records management overview. why? it’s the law it’s the law it’s university policy it’s...

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)