Glory is Acquired by Virtue but Preserved by Letters
We must maintain records
containing adequate and
proper documentation of the
policies, decisions, procedures
and essential transactions of
the agency designed to furnish
information to protect the
rights of the state and of
persons directly affected by
the agency's activities. ARS
An entity shall not knowingly discard or dispose of
records or documents without redacting the
information or destroying the records or
documents if the records or documents contain:
1. An individual's first and last name
2. Last name in combination with a:
A. Social security number.
B. Credit card, charge card or debit card
C. Retirement account number.
D. Savings, checking or securities entitlement
E. Driver license number or non-operating
identification license number.
28 percent of their time, reading,
writing or responding to email.
An additional 19 percent of their
time tracking down information to
complete their tasks.
2012 McKinsey Global Institute Report
The Circle of Life
Records have a life cycle:
creation > active use > disposition
Two types of records:
Timing is Everything
A records management schedule:
Describes the records.
Defines the length of time to keep the records.
Defines when and how to send records to oversight/accreditation organizations.
Defines when to send the originals to the university archive.
Schedules are Unique
Each record, or record series, in a unit will have a unique retention schedule:
If your unit produces 20 different record series (types) = 20 different schedules.
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Value of Records
Administrative value = records that help
your office do its work (student grades,
meeting minutes, policies, manuals,
Fiscal value = document financial
authorizations and transactions and are
often subject to audit (budget,
expenditures, p-card receipts).
Legal value = records subject to official
actions such as subpoenas, investigations
or lawsuits (employment records,
Historical or research value – these records document significant historical
events or may reflect decisions about significant activities in the community
(PBC campus grand opening, Buffmire lectures, Cancer Center groundbreaking).
If a record is historically significant, it is a permanent record.
Variety is the
Spice of Life
What do you create (policies,
brochures, grades, reports)?
What type of records do you
have (paper, electronic,
Is it labeled and identified, or
stuffed in a filing cabinet, or
floating in cyberspace?
The content is important, not
Make a New Plan, Stan
Initial goal is to complete an evaluation of unit records,
1. An inventory.
2. Document reporting needs.
3. Develop records management schedule for
4. Identify the need for potential digitization.
5. Identify a coordinator for each unit. This can be the
unit leader or the staff member(s) responsible for
records in the unit who is:
Familiar with unit records.
Knowledgeable about reporting institution
Monkey in the Middle?
Step 1: Complete an inventory
1. Identify the records created in the unit.
Record series (personnel records, student records, financial
Volume of records.
Identify the dates/years that the records were created.
Identify all confidential records.
Identify any existing naming or filing conventions.
Identify staffing = match job descriptions to the records (registrar
Determine if there are records that are not currently managed by
a staff member.
On Closer Inspection …
2. Identify the media and storage locations.
Paper (filing rooms).
Electronic (shared drive, CD, work
Virtual (Google Drive, SurveyMonkey,
Do you move records from virtual to local
storage? If yes, document it.
2. Identify copies: these should never be kept
longer than the original.
Format (paper, electronic, virtual).
Storage location (shared drive, CD, work
High Surf or
Step 2: Identify reporting needs
Identify and document:
1. The regulatory/accreditation institutions that
request unit records.
2. If any other institutional units are responsible
for reporting unit records (administrative,
financial or human resources).
3. When you are required to report data to the
4. What method of delivery (paper or electronic).
5. How long you are required to keep those records
for reporting purposes per institution.
6. How long you refer to those records within the
office (active use period).
Step 3: Institutional Records Management and Archives Department
We are responsible for collecting records for the Records Management and Archives
Department (RMAA). The institutional archivist is the officer responsible to the State of
1. RMAA will acquire permission from the state to digitize paper documents.
1. RMAA will provide us with folders, boxes and other supplies.
2. RMAA will pick-up all the records for free.
Beam Me Up, Scotty
Step 4: Digitization
Transforming paper records to electronic records is
Information Technology staff need to plan where
to store and secure electronic data, especially
confidential records, and to plan for the server
Equipment or software may need to be purchased.
The state requires minimum standards for
Information and training will be supplied at a later
Step 5: Unit Coordinator
1. Identify a records coordinator for each unit.
2. Perform a record series inventory. This is a
general overview of records managed in the unit.
Unit inventories will inform:
The volume of records to be
The types of records.
Staff needs and experience
with records management.
The need for digitization.
The potential purchase of
software or equipment.
Time and staff to develop
an efficient information
work flow per unit.