Data hoarder or minimalist:Data hoarder or minimalist:Which one are you?Which one are you?

Theresa SemmensRecords Management Director

Chief IT Security Officer

Dawn CoteITD Records Management, Information Management Analyst

Michael J. RobinsonLibraries, Associate Director

Rhonda KitchRegistration & Records Registrar

AgendaAgenda• Introductions - Who are we (Theresa Semmens)• What is Records Management (Dawn Cote)• Why it’s important (benefits) (Dawn)

– Compliance – Legal/Audit, litigation holds (Theresa)• Open records/related laws (FERPA) (Theresa/Rhonda Kitch)• Where we’ve been (history) (Mike Robinson)• Where we need to go (Mike)• Areas of Focus (annual disposals) – Dawn• Archival records (part of disposal process) - Mike• Institutional Records (i.e. Student and Business records) -

Rhonda• Q & A

NDCC 54-46: NDCC 54-46: Records ManagementRecords Management

• Outlines requirements for a standard Records Management Program

• Includes definitions, duties, and guidelines for management, categorization, retention, disposal, and preservation of records (in all formats).

• Defined: The systematic control of records throughout their lifecycle (from creation/receipt to final disposition).

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Records and Information Records and Information ManagementManagement

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What is a Record?What is a Record?

• A document is a record if:• Your office created it.• Your office acted on it.• Your office received it for action.• Your office is designated as the custodian (record-

holder).• Your office needs it to document decisions.

• EXAMPLES: Meeting minutes, accounting files, budget files, correspondence, personnel files, insurance policies, contracts, project files, etc.

NDCC 54-46-02 says “A document, book, paper, photograph, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.”

What is What is NotNot A Record? A Record?

• Library and museum material made or acquired and preserved solely for reference or exhibition purposes.

• Stocks of publications (i.e. forms, brochures)• Rough drafts• Tapes – Throw once transcribed into final format• Extra copies of documents retained only for

convenience of reference.

– NOTE: Reference copies should not be kept longer than the record.

Why is Managing Records Why is Managing Records Important?Important?

• Decision-making

• Provide proof of existence, activities, processes.

• Identify and preserve essential records in event of emergency/disaster

• Meet fiscal, historical, legal, confidential and administrative requirements

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• Fire, flood, lawsuit, have to recreate something…

Not important until Not important until something happens…something happens…

Records in the News!Records in the News!

Headlines:

• “Spiteful Worker Deletes Files Worth Millions” – Engineering Firm in Florida

• “Stolen laptop causes panic for more than one million current and former military personnel.” – Veteran’s Administration

• “Arthur Andersen: One of the world’s most reputable accounting firms is forced into bankruptcy for a dispute over its policy for shredding information during the ongoing audit of a company.” – Associated with Enron case

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Student Records & ComplianceStudent Records & Compliance• Student records are records directly related to a student and maintained by an

educational agency or institution.• Family Educational Rights and Privacy Act of 1974 (FERPA), related federal and

state laws, and accrediting body guidelines have created an increasingly complicated regulatory environment.

• Society’s personal privacy expectations and ongoing changes in technology continue to impact practices and policies in student records management.

• “Protecting student privacy is paramount to the effective implementation of FERPA. All education data holders must act responsibly and be held accountable for safeguarding students’ personally identifiable information from education records” (Education, Federal Register Online via the Government Printing Office, 2011).

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Student Records & ComplianceStudent Records & Compliance

• Laws and regulations related to student records could include these various federal agencies: Department of Education, the Veterans Administration, Public Health Service, Internal Revenue Service, Family Policy Compliance Office, and the Department of State.

• Compliance also means following through with final disposition of records in accordance with the records schedule.

• Not following the final disposition requirements exposes the institution to increased liability risks.

Open Records Open Records • NDCC 44-04, Duties, Records, and Meetings

– Public Record: Any Communication with a public entity or official relating to public business, including minutes, memos, reports, outlines, notes, and other information kept for or relating to official business or public funds, regardless of format or location, including video & audiotape, computer data, emails, and photographs, employee salary and job performance records, financial records, telephone records, and travel vouchers

• www.ag.nd.gov/openrecords/orsummary.pdf

Exempt Records

• May be withheld at the discretion of the public entity

Confidential Records• Cannot be released

– Includes health, personally identifiable information, financial information such as bank account and credit card information, etc.

Litigation Hold

• A process that NDSU may use to preserve all forms of relevant information when litigation is reasonably anticipated

• The General Counsel’s office is responsible for determining when a litigation hold is required

• Failure to follow can result in employee discipline and possible loss of employment

NDSUNDSURECORDSRECORDS

MANAGEMENTMANAGEMENT INITIATIVE INITIATIVE

20142014

Records Management at NDSURecords Management at NDSU• In 2007 we began to institute a

comprehensive records management program at NDSU as directed by the NDSU President’s Office.

• WHY was the first question asked by many and there are a number of reasons, some of which have been mentioned. Briefly:

1. Law – There are Federal and State laws that require organizations to institute records policies and

procedures that mandate good records management practices.

2. Policy – NDSU Policy 713: Records Retention, which was created in compliance with four sections of the North Dakota Century Code, purpose is to limit liability and increase information security, to preserve vital information, and to save storage

space and improve access. The objective of the records management program is to assist university units in managing records through the entire record lifecycle. As a state institution, the various records produced in the daily course of business at NDSU are subject to state and federal laws/ regulations, including access restrictions, retention and disposal

3. Security and Liability – Federal and State law, as well as institutional policy warrant best practices for data privacy, retention, and disposal of personal, financial, and legal information.

4. Space/Access/Storage – Sound record managementpractices have the potential of feeing up space in your work area, reducing staff time and

maintenance, better access to information, and keeping the work environment safe.

Additional “Whys” for 20145. The process was not completed! There was and still is uncertainty of what to do with the records. Do we send them to the NDSU Archives? How do we do that? Are there forms for this? Who do we contact? Do we keep the records? Where do we keep the records? Do we dispose of the records? How do we do that? Are there other forms I need to use? Who do we contact? ALL OF THESE QUESTIONS AND OTHERS WILL BE ANSWERED.

Training of Unit Record Training of Unit Record CoordinatorsCoordinators

• We have set up three training days in October in the Arikara Room on:– October 21st – 3:00-4:00– October 22nd – 10:00-11:00– October 29th – 12:00-1:00

• More information on sign-up for sessions will be provided shortly.

Areas of Focus – Areas of Focus – NDSU ResponsibilitiesNDSU Responsibilities

• Coordinate/Partner with ITD Records Management and internally:

• Annual records disposal (sent in July, due June 30th following year)

• Keep retention schedule current (new/obsolete programs, retention timeframe changes, legal or confidential requirement changes, etc.)

• Ensure compliance to forms program

• Training/Communications

• Follow established procedures when transferring records to the NDSU Archives

• Coordinate alternative records management projects (i.e. scanning projects, forms, filing, etc.)

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NDSU ArchivesNDSU Archives

–There are over 40 record series in the NDSU Records Retention Schedule that go to the NDSU Archives. This is at the end of their life-cycle and these series have been judged to have enduring value and are to be keep permanently. –When you come to a series that goes to the NDSU Archives, you need to contact the Archives at 231-8877 to give them a heads-up and go to the following page to complete the transfer form: Transfer to Archives

Sample Types of Records transferred to Sample Types of Records transferred to NDSU Archives NDSU Archives

Includes such items as:Annual reports

Executive correspondence

Departmental files (used to make a decision)

Newsletters/publications (prepared by department)

Grant proposals

Program evaluations

Staff personnel files

Accreditation reports

Meeting minutes

Institutional RecordsInstitutional Records– Guaranteeing compliance with regulation and best practice

often means concurrently managing cross-disciplinary particular requirements, such as accounting, financial aid, and information technology.

– The dispersed nature of student records makes it challenging to ensure practice aligns with policy.

• Essential to have an institution-wide effort of training and best practices

– Ideally, one records schedule timeframe should apply to all aspects of the student record.

• It is simpler to manage disposal of records if record type can be treated as “whole”

– Departmental cross relationship awareness• Non-permanent academic records – retained for 5 years after last

date (semester) of attendance• Student disbursement records – retained 3 years after current fiscal

year• Student financial aid records – retained 4 years after action taken

Discussion Questions

Who is Responsible for Who is Responsible for Managing Records?Managing Records?

Each and every Each and every one of us !!!one of us !!!

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Questions?Questions?

Records Management Websitewww.ndsu.edu/recordsmanagement/

Email: ndsu.recordsmanagement@ndsu.edu

Office: IT Security QBB 210DTheresa SemmensCeCe Rohwedder