University Archives and Records Management

1. University Archives and Records Management Zach Brodt University Archivist Alex J. Toner University Records Manager

2. Overview of workshop • Goals of records management program • BRM-Recall-Access-Iron Mountain • Records laws and campus-wide retention policies • Records services at Access • Records transfer, storage, and destruction • University Archives

3. Objectives • Provide answers to the following questions: • How do these two functional areas (archives and records management) work together to accomplish the mission of managing University records? • What services do we provide? • What types of records are departments required to maintain? • What types of records have potential long-term or historical value? • What about electronic records?

4. Is it a record?

5. University Records Management • Unit of the Archives Service Center, a division of the University Library System. • A small program with a very LARGE mission. • Responsible for managing the off-site records contract with our enterprise-wide contractor, Access. • Provide training, development of retention schedules, and coordinates transfer of permanent records to the University Archives.

6. Goals of Records Management • Compliance with Federal and State laws and regulations • Develop and implement consistent record keeping practices • Identify, appraise, and manage University information resources • Accountability and Integrity

7. Why should you care about records management? • Efficient management of resources • Compliance • Accountability • Organizational memory

8. Restrictions & Confidentiality • Federal and State laws may apply to: • Medical information, HIPPA • Human Research Subjects (HRPO) • Information pertaining to juveniles • FERPA - Family Education Rights and Privacy Act • Records involved in litigation prior to close of case • Audits AND MANY OTHERS…

9. Records Retention Schedule • Policy document • Provides certain descriptive information about a given set of records, indicates the legal retention period, and the ultimate disposition. • Applies to records, regardless of format • “A record is a record” • Supports consistent recordkeeping

10. University of Pittsburgh Retention Schedules • General Records Retention Schedule http://www.library.pitt.edu/other/files/pdf/asc/Pitt_General_Retention_Schedule.pdf Financial Records Retention Schedule http://www.bc.pitt.edu/frs/FinancialRecordRetentionSchedule.html

11. Service Providers

12. Records Services at Access • No-cost to University departments, except for new box purchases • Current contractor is Access • Provides following services: 1. Off-site records storage, including climate-controlled & tape rotation 2. Retrieval & submission of items (regular, priority, and rush) 3. Shredding 4. File-level tracking 5. FileBRIDGE

13. Off-Site Storage

14. Prohibited items at Access

15. Procedures for Access account set-up • Account must be established through University RM with valid University dept. number. • Complete required forms. • Attend a training session. • Departments receive instructional user’s guide.

16. Managing your Access account • Appoint someone (full-time staff) to be main contact. • Create and maintain a detailed, centralized inventory. • Maintain up-to-date authorized user list • Send paper and alternative media to off-site storage.

17. Itemized Services Program • Applies to ALL University departments except for offices using file-level indexing. • Requires forms for the following orders: 1. Supply Orders2. New box submissions 3. Retrieving boxes from Access 4. Returning items to Access (from your office) 5. Retrieving files and documents from Access 6. Submission of revised transmittal data 7. Unbarcoded destruction 8. Bin/console rotation

18. University Records Management Website

19. Access Supplies

20. Submitting new boxes to Access • Obtain boxes and barcode labels from Access. • Review records retention schedule. • Complete Access “Records Storage Form – New Box Submission Form.” • Required fields are Barcode#, Box Size, Destruction Date, and Description. • A valid destruction date is required.

21. Submitting new boxes to Access, cont. • If the form is emailed, departments have up to 250 characters in the description field. If the form is faxed, the description limit is 65 characters. • Succinct for Access; Detailed for You • New box submission via FileBRIDGE

22. Records with Permanent Retention

23. Retrieving your items from Access • To retrieve your items, orders may be placed by fax or email ONLY. You must use Access “Box Retrieval & Box Return Request Form.” • Place the barcode number(s) of the items you wish to retrieve in “Table A.” • You can access your records 24 hours a day, 365 days a year.

24. Returningboxes to Access • Use Access “Box Retrieval & Box Return Request” form. • Provide the barcode number in “Table B” for items you wish to return from your office to Access. • Email OR fax the “Box Retrieval & Box Return”form to Access. You do not need to schedule a pick-up date, they will schedule service according to the time the form is submitted.

25. Withdrawing items from Access • The University pays the cost of storage while items are in circulation. • If you are permanently withdrawing a box/folder from storage, please notify Access of this when placing your order for retrieval or at any point in time thereafter.

26. Destruction of records at Access • Disposition of items already at Access facility is initiated and processed through the University Records Management Office on a monthly basis. • Based on the review/destroy date provided by your office’s completion of the transmittal form. • You will receive a notice in which you must choose an appropriate action

27. Destruction of records NOT at Access • Option One:Unbarcoded destruction • BRM/Access will pick-up any paper from your office that requires shredding. • Orange destruction labels must be affixed to boxes. • Can be in any type of box but not in a bag. • Work order serves as certificate of destruction.

28. Option Two: Bin or console rotation. • It is locked while in your office • Hardcopy records only • Scheduled Rotation • Work order serves as certificate of destruction

29. Online management of your account -- requires separate training • Permits accounts to create their own reports and inventories • Process delivery and pick-up requests • Review actual work orders and driver receipts • Allows departments more control in managing their accounts

30. General Reminders and Announcements • Continue to use itemized service forms posted on the University Records Management Web site: http://library.pitt.edu/asc-university-records-management • Do not share your storage barcode labels with any other account or department. All barcode labels are pre-assigned to your account number. • To order any Access services, you must be listed as an authorized user for your account. To add or delete users, please use Access’s “Access Authorization Form.” • Boston Client Care Center • Upcoming FileBRIDGE Training

31. Contact Information Alex J. Toner University Records Manager 412-648-3164 alexjtoner@pitt.edu www.library.pitt.edu/asc-university-records-management Follow pittarchives on social media

32. University Archives • What are archives? • What does records management have to do with the archives?

33. Mission • Archives: collect, preserve, and make accessible the records that document the history, mission, operation, and achievements of the University. • Records Management: managing institutional records to protect and preserve evidence, and to meet institutional recordkeeping requirements.

34. Where do the two programs intersect? • Records Management as a field agent for the Archives—identifies records of potential historical or research value. • Archives provides the preservation function.

35. What types of records does the Archives look for? • Historical value of records. • Document development, functions, and operations of the University. • Important people and events. • Major research discoveries. • Community impact

36. For example… • Minutes, reports and memoranda of University offices and departments • Correspondence and activities of Administrators and faculty • Records of student organizations • University publications and brochures • Photographs, audio-visual media

37. What about faculty papers? • The University Archives collects and makes accessible the papers of our most prominent faculty. • Contact the University Archivist for further information.

38. What can you do with archival resources? • Historical research for department and program histories • Print, video and photographic materials for exhibits, reunions, and outreach • Genealogical information about alumni

39. Digital Collections • Historic Pittsburgh http://historicpittsburgh.org • Documenting Pitt http://documenting.pitt.edu

40. Contact Information Zach Brodt University Archivist 412-648-3148 zlb2@pitt.edu www.library.pitt.edu/asc-university-records-management www.library.pitt.edu/archives-service-center pitt.libguides.com/PittUniversityArchives Follow pittarchives on social media

41. Sources • Baby: https://www.google.com/search?q=confused+meme&source=lnms&tbm=isch&sa=X&ved=0ahUKEwiE9dPFjcPMAhUCOD4KHXlFAq8Q_AUIBygB&biw=1280&bih=903#imgrc=r4cII45gh-GvJM%3A • Retention: https://www.google.com/search?q=permanent+retention&source=lnms&tbm=isch&sa=X&ved=0ahUKEwih6Py-lcPMAhUIFz4KHVwjBa8Q_AUIBygB&biw=1280&bih=863#tbm=isch&q=permanent+retention+records&imgrc=ArjPUlcW-q9hUM%3A