Introduction to Records Management

1. Introduction to Records Management Presented by Janice Schulz, University Records Manager

2. Why Manage Records? It’s the Law • Federal, state and local regulations require the management of records we create, receive and use. • Accrediting and regulatory bodies require us to retain records for audit purposes. • Large penalties can be assessed for the mismanagement of University records.

3. Why? It’s the Law Ohio Revised Code- §149.351. Prohibition Against Destruction or Damage of Records (A) All records are the property of the public office concerned and shall not be removed, destroyed, mutilated, transferred, or otherwise damaged or disposed of, in whole or in part, except as provided by law or under… the records programs established by the boards of trustees of state-supported institutions of higher education under section 149.33 of the Revised Code…

4. Why? It’s the Law Ohio Revised Code- §149.33. State records program (B) The boards of trustees of state-supported institutions of higher education shall have full responsibility for establishing and administering a records program for their respective institutions. The boards shall apply efficient and economical management methods to the creation, utilization, maintenance, retention, preservation, and disposition of the records of their respective institutions.

5. Why? It’s the Law UC Board of Trustees Rule 10-43-10 E. University records shall be retained for such period as is required by retention schedules established by the university archives, and may be disposed of only in accordance with disposition instructions issued by the university archives. Removal, destruction, mutilation, alteration, transfer, or other disposition of university records except as authorized by this rule is prohibited and may result in disciplinary action.

6. Why? It’s the Law • United States Code of Federal Regulations • Ohio Code of Regulations • FERPA - Family Educational Rights and Privacy Act • HIPAA - Health Insurance Portability and Accountability Act

7. Why? It’s the Law Strong penalties can be assessed for the mismanagement of records In March 2006 the City of Akron was ordered to pay a fine of $860,000 for shredding the timesheets of two employees.

8. Why Manage Records? It makes your office run more efficiently. • Removes unneeded paper and frees office and drawer space. • Makes retrieval of information quicker and easier. • Reduces costs - On average, it costs about $900/year to maintain a single filing cabinet

9. Why Manage Records? It preserves the history of the University. • Records of permanent value are sent to the University Archives • The Archives processes collections and makes them available to the University community and to the public • Records sent to the Archives can be retrieved if you need them at a later date

10. What is a Record? "Records" includes any document, device, or item, regardless of physical form or characteristic, created or received by or coming under the jurisdiction of any public office of the state or its political subdivisions, which serves to document the organization, functions, policies, decisions, procedures, operations, or other activities of the office.   (Ohio Revised Code §149.011 (G))

11. What is a Public Record? "Public record" means records kept by any public office, including, but not limited to, state, county, city, village, township, and school district units, and records pertaining to the delivery of educational services by an alternative school in Ohio kept by a nonprofit or for profit entity operating such alternative school pursuant to section 3313.533 [3313.53.3] of the Revised Code. (ORC §149.43 (A))

12. UC Records Management • Established in 1979 by President Henry R. Winkler in compliance with Section 149.33 of The Ohio Revised Code and administered through the University Archives, the program is guided by the following objectives: • To promote the administrative efficiency at the University by removing inactive or obsolete records from offices. • To protect the University by ensuring compliance with all internal, state, and federal policies regarding the creation and disposition of University records. • To ensure that all documents of administrative or historical value are rightfully preserved through transfer to the University Archives.

13. Board of Trustees Create University rules regarding records University Records Manager Administers the program Writes retention schedules Provides consulting services Records Coordinators Assist in development, administration and review of functional schedules UC Employees Create and manage records Records Management Responsibilities at UC Who has responsibility for records management at the University? Everyone

14. Records Inventory • Helps you discover what records you have to manage • Inventory by record series • Can be done by you, by RM or together • Forms help identify record series • Not as time consuming as it sounds

15. Records Retention Schedules • Guide to the records of an office • Set minimum retention periods that you maintain records • Prepared by Records Manager based upon your inventory, input and Inter-University Council guidelines • Approved by you and the University Archivist

16. Inactive Records • What do you do with records that you don’t use, but that still have not reached their retention period? • Remove from your active record system for the sake of economy and efficiency. • Pack with disposition in mind. • Offsite storage is an option. Records Management can offer vendor contacts.

17. Records Disposal • Disposal happens when the minimum retention period has been met • Can be destruction or transfer to University Archives • Can only be done in accordance with your approved records retention schedules

18. Records Disposal • Do not have to get pre-approval for disposition with a retention schedule • Anytime your office has been notified of impending litigation do not dispose of any records for any reason. Retention schedules become mute at this point.

19. Records Disposal • Shredding is the preferred method for destruction of records • RM can supply you with a list of vendors • A completed Certificate of Disposal is required for any disposal – destruction or transfer • Certificates of Disposal demonstrate that we are following our policies and are proof of legal disposition

20. Annual Reviews • A review date will be assigned after the approval of your retention schedules • Any additions or changes to your schedules can be done at this time • You don’t have to wait until your annual review to make changes to your schedule. Contact RM at any time.

21. Services Offered by RM • Records Inventories – instruction and assistance • Records Retention Schedules – development and review • Consulting – records evaluation, active record systems, alternative formats, email, vital records and other related topics • Vendor lists – offsite storage, destruction

22. Getting More Information • Records Management Website: Click Libraries->Archives and Rare Books-> University of Cincinnati Records Management • Records Management Listserv: Send email to Janice to join the list. • Contact Janice anytime.

23. Questions? Q&A Period Contact RM via phone, email or stop in at Blegen 804