The Basics of UWM Records Management

Records Management Basics: The Basics, Advanced! March 24, 2009

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 )

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

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

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: Accessible—You can find it Accurate—Reflects the original record Authentic—Has not been tampered with Reliable--Always produced accurately Legible—The letters are clear 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_address] 414-229-6979

The Basics of UWM Records Management

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The Basics of UWM Records Management