Records Management Basics:

Presentation Author, 2006

Records Management Basics:The Basics, Advanced!

March 24, 2009

Brad Houston, UWM Libraries, 2007

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!


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


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


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?


Part I: Introduction and Useful Definitions


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)


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!


Records vs. Non-records

Not everything produced by an office is a record

• Duplicate Copies

• Drafts and Informal Notes

• Routing Slips

• Personal Correspondence


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?


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!


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?


If yes to all three…

It is a record!•Public Records = Practice Records Management


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


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


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


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)


A Sample RRDA


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


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


Part II: The Records Life Cycle


The Records Life Cycle


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


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


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


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?


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


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


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


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


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


Archival Retention

• The Archives permanently

preserves records with:

– Enduring administrative

value

– Historical value

• Our goal: document the

history of UWM


Part III: Electronic Records


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

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


Wisconsin Admin. Rule 12• Electronic Records must retain the following

properties throughout their lifecycle:

1. Accessible—You can find it2. Accurate—Reflects the original record3. Authentic—Has not been tampered with4. Reliable--Always produced accurately5. Legible—The letters are clear6. Readable—The content is coherent


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


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


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


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


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


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


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


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


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


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!


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


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


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


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


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


RM Program Assistance• A dedicated Records Coordinator can be a great

help towards records management compliance

• Make sure that the entire office staff is aware of their Records Management responsibilities

• Office-specific versions of this presentation

• Remote reference service– Records Management help is a call or email away!


For More Information

• Records Management Website

– http://www.records.uwm.edu

– Includes general schedules, forms, hints

• Contact Records Management

– [email protected]

– 414-229-6979

Records Management Basics:

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