Records Management Overview

Why? It’s the Law It’s the Law It’s University Policy It’s University Policy Fiscal and Legal Compliance Fiscal and Legal Compliance Reduced Costs and Increased Efficiency Reduced Costs and Increased Efficiency Preserve the Institutional Memory Preserve the Institutional Memory

What’s in it for me? More organized and efficient More organized and efficient Easily find and retrieve records Easily find and retrieve records Less work for supervisors Less work for supervisors

What is Records Management ? Systematic control of recorded information, regardless of format, from the time a record is created until its ultimate disposition. Systematic control of recorded information, regardless of format, from the time a record is created until its ultimate disposition.

Terms and Forms Retention Schedule Retention Schedule Record Series Record Series Transmittal Form Transmittal Form Records Destruction Certificate Records Destruction Certificate

Retention Schedule Different types of public records. Different types of public records. How long records must be kept. How long records must be kept. When or if records may be destroyed. When or if records may be destroyed.

Record Series …Basic unit for organizing and controlling files. …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 ). 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 ).36 CFR CFR National Archives

Schedules used by NKU State University Model Records Retention Schedule State University Model Records Retention Schedule General Schedule for Electronic and Related Records General Schedule for Electronic and Related Records

State University Model Identifies records by series, title, function and content. Identifies records by series, title, function and content. Gives retention time and disposition instructions. Gives retention time and disposition instructions. Provides legal authority to destroy records. Provides legal authority to destroy records.

Process Determine the type of record – Content matters not the format Determine the type of record – Content matters not the format Locate the series on the records schedule Locate the series on the records schedule Apply the retention period to your records Apply the retention period to your records

A–Z Index

KDLA Website

University Records Formats 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 GOOD vs. BAD

Bad Records Documents with: Documents with: No title No author No date, draft or version status Multiple copies of a report, but missing the signed, authorized copy. Multiple copies of a report, but missing the signed, authorized copy. s with subject lines that bear no relation to the current content (fw: fw: fw) s with subject lines that bear no relation to the current content (fw: fw: fw)

Good Records Titled Titled Dated Dated Labeled Labeled

Good SACs committee report, 2009 History Dept, Official Correspondence, (U0100, permanent) (U0100, permanent)Bad Important, need to keep Dept mail

Electronic Records Directory and Folder Structure Directory and Folder Structure  Office wide adoption best Naming Naming  Establish and follow standard naming convention Security Security  Control access… shared drives Back up Back up  When, what format and where stored

Filing Example for Electronic Records

Best Advice Start immediately, even if only small steps. Start immediately, even if only small steps. Don’t create unnecessary records. Don’t create unnecessary records. Reduce duplicate copies. Reduce duplicate copies. Create and use a file structure for all records, no matter what format. Create and use a file structure for all records, no matter what format. The Result:

Records that are EASY to: Organize Organize Retrieve Retrieve Preserve Preserve Delete or Transfer Delete or Transfer

When your office no longer uses or needs a set of records… 4 Possibilities Inactive Temporary Storage Inactive Temporary Storage Permanently Stored by Original Office Permanently Stored by Original Office Transferred to University Archives Transferred to University Archives Records Destruction Records Destruction

Office Maintains Records not actively used … Records not actively used … but not at end of retention time. Permanent Records Permanent Records

Record Transfers Permanent Retention – those permanent records with historical significance are transferred to Special Collections and Archives Permanent Retention – those permanent records with historical significance are transferred to Special Collections and Archives

Archives Collecting Guidelines Colleges, Schools, Research Centers, Institutes & Departments Meeting minutes and agendas Meeting minutes and agendas Official correspondence – especially from department heads Official correspondence – especially from department heads Policies, guidelines, reports Policies, guidelines, reports Organizational charts, staff lists Organizational charts, staff lists Publications Publications Photographs-names, dates, place/event Photographs-names, dates, place/event Information on events, meetings, participants Information on events, meetings, participants Recordings of events, lectures, presentations, publicity Recordings of events, lectures, presentations, publicity Any other records which document/describe your department, its history and function Any other records which document/describe your department, its history and function

Records Destruction Records Destruction Procedures

Records Destruction Records past their retention period can be destroyed Records past their retention period can be destroyed Destruction must be documented – complete the Records Destruction Certificate Destruction must be documented – complete the Records Destruction CertificateException  Records with litigation holds

Records Destruction Certificate Legal proof of authorized destruction. Legal proof of authorized destruction. Form is on the Records Management website Form is on the Records Management website

The Form

The Form...continued Your Signature Here University Archivist’s Signature Here

What’s the Retention? is a format is a format Records retention is based on content Records retention is based on content Evaluate the content of each to determine retention period Evaluate the content of each to determine retention period

Most common types of records Official Correspondence Official Correspondence General Correspondence General Correspondence Informational and Reference Material Informational and Reference Material

Non-business Related Spam Spam Personal Messages Personal Messages Unsolicited Unsolicited

Delete messages that are not needed Spam and other non-business messages Spam and other non-business messages General Announcements-NKU All, Midweek General Announcements-NKU All, Midweek Transitory messages Transitory messages Informational and Reference material Informational and Reference material

Retention for University business? No Received Delete or move to another folder Private/personal (Not saved on NKU’s server) Yes Determine Category Informational & Reference (Transitory) Examples: Listserv messages Reminder memos General Record (Temporary) Example: General correspondence Activity reports on periodic activities Official Record (Permanent) Example: Official correspondence such as policies and procedures Delete when no longer needed File and delete according to retention schedule Save electronic copy in permanent file on server; or Print and file hard copy; Transfer to Archives

Retention for University business? No Received Delete or move to another folder Private/personal (Not saved on NKU’s server) Yes Determine Category Informational & Reference (Transitory) Examples: Listserv messages Reminder memos General Record (Temporary) Example: General correspondence Activity reports on periodic activities Official Record (Permanent) Example: Official correspondence such as policies and procedures Delete when no longer needed File and delete according to retention schedule Save electronic copy in permanent file on server; or Print and file hard copy; Transfer to Archives No Destruction Certificate needed Complete Destruction Certificate* *Annually or Semi-annually Complete Destruction Certificate May need to Complete Transfer to Archives form

Folders Filing formats examples

filed by project or category

filed by by record series record series

filed by by retention time

Most Importantly Find a method that works for you Find a method that works for you Use it consistently Use it consistently

CAUTION Auto Archiving Auto Archiving Replies to listserv/___ All’s Replies to listserv/___ All’s

Management Tips Be Proactive – does not manage itself! Effective management = effective time management. Effective management = effective time management. Is the right tool? Is the right tool? Set up and use rules and filters. Set up and use rules and filters. Slow the Flow. Slow the Flow. Use specific and descriptive subject lines Use specific and descriptive subject lines Restrict messages to one topic or subject. Restrict messages to one topic or subject.

Remember to… Manage on content, not space quotas. Manage on content, not space quotas. Use folders and sub-folders; sort & categorize by record type or series and retention. Use folders and sub-folders; sort & categorize by record type or series and retention. Keep only the last message in a chain; clear out sent messages once a reply is received. Keep only the last message in a chain; clear out sent messages once a reply is received. Schedule time to review, move and delete files and stick to it! Do not use your inbox for long- term storage. Schedule time to review, move and delete files and stick to it! Do not use your inbox for long- term storage. Empty your deleted files and junk mail folders. Empty your deleted files and junk mail folders.

And is a searchable record. is a searchable record. Scary thought, Scary thought,……..E-Discovery. Keep professional, limit personal. Keep 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 (1) (b)