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Departmental Training

University Records and Information Management (RIM). Departmental Training. Agenda. Brief Overview & Definitions Retention Schedule Records Management Service Offerings Electronic Records Legal Holds – Duty to Preserve Safety and Security Records Management Plan What Can I Do Now?.

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Departmental Training

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  1. University Records and Information Management (RIM) Departmental Training

  2. Agenda • Brief Overview & Definitions • Retention Schedule • Records Management Service Offerings • Electronic Records • Legal Holds – Duty to Preserve • Safety and Security • Records Management Plan • What Can I Do Now?

  3. 1. Brief Overview • Mission – To assist departments in fulfilling their responsibility to identify and manage records and information in accordance with legal, regulatory and operational requirements: • Legal – Federal and State Laws and Statutes • Regulatory – Requirements set forth by regulating entities • Operational – Keep records long enough to meet their business need • Archival and Historical value

  4. Brief Overview – RIM Goals • Work with departments to identify and retain paper and electronic records • Transfer records to the Records Center when they are no longer needed by the department, but are still required by law to be retained • Dispose of records when legal, regulatory, operational requirements have been met • Assist departments in the transition from paper records to electronic records • Improve access to information (easier to store and find) • Reduce risks and costs associated with departmental records

  5. What is a Record? • A “record” is any recorded information created or received that describes an official description or account of the university’s business activities and holds value for the organization (such as documenting department decisions or transactions) . • A record can be any document, book, paper, photograph, map, sound recording, or other material, regardless of physical form or characteristics. • This definition includes those records created, used, and maintained in electronic form. • Records normally appear on the Records Retention Schedule

  6. What is a Non-Record • Non-records do not contain ongoing business value to the organization. • Does not appear on the Records Retention Schedule. • Non-record information should be disposed of after it is no longer needed for business operations. Examples include: • What’s for lunch email • Drafts of documents that are no longer needed after the “final” is completed • Duplicates – convenience copies retained in your department

  7. 2. Retention Schedule Defines how long records are required to be retained based on legal, regulatory and operational requirements. • Departmental Retention Schedule • Departmental Inventory • Retention Period • T = Time Period • FD = Final Disposition • D = Destroy • P = Permanent • General Retention Schedule • To identify records not found in the departmental schedules • * = Retention for non-originating departments (duplicates)

  8. Departmental Retention Schedule

  9. General Retention Schedule

  10. 3. Current Service Offerings • Fulfill department records requests: • Deliverempty “records” boxes to the departments • Transfer boxes of records to the University Records Center • Return records from the Records Center (box or file) back to the department • Return records back to the Records Center (box or file) • Generally a two month return cycle • Disposition of records: • Dispose/Shred • Send to Archive – custody of records transfer to University Archivist

  11. Were to go for information • University Records Management website: • http://sites.lib.byu.edu/recordsmanagement/ • My.BYU.edu, then search for “Records Management” • You do not need to be logged in to perform a search • Call 2-2828 for records pickup/delivery • Call 2-1670 to schedule training • Call 2-2161 for records management guidance

  12. Begin Search at BYU.EDU

  13. Walk thru of RM Website • Forms • Records Transfer Sheet (with and without instructions) • Department Records Management Plan / Inventory • Publications • Records Retention Schedule • Records Management Handbook • Hours and Contact Information • Guidance • How to Submit a Box to the Records Center • Records Center & Courier Services • Training • FAQ

  14. Records Transfer Sheet

  15. RTS – Good Example

  16. Departmental Retention Schedule

  17. RTS – Another Good Example

  18. RTS – Bad Example 1

  19. RTS – Bad Example 1 Comments What’s Good? Each box has records with the same retention requirements Each box is clearly identified What’s Bad? Multiple Boxes on the same Records Transfer Sheet with mixed retention Undergraduate = 10 Years Graduate = 20 Years

  20. RTS – Bad Example 2

  21. RTS – Bad Example 2 Comments What’s Good? The box is clearly identified What’s Bad? The box has records of mixed retention Travel Records = 2 Years Graduate Student Files = 20 Years

  22. RTS – Bad Example 3

  23. RTS – Bad Example 3 Comments What’s Good? Each box has records with the same retention requirements What’s Bad? Multiple Boxes on the same Records Transfer Sheet with mixed retention Graduate Files = 20 Years Meeting Minutes = PERM Meeting Minutes are not clearly marked Not signed No Department Number

  24. Records Transfer Sheet – Reminders • Do not fill boxes with records of mixed retention periods • Do not combine multiple boxes on the same RTF with different retentions • If at all possible, please enter a Department Number • Use the Records Retention Schedule to identify retention periods for each type of record going into the box • Reference prior copies of Records Transfer Sheets as examples • Call records management for help

  25. How to Find Your Department Number • Page 85 of Records Retention Schedule

  26. How long should I keep paper records in my department? • Keep records through the millennium • Transfer to Record Center after I retire or change job position • Transfer to Records Center after one year • Transfer to Records Center after they are no longer needed by the department, but are still required to be retained for legal or compliance purposes

  27. How long should I keep paper records in my department? • Keep records through the millennium • Transfer to Record Center after I retire or change job position • Transfer to Records Center after one year • Transfer to Records Center after they are no longer needed by the department, but are still required to be retained for legal or compliance purposes

  28. Do all records need to go to the Records Center?

  29. Do all records need to go to the Records Center? No! • Records can be disposed of by the department when they are no longer needed and when retention requirements have been met • Records can be transferred to the Records Center when the department no longer needs them (low retrieval) but are still required to be retained for legal or compliance purposes

  30. 4. Electronic Records • Electronic records are records in electronic formats generated in the course of conducting University programs, projects, administration, research, or other business • Electronic Records are subject to the same retention and disposition requirements as paper records

  31. Email News Feeds Servers/ Mainframes Instant Messaging Web Sites Voicemail Applications Cell Phones/ PDAs Removable Media Blogs Desktops/ Laptops Potential Sources of Electronic Records

  32. Some Examples of Electronic Records • E-mail (sent and received, whether internally or externally together with any attachments) • Scanned records • Microsoft Word or other word processing program document files • PowerPoint or other types of presentations • Excel or other types of spreadsheets • PDF - Portable document format files • Databases

  33. Common Locations for Electronic Records • Departmental files (physical and in shared drives) • Central files (physical and in shared drives) • Off-site storage • Computer hard drives in workstations, laptops, and personal computers • CD or DVD • Thumb Drives • Networks or shared drives

  34. Parties Responsible for Managing Electronic Records • The creator or holder of departmental electronic records is responsible to identify and retain records for the amount of time defined by the records retention schedule. • Electronic records can be disposed of by the department when they are no longer needed to meet business or legal obligations.

  35. There is a way to store permanently ChemicalvsPhysical

  36. The M-DISC™ is certified and proven to last over 1000 years, offering the best archival data storage solution anywhere. No more worrying about losing something you consider irreplaceable. Microscopic view of information on an M-Disc

  37. Ordering M-Discs and Drives • DVD M-Discs can be ordered thru the Bookstore • Store up to 4.7 GB per side (total of 9.4 GB per disc) • Compatible Writers - http://www.mdisc.com/m-disc-ready-drive/ • BluRay M-Discs are available in September 2013 • Store up to 25 GB per side (50 GB per disc) • Compatible with any Blu-ray Writer • M-Discs can be ordered from the BYU B0okstore • Cost of $2.55 per DVD • Cost of $5.?? per Blu-ray

  38. Planned Service Offerings • Records Transfer Sheets – Online and searchable • M-Disc - advice and services • Digital scanning - advices and services • SharePoint - advice • Department File Shares – folder structure guidance

  39. Example SharePoint site

  40. Example SharePoint site (2)

  41. 5. Legal Holds • A Legal Hold refers to a written order issued by the Legal Department to suspend the destruction or alteration of records and/or information that is considered relevant to pending, threatened, or imminent litigation or government investigations. • Departments have the duty to respond to legal hold or preservation requests from the Legal Department (Office of General Counsel)

  42. Reasons for a Legal Hold • Credibly probable and ongoing litigation • Internal investigations • Governmental investigations • Subpoenas • Tax audits • Internal audits

  43. Responding to a Legal Hold • Identify records subject to a legal hold order • Take steps to preserve information subject to the legal hold • Do not delete (inadvertently or intentionally) • Do not modify • Submit requested information to the legal department as directed (Collection of information normally takes place when litigation has begun) • Resume normally activities when Legal Hold is lifted (removed)

  44. 6. Safety and Security • Keep confidential information secure during: • Recycling activities • Transferring records to the University Records Center • Backups • Electronic records on your hard drive are not backed up (unless arrangements have been made by yourself or your department) • Electronic records on departmental shared drives are backed up daily

  45. 7. Records Management Plan Departments can work with the Records and Information Management Department to complete aRecords Management Plan. Steps include: • Develop records Inventory (listing of departmental records) • Identify retention requirements for each record type • Identify if paper or electronic – or both • Identify storage location(s) for each record type • Develop an action plan for each record type

  46. Department Records Management Plan

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