Records Management Basics: Maintaining a Sunny (Records) Disposition
Part I: Introduction and Useful Definitions
What is Records Management? <ul><li>The systematic and administrative control of records throughout their life cycle to en...
What is a “Record”? <ul><li>Records : Recorded information, in any format, that allows an office to conduct business </li>...
What is a “Record Series”? <ul><li>A group of similar records that are arranged according to a filing system and that are ...
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...
Why Care about RM: The Carrot (Administrative) <ul><li>Time and money saved  if records are managed properly </li></ul><ul...
Why Care about RM: The Carrot (Legal) <ul><li>It Can Protect Us In Case of An Audit or Investigation </li></ul><ul><li>•  ...
Why Care about RM: The Carrot (Historical/Archival) <ul><li>It Lets You Preserve The  History  Of Your Department </li></u...
Records vs. Non-records <ul><li>Not everything produced by an office is a record </li></ul><ul><li>Duplicate Copies </li><...
How do I tell the difference? <ul><li>Do your records: </li></ul><ul><li>Support or document a transaction? </li></ul><ul>...
How to tell the difference, cont. <ul><li>Do your records: </li></ul><ul><li>Relate to the  substantive  business of your ...
Records vs. Non-Records: Examples <ul><li>E-mail to contractor clarifying terms:  Record! </li></ul><ul><li>Memo notifying...
What is a Disposition Schedule? <ul><li>Also known as  Records Retention/Disposition Authorization (RRDA) </li></ul><ul><l...
A Sample RRDA
General Records Schedules <ul><li>Records Schedules that apply to multiple offices or campuses </li></ul><ul><li>GRSs exis...
Specific Records Schedules <ul><li>Records Schedules for specific offices </li></ul><ul><li>Currently approx. 200 offices ...
Part II: The Records Life Cycle
The Records Life Cycle
Life Cycle: Creation and Use <ul><li>Record is  created </li></ul><ul><li>Record is  organized into a record series </li><...
Creation: Your Responsibilities <ul><li>Ensure the record has all useful metadata attached/included </li></ul><ul><ul><li>...
Life Cycle: Records Maintenance <ul><li>Records are  Filed  in office </li></ul><ul><ul><li>See E-records presentation for...
Maintenance: Your Responsibilities <ul><li>Determine appropriate record series for files </li></ul><ul><li>Classify and st...
A Brief Note on Filing <ul><li>Be Consistent – File similar records in similar ways </li></ul><ul><li>Establish a system  ...
Life Cycle: Disposition <ul><li>Disposition:  when records have reached the end of their useful life for a particular offi...
Disposition: Your Responsibilities <ul><li>Be aware of disposition periods of various records series </li></ul><ul><li>Mak...
Destruction of Records <ul><li>Between  95-98 percent of all records  should eventually be destroyed </li></ul><ul><li>Dis...
Archival Retention <ul><li>The Archives permanently preserves records with: </li></ul><ul><ul><li>Enduring administrative ...
Part III: Electronic Records
Electronic Records <ul><li>Value of a record determined by  content ,  not  format ! </li></ul>Electronic Record Paper Ana...
Wisconsin Admin. Rule 12 <ul><li>Electronic Records must retain the following properties throughout their lifecycle: </li>...
How should I manage my e-recs? <ul><li>Short-term/active records: PantherFile </li></ul><ul><li>Versioning and Logging pro...
How should I manage my e-recs? Cont. <ul><li>Long-Term: Three Options </li></ul><ul><ul><li>On-line storage (within existi...
E-mail Records <ul><li>The most common type of electronic record </li></ul><ul><li>Should be treated as regular correspond...
E-mail Records Schedule <ul><li>Business Communication: Transitory </li></ul><ul><ul><li>Scheduling, mass-emails, CCs, etc...
Part IV: What can UWM Records Management do for you?
Records Scheduling <ul><li>RM staff performs  records surveys , or assessments of scheduling needs </li></ul><ul><li>If a ...
Records Schedule Updates <ul><li>RRDAs ‘sunset’, or expire, every 10 years </li></ul><ul><ul><li>This allows for changes i...
Records Schedule Reference <ul><li>http://www.uwm.edu/Libraries/arch/recordsmgt/schedules.html   </li></ul><ul><li>Include...
Records Transfers <ul><li>Contact UWM Records Management for assistance with transfers to the Archives </li></ul><ul><li>T...
UWM Archives is interested in: <ul><li>Subject Files (Projects, reports, correspondence) </li></ul><ul><li>Publications (N...
Additional Transfer Preparation <ul><li>Folder all material– remove binders and other unusual containers </li></ul><ul><li...
Records Retrieval <ul><li>Many of our clients require occasional reference to their records after transfer </li></ul><ul><...
Confidential Records Destruction <ul><li>Your building may have its own shredding bin  </li></ul><ul><ul><li>List at  http...
RM Program Assistance <ul><li>A dedicated Records Coordinator can be a great help towards records management compliance </...
For More Information <ul><li>Records Management Website  </li></ul><ul><ul><li>http://www.records.uwm.edu </li></ul></ul><...
Questions?
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The Basics of UWM Records Management

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Original version of "Basics of UWM Records Management", presented at UWM 11/29/2007

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The Basics of UWM Records Management

  1. 1. Records Management Basics: Maintaining a Sunny (Records) Disposition
  2. 2. Part I: Introduction and Useful Definitions
  3. 3. 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: http://www.archivists.org/glossary/term_details.asp?DefinitionKey=200) </li></ul></ul>
  4. 4. 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>
  5. 5. 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>
  6. 6. 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>
  7. 7. 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>
  8. 8. 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>
  9. 9. 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>
  10. 10. 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>
  11. 11. 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>
  12. 12. 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>
  13. 13. 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>
  14. 14. What is a Disposition 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>
  15. 15. A Sample RRDA
  16. 16. 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>
  17. 17. 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>
  18. 18. Part II: The Records Life Cycle
  19. 19. The Records Life Cycle
  20. 20. 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>
  21. 21. 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>
  22. 22. 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>
  23. 23. 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>
  24. 24. 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>
  25. 25. 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>
  26. 26. 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>
  27. 27. 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>
  28. 28. 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>
  29. 29. Part III: Electronic Records
  30. 30. 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
  31. 31. 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>
  32. 32. 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>
  33. 33. 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>
  34. 34. 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: http://www.uwm.edu/Libraries/arch/recordsmgt/email.html </li></ul>
  35. 35. 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>
  36. 36. Part IV: What can UWM Records Management do for you?
  37. 37. 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>
  38. 38. 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>
  39. 39. Records Schedule Reference <ul><li>http://www.uwm.edu/Libraries/arch/recordsmgt/schedules.html </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>
  40. 40. 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: http://www.uwm.edu/Libraries/arch/recordsmgt/transfer.html </li></ul>
  41. 41. 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: http://www.uwm.edu/Libraries/arch/recordsmgt/collection.html </li></ul>
  42. 42. 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>
  43. 43. 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>
  44. 44. Confidential Records Destruction <ul><li>Your building may have its own shredding bin </li></ul><ul><ul><li>List at http://www.uwm.edu/Libraries/arch/recordsmgt/confiden.htm </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>
  45. 45. 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>
  46. 46. For More Information <ul><li>Records Management Website </li></ul><ul><ul><li>http://www.records.uwm.edu </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>
  47. 47. Questions?

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