Records Management -...

1

Records Management:The Basics, Intermediate & Electronic

Caroline J. Walters, MA, MLSUniversity Records Officer

SE

AS

2

Agenda

� Hour 1: The Basics & Intermediate

� What is Records Management?

� UVA Records Management Office

� Virginia Public Records Law

� Formats

� FOIA/Confidentiality

� Destruction of Public Records

� SSN Remediation

� Specific Records Series

� HR Records

� Financial Records

� Contracts and Grants

� Hour 2: Intermediate Con’t & Electronic

To

Do

3

� . . . The application of efficient and economical methods for managing the lifecycle of public records consistent with regulations and guidelines promulgated by the State Library Board . . .” (Code of Virginia §42.1-85.A)

What is records management?

Re

co

rds

Ma

na

ge

me

nt

4

1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30 31

Records Management Day

� Annual event to weed, destroy, and preserve

Re

co

rds

Ma

na

ge

me

nt

5

Services

� Consultations

� Retention

� Storage

� RM Best Practices

� Training

� In-person and online training

� Topics including Email, Digital Imaging System, Electronic Records, Records Organization

� Website (www.virginia.edu/recordsmanagement)

� Electronic approval of destructions (RM3 Form) (coming)

� Searchable database of retentions (coming)

Re

co

rds

Ma

na

ge

me

nt

6

Why Bother?

�Save money.

� Improve efficiency and

productivity.

�Compliance with Virginia

Code.

�Minimize litigation risks.

�Preserve UVA’s memory.

�Protect essential records.

Re

co

rds

Ma

na

ge

me

nt

7

What is a Public Record?

"Public record" or "record" means recorded information that documents a transaction or activity by or with any public officer, agency or employee of an agency. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business. The medium upon which such information is recorded has no bearing on the determination of whether the recording is a public record.

Code of Virginia, Title 42.1 Chapter 7

Virginia Public Records Act

VA

Pu

blic

Re

co

rds

Ac

t

8

What is not a record?

� Reference materials:

� reference texts, magazine and newspaper articles, textbooks, presentation handouts, extra copies of official records, etc.

� Administrative and personal correspondence/e-mail:

� meeting times, lunch dates, staff association memos, FYI memos, spam, etc.

� Personal materials:

� errand lists, bills, checkbooks, personal letters and/or photos, etc.

� Stationery, blank forms, and publications for distribution

� Copies of policy and procedure manuals

VA

Pu

blic

Re

co

rds

Ac

t

9

What is a record REALLY?

A RECORD:

� Documents a transaction or activity

� Includes all mediums regardless of physical form or characteristic

� And is considered a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business

VA

Pu

blic

Re

co

rds

Ac

t

10

Record Formats

Paper:� Bound volumes

� Loose paper

� Oversize

Microfilm:

� Rolls

� Fiche

Digital :

� Servers/Hard Drive

� Diskettes/CD

� Tape

Re

co

rds

Fo

rma

ts

11

Confidential Records

� Restricted by state or federal statute

� Medical and mental health records (HIPAA).

� Student records (FERPA).

� Police Investigations

� Some Personnel Records

� Trade Secrets

� Donor Information

Co

nfid

en

tial R

ec

ord

s L

aw

s

12

Destruction of Public Records

VA Public Records Act 42.1-86.1:

No agency shall destroy or discard a public record unless :

(i) the record appears on a records retention and disposition schedule . . . and the record's retention period has expired;

(ii) a certificate of records destruction . . .has been properly completed and approved by the agency's designated records officer;

(iii) there is no litigation, audit, investigation, request for records pursuant to the Virginia Freedom of Information Act.

VA

Pu

blic

Re

co

rds

Ac

t

13

Destruction: Step i

� (a) the record appears on a records retention and

disposition schedule . . . and the record's

retention period has expired;

� Records Retention and Disposition Schedules

VA

Pu

blic

Re

co

rds

Ac

t

14

Records Retention and

Disposition Schedule

. . .means a Library of Virginia-approved timetable

stating the required retention period and

disposition action of a records series. The

administrative, fiscal, historical, and legal value of

a public record shall be considered in appraising

its appropriate retention schedule.

VA

Pu

blic

Re

co

rds

Ac

t

15

Records Series ? ?

� A records series is a group of related records

(in any format) held by an organization. A

records series usually includes multiple

documents or forms that have a relationship

and should be retain for a similar length of

time.

Re

co

rds

Se

ries

16

Destruction: Step ii

� (ii) a certificate of records destruction . . .has

been properly completed and approved by the

agency's designated records officer;

� Certificate of Destruction (RM3)

VA

Pu

blic

Re

co

rds

Ac

t

17

Certificate of Records

Destruction (RM3)

� The application of a retention schedule and

completed Certificate of Records Destruction

(RM-3 form) serve as evidence of proper

disposal if records are subpoenaed as

evidence. By documenting the disposal of

records and submitting the form to the Records

Analysis Section of the Library of Virginia once

the records are destroyed, you are following

sound records management practices.

VA

Pu

blic

Re

co

rds

Ac

t

18

Destruction: Step iii

� (iii) there is no litigation, audit, investigation,

request for records pursuant to the Virginia

Freedom of Information Act.

�How do you know?

�How Records Management will help!

VA

Pu

blic

Re

co

rds

Ac

t

19

VA Public Records Act

§ 42.1-86.1. Disposition of public records.

B. No agency shall destroy any public record

created before 1912 without first offering it to

The Library of Virginia.

C. Each agency shall ensure that records created

after July 1, 2006 and authorized to be destroyed

or discarded in accordance with subsection A,

are destroyed or discarded in a timely manner in

accordance with the provisions of this chapter;

provided, however, such records that contain

identifying information . . . shall be destroyed

within six months of the expiration of the records

retention period.

VA

Pu

blic

Re

co

rds

Ac

t

20

Social Security Number

Remediation

� Deadline to remove all

social security numbers by

July 2009 not required to

keep under law.

� Student Records

� Personnel Records

� Official Record Keeper(s)

� Library of Virginia retentions

– legal requirement.

SS

N R

em

ed

iatio

n

21

Social Security Numbers

� Retention of Records

� Undergraduate Students – 3 years after graduation/last

date enrolled.

� Graduate Students – 10 years after graduation/last date

enrolled.

� Personnel – 5 years after termination

� Notes:

� Does not include medical doctors/medical students.

� Only for official department record keeper

� Individual faculty, staff, supervisors should not retain

outside the official record of the department.

� MORE TO COME!

SS

N R

em

ed

iatio

n

22

Permanent Retention

� Some records series in the

schedules indicate permanent

retention – this means forever

(1000’s of years).

� In most cases records with

permanent retentions must be

preserved in an Archives

� Special Collections, University Library

� Health Sciences Library, UVA

� State Library & Archives, Richmond

Re

co

rds

Re

ten

tion

23

Transfers to an Archives

� Procedure under

development:

� Will document

transfers.

� Make clear what to

transfer.

� In the meantime,

� Review the schedules.

� Contact Records

Management for

consult.

Re

co

rds

Re

ten

tion

24

RM3 Required/Suggested

� Always for official

records with legal

and/or fiscal value.

� Any record that could

be requested for a

audit and/or legal

action, even if not the

original.

� Any record that you

need to document the

destruction.

Re

co

rds

De

stru

ctio

n

25

RM3 NOT Required

� Convenience copies without a designated value.

� Multiple (duplicate) copies where one copy is

retain in the office (official or reference).

� Day to day emails – includes reminders,

scheduling emails, FYIs, where you are not the

originator of the message.

� Unsure? Call or Email Records Management?

� 3-9162 or [email protected]

Re

co

rds

Re

ten

tion

26

Official, Original & Reference

�What’s the difference?

� Official: The record designated as the legal

copy of the transactions and is held by the

official record keeper for that record.

� Original: The first version/copy of the

document which may include “wet”

signatures/notations.

� Reference Copies: A copy retained by an office

who is not the official record keeper of that

document for the University, but who needs the

reference copy available to do the work of the

office.

Offic

ial, O

rigin

al &

Re

fere

nc

e

27

Records Retention and

Disposition Schedules

Most Used Records Series:

� Human Resources

Records

� Financial Records

� Contract/Grant Records

� Student Records

� Others????

Re

co

rds

Re

ten

tion

28

Human Resources Records

� Official Record Keepers:

� Staff – University Human Resources

� Faculty – Provost

� Temp/Wage Hour - multiple

HR

Re

co

rds

29


(103)

� Staff/Faculty (103-012172)

� Wage Hour (103-100486)

� Student (111-101180)

� Department HR Personnel Folder:

� Destroy 5 years after termination.

� Includes: hiring/application, benefits, professional certification, promotions, evaluations, disciplinary actions, security checks.

� Payroll/Leave Records (use 102-012137)

� 4 closed fiscal years

HR

Re

co

rds

30


� Grievance Records (103-100490)

� Destroy 3 years after resolution

� Accidents/Incidents (103-100473)

� Destroy 5 years after resolution

� Non-hired Applications (103-012-185)

� Destroy 3 years after position closed/filled

� Included Faculty searches.

HR

Re

co

rds

31


� I-9’s, Supporting Documentation, Tax Forms

� Departments should not retain these in

personnel folders.

� University HR is the official record keeper.

� Once receipt of form is verified with UHR,

Departments should destroy their copies

securely.

� These are considered convenience copies

and do not require an RM3 to destroy.

� Suggested retention is 30-60 days after

hire.

HR

Re

co

rds

32

Financial Records

� State and Local Funds/Non-Payroll

� Destroy after 3 closed fiscal years (and

clearance of audit issues).

Accounts Payable

Accounting Reports

Cash (Settlements)

Checking & Checks

Purchase Orders

Receiving Reports

Accounts Receivable

Bank Records

Cash Deposits

Credit Card Receipts

Receiving Reports

Surplus Property

Fin

an

cia

l Re

co

rds

33

Contract/Grant Financial

Records

�Contract and Grant Funds

(111-101168)

� Destroy after 5 closed fiscal years after

close of the contract/grant (and clearance

of audit issues).

Accounts Payable

Accounting Reports

Cash (Settlements)

Checking & Checks

Purchase Orders

Receiving Reports

Accounts Receivable

Bank Records

Cash Deposits

Credit Card Receipts

Receiving Reports

Surplus Property

Co

ntra

cts

& G

ran

ts R

ec

ord

s

34

Questions?Q

ue

stio

ns

?

Stretch Break!

35

Agenda

� Hour 1: The Basics

� Hour 2: Intermediate Con’t & Electronic

� Specific Records Series

� Student Records

� Others???

� Destruction/Recycling

� Storage

� Electronic

� Destruction

� Scanning

� Email

� Questions

To

Do

36

Student Records Retention

� Who is the official record keeper??

� Registrar: the official record keeper of all grades/transcripts for any student attending UVA.

� School: the official record keeper of any information about the student that is not sent to the registrar’s office and is produced by the school.

� Department: the official record keeper of any information about the student that is not sent to the registrar’s office or the school and is produced by the department.

Stu

de

nt R

ec

ord

s

37

Department Student Records

Destroy 1 year after last action/end of term:

Destroy 3 years after last action/end of term:

Class Rolls/Grade Sheets (111-101069)

Withdrawal Forms

Grade Changes

Change of Course (Drop/Add)

Grade Appeals

Enrollments

Class Schedules

Audit/No Credit Authorizations

Course Evaluations

Pass/Fail Forms

Change of Status

Exams, Tests, Term Papers, etc.

Stu

de

nt R

ec

ord

s

38


Destroy 1 year after graduation:

Destroy 3 years after graduation: (111-101082)

All Undergraduate Student Records

Academic Actions

Degree Audit

Advanced Placement

Program Modification

Applications for Degree

Transfer Credits

Stu

de

nt R

ec

ord

s

39


Graduate Student Records: (111-101083)

Destroy 10 years after graduation:

Exception: You may retain information on

graduate students that does not contain SSN

or is officially held by the University Registrar .

This may include:

Committee/Dissertation/Thesis Reviews,

Letters of Recommendation, Other

Correspondence.

Dissertations/Thesis: Retain for 50 years at the

University (could be located in library, only one

copy necessary).

Stu

de

nt R

ec

ord

s

40

Your Records Series ? ? ?

� What records series do you have questions

about?

� Let’s look at the schedules:

� www.virginia.edu/recordsmanagement/

Oth

er R

ec

ord

s

41

Destruction of Records

� Approved Methods:

� Non-Confidential

�Trash/Land Fill

�Recycling (unsecure bins)

� Confidential

�Secure Recycling

�Shredding

� Electronic Records

�Destroy media – drilling, crushing

�Secure Deletion/Deletion

Re

co

rds

De

stru

ctio

n

42

UVA Recycling

� Treats all paper recycling as confidential once they

pick it up.

� To recycle confidential materials:

� Box all confidential material – DO NOT SHRED

� Seal/Tape box shut and place in secure

location (NOT recycling area in your building).

� DO NOT mark box “Confidential”.

� Contact Recycling to inform them you have

materials to be picked-up from your office on

your regular recycling pick-up day.

� Have recycling sign Line 9 of the RM3 when

they pick-up the records.

Re

co

rds

De

stru

ctio

n

43

Off Site Storage

� Use Bankers Box size.

� Always identify boxes with:

� Contents (name, dates, etc.)

� Review/Destruction Date

� Place on shelves at least 2-4” above floor.

� Do not place more than two boxes on top of each

other.

� Create and maintain an updated inventory of

everything in off-site storage.

� Visit off-site storage at least once a year and

destroy records which have met retention.

Re

co

rds

Sto

rag

e

44

Poor StorageR

ec

ord

s S

tora

ge

45

Good Storage

Re

co

rds

Sto

rag

e

46

Electronic Records

� Retention time periods are the same for

electronic and paper records.

� Do not retain electronic records beyond the

retention periods in the schedules.

� Use secure destruction for student, personnel

or other confidential electronic records

(Deleting/Recycling Bin not secure).

Ele

ctro

nic

Re

co

rds

47

�Ensure timely destruction

�Control all copies

�Destroy copies at appropriate times

�Purge hard disks before transferring

�Make sure the records are destroyed

Ele

ctro

nic

Re

co

rds

Destruction of Electronic Records

48

UVA Electronic Data Policy

�Electronic Storage of Highly Sensitive Data� https://policy.itc.virginia.edu/policy/policydisplay?id=

IRM-015

� Other Policies:� http://itc.virginia.edu/policy/

Ele

ctro

nic

Re

co

rds

49

Legal Admissibility

� Electronic records and the courts

� Discoverable

� Can be entered as evidence

� Must be trustworthy

� A reliable system has reliable

records

� Show how you create and

keep records

� Even paper records can be

questioned

Ele

ctro

nic

Re

co

rds

50

Digital Imaging

� The process of converting human-readable

media into information that can be stored and

retrieved electronically.

Sc

an

nin

g

51

Benefits of Digital Imaging

� Retrieval of records online for easy access

� Improved productivity

� Improve connecting records to one another

� Remote access to files

� File sharing

� Security

� Reduce photocopying

� Version control

Sc

an

nin

g

52

Reasons NOT to Scan

� Save space on inactive records

� Keep records longer than the retention period

� Everyone is doing it

Sc

an

nin

g

53

Before Scanning, Ask Yourself ...

• What is the office workflow?

• Will imaging improve the workflow process and/or

produce cost savings?

• What is the desired outcome of imaging?

• How will imaging solve user problems?

• Will it meet real needs?

• How will it integrate into the existing computer

environment?

• Are there sufficient financial resources and

management buy-in to support the system over

time?

Sc

an

nin

g

54

VA Public Records Act

§ 42.1-85. Records Management Program;

agencies to cooperate; agencies to designate

records officer.

B. ... The agency shall be responsible for ensuring that its public records are preserved, maintained, and accessible throughout their lifecycle, including converting and migrating electronic records as often as necessary so that information is not lost due to hardware, software, or media obsolescence or deterioration. Any public official who converts or migrates an electronic record shall ensure that it is an accurate copy of the original record. The converted or migrated record shall have the force of the original.

Sc

an

nin

g

55

UVA Scanning Rules

� Records with a retention of more than five years:

� System should be certified by Records

Management Office.

� Includes: Audit Trails/Check Sums;

Indexing/Classification; Back-ups;

Documentation of procedures; Quality Control

Policy; Commitment of data owner to retain

entire retention.

Sc

an

nin

g

56

Email ManagementE

ma

il Ma

na

ge

me

nt

57

Email: not a record series

Email is a format, not a record series. Asking how to file an email is the same as

asking how to file a piece of paper.

The content determines the disposition.

Em

ail M

an

ag

em

en

t

58

UVA & VA Policies on E-mail

� What policies exist on use of e-mail?

�http://www.itc.virginia.edu/policy/filemonitoring.html

�http://www.dhrm.state.va.us/hrpolicy/policy/pol1_75.pdf

�Guidelines on e-mail usage:

�http://www.virginia.edu/recordsmanagement/email.html

Em

ail M

an

ag

em

en

t

59

What email should you keep?

� Does it have continuing or permanent value? If yes, keep and maintain according to

records retention schedule. If no, delete and

purge once its value ends.

� Who else received this message?

Only primary keeper is responsible for

maintaining record copy.

� Is it a work in progress (draft)?

In most cases, final version is sufficient for

long-term retention.

Em

ail M

an

ag

em

en

t

60

What email should you delete?

� Personal messages - Minimal and retained only as long as necessary

� Messages with short-term value - Delete and purge once their purpose has concluded. Includes: messages re: scheduling of meetings, day to day office communications, drafts, class emails that may be important for the semester, but unnecessary once the semester ends

� Messages distributed to a number of staff for information only – Delete once reference value ends. Includes: news bulletins, mailing list messages, “informational” emails

Em

ail M

an

ag

em

en

t

61

Can’t Make the Decision

� Can’t make the decision on what to keep or

delete??

� Need to make a choice between keeping the

Inbox and Sent Box

� KEEP THE SENT BOX!

Em

ail M

an

ag

em

en

t

62

Before you hit SEND!

� Ask yourself these five questions:

1. Is everything spelled correctly? What about grammar?

2. Am I sending this to the right person?

3. Did I change my subject line? Do I need to?

4. Would this be better said in person or on the phone?

5. Would I care if everyone in the whole wide world read this?

Em

ail M

an

ag

em

en

t

63

How should you organize your email?

1) No filing strategy: Creating no folders, keeping all emails in inbox

2) Filing system: Simple filing scheme based on topical areas. Can incorporate your retention in your organization.

3) Combination of filing system and usage of inbox

Em

ail M

an

ag

em

en

t

64

Email Trash

� Options:

� Set up email system to expunge messages

when deleted

� Set up email system to empty trash upon

exit

� Manually empty trash as necessary

� Leave it all in there forever??

Em

ail M

an

ag

em

en

t

65

Records ManagementMailing List

No

w W

ha

t??

� Records Management Email Mailing List:

� Website rollout/updates

� Training schedules/announcements

� Interesting Records Management news

articles

� To Join:

https://list.mail.virginia.edu/mailman/listinfo/records-

management

66

Questions?

Caroline J. Walters, MA, MLS

University Records Officer

Records Management Office

2400 Old Ivy Rd. Room 158

Box 400898

Phone: (434) 243-9162

Fax: (434) 243-9197

Email: [email protected]

Website: www.virginia.edu/recordsmanagement

Qu

es

tion

s?

?

Records Management -...

Documents

Transcript of Records Management -...