1. The document discusses developing a records management plan which includes evaluating records, completing an inventory, identifying reporting needs, coordinating with the institutional archives, considering digitization, and designating a unit coordinator. 2. Key steps involve completing an inventory of record types and locations, documenting reporting requirements, coordinating with the archives, and identifying opportunities for digitization or a unit coordinator. 3. The goals are to understand what records are created and stored, ensure compliance with reporting needs, and establish efficient information management practices.

1. Evaluation
Reporting
StorageDigitization
DispositionInstitutional
Archives
Information Management:
Developing a Records Management Plan
Susan Barrett
Twitter: @suebeeinaz

2. Topics
1.Information management.
2.Records management.
3. Evaluating records.
4. Inventory.
1. Reporting.
2. Documentation.
3. RMAA.
4. Digitization.
5. Unit records coordinator.

3. Information Overload
Records document what we do and how we do it.

4. Area 51

5. Content is King
Student
Grades
Financial
Receipts
Academic
Calendars
Faculty
Publications
Website
Biographies
Research
Grants
Admission
Applications

6. The Stuff of Life

7. Glory is Acquired by Virtue but Preserved by Letters
We must maintain records
containing adequate and
proper documentation of the
organization, functions,
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
41-151.14(A)(2)

8. Confidential Records
ARS 44-7601
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
or
2. Last name in combination with a:
A. Social security number.
B. Credit card, charge card or debit card
number.
C. Retirement account number.
D. Savings, checking or securities entitlement
account number.
E. Driver license number or non-operating
identification license number.

9. Lean In
Workers spend:
•
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

10. Creation
Active
Use
Disposition
The Circle of Life
•
Records have a life cycle:
creation > active use > disposition
•
Two types of records:
1. Permanent.
2. Temporary.

11. 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.

12. 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,
reports).
•
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,
admission records).
http://www.flickr.com/photos/rwalstrom/

14. Historical Value
•
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.
http://www.flickr.com/photos/cliffordjol/

15. Variety is the
Spice of Life
Evaluating Records
•
What do you create (policies,
brochures, grades, reports)?
•
What type of records do you
have (paper, electronic,
virtual)?
•
Is it labeled and identified, or
stuffed in a filing cabinet, or
floating in cyberspace?
•
The content is important, not
the media.

16. Make a New Plan, Stan
Initial goal is to complete an evaluation of unit records,
which includes:
1. An inventory.
2. Document reporting needs.
3. Develop records management schedule for
regulatory reporting.
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
requirements.

17. Monkey in the Middle?
Step 1: Complete an inventory
1. Identify the records created in the unit.

Record series (personnel records, student records, financial
records).

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
= grades).

Determine if there are records that are not currently managed by
a staff member.

18. On Closer Inspection …
2. Identify the media and storage locations.

Paper (filing rooms).

Electronic (shared drive, CD, work
computer).

Virtual (Google Drive, SurveyMonkey,
Dropbox).

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
computer).

http://www.flickr.com/photos/emsl/

19. High Surf or
Balmy Breezes?
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
institution (schedule).
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).

20. Feng Shui
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
Arizona.
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.

21. Beam Me Up, Scotty
Step 4: Digitization

Transforming paper records to electronic records is
expensive.

Information Technology staff need to plan where
to store and secure electronic data, especially
confidential records, and to plan for the server
space needed.

Equipment or software may need to be purchased.
Scanning

The state requires minimum standards for
scanning.

Information and training will be supplied at a later

22. Herding Ducks
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.

23. Questions?

24. Forward!
Unit inventories will inform:
•
The volume of records to be
managed.
•
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.