Records ManagementRecords Management

What to Keep and What to TossWhat to Keep and What to Toss

What is Records Management?What is Records Management?

Management of the life Management of the life cycle of a recordcycle of a record

CreationCreation StorageStorage RetrievalRetrieval RetentionRetention ProtectionProtection DispositionDisposition Ensures that authentic Ensures that authentic

and accurate informationand accurate information can be retrieved quickly, can be retrieved quickly,

easily and costeffectivelyeasily and costeffectively

Record Creation

Records ActiveUse

Record Inactive

RecordsCenter

Archives

Destruction

Life Cycle of a RecordLife Cycle of a Record

Records Exist in Many FormatsRecords Exist in Many Formats The medium used to The medium used to

document an official document an official activity or function is activity or function is irrelevantirrelevant

The content of the record The content of the record determines if it is evidence determines if it is evidence of an official government of an official government transaction, action, or transaction, action, or activityactivity

Records can be stored as Records can be stored as paper, photographs, paper, photographs, maps, maps, drawings, microfilm, drawings, microfilm, databases, digital databases, digital images, images, spreadsheets, e-mail, spreadsheets, e-mail, tweets, etc.tweets, etc.

Records Management is Risk ManagementRecords Management is Risk Management Understand the risk of loss--Understand the risk of loss--

loss is not just inadvertent loss is not just inadvertent destruction…destruction…

Intentional and illegal Intentional and illegal destruction or alterationdestruction or alteration

Security breech (theft, misuse Security breech (theft, misuse or fraud)or fraud)

System backup process failedSystem backup process failed Human errorHuman error Technology obsolescenceTechnology obsolescence DeteriorationDeterioration Pests (rodents, insects, etc.)Pests (rodents, insects, etc.)

What is the Negative Impact?What is the Negative Impact?

Financial lossFinancial loss Lost opportunityLost opportunity Litigation/audit/ Litigation/audit/

investigationinvestigation System repair/recovery System repair/recovery

costscosts Customer inconvenienceCustomer inconvenience Lost time/productivityLost time/productivity Public embarrassment or Public embarrassment or

scrutinyscrutiny

How to Mitigate Risk?How to Mitigate Risk? Select appropriate Select appropriate

recordkeeping systems (efficient recordkeeping systems (efficient and effective retrieval)and effective retrieval)

Policies, procedures, Policies, procedures, documentationdocumentation

Security (inappropriate use or Security (inappropriate use or alteration, protect private alteration, protect private information)information)

System backupSystem backup RedundancyRedundancy Disaster planDisaster plan Implement retention routinely Implement retention routinely

in accordance with an approved in accordance with an approved scheduleschedule

Maintain proper storage Maintain proper storage conditionsconditions

NMU Records ManagementNMU Records Management

Policy and Statutory RequirementsPolicy and Statutory Requirements University Records CenterUniversity Records Center University ArchivesUniversity Archives Records Retention and Disposition SchedulingRecords Retention and Disposition Scheduling New Records Management Web SiteNew Records Management Web Site

Policy and Statutory RequirementsPolicy and Statutory Requirements

Michigan Public Act 431 Michigan Public Act 431 (1984)(1984)

Michigan Public Act 116 Michigan Public Act 116 (1992)(1992)

Michigan Optical Imaging Michigan Optical Imaging RulesRules

NMU Board of Control Policy NMU Board of Control Policy Statement (1991)Statement (1991)

Records Retention SchedulingRecords Retention Scheduling

Assists offices in the management of their filesAssists offices in the management of their files Provides for the efficient and legal disposition Provides for the efficient and legal disposition

of official University Recordsof official University Records Records InventoryRecords Inventory Records AnalysisRecords Analysis Approval ProcessApproval Process Legal documentLegal document

Why Follow a Retention Schedule?Why Follow a Retention Schedule?

Risks of keeping records too Risks of keeping records too longlong

Wastes spaceWastes space Harder to find records you needHarder to find records you need Records must be reviewed for Records must be reviewed for

FOIA and litigationFOIA and litigation Risks of destroying records too Risks of destroying records too

soonsoon Violation of Michigan lawViolation of Michigan law Exposes agency to liability if the Exposes agency to liability if the

records are requested via FOIA records are requested via FOIA or litigationor litigation

Avoid random record purging Avoid random record purging by establishing a routine within by establishing a routine within the normal course of businessthe normal course of business

Determining Retention PeriodsDetermining Retention Periods

Operational/ Operational/ Administrative ValueAdministrative Value

Fiscal ValueFiscal Value Legal ValueLegal Value Historical/Archival Historical/Archival

ValueValue Destroy records when Destroy records when

their value ceases to their value ceases to existexist

New Records Management Web SiteNew Records Management Web Site

Access to general and Access to general and office specific records office specific records retention schedulesretention schedules

Records Transfer Records Transfer ProceduresProcedures

Online Retrieval Online Retrieval Request FormRequest Form

Online Records Online Records Transfer FormTransfer Form

University Records CenterUniversity Records CenterGSB 205GSB 205

4,000 square foot, 4,000 square foot, climate control, secureclimate control, secure

Comprehensive storage Comprehensive storage and retrieval serviceand retrieval service

Records Destruction Records Destruction ServiceService

Access restricted but Access restricted but available by available by appointmentappointment