublicationsPrinted Publications
Web PagesWeb Pages
PhotographsPhotographs
CD, DVD, Flash driveCD, DVD, Flash drive
Records Records RecommendationsRecommendations
GOOD vs. BADGOOD vs. BAD
Bad RecordsBad Records
Documents with:Documents with:No titleNo titleNo authorNo authorNo date, draft or version statusNo date, draft or version status
Multiple copies of a report, but missing the signed, Multiple copies of a report, but missing the signed, authorized copy.authorized copy.
Emails with subject lines that bear no relation to the Emails with subject lines that bear no relation to the current content (fw: fw: fw) current content (fw: fw: fw)
Good RecordsGood Records
Titled Titled DatedDated Labeled Labeled
Good Good
SACs committee report, 2009SACs committee report, 2009
History Dept, History Dept,
Official Correspondence, 2008-Official Correspondence, 2008-0909
(U0100, permanent) (U0100, permanent)
BadBad
Important, need to keepImportant, need to keep
Dept mailDept mail
Electronic RecordsElectronic Records
Directory and Folder StructureDirectory and Folder Structure Office wide adoption bestOffice wide adoption best
NamingNaming Establish and follow standard naming Establish and follow standard naming
conventionconvention
SecuritySecurity Control access… shared drives Control access… shared drives
Back upBack up When, what format and where stored When, what format and where stored
Filing Example for Electronic RecordsFiling Example for Electronic Records
Best AdviceBest Advice
Start immediately, even if only small steps.Start immediately, even if only small steps. Don’t create unnecessary records.Don’t create unnecessary records. Reduce duplicate copies.Reduce duplicate copies. Create and Create and useuse a file structure for all a file structure for all
records, no matter what format.records, no matter what format.
The Result:The Result:
Records that are EASY to:Records that are EASY to:
OrganizeOrganize RetrieveRetrieve PreservePreserve Delete or TransferDelete or Transfer
When your office no longer When your office no longer uses or needs a set of uses or needs a set of
recordsrecords……
4 Possibilities4 Possibilities
Inactive Temporary StorageInactive Temporary Storage Permanently Stored by Original Office Permanently Stored by Original Office Transferred to University ArchivesTransferred to University Archives Records DestructionRecords Destruction
Office MaintainsOffice Maintains
Records not actively used …Records not actively used …
but not at end of retention time.but not at end of retention time.
Permanent RecordsPermanent Records
Record TransfersRecord Transfers
Permanent Retention – those permanent Permanent Retention – those permanent records with historical significance are records with historical significance are transferred to Special Collections and transferred to Special Collections and Archives Archives
ArchivesArchives Collecting Collecting GuidelinesGuidelines
Colleges, Schools, Research Centers, Institutes & Colleges, Schools, Research Centers, Institutes & DepartmentsDepartments
Meeting minutes and agendasMeeting minutes and agendas Official correspondence – especially from department Official correspondence – especially from department
headsheads Policies, guidelines, reportsPolicies, guidelines, reports Organizational charts, staff listsOrganizational charts, staff lists PublicationsPublications Photographs-names, dates, place/eventPhotographs-names, dates, place/event Information on events, meetings, participantsInformation on events, meetings, participants Recordings of events, lectures, presentations, Recordings of events, lectures, presentations,
publicitypublicity Any other records which document/describe your Any other records which document/describe your
department, its history and functiondepartment, its history and function
Records DestructionRecords Destruction
ProceduresProcedures
Records DestructionRecords Destruction Records past their retention period can be Records past their retention period can be
destroyeddestroyed
Destruction must be documented – complete Destruction must be documented – complete the Records Destruction Certificatethe Records Destruction Certificate
ExceptionException Records with Records with litigation holdslitigation holds
Records Destruction CertificateRecords Destruction Certificate
Legal proof Legal proof ofof authorized authorized destruction. destruction.
Form is on the Records Management websiteForm is on the Records Management website
The FormThe Form
The Form...continuedThe Form...continued
Your Signature HereUniversity Archivist’s Signature Here
EmailEmail
Email: Email: What’s the Retention?What’s the Retention?
Email is a Email is a formatformat Records retention is based on Records retention is based on contentcontent EvaluateEvaluate the content of each email to the content of each email to
determine retention perioddetermine retention period
EmailEmail
Most common types of email recordsMost common types of email records
Official CorrespondenceOfficial Correspondence General CorrespondenceGeneral Correspondence Informational and Reference MaterialInformational and Reference Material
Non-business Related Non-business Related EmailEmail
SpamSpam Personal MessagesPersonal Messages Unsolicited emailUnsolicited email
EmailEmail
Delete messages that are not neededDelete messages that are not needed
Spam and other non-business Spam and other non-business messagesmessages
General Announcements-NKU All, General Announcements-NKU All, Midweek Midweek
Transitory messagesTransitory messages Informational and Reference materialInformational and Reference material
Retention for emailRetention for emailUniversitybusiness?
NoE-mailReceived
Delete or moveto another folder
Private/personale-mail
(Not saved on NKU’s server)
Yes
DetermineCategory
Informational& Reference(Transitory)
Examples:•Listserv messages•Reminder memos
General Record(Temporary)
Example:•General correspondence
•Activity reports on periodic activities
Official Record(Permanent)
Example:•Official correspondence
such as policies and procedures
Delete when nolonger needed
File and deleteaccording to
retention schedule
Save electronic copy inpermanent file on server; or
Print and file hard copy; Transfer to Archives
Retention for emailRetention for emailUniversitybusiness?
NoE-mailReceived
Delete or moveto another folder
Private/personale-mail
(Not saved on NKU’s server)
Yes
DetermineCategory
Informational& Reference(Transitory)
Examples:•Listserv messages•Reminder memos
General Record(Temporary)
Example:•General correspondence
•Activity reports on periodic activities
Official Record(Permanent)
Example:•Official correspondence
such as policies and procedures
Delete when nolonger needed
File and deleteaccording to
retention schedule
Save electronic copy inpermanent file on server; or
Print and file hard copy; Transfer to Archives
No Destruction Certificate
needed
Complete DestructionCertificate*
*Annually or Semi-annually
CompleteDestructionCertificate
May need to Complete
Transfer toArchives
form
Email FoldersEmail Folders
Filing formats examplesFiling formats examples
Email filed Email filed by project by project
or categoryor category
Email filedEmail filed byby
record seriesrecord series
Email filedEmail filed byby
retention timeretention time
Most ImportantlyMost Importantly
Find a method that works for you Find a method that works for you Use it consistentlyUse it consistently
Email: CAUTIONEmail: CAUTION
Auto ArchivingAuto Archiving Replies to listserv/___ All’sReplies to listserv/___ All’s
Email Management TipsEmail Management Tips
Be Proactive – Email does not manage Be Proactive – Email does not manage itself!itself!
Effective email management = effective time Effective email management = effective time management. management.
Is email the right tool? Is email the right tool?
Set up and use rules and filters.Set up and use rules and filters.
Slow the Flow. Slow the Flow.
Use specific and descriptive subject linesUse specific and descriptive subject lines
Restrict messages to one topic or subject.Restrict messages to one topic or subject.
Remember to…Remember to…
Manage email on content, not space quotas.Manage email on content, not space quotas.
Use folders and sub-folders; sort & categorize by Use folders and sub-folders; sort & categorize by record type or series and retention.record type or series and retention.
Keep only the last message in a chain; clear out Keep only the last message in a chain; clear out sent messages once a reply is received.sent messages once a reply is received.
Schedule time to review, move and delete files Schedule time to review, move and delete files and and stick to itstick to it! Do not use your inbox for long- ! Do not use your inbox for long- term storage.term storage.
Empty your deleted files and junk mail folders. Empty your deleted files and junk mail folders.
AndAnd
Email is a searchable record. Email is a searchable record.
Scary thought, Scary thought, …………..E-Discovery...E-Discovery.
Keep email professional, limit personal. Keep email professional, limit personal.
Would you want to see it on the evening news?Would you want to see it on the evening news?
And finally….And finally….
# 1 # 1 Records Management HintRecords Management Hint
AVOID BECOMING A FELONAVOID BECOMING A FELON!!
Ignorance is not a valid excuse!!Ignorance is not a valid excuse!!
Tampering with public records without the Tampering with public records without the authority to do so is a Class D felony authority to do so is a Class D felony
KRS 519.060 (1) (b)KRS 519.060 (1) (b)