University of Oregon Records Stewards

Procedures Builder Training

Mahnaz Ghaznavi – University Records Manager

February 19, 25, 28 & March 11, 2020

Presentation Overview

1. Why Am I Here?

2. Records Management Basics

3. UO Records Management Program

4. UO Records Management Procedures Builder (required action)

1. Why Am I Here?

• Regulations dictate not only how long, but also how well we keep documents and data

• Introducing some changes to bring us up to date

• Overview of the Records Management Program Implementation Project

Regulations address not only how long, but also how well we keep documents and data

An institution shall maintain required records in a systematically organized manner.

- Higher Education Act - 34 CFR 668.24

Oregon public bodies have a responsibility to ensure orderly retention and destruction of all public records, whether current or noncurrent, and to ensure the preservation of public records of value for administrative, legal and research purposes.

- ORS 192.001

Anyone has a right to inspect any public record of a public body in Oregon (unless there is an exception or exemption).

- ORS 192.420

Our peers have been updating their Records

Management programs

UO's Former Schedule

• Created/maintained by Secretary of State (for all state agencies, including OUS)

• Last updated 1999

• Superseded by new UO Policy signed by President Schill on July 20, 2018

UO Records Management Implementation

PLANNING & BUILDING

• Phase 1: 2017 - 2019

PROCEDURE & INVENTORY

• Phase 2: 2020

SYSTEMS & VITAL RECORDS

•Phase 3: 2021-2022

What’s Been Done?

Phase 1: Planning and Building

Approximate timeframe: June 2017 – December 2019

• Gathered requirements by meeting with units across campus

• Created a Records Management Policy specific to UO

• Created a Records Retention Schedule specific to UO

• Developed and tested procedures and tools designed to support

policy compliance – piloted programs with several units

Where Are We Now?

Phase 2: Creating an Inventory

Approximate timeframe: January 2020 – December 2020

• Designate Records Stewards to establish a community of practice.

• Records Stewards complete record-keeping procedures for their unitsProcedures due May 1

• Records Stewards oversee the completion of an inventory of all groups of paper and digital records that document the core activities in which their units engage (excluding email)Inventories due December 31

What Phase 2 is NOT

A document by document inventory

E-mail management – E-mail will be addressed in Phase 3

Reorganizing or relabeling or refiling material, digital or paper

Scanning paper to digital, although if units want to undertake this work, there are resources on recordsmanagement.uoregon.edu/scanning

Purging records – proper destruction of records will happen with training in Phase 3

Where will we be a year from now?

Phase 3: Enhancing the Inventory & Dispositioning Records

Approximate timeframe: January 2021 - January 2022

• Records Stewards guide units to add information about e-mail to inventories

• Records Stewards work with Data Stewards on software assessment tool (worksheet/template)

• Records Stewards direct the proper disposition of records using a destruction log (created from the inventory)

• University Records Manager uses Phase 2 data to partner with SRS and IS to introduce vital records program

Take-aways from this sectionIn 2020, units will be asked to do 3 things:

1. Designate a Records Steward – that's you!

2. Complete a Qualtrics survey that will be used to build basic record-keeping procedures at the unit level

3. Complete an inventory of all paper and digital records using a template (excluding email)

2. Records Management Basics

• What are records? Definitions and criteria

• Life-cycle management: Documenting how records are kept

• Records Retention Schedules: Documenting disposal

What are records?

Records

• Information created, received, and maintained

• as information and evidence of our actions or activities, and

• in pursuance of legal obligations or in the transaction of business

• “Information” includes data, documents, digital or paper, e-mail, film, audio, video, may be any format

• May be created intentionally or by-products of human-computer/machine interaction

Learn more by visiting "What to keep" tab of recordsmanagement.uoregon.edu

How do you know?

• Administrative value?• Support UO offices conduct day-to-day business

• Examples: policies and operational guidelines

• Fiscal value?• Document money received, managed, or spent

• Examples: general ledger; receipts

• Legal value?• Document the rights or responsibilities of UO or its personnel

• Examples: signed contracts; land titles

• Research value?• Document key activities, programs, decisions, or milestones

• Examples: accreditation reports; senate minutes

Learn more by

downloading a

Quick Reference

Guide from

recordsmanagement.

uoregon.edu

Is it a record?

• Timesheet

• Postcard from Student Rec Center

• Unpaid invoice from a vendor

• Committee meeting minutes

• Email from Provost’s Office

• Travel reimbursement request

• Email from UO listserv

• Flyer from an event your department hosted

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Anything and everything we create, receive, use, maintain, and dispose of in our work for the University of Oregon may be considered a record, regardless of whether it is digital, paper, stored on campus or with a third-party vendor

Some records are subject to specific preservation requirements, others are not.

Records as evidence and information

• Authenticity

• Reliability

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Records as evidence and information

• Integrity

• Usability

Characteristics of records: standards

AUTHENTICITY can be proven to be what it purports to be, created or sent by the person purported and at the time purported

RELIABILITY contents can be trusted as a complete and accurate representation of the activities to which they attest

INTEGRITY complete and unaltered

USABILITY can be located, retrieved, presented and interpreted in context

How to preserve these characteristics over time? Record-keeping systems

Goal

• To preserve persistent access to reliable complete authentic information for the duration of its life

Objectives

• Keep records in a manner that enables others to locate them

• Routinely function as the primary source of information about actions that are documented in the records, and

• Ability to provide ready access to all relevant records and related metadata.

How We Do This

• Uniform documentation about

• context, roles and responsibilities (procedures)

• the records we keep (inventory)

• Use storage appropriate to the content of records (example: do not use IM/TEAMs to record major decisions)

• Prevent unauthorized access, destruction, alteration or removal of records

Information Life-cycle Management

Create or Receive

Active Life: stored

somewhere convenient

Inactive Life: indexed and stored off-

site

Meets Retention

University Archives

Conversion and migration

• Lifecycle of records ≠ Lifecycle of media

• Lifecycle of records ≠ Lifecycle of software and cloud storage vendors

Conversion and migration standards

Records systems should be designed so that records will remain authentic, reliable and useable throughout any kind of system change, including format conversion, migration between hardware and operating systems or specific software applications, for the entire period of their retention

International Records and Information Management Standard – ISO 15489

Disposal

• Communicate with others before disposing of records

• Must keep a destruction log when purging records

• Must reference the UO Records Retention Schedule

Records Retention Schedules: What are they?

• Tool/rules for disposal

• Categorized list of records an organization should keep, including which offices should keep what for how long and any special handling instructions

• Based on external requirements and internal needs

• Does not prescribe a filing structure

• Updated intermittently to reflect changes in the law, org structure, internal policies

Why Retention Schedules?

Non permanent records Permanent records Permanent records that have historical value

Unit keeps for l ife

Unit manages for anywhere from 0 to over 30 years, depending on requirements

To UO Archives

Not all records have

identical preservation

requirements

Take-aways from this sectiono Anything and everything we create, receive, use, maintain, and dispose

of in our UO work may be considered a record, regardless of whether it is digital, paper, stored on campus or with a third-party vendoro Always consult the University Records Retention Schedule prior to disposal

o Record-keeping systems o enable us to locate information and trust what we find

o consist of intellectual controls (such as system documentation) and physical controls (measures to protect against unauthorized access)

3. Records Management at the University of OregonPolicy & Procedures

Employee Responsibilities

• Be familiar with University Records Management Policy

• Be aware of the University Records Retention Schedule –don't automatically delete or preserve everything

• Participate in records management efforts in your portfolios

• Make responsible use of e-mail

Learn more by visitingrecordsmanagement.uoregon.edu

UO Records Retention Schedule

Organized at highest level by function, not department

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I. Governance

II. Academics, Instruction & Research

III. Administration of Student Affairs

IV. Finance, Administration & Infrastructure

V. Human Resources

What is not subject to specific retention requirements?

• Messages on voice mail or on other telephone message storage and retrieval systems

• Private emails or other records that do not relate to University business or activities

• Electronic text messages sent from one cellphone to another and instant messages (if messages reflect major decisions the content should be transferred to more appropriate media)

• Superseded drafts of letters or emails, minutes, notes, memoranda, reports

• Notes intended for temporary or personal use

Learn more by visiting "What to keep" tab of recordsmanagement.uoregon.edu

Retention vs DisclosureThere are two state law definitions of “record” at play that folks should be aware of:

One definition of record relates to retention, which is narrower than the other definition of record relating to disclosure. That's why we don't need to retain superseded drafts, voicemails, etc. Of all the records we create, only a small subset must be retained.

The other definition of “record” relates to disclosure. This definition is broader. For example: if you have kept records that you didn't need to, and there's a public records request for those records, you must produce them to the Public Records Office, regardless of what the retention Policy or Records Retention Schedule says about those records.

I. Governance

• Founding documents (e.g.: constitution, by-laws)

• Board of Trustees and Senate meetings and actions

• University level policies (for unit-level procedures, use IV.

Finance, Administration & Infrastructure)

• Litigation

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I. Governance

II. Academics, Instruction & Research

• Sponsored research awards and university-funded research

• Course and curriculum development, delivery, and

evaluation

• Museum and libraries collections development, access, and

preservation

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II. Academics, Instruction & Research

III. Administration of Student Affairs

• Conduct

• Housing

• Scholarships

• Athletics

• Student Health Services

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III. Administration of Student Affairs

IV. Finance, Administration & Infrastructure

• Budget

• Audits

• IT

• Parking/vehicles

• Purchasing and contracting

• Public Records/FOIA requests

• Fundraising

• Risk/insurance/health/safety

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IV. Finance, Administration & Infrastructure

Human Resources

• Affirmative Action and Equal Opportunity

• Benefits and compensation, including payroll

• Search and selection

• Employment, including promotion and tenure processes

• Separation

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V. Human Resources

Series names and numbers – series are grouped based

on requirements

Select “View Details” to see more information about the Series, including retention requirements

IS InfoSec Data Classifications

RM Functional Classifications

Sample RRS Entry

Sample RRS Entry

Link to regulations or best practices determining retention

Office responsible for managing the authoritative version

Classification and unique id

Link to the retired OUS schedule

Take-aways from this section• The University of Oregon Records Retention Schedule is organized at a

high level by function, not departments

• We are continuing to add series, so if you cannot find what you are looking for, or if you disagree with the content and would like to request a review or changes, then please contact us: records@uoregon.edu

4. Records Management Procedures BuilderYou submit some answers on behalf of your unit, Records Management maps to the Records Retention Schedule and generates some stock text for you

What is the Procedures Builder?

RECORDS STEWARDS FOR UNITS SUBMIT QUALTRICS SURVEY

RESPONSES GENERATE UNIT’S RECORD-KEEPING PROCEDURES

Why Do We Need Record-keeping Procedures?

Responses will be used to build and deliver procedures customized for your unit; these procedures will serve 3 purposes

1. to build resiliency for your unit;

2. to support compliance with the University Records Management Policy; and

3. to prepare your unit for the inventory phase of the process.

Scope of the survey/procedures-builder

• what your unit does;

• what your unit documents from those activities; and

• who keeps that documentation

Note: "Documentation" refers to: analog files (for example, paper, microfilm) or digital (files on shared drives, OneDrive, and/or data retained in UO developed databases and/or stored in third party software platforms).

Preview Procedures-Builder SurveyGo there now

Before completing the survey...

• Familiarize yourself with the questions that will be asked

• Consult with your Data Steward

• You may want to use a staff or departmental meeting to complete the procedures builder together

• Take care when completing the survey – you can go back in and change responses as long as you haven't submitted. Once you've submitted, if you want to make a change, you'll have to complete a new survey.

Take-aways from this sectionNext Steps and Support

o The link to the unit record-keeping procedures builder will be emailed to you following this training.

o Submit your survey responses by the May 1st deadline.

o Register in MyTrack for 1 or more drop-in lab sessions for individualized assistance – McKenzie Lab 9-11am alternating Tuesdays & Thursdays

Thank you.Questions? Comments? Contact us! records@uoregon.edu