Brad Houston, University Records Officer September 16, 2009

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: sp?DefinitionKey=200)

Everyone! Classified Staff Office records, personal files Unclassified Staff The above, PLUS case files, project files Faculty/Teaching Staff The above, PLUS grade books, course/teaching files

When you first arrive at UWM Expectations-setting Day-to-day operations Organization and legal protection Supervisory positions Supervisee accountability Leaving UWM Preserve continuity, history

Discuss records management responsibilities at all career stages Provide hints and resources for dealing with records Describe strategies for ensuring records compliance

Framework now=less trouble later

Recorded information, in any format, that allows an office to conduct business Value determined by content Four types of record value: Administrative Legal Fiscal Historical

Personal materials Working notes and drafts Once a draft is shared with colleagues, it becomes a record Envelopes and routing slips Duplicate copies Includes vast majority of cc

Identify Job Functions Consult your job description Discuss key duties with supervisor/holdover staff Refer to files left by your predecessor Identify Record Series Look for groups of records related to same function Look for records already filed together Ask: what is minimum documentation for this transaction?

Physical Plant: Fleet Operations Records Inventories, repair logs, mileage PSOA: Production Files Scripts, programs, blocking directions Student Life: Student Organization Files Registration, publicity, correspondence CIE: Program Files Agreements, curricula, credit transfer forms

After youve identified record series, look for two types of record schedules: Specific Records Schedules: records held in your office only Contact Records Management for copies General Records Schedules: records held in many offices Consult Records Management website for retention periods

Business Correspondence, incl. Retain for 7 days if transitory, 6 months if project related, then destroy/delete Student Coursework and Grade Books Retain both for 1 year after course, then destroy Subject Files and Committee Minutes Retain for 3 years and transfer to UWM Archives

Organize your files by records series Usually, but not always, the same as organize by subject Follow retention periods and disposition instructions Keeping things either too long or not long enough both problematic Transfer inactive historical files to archives Inactive= no activity within 6 months

Day-to-Day Records Management and Supervisory Responsibility

When you are creating your own new records or records series When you are creating or storing large amounts of electronic records When you are expected to reply to records requests When you are responsible for records over entire department

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

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?

Any administrative record potentially accessible (Wis. Stat ) Refer all requests for non-published records to Amy Watson, Public Records Custodian Do not produce records until you hear back Records must be produced in timely fashion– another reason to get organized!

Records Management will work with you to create appropriate retention/disposition Records Survey and Series Description Worksheet Be aware of legal requirements for retention! New Records Schedules approved 4 times/year by Wisconsin Public Record

Be aware of disposition periods of various records series Make arrangements for confidential destruction, as needed Kard Shred Bins around campus Prepare records with long-term value for archival transfer

Retain student coursework, grade calculations for one year after class Transfer permanent course materials to dept. office manager every year Syllabi, tests, comps questions If Dept. Chair or Committee Chair: Take and retain minutes of meetings Transfer these to office manager as well

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

Electronic RecordPaper Analog messageMemo, typed letter E-Form templateForm master copy Museum accessions database Accession card catalog Student paper ( ed or D2L-submitted) Student paper submitted in class or via mail Instant message logMemorandum of conversation

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

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

You are responsible for making sure your office/department is compliant! Secure copies of all schedules for your dept. Consider training through UWM Records Management Program Set aside some time each week/month for records cleanup Create internal guidelines for historical records

You fill or delegate these roles: Holder of official copy of record Respondent to subpoenas or public records requests Arbiter of ongoing historical value Responsible for signing off on records schedule creation or modification

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:

Preserving continuity, assisting your successor, protecting the university

If you are retiring from UWM If you are leaving UWM for a job at another institution If you are moving to a position in a different office at UWM Office-specific records only

Preserve office continuity-of-operations Assist your successor with his/her job Protect the university from potential legal action or public embarrassment Remember: Public records are University property!

Are your existing records: Scheduled for retention/destruction with an active RRDA? Organized in a systematic fashion (subject, retention period, etc.)? Checked and marked for confidential information?

Getting rid of extraneous materials=cutting down on search time, storage needs Duplicate copies of records Personal Notes Purely logistical materials (but check the RRDAs!) Archive materials of historical significance Consult your supervisor re: whats important

UWM Archives may be interested in faculty teaching or research materials if that person: Has spent significant portion of career at UWM Has made an important contribution to his/her field OR has worked in areas reflected in UWM collection policy OR Has created records showing the development of a UWM department or program

Move all university records on personal drive or PantherFile to a shared space Dept. LAN? PantherFile share? External HD? Make copies of personal records onto portable media n.b. ing yourself files is NOT optimal Create pathfinder/guide for navigating e-recs

Work with supervisor/office manager to identify significant s High-level employees (Deans, Directors, etc.) will have proportionately more of these Export s with short-term value to shared space Pantherfile Import/Export feature Export or print s with long-term value Dont forget to file!

Revisit the job description Indicate which duties correspond to which records Create a records management folder Include relevant schedules, training materials, retention times Organize and re-organize your files Consider a file plan to explain your system

Move quickly to preserve relevant files, folders, s UITS may be able to assist with this process Copy, dont move, university records in electronic form Why? Public Records Requests (6 months)

Where to find more relevant information

Identify records that will be produced by job activities Make inventory of records already in your work area Identify relevant records schedules, retention times, and disposition requirements

Be familiar with responsibilities at all stages of records life cycle Creation, Maintenance, Disposition Identify unscheduled records and work with Records Management to produce RRDAs Be prepared to respond to records requests Work with supervisor/supervisees to identify records of enduring value

Take a final inventory of records Weed extraneous documents, archive significant records Take appropriate actions to preserve or destroy electronic records Create continuity-of-operations records management guidance for successors

Archives Policy (S-6) Public Records Access (S-45) Personnel File Policy (S-42) Information Security Policy (S-59)

UWM Common Records Schedules UW System Records Schedules Wisconsin Dept. of Administration Schedules Coming Soon(ish): Searchable database!

Records Management Basics Records Responsibilities of UWM Staff Common Archival Series Records Management Handouts and PowerPoints UW System Desktop training sessions

This presentation available online: Or, contact UWM Records Management: (Brad Houston)