Module 1 - Introduction to Records Management.pdf

Records
Management
Module 1: Introduction to Records Management
Prepared by: Niall O’Halloran
March 4, 2020 (v2)
© 2020 Ontario Tech University

Agenda
• Your role as an RM
Liaison
• What is Records
Management?
• RM at Ontario Tech
– Policy
– FIPPA and Recordkeeping
– Where are Ontario Tech’s
records?
• Records Classification
and Retention Schedule

Start with paper…
• We have no more room for paper records!
• May not be able to tackle every storage
location at one time.
• Some records may be more difficult to
deal with – it is ok to deal with the easier
records as a first step and make a plan to
deal with the rest.

Your role
Records Management Liaison:
• Answer a questionnaire to develop a catalog
of record storage locations and e-record
systems
• Attend RM Training
• Inventory record holdings and classify them
according to the RCRS
• Evaluate records eligible for disposition

Your role (ongoing)
Records Management Liaison:
• Track record retention periods and coordinate annual disposition
• Let the RM Project Coordinator know about changes to retention
requirements, business processes or responsibility for records.
• Help resolve questions, concerns or problems with records in their
unit or the interpretation or implementation of RM policies or
procedures.
• Answer your coworkers’ questions about RM, and let RM Project
Coordinator know about any questions or training needs.
• Attend future training on retention and disposition of electronic
records.

Training Program
Module 1: Introduction to records management – THIS SESSION
• Learning Objective: Participants will learn the basics of records management, the records
management policies/procedures at Ontario Tech and how to use the RCRS to classify
records.
• Follow-up task: Complete a questionnaire on your unit’s record storage locations.
Module 2: Record inventory and classification
• Learning Objective: Participants will learn how to conduct an inventory of their record
storage locations and classify their records. They will learn to identify which records will
need to be reorganized to determine retention and disposition.
• Follow-up task: Inventory and classify each record storage location
Module 3: Record tracking and disposition
• Learning Objective: Participants will learn the process for record disposition, including
calculating record eligibility, determining retention triggers, and implementing the Records
Disposition Procedure.
• Follow-up task: Determine what records are eligible for disposition.

Records Management can help…
Help! Help! Our storage
rooms are full!

Use the retention
schedule to tell you what
you can dispose of. Free
up space for important
records.

zzzzzzzzzzzzz

What is records management?
“…the efficient and systematic control of the
creation, receipt and disposition of records,
including processes for capturing and
maintaining evidence of and information
about business activities and transactions in
the form of records…”
- ISO 15489 Part 1

Simplified…
A set of policies and procedures to follow so
that you know…
• What you have
• Where you have it
• How long you have to keep it
• Who should be keeping it
• And why

Records management can help…
• Let the University meet its legal
obligations.
• Ensure that records with historical value
are retained to document the unique
character and history of the University.
• Support decision-making, promote
accountability and transparency.

Records management can help…
• Make records easier to find by eliminating
duplicates and out of date information.
• Protect against risk:
– By identifying protection requirements for records.
– By ensuring records are available in case of
litigation or FIPPA access to information requests
or have been defensibly destroyed.
• Maximize the use of technology and limited
storage space.

“…an organization cannot achieve or sustain
long-term success without managing and
harnessing its information effectively.
Information mismanagement destroys
business value, slows organizations down,
creates unnecessary risk, and is - simply -
unsustainable.”
Barclay T. Blair

How does it work?
Records life-cycle
Create/receive
• University records
• Register and track
Classify
• Assign to a records
series.
• File appropriately
for easy retrieval.
Use
• Active record
• Frequent
reference
• Main value:
operational
Retain
• Inactive record
• Retention period
• Main value: audit,
legal
Dispose
• End of the
retention period
• Destroy / transfer
to archives
Active Inactive

How does it work?
Records life-cycle
Create/receive
• University records
• Register and track
Classify
• Assign to a records
series.
• File appropriately
for easy retrieval.
Use
• Active record
• Frequent
reference
• Main value:
operational
Retain
• Inactive record
• Retention period
• Main value: audit,
legal
Dispose
• End of the
retention period
• Destroy / transfer
to archives
Active Inactive
Retention Trigger

RM and Information Governance
One facet that supports the broader field of
Information Governance:
“…the activities and technologies
that… maximize the value of their
information while minimizing
associated risks and costs."
Information Governance Initiative

One facet that supports the broader field of
Information Governance:
"…includes the processes, roles,
standards and metrics that ensure the
effective and efficient use of
information in enabling an organization
to achieve its goals.”
Gartner

Information
Governance
Business
Information
Technology
Privacy &
Security
Records and
Information
Management
Legal

Why is records management hard?
• It takes the most work at the start to “do things right”.
• Everyone has to make changes to the way they do
their job.
• Need consistency through the whole university to get
the greatest benefits.
• Records are more than just paper in boxes. Need to
consider a huge number of electronic records systems
and issues.
• It seems easier to ignore records and hope the “future
you” will deal with them.

Future you

Records Management
at Ontario Tech
• Policy Instruments
• FIPPA and recordkeeping
• Records Classification and Retention Schedule

What does RM look like at Ontario
Tech?
What types of records are
there? When can we dispose of
them? Who is responsible?
Who signs off on record
disposal? What documentation
needs to be kept when
disposing of records?
Deals with responsibility and
accountability at a high level.
Defines a University Record
and establishes the program
framework
Records Management
Policy
Records Disposition
Procedure
Records Classification
and Retention Schedule

What does RM look like at Ontario
Tech?
Records Management
Project Coordinator:
• Develop and maintain
RCRS.
• Assist with local RM
planning and projects.
• Provide training and
support.
• Hold permanent record
of disposition.
• Support Document
Imaging projects or
programs.
Unit leadership:
• Help determine
retention periods.
• Ensure systems are in
place to support
recordkeeping.
• Sign off on record
disposition or delegate
this authority.
• Assign a Records Liaison
Individual staff members:
• Make sure records are
protected and stored
according to the
systems in place.
• Maintain confidentiality
of records and personal
information.
• Keep your records
centrally, not on
personal systems or
devices.

Legal obligations
Freedom of Information and Protection of Privacy Act
“…reasonable measures… developed,
documented and put into place to
preserve the records in accordance with any
recordkeeping or records retention
requirements…”

What measures are “reasonable”?
Follow Records Management best practices,
including:
• Document business actions & decisions
• Develop & implement a record retention schedule
based on functional classification
• Understand the sensitivity of records
• Training and support for staff
• Compliance standards & reviews
Take into account the size & budget of the
organization

What is a record?
Freedom of Information and Protection of Privacy Act.
“…any record of information however
recorded, whether in printed form, on film,
by electronic means or otherwise”

What is a record?

What is a record?
FIPPA’s definition spends over a hundred words
explaining what formats a record might take and
zero words distinguishing between which records are
important to keep and which are not.
BUT:
• Not all records are created equal.
• Not all records have equal value.
• So not all records need to be kept for the same
length of time.

Why not just keep everything?
• It can be just as bad to keep old obsolete records “just
in case” as it is to destroy records prematurely.
• The more copies and drafts are kept the harder it is to
determine what is the latest “official” version.
• All records must be searched for access to information
requests.
• Storage space needs (physical and electronic) make it
costly to maintain.
• FIPPA requires us to comply with all internal
recordkeeping rules, as well as all laws and
regulations.

Where are Ontario Tech’s records?

Where are Ontario Tech’s records?
¯_(ツ)_/¯

You may have records…
• Offsite storage
• Faculty member offices
• Boxes under desks
• Offices with specific roles
• Central files (i.e. behind reception)
• Storage rooms

RM Questionnaire
• Create a catalog of record storage locations at the
university.
• Complete a questionnaire for each storage
location:
– The storage location
– Type of location
– Access controls
– Storage capacity and equipment
– Types of records
• Will send you a link after the training.

Where are your records?
• Records are probably not organized
according to the RCRS.
• Look for clusters of official records and take a
staged approach.
• Concentrate on central/shared storage
locations and any problem areas you identify.
• May not be possible to cover all of those
locations this summer.

Classification

What is classification?
“[The] systematic identification and
arrangement of business activities and/or
records into categories according to logically
structured conventions, methods, and
procedural rules represented in a
classification system”
- ISO 15489 Part 1

- ISO 15489 Part 1
Putting things in
groups based on
what they have in
common.

- ISO 15489 Part 1
And assigning
rules to those
groups.
Putting things in
groups based on
what they have in
common.

Some examples of classification

By format
Blu-Ray
CD
DVD

By genre
War movies Kids movies

By the function it supports
Keeping the kids occupied for
at least a half an hour
Impressing film studies majors,
but never actually watching

The first level of classification…
All records
Transitory
Record
University
Record

University Record
…fixed unit of information in any format that
documents a transaction, decision or relationship
made by the university.
It has continuing value in the future, to:
• complete further work
• provide evidence
• serve as institutional memory of obligations,
responsibilities, decisions and actions.
• document the history and unique character of
Ontario Tech

University Record
…fixed unit of information in any format that
documents a transaction, decision or relationship
made by the university.
It has continuing value in the future, to:
• complete further work
• provide evidence
• serve as institutional memory of obligations,
responsibilities, decisions and actions.
• document the history and unique character of
Ontario Tech
The Responsible Unit
must retain at least
one Official Copy of
every University
Record until the end of
its retention period.

Transitory Records
• Information sources that are only required for
a limited period of time, in order to complete
a routine action or prepare a subsequent
record.
• Not subject to compliance obligations.
• Includes drafts, routine correspondence.
• Copies of University Records other than the
“Official Copy” held by the Responsible Unit.

The difference between Transitory
and University Records
Transitory Record
• Short term value.
• Used to create other more
“permanent” records.
• Involves individual
discretion, guided by local
procedures, to make the
determination.
• May be in any electronic or
paper format, including
email.
University Record
• Documented in the RCRS. Or
SHOULD be.
• “Significant” – this
determination will need to be
made at the local level.
• May be needed to comply with
laws, regulations, contracts.
• May be in any electronic or
paper format, including email.

What is a Records Classification
and Retention Schedule?
A comprehensive list of all types of University
Records along with rules for handling them.
A policy instrument approved by the Senior
Leadership Team.
https://usgc.ontariotechu.ca/compliance/records-
management/records-classification-and-retention-
schedule/index.php

Function based classification
• Classification based on business functions and
activities – NOT on the subject matter or the
organization structure.
• Major functions are broad in scope and many units
across the university may be involved.
• Considers how records are used, how they move
between units and where they stop.
• Reduces duplicate records series.
• Not affected by reorganization.
• One central place to figure out where information is
kept.

University Records are grouped into functions
2nd Level:
Major
Function
1st Level:
Transitory
vs.
University
All records
Transitory Record
University Record
Campus
Administrative
Services
Finance
Governance
Students
+ 7 more…

Major functions are divided into
activities
3rd Level:
Activity
2nd Level:
Major
Function
1st Level:
Transitory
vs.
University
All records
Transitory Record
University Record
Campus
Administrative
Services
Health and
Safety
Biosafety
Finance
Governance
Students
Admissions
Academic
Registration
Teaching and
Learning

Activities are divided into records series
4th
Level:
Records
Series
3rd
Level:
Activity
2nd
Level:
Major
Function
Campus
Administrative
Services
Health and
Safety
Committee
Inspection
Reports
Case files
Biosafety
Licensing
Security
Clearance
Biosafety
Certificates
+ more…

Records Series
• A group of related records filed/used
together as a unit and evaluated as a unit
for retention purposes.
• All records in the records series are
subject to the same rules.
• You can have many different files that are
part of the same records series.

Major
Function

Activity

Records
Series

Retention Period
Active Use
• Lasts until the Trigger occurs
Trigger
Retention Period
• Defined in RCRS
Disposition
Retention Period starts counting
down after Trigger occurs; records
are considered “Inactive”.

the university

Retention Period
• Trigger occurs at the end of the year. (may
be academic, calendar, or fiscal year)
Annual:
• Tied to a specific event and could occur at
any time.
Event
based:
Two types of Trigger:

Responsible Unit
• May be a specific unit or it may be
“Originating Unit”
• Common records series are records series
with multiple “Originating Units”
• Two groups of records series to consider:
– You are the responsible unit
– Common records series where you are the
originating unit.

Classification Exercise
• I will send out after the training. There are five examples of
types of records that are found at the University.
• Take the record type from each example and do your best to
match it up with a records series from the RCRS.
• Answer these three questions:
– What is the major function?
– What is the records series?
– Who is responsible for keeping this file?
• The RCRS is available at:
https://usgc.ontariotechu.ca/compliance/records-
management/records-classification-and-retention-
schedule/index.php

Thank you for your time
• Will send out a link to the RM Questionnaire. Please
complete for each storage location.
• Will send out a guide to using the RCRS, including
descriptions of all sections, what responsible units
apply to each.
• Please complete the classification exercise to
familiarize yourself with the RCRS.
• We will schedule training sessions for Inventory and
Classification.
• If you have any questions, call 6705 or email
RecordsManagement@ontariotechu.ca

Module 1 - Introduction to Records Management.pdf

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Module 1 - Introduction to Records Management.pdf