NDSU RECORDS MANAGEMENT INITIATIVE 2007

1. NDSURECORDSMANAGEMENTINITIATIVE2007

2. WHY • Law • Federal and State • Policy • NDSU Policy 713: Records Retention • Security and Liability • Data Privacy • Retention • Disposal • Space • Free up space in your office • Management • File management (access/storage)

3. Definition of a Record NDCC 54-46-02 defines a record as: • “A document, book, paper, photograph, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law in connection with the transaction of official business.”

4. What is a Record? • A record is anything that: • Your office created • Your office acted on • Your office receives for action • Your office is designated as the custodian of (record-holder) • Your office needs to document its decisions

5. Value of Record • Memory of the business • Values • Administrative • Usefulness for conduct of current and future administrative business • Fiscal • The worth for conduct of current or future financial or fiscal business and/or as evidence thereof • Legal • The worth for conduct of current or future legal business and/or as legal evidence thereof • Archival • Those values which justify the preservation of Records/Archives

6. Sample Types of Records • Annual reports • Correspondence (includes email) • Departmental files (used to make a decision) • Newsletters/publications (prepared by department) • Grant proposals • Information requests • Staff personnel files • Accounts Payable Vouchers • Meeting minutes

7. Record Forms and Media • Paper files (loose and bound) • Computer databases and other computer files • PDA/ smart phones, USB memory sticks, removable disk drives, CDs, DVDs, magnetic tapes, etc. • Records contained in e-mail messages and attachments • Microfiche or microfilm • Other imaged records

8. Records Management Process • Getting Started: Records Coordinators • Inventorying Records • Each department assigns one or more Records Coordinators for their area. • An inventory of records in the area is completed and the appropriate forms are filled out. • Some record types already have predefined records series, descriptions and disposal methods. Others may need to be defined by the departments. • Recommend retention schedules and destruction methods for new records series.

9. Records Management Process • Next Step: Records Management Task Force • Prepare Records Retention Schedule • Prepare a Records Retention Schedule for the University based on the inventory of records submitted by departments. • This will be submitted to the Division of Records Management of the Information Technology Department (ITD) in Bismarck.

10. Records Management Process • Annual Review: NDSU Records Manager and Records Coordinators • Retention/Disposal Process • Records Coordinators will be notified by Records Manager of records that need to be destroyed based on their inventory (anticipated Fall Semester 2008) • Records Coordinators fill out online form and submit to NDSU Records Manager • Records Coordinators follow disposal process (shred, retain, recycle, archive)

11. Projected Timeline • December 31, 2007 • Initial records inventories due • February 15, 2008 • Task Force to submit University Records Retention Schedule to Information Technology Department in Bismarck • October-December 2008 • Initial records purge scheduled for NDSU

12. Upcoming Training • Files Management seminar to be presented by ITD Records Management to discuss best practices, classification systems, electronic records, etc. • Thursday, November 15, 1:30-3:00 p.m. - Reimers Room, Alumni Center

13. Resources NDSU Records Management Website www.ndsu.edu/recordsmanagement Audit & Advisory Services 701-231-9413 or ndsu.recordsmanagement@ndsu.edu