Introduction to Records Management Faculty / Staff Training November 2008

1. Introduction to Records Management Faculty / Staff Training November 2008

2. Session Outline • Records Management Basics • Roles and Responsibilities • The Records Retention Schedule • Implementing the Records Retention Schedule • The Records Management Website

3. Records Management Basics

4. Records Management Basics Why Records Management? “I’ve got it here somewhere.” “I think the file is in that pile.” “There is a desk here somewhere.” “Oh, just print another copy”. “I think I wrote it on a post-it note.” “A subpoena!?!?” “Don’t turn on the fan!” “I think I need another filing cabinet.” “Are any of these really records?”

5. Records Management Basics • Records are a by-product of doing business • Records are evidence of • What happened • Why • By whom • Properly managed records are valuable assets of the University

6. Records Management Basics • Records • Official Records • Unofficial Records Records can be in any format electronic, e-mail, paper, and other media A record is any recorded information, regardless of storage media or format, created, received, or maintained as evidence and information in conducting business

7. Records Management Basics • Records • Official Records • Unofficial Records These records provide evidence of transactions, decisions, procedures and operations An official record is the complete (final) and most authoritative record that is required to be retained for business or legal reasons

8. Records Management Basics • Records • Official Records • Unofficial Records These records have no legal or business requirements to be retained Unofficial records may be drafts, or duplicates of official records

9. Records Management Basics Records confidentiality and security Each employee is accountable for • Protecting information confidentiality • Appropriate information security All employees are responsible for compliance with the DePaul’s Information Security Policy as it applies to information and records.

10. Why Records Management at DePaul? • Because space is money! • Creates consistency across departments • Reduces risk of data exposure • Assists in preserving the history and heritage of DePaul

11. Checkpoint #1Records Management Basics

12. Checkpoint #1 (True or False) False True False False False

13. Roles and Responsibilities

14. Roles and Responsibilities Director of Records Management • Manage and implement records management program • Issue and Implement records management procedures • Educate and train employees on records management policies and procedures • Work with University Archivist to identify records of continuing value

15. Roles and Responsibilities Records Coordinators • Complete records management training • Implement Records Management within their department • Promote the program • Assist in training • Act as a liaison to the Director of Records Management • Notify the Director of Records Management if any changes are needed to the Records Management Policy • Support legal holds as necessary • Sign Records Disposal Certificates

16. Roles and Responsibilities Records Management Committee • Approve amendments to the Records Management Policy • Ensure the Records Management Program is properly maintained and updated • Provide guidance to the Records Management Office

17. Roles and Responsibilities Office of the General Counsel • Authorize suspension of the routine destruction of records • Authorize the release of legal holds • Provide advice on applicable laws and regulations

18. Roles and Responsibilities Office of Institutional Compliance • Promote awareness • Monitor quality (QARS)

19. The Records Retention Schedule

20. The Records Retention Schedule

21. The Records Retention Schedule • Record Group Number • Responsible Department • Records Group • Retention Period • Retention Event • Retention Authority • Action to be Taken

22. The Records Retention Schedule • Record Group Number • A unique identifier assigned to each record • Facilitates systematic management of retention

23. The Records Retention Schedule • Responsible Department • Indicates the business area responsible for the record

24. The Records Retention Schedule • Records Group • Describes the type of records found in a particular category

25. The Records Retention Schedule • Retention Period • Length of time that a record must be maintained

26. The Records Retention Schedule • Retention Event • The basis upon which the retention period is calculated

27. The Records Retention Schedule • Retention Authority • The legal or regulatory authority for the retention period

28. The Records Retention Schedule • Action to be taken • Indicates final disposition

29. The Records Retention Schedule • Student Registration Forms • Student Records • 2.21 • Student Records • 1 Year • Creation of Record • AACRAO Guidelines • Shred • Record Example #1 • Record Group • Record Group Number • Responsible Department • Retention Period • Retention Event • Retention Authority • Action to be Taken

30. The Records Retention Schedule • Staff Personnel Files • Personnel Records • 3.2 • Human Resources • 3 Years • Termination of Employment • 42 U.S.C. § 2000 • Shred • Record Example #2 • Records Group • Record Group Number • Responsible Department • Retention Period • Retention Event • Retention Authority • Action to be Taken

31. Checkpoint #2The Records Retention Schedule

32. Checkpoint #2 Find this record in the retention schedule and answer the following five checkpoint questions Hint - First narrow your search by identifying the correct responsible department or record group. Then look for the individual record.

33. Checkpoint #2 – Question 1 Question: What is the record group number that best fits this record? Answer: 9.2

34. Checkpoint #2 – Question 2 Question: Assuming this contract expires on 01/01/2008, what is the retention event date for this record and when is it eligible for destruction? Answer: Retention Event Date: 01/01/2008 Destruction Eligibility Date: 01/01/2018

35. Checkpoint #2 – Question 3 Question: How might your previous answer be different if this was the document in question?

36. Checkpoint #2 – Question 3 Answer: This document appears to be a draft and not an official record.

37. Implementing the Records Retention Schedule

38. Implementing the Records Retention Schedule Record Destruction • Official records • Once retention requirements have been satisfied • Unofficial records • When no longer needed for reference purposes • Unofficial records should NEVER be kept longer than the official record Records subject to the University’s Information Security Policy must be destroyed according to procedures outlined in the policy to ensure the security and privacy of the records

39. Implementing the Records Retention Schedule Disposal Certificate • All destruction activity should be documented • Records Disposal Certificate and Instructions can be found on the Records Management Website

40. Implementing the Records Retention Schedule Suspending the Retention Schedule A Legal Hold can be issued or released by The Office of General Council • Used to preserve information relating to ongoing legal matters • Issued by Office of the General Council All regularly scheduled destruction of any records that fall within the scope of the Legal Hold must be suspended immediately

41. Implementing the Records Retention Schedule Suspending the Retention Schedule Legal Holds may include • Email messages and attachments • Regardless of storage location or format • User created files • Word processing documents • Spreadsheets • Images • Hard copy files • DePaul database systems

42. Checkpoint #3Implementing The Records Retention Schedule

43. Checkpoint #3 – Question 1 What is an appropriate action to take with an unofficial record? A) Destroy when no longer useful B) Retain permanently C) Image and retain as the official record D) Transfer to the University Archives

44. Checkpoint #3 – Question 2 Which of the following may be included as part of a legal hold? A) Email messages B) Word processing documents C) Images D) Hardcopy records

45. Checkpoint #3 – Question 3 Routine destruction of records included on the Records Retention Schedule should be what? A) Documented B) Fun C) On file destruction day D) Performed by Records Coordinators

46. Records Management Website Demo

47. What Now? • Records Inventory • Review Records Retention Schedule • Contact Records Coordinator • Shred, recycle, store, re-organize, re-think • Records management may require a shift in the way you store or think about storing your records • More work up-front but easier to manage in the long term

48. Records Management Basics Tools and Resources • Records Management Manual • Consistent, University-wide practices and standards • Records Retention Schedule (RRS) • Defined retention periods for University records • Records Management Website • Central system for Records Management information • Director of Records Management • Responsible for the records management program for the University