Transcript Document

Records Management Overview
Why?
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It’s the Law
It’s University Policy
Fiscal and Legal Compliance
Reduced Costs and Increased Efficiency
Preserve the Institutional Memory
What’s in it for me?
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More organized and efficient
Easily find and retrieve records
Less work for supervisors
What is Records Management?
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Systematic control of recorded information,
regardless of format, from the time a record
is created until its ultimate disposition.
Terms and Forms
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Retention Schedule
Record Series
Transmittal Form
Records Destruction Certificate
Retention Schedule
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Different types of public records.
How long records must be kept.
When or if records may be destroyed.
Record Series
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…Basic unit for organizing and controlling
files.
It is a group of files or documents kept together (either physically or
intellectually) because they relate to a particular subject or function, result
from the same activity, document a specific type of transaction, take a
particular physical form, or have some other relationship arising out of their
creation, receipt, maintenance, or use (36 CFR 1220.14).
National Archives
http://www.archives.gov/records-mgmt/faqs/federal.html#series
Schedules used by NKU
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State University Model Records Retention
Schedule
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General Schedule for Electronic and
Related Records
State University Model
Identifies records by series, title,
function and content.
 Gives retention time and disposition
instructions.
 Provides legal authority to destroy
records.
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Process
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Determine the type of record – Content
matters not the format
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Locate the series on the records schedule
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Apply the retention period to your records
A–Z Index
KDLA Website
http://www.kdla.ky.gov/recmanagement/schedules/kyuniversitymodel.pdf
University Records Formats
Paper Files
Electronic Records
Video Tapes
Audio Tapes
Printed Publications
Web Pages
Photographs
CD, DVD, Flash drive
Records
Recommendations
GOOD vs. BAD
Bad Records
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Documents with:
No title
No author
No date, draft or version status
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Multiple copies of a report, but missing the signed,
authorized copy.
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Emails with subject lines that bear no relation to the
current content (fw: fw: fw)
Good Records
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Titled
Dated
Labeled
Good
Bad
SACs committee report, 2009
Important, need to keep
History Dept,
Official Correspondence, 200809
(U0100, permanent)
Dept mail
Electronic Records
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Directory and Folder Structure
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Naming
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Establish and follow standard naming convention
Security
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Office wide adoption best
Control access… shared drives
Back up
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When, what format and where stored
Filing Example for Electronic Records
Best Advice
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Start immediately, even if only small steps.
Don’t create unnecessary records.
Reduce duplicate copies.
Create and use a file structure for all records,
no matter what format.
The Result:
Records that are EASY to:
Organize
 Retrieve
 Preserve
 Delete or Transfer
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When your office no longer
uses or needs a set of records…
4 Possibilities
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Inactive Temporary Storage
Permanently Stored by Original Office
Transferred to University Archives
Records Destruction
Office Maintains
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Records not actively used …
but not at end of retention time.
Permanent Records
Record Transfers
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Permanent Retention – those permanent
records with historical significance are
transferred to Special Collections and
Archives
Archives Collecting Guidelines
Colleges, Schools, Research Centers, Institutes & Departments
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Meeting minutes and agendas
Official correspondence – especially from department heads
Policies, guidelines, reports
Organizational charts, staff lists
Publications
Photographs-names, dates, place/event
Information on events, meetings, participants
Recordings of events, lectures, presentations, publicity
Any other records which document/describe your
department, its history and function
Records Destruction
Procedures
Records Destruction
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Records past their retention period can be
destroyed
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Destruction must be documented – complete
the Records Destruction Certificate
Exception
 Records
with litigation holds
Records Destruction Certificate
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Legal proof of authorized destruction.
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Form is on the Records Management website
The Form
The Form...continued
University Archivist’s
Signature Here
Your Signature Here
Email
Email:
What’s the Retention?
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Email is a format
Records retention is based on content
Evaluate the content of each email to
determine retention period
Email
Most common types of email records
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Official Correspondence
General Correspondence
Informational and Reference Material
Non-business Related Email
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Spam
Personal Messages
Unsolicited email
Email
Delete messages that are not needed
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Spam and other non-business messages
General Announcements-NKU All, Midweek
Transitory messages
Informational and Reference material
Retention for email
E-mail
Received
University
business?
No
Delete or move
to another folder
Private/personal
e-mail
(Not saved on
NKU’s server)
Yes
Determine
Category
Informational
& Reference
(Transitory)
Examples:
•Listserv messages
•Reminder memos
Delete when no
longer needed
General Record
(Temporary)
Example:
•General correspondence
•Activity reports on
periodic activities
File and delete
according to
retention schedule
Official Record
(Permanent)
Example:
•Official correspondence
such as policies and procedures
Save electronic copy in
permanent file on server; or
Print and file hard copy;
Transfer to Archives
Retention for email
E-mail
Received
University
business?
No
Delete or move
to another folder
Private/personal
No Destruction
e-mail
Certificate
(Not saved on
needed
NKU’s
server)
Yes
Determine
Category
Informational
Complete
& Reference
Destruction
(Transitory)
Certificate*
Examples:
*Annually
or Semi-annually
•Listserv
messages
•Reminder memos
Delete when no
longer needed
General Record
(Temporary)
Complete
Example:
Destruction
•General correspondence
Certificate
•Activity
reports on
periodic activities
File and delete
according to
retention schedule
Official
Record
May need
to
(Permanent)
Complete
Example:
Transfer
to
•Official
correspondence
such as
policies and form
procedures
Archives
Save electronic copy in
permanent file on server; or
Print and file hard copy;
Transfer to Archives
Email Folders
Filing formats examples
Mail Filed By Project/Category
E
Email filed
by project
or category
Mail Filed By Record Series
E
Email filed
by
record series
Mail Filed By Retention Time
E
Email filed
by
retention time
Most Importantly
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Find a method that works for you
Use it consistently
Email: CAUTION
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Auto Archiving
Replies to listserv/___ All’s
Email Management Tips
Be Proactive – Email does not manage itself!
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Effective email management = effective time management.
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Is email the right tool?
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Set up and use rules and filters.
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Slow the Flow.
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Use specific and descriptive subject lines
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Restrict messages to one topic or subject.
Remember to…
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Manage email on content, not space quotas.
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Use folders and sub-folders; sort & categorize by record
type or series and retention.
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Keep only the last message in a chain; clear out sent
messages once a reply is received.
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Schedule time to review, move and delete files and stick
to it! Do not use your inbox for long- term storage.
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Empty your deleted files and junk mail folders.
And
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Email is a searchable record.
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Scary thought,
……..E-Discovery.
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Keep email professional, limit personal.
Would you want to see it on the evening news?
And finally….
#1
Records Management Hint
AVOID BECOMING A FELON!
Ignorance is not a valid excuse!!
Tampering with public records without the
authority to do so is a Class D felony
KRS 519.060 (1) (b)