Records Management Basics:

1. Records Management Basics: The Basics, Advanced! March 24, 2009

2. Why Care about RM: The Stick • It’s the law! • Wisc. Stats. 16.61: Public Records • Wisc. Stats. 19.31: Open Records • FERPA: Protect AND provide access • Records MAY NOT be destroyed unless they are scheduled!

3. Why Care about RM: The Carrot (Administrative) Time and money saved if records are managed properly Less need for… 1. File reconstruction 2. Long and/or fruitless search for records 3. Finding extra space (physical and virtual) in the office

4. Why Care about RM: The Carrot (Legal) It Can Protect Us In Case of An Audit or Investigation • We have legal cover if investigators seek destroyed records • We have evidence on hand for our own legal defense

5. Why Care about RM: The Carrot (Historical/Archival) It Lets You Preserve The History Of Your Department Think about it: At our Centennial, will we still know our history?

6. Part I: Introduction and Useful Definitions

7. What is Records Management? • The systematic and administrative control of records throughout their life cycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, and disposition. • (Source: http://www.archivists.org/glossary/term_details.asp?DefinitionKey=200)

8. What is a “Record”? • Records: Recorded information, in any format, that allows an office to conduct business • This includes emails and IMs! • Also documents business processes • Value of Record determined by content, not format!

9. Records vs. Non-records Not everything produced by an office is a record • Duplicate Copies • Drafts and Informal Notes • Routing Slips • Personal Correspondence

10. How do I tell the difference? Do your records: • Support or document a transaction? • Document the formulation or execution of a policy, interpretation of a policy, or change of policy? • Document Actions taken in response to an inquiry?

11. How to tell the difference, cont. Do your records: • Relate to the substantive business of your office or work unit? • Provide information regarding the historical development of UWM programs or people? Then Consider Them Records!

12. Is it a Record? A 3-step test • Is this material related to the duties in my job description? • Am I, on UW’s behalf, the creator or recipient of the material? • Is this the official version of the record?

13. If yes to all three… It is a record! • Public Records = Practice Records Management

14. If no to any of the three… It is NOT a record! • Non-records should be removed from University business tools and offices as soon as possible and on an ongoing basis

15. Records vs. Non-Records: Examples • E-mail to contractor clarifying terms: Record! • Memo notifying a subordinate of committee assignment: Record! • Sender must retain as record; recipient may delete as appropriate • Draft of a report: Non-Record! • The final report will be a record, however

16. What is a “Record Series”? • A group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity or function • Copies of same record may belong to different series– determine which is original! • Functional unit of Records Schedules

17. What is a Records Schedule? • Also known as Records Retention/Disposition Authorization (RRDA) • Prescribes length of time to keep records in an office– this is known as the Retention Period • Provides instructions for disposition (destroy or transfer)

18. A Sample RRDA

19. General Records Schedules • Records Schedules that apply to multiple offices or campuses • GRSs exist at division, campus, UW-System, and Wisconsin levels • Comprehensive List available on RM website • Key GRSs: Fiscal/Payroll, Personnel, IT

20. Specific Records Schedules • Records Schedules for specific offices • Currently approx. 200 offices scheduled • List of active RRDAs available on RM website • Contact Records Management to obtain a copy of your schedule

21. Part II: The Records Life Cycle

22. The Records Life Cycle

23. Life Cycle: Creation and Use • Record is created • Record is organized into a record series • Group of similar records related by creator or function • Record is distributed throughout office or used, as appropriate

24. Creation: Your Responsibilities • Ensure the record has all useful metadata attached/included • Subject, recipient, author, date, title • Determine if record is long-term or short-term, and create accordingly • File format, storage/delivery medium

25. Life Cycle: Records Maintenance • Records are Filed in office • See E-records presentation for some filing hints • Inactive Records may be Transferred to Off-site storage • For records which must be retained, but which are of little/no archival value

26. Maintenance: Your Responsibilities • Determine appropriate record series for files • Classify and store records according to an organized filing system • Create an inventory of records • Usually, folder-level is good enough • Be prepared to retrieve records for various purposes • Administrative need? Public Records Request?

27. A Brief Note on Filing • Be Consistent– File similar records in similar ways • Establish a system early—Alphabetic? Numeric? Chronological? Subject? • Keep track of dispositions– Mark files by date and type • Keep records series separate

28. Life Cycle: Disposition Disposition: when records have reached the end of their useful life for a particular office. Typically one of three options: • Destruction • Confidential Destruction • Permanent Archival Retention

29. Disposition: Your Responsibilities • Be aware of disposition periods of various records series • Make arrangements for confidential destruction, as needed • Prepare records with long-term value for archival transfer

30. Destruction of Records • Between 95-98 percent of all records should eventually be destroyed • Disposition step for records with no enduring value • Confidential Destruction is necessary when records contain sensitive information, such as student or personnel information

31. Litigation Holds • An important exception to retention schedules! • Under litigation holds, NO RECORDS in that series may be destroyed for duration • Legal Affairs and/or Public Record Custodian will inform your office if a hold is placed

32. Archival Retention • The Archives permanently preserves records with: • Enduring administrative value • Historical value • Our goal: document the history of UWM

33. Part III: Electronic Records

34. Value of a record determined by content, not format! Electronic Records

35. Wisconsin Admin. Rule 12 • Electronic Records must retain the following properties throughout their lifecycle: • Accessible—You can find it • Accurate—Reflects the original record • Authentic—Has not been tampered with • Reliable--Always produced accurately • Legible—The letters are clear • Readable—The content is coherent

36. How should I manage my e-recs? Short-term/active records: PantherFile • Versioning and Logging produces authenticity trail • See e-records slides for more detail on these functions • Coming soon-ish: fully-functional records module within PantherFile

37. How should I manage my e-recs? Cont. • Long-Term: Three Options • On-line storage (within existing system) • Near-line storage (exported to CD, PantherFile, etc.) • Off-line storage (printed out and filed) • If historical records: transfer via CD/PantherFile to UWM archives

38. E-mail Records • The most common type of electronic record • Should be treated as regular correspondence with respect to records responsibilities • See e-mail presentation on RM webpage for organization tips • See also: http://www.uwm.edu/Libraries/arch/recordsmgt/email.html

39. E-mail Records Schedule • Business Communication: Transitory • Scheduling, mass-emails, CCs, etc. • 7 days or end of admin value and destroy • Business Communication: Routine • Project correspondence, report drafts, etc. • 6 months after end of project and destroy • All other emails • Retain/Dispose according to related existing RRDA

40. E-records Security • Don’t take home records, or put records on a laptop or USB device that leaves the office • Maintain a robust password for any account with sensitive information (FERPA info, SSNs, etc.) • Don’t use UWM email for personal matters, or personal email for UWM matters • Dispose of records according to record schedule

41. If a security breach occurs... • Contact appropriate UWM Staff • Information Security (x4040) • Legal Affairs (x4278) • Records Officer (x6979) • Compile list of potential affected persons • You may be asked to provide this to legal • Don’t Panic! • You’re neither the first nor the last to do this • Focus on minimizing damage

42. Part IV: What can UWM Records Management do for you?

43. Records Scheduling • RM staff performs records surveys, or assessments of scheduling needs • If a new schedule is necessary: • RM staff will work with your office to determine most appropriate disposition • The Records Officer will write an RRDA for the approval of your Office/Department Manager • Schedule records as soon as they are created

44. Records Schedule Updates • RRDAs ‘sunset’, or expire, every 10 years • This allows for changes in format, need, etc. • Process for renewing RRDAs same as for creating new ones • Most offices have expired or soon-to-expire RRDAs

45. Records Schedule Reference • http://www.uwm.edu/Libraries/arch/recordsmgt/schedules.html • Includes links to UWM General Records Schedules, UW-System Schedules, Wisconsin DoA Schedules • Examples: Personnel, Fiscal/Accounting, Payroll • Coming soon: all schedules hosted on this site!

46. Records Transfers • Contact UWM Records Management for assistance with transfers to the Archives • To expedite processing, we suggest: • Preliminary weeding: drafts, duplicates, etc. • Completion of Records Transfer form– available on RM website • Completion of Records Inventory: know what you’re giving to the Archives! • See also: http://www.uwm.edu/Libraries/arch/recordsmgt/transfer.html

47. UWM Archives is interested in: • Subject Files (Projects, reports, correspondence) • Publications (Newsletters, posters, flyers) • Minutes (and related material in appendices) • Any other materials that “tell the story” of the department or of the University as a whole • See also: http://www.uwm.edu/Libraries/arch/recordsmgt/collection.html

48. Additional Transfer Preparation • Folder all material– remove binders and other unusual containers • Box all folders and label boxes • Maintain original order of the files according to how they were filed in your office

49. Records Retrieval • Many of our clients require occasional reference to their records after transfer • Example: Graduate School imaging project • Contact Records Management for assistance with retrieval of these records. • May be helpful to designate dept. “courier” for records pickup

50. Confidential Records Destruction • Your building may have its own shredding bin • List at http://www.uwm.edu/Libraries/arch/recordsmgt/confiden.htm • If not, RM staff will pick up confidential records for destruction • Non-confidential records should be destroyed at your office