The Basics of UWM Records Management


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The Basics of UWM Records Management

  1. 1. Records Management Basics: The Basics, Advanced! March 24, 2009
  2. 2. Why Care about RM: The Stick <ul><li>It’s the law! </li></ul><ul><ul><li>Wisc. Stats. 16.61: Public Records </li></ul></ul><ul><ul><li>Wisc. Stats. 19.31: Open Records </li></ul></ul><ul><ul><li>FERPA: Protect AND provide access </li></ul></ul><ul><li>Records MAY NOT be destroyed unless they are scheduled! </li></ul>
  3. 3. Why Care about RM: The Carrot (Administrative) <ul><li>Time and money saved if records are managed properly </li></ul><ul><li>Less need for… </li></ul><ul><li>1. File reconstruction </li></ul><ul><li>2. Long and/or fruitless search for records </li></ul><ul><li>3. Finding extra space (physical and virtual) in the office </li></ul>
  4. 4. Why Care about RM: The Carrot (Legal) <ul><li>It Can Protect Us In Case of An Audit or Investigation </li></ul><ul><li>• We have legal cover if investigators seek destroyed records </li></ul><ul><li>• We have evidence on hand for our own legal defense </li></ul>
  5. 5. Why Care about RM: The Carrot (Historical/Archival) <ul><li>It Lets You Preserve The History Of Your Department </li></ul><ul><li>Think about it: At our Centennial, will we still know our history? </li></ul>
  6. 6. Part I: Introduction and Useful Definitions
  7. 7. What is Records Management? <ul><li>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. </li></ul><ul><ul><li>(Source: </li></ul></ul>
  8. 8. What is a “Record”? <ul><li>Records : Recorded information, in any format, that allows an office to conduct business </li></ul><ul><ul><li>This includes emails and IMs! </li></ul></ul><ul><ul><li>Also documents business processes </li></ul></ul><ul><li>Value of Record determined by content, not format! </li></ul>
  9. 9. Records vs. Non-records <ul><li>Not everything produced by an office is a record </li></ul><ul><li>Duplicate Copies </li></ul><ul><li>Drafts and Informal Notes </li></ul><ul><li>Routing Slips </li></ul><ul><li>Personal Correspondence </li></ul>
  10. 10. How do I tell the difference? <ul><li>Do your records: </li></ul><ul><li>Support or document a transaction? </li></ul><ul><li>Document the formulation or execution of a policy, interpretation of a policy, or change of policy? </li></ul><ul><li>Document Actions taken in response to an inquiry? </li></ul>
  11. 11. How to tell the difference, cont. <ul><li>Do your records: </li></ul><ul><li>Relate to the substantive business of your office or work unit? </li></ul><ul><li>Provide information regarding the historical development of UWM programs or people? </li></ul><ul><li>Then Consider Them Records! </li></ul>
  12. 12. Is it a Record? A 3-step test <ul><li>Is this material related to the duties in my job description? </li></ul><ul><li>Am I, on UW’s behalf, the creator or recipient of the material? </li></ul><ul><li>Is this the official version of the record? </li></ul>
  13. 13. If yes to all three… <ul><li>It is a record! </li></ul><ul><li>Public Records = Practice Records Management </li></ul>
  14. 14. If no to any of the three… <ul><li>It is NOT a record! </li></ul><ul><li>Non-records should be removed from University business tools and offices as soon as possible and on an ongoing basis </li></ul>
  15. 15. Records vs. Non-Records: Examples <ul><li>E-mail to contractor clarifying terms: Record! </li></ul><ul><li>Memo notifying a subordinate of committee assignment: Record! </li></ul><ul><ul><li>Sender must retain as record; recipient may delete as appropriate </li></ul></ul><ul><li>Draft of a report: Non-Record! </li></ul><ul><ul><li>The final report will be a record, however </li></ul></ul>
  16. 16. What is a “Record Series”? <ul><li>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 </li></ul><ul><li>Copies of same record may belong to different series– determine which is original! </li></ul><ul><li>Functional unit of Records Schedules </li></ul>
  17. 17. What is a Records Schedule? <ul><li>Also known as Records Retention/Disposition Authorization (RRDA) </li></ul><ul><li>Prescribes length of time to keep records in an office– this is known as the Retention Period </li></ul><ul><li>Provides instructions for disposition (destroy or transfer ) </li></ul>
  18. 18. A Sample RRDA
  19. 19. General Records Schedules <ul><li>Records Schedules that apply to multiple offices or campuses </li></ul><ul><li>GRSs exist at division, campus, UW-System, and Wisconsin levels </li></ul><ul><li>Comprehensive List available on RM website </li></ul><ul><ul><li>Key GRSs: Fiscal/Payroll, Personnel, IT </li></ul></ul>
  20. 20. Specific Records Schedules <ul><li>Records Schedules for specific offices </li></ul><ul><li>Currently approx. 200 offices scheduled </li></ul><ul><li>List of active RRDAs available on RM website </li></ul><ul><ul><li>Contact Records Management to obtain a copy of your schedule </li></ul></ul>
  21. 21. Part II: The Records Life Cycle
  22. 22. The Records Life Cycle
  23. 23. Life Cycle: Creation and Use <ul><li>Record is created </li></ul><ul><li>Record is organized into a record series </li></ul><ul><ul><li>Group of similar records related by creator or function </li></ul></ul><ul><li>Record is distributed throughout office or used , as appropriate </li></ul>
  24. 24. Creation: Your Responsibilities <ul><li>Ensure the record has all useful metadata attached/included </li></ul><ul><ul><li>Subject, recipient, author, date, title </li></ul></ul><ul><li>Determine if record is long-term or short-term, and create accordingly </li></ul><ul><ul><li>File format, storage/delivery medium </li></ul></ul>
  25. 25. Life Cycle: Records Maintenance <ul><li>Records are Filed in office </li></ul><ul><ul><li>See E-records presentation for some filing hints </li></ul></ul><ul><li>Inactive Records may be Transferred to Off-site storage </li></ul><ul><ul><li>For records which must be retained, but which are of little/no archival value </li></ul></ul>
  26. 26. Maintenance: Your Responsibilities <ul><li>Determine appropriate record series for files </li></ul><ul><li>Classify and store records according to an organized filing system </li></ul><ul><li>Create an inventory of records </li></ul><ul><ul><li>Usually, folder-level is good enough </li></ul></ul><ul><li>Be prepared to retrieve records for various purposes </li></ul><ul><ul><li>Administrative need? Public Records Request? </li></ul></ul>
  27. 27. A Brief Note on Filing <ul><li>Be Consistent – File similar records in similar ways </li></ul><ul><li>Establish a system early — Alphabetic? Numeric? Chronological? Subject? </li></ul><ul><li>Keep track of dispositions– Mark files by date and type </li></ul><ul><li>Keep records series separate </li></ul>
  28. 28. Life Cycle: Disposition <ul><li>Disposition: when records have reached the end of their useful life for a particular office. Typically one of three options: </li></ul><ul><li>Destruction </li></ul><ul><li>Confidential Destruction </li></ul><ul><li>Permanent Archival Retention </li></ul>
  29. 29. Disposition: Your Responsibilities <ul><li>Be aware of disposition periods of various records series </li></ul><ul><li>Make arrangements for confidential destruction, as needed </li></ul><ul><li>Prepare records with long-term value for archival transfer </li></ul>
  30. 30. Destruction of Records <ul><li>Between 95-98 percent of all records should eventually be destroyed </li></ul><ul><li>Disposition step for records with no enduring value </li></ul><ul><li>Confidential Destruction is necessary when records contain sensitive information, such as student or personnel information </li></ul>
  31. 31. Litigation Holds <ul><li>An important exception to retention schedules! </li></ul><ul><li>Under litigation holds, NO RECORDS in that series may be destroyed for duration </li></ul><ul><li>Legal Affairs and/or Public Record Custodian will inform your office if a hold is placed </li></ul>
  32. 32. Archival Retention <ul><li>The Archives permanently preserves records with: </li></ul><ul><ul><li>Enduring administrative value </li></ul></ul><ul><ul><li>Historical value </li></ul></ul><ul><li>Our goal: document the history of UWM </li></ul>
  33. 33. Part III: Electronic Records
  34. 34. Electronic Records <ul><li>Value of a record determined by content , not format ! </li></ul>Electronic Record Paper Analog E-mail message Memo, typed letter E-Form template Form master copy Museum accessions database Accession card catalog Student paper (e-mailed or D2L-submitted) Student paper submitted in class or via mail Instant message log Memorandum of conversation
  35. 35. Wisconsin Admin. Rule 12 <ul><li>Electronic Records must retain the following properties throughout their lifecycle: </li></ul><ul><ul><li>Accessible—You can find it </li></ul></ul><ul><ul><li>Accurate—Reflects the original record </li></ul></ul><ul><ul><li>Authentic—Has not been tampered with </li></ul></ul><ul><ul><li>Reliable--Always produced accurately </li></ul></ul><ul><ul><li>Legible—The letters are clear </li></ul></ul><ul><ul><li>Readable—The content is coherent </li></ul></ul>
  36. 36. How should I manage my e-recs? <ul><li>Short-term/active records: PantherFile </li></ul><ul><li>Versioning and Logging produces authenticity trail </li></ul><ul><li>See e-records slides for more detail on these functions </li></ul><ul><li>Coming soon-ish: fully-functional records module within PantherFile </li></ul>
  37. 37. How should I manage my e-recs? Cont. <ul><li>Long-Term: Three Options </li></ul><ul><ul><li>On-line storage (within existing system) </li></ul></ul><ul><ul><li>Near-line storage (exported to CD, PantherFile, etc.) </li></ul></ul><ul><ul><li>Off-line storage (printed out and filed) </li></ul></ul><ul><li>If historical records: transfer via CD/PantherFile to UWM archives </li></ul>
  38. 38. E-mail Records <ul><li>The most common type of electronic record </li></ul><ul><li>Should be treated as regular correspondence with respect to records responsibilities </li></ul><ul><li>See e-mail presentation on RM webpage for organization tips </li></ul><ul><li>See also: </li></ul>
  39. 39. E-mail Records Schedule <ul><li>Business Communication: Transitory </li></ul><ul><ul><li>Scheduling, mass-emails, CCs, etc. </li></ul></ul><ul><ul><li>7 days or end of admin value and destroy </li></ul></ul><ul><li>Business Communication: Routine </li></ul><ul><ul><li>Project correspondence, report drafts, etc. </li></ul></ul><ul><ul><li>6 months after end of project and destroy </li></ul></ul><ul><li>All other emails </li></ul><ul><ul><li>Retain/Dispose according to related existing RRDA </li></ul></ul>
  40. 40. E-records Security <ul><li>Don’t take home records, or put records on a laptop or USB device that leaves the office </li></ul><ul><li>Maintain a robust password for any account with sensitive information (FERPA info, SSNs, etc.) </li></ul><ul><li>Don’t use UWM email for personal matters, or personal email for UWM matters </li></ul><ul><li>Dispose of records according to record schedule </li></ul>
  41. 41. If a security breach occurs... <ul><li>Contact appropriate UWM Staff </li></ul><ul><ul><li>Information Security (x4040) </li></ul></ul><ul><ul><li>Legal Affairs (x4278) </li></ul></ul><ul><ul><li>Records Officer (x6979) </li></ul></ul><ul><li>Compile list of potential affected persons </li></ul><ul><ul><li>You may be asked to provide this to legal </li></ul></ul><ul><li>Don’t Panic! </li></ul><ul><ul><li>You’re neither the first nor the last to do this </li></ul></ul><ul><ul><li>Focus on minimizing damage </li></ul></ul>
  42. 42. Part IV: What can UWM Records Management do for you?
  43. 43. Records Scheduling <ul><li>RM staff performs records surveys , or assessments of scheduling needs </li></ul><ul><li>If a new schedule is necessary: </li></ul><ul><ul><li>RM staff will work with your office to determine most appropriate disposition </li></ul></ul><ul><ul><li>The Records Officer will write an RRDA for the approval of your Office/Department Manager </li></ul></ul><ul><li>Schedule records as soon as they are created </li></ul>
  44. 44. Records Schedule Updates <ul><li>RRDAs ‘sunset’, or expire, every 10 years </li></ul><ul><ul><li>This allows for changes in format, need, etc. </li></ul></ul><ul><li>Process for renewing RRDAs same as for creating new ones </li></ul><ul><li>Most offices have expired or soon-to-expire RRDAs </li></ul>
  45. 45. Records Schedule Reference <ul><li> </li></ul><ul><li>Includes links to UWM General Records Schedules, UW-System Schedules, Wisconsin DoA Schedules </li></ul><ul><ul><li>Examples: Personnel, Fiscal/Accounting, Payroll </li></ul></ul><ul><li>Coming soon: all schedules hosted on this site! </li></ul>
  46. 46. Records Transfers <ul><li>Contact UWM Records Management for assistance with transfers to the Archives </li></ul><ul><li>To expedite processing, we suggest: </li></ul><ul><ul><li>Preliminary weeding: drafts, duplicates, etc. </li></ul></ul><ul><ul><li>Completion of Records Transfer form– available on RM website </li></ul></ul><ul><ul><li>Completion of Records Inventory: know what you’re giving to the Archives! </li></ul></ul><ul><li>See also: </li></ul>
  47. 47. UWM Archives is interested in: <ul><li>Subject Files (Projects, reports, correspondence) </li></ul><ul><li>Publications (Newsletters, posters, flyers) </li></ul><ul><li>Minutes (and related material in appendices) </li></ul><ul><li>Any other materials that “tell the story” of the department or of the University as a whole </li></ul><ul><li>See also: </li></ul>
  48. 48. Additional Transfer Preparation <ul><li>Folder all material– remove binders and other unusual containers </li></ul><ul><li>Box all folders and label boxes </li></ul><ul><li>Maintain original order of the files according to how they were filed in your office </li></ul>
  49. 49. Records Retrieval <ul><li>Many of our clients require occasional reference to their records after transfer </li></ul><ul><ul><li>Example: Graduate School imaging project </li></ul></ul><ul><li>Contact Records Management for assistance with retrieval of these records. </li></ul><ul><li>May be helpful to designate dept. “courier” for records pickup </li></ul>
  50. 50. Confidential Records Destruction <ul><li>Your building may have its own shredding bin </li></ul><ul><ul><li>List at </li></ul></ul><ul><li>If not, RM staff will pick up confidential records for destruction </li></ul><ul><li>Non-confidential records should be destroyed at your office </li></ul>
  51. 51. RM Program Assistance <ul><li>A dedicated Records Coordinator can be a great help towards records management compliance </li></ul><ul><li>Make sure that the entire office staff is aware of their Records Management responsibilities </li></ul><ul><li>Office-specific versions of this presentation </li></ul><ul><li>Remote reference service– Records Management help is a call or email away! </li></ul>
  52. 52. For More Information <ul><li>Records Management Website </li></ul><ul><ul><li> </li></ul></ul><ul><ul><li>Includes general schedules, forms, hints </li></ul></ul><ul><li>Contact Records Management </li></ul><ul><ul><li>[email_address] </li></ul></ul><ul><ul><li>414-229-6979 </li></ul></ul>