1. Presentation Author, 2006 Records Management Basics: The Basics, Advanced! March 24, 2009

2. Brad Houston, UWM Libraries, 2007 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!

3. Brad Houston, UWM Libraries, 2007 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

4. Brad Houston, UWM Libraries, 2007 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

5. Brad Houston, UWM Libraries, 2007 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?

6. Brad Houston, UWM Libraries, 2007 Part I: Introduction and Useful Definitions

7. Brad Houston, UWM Libraries, 2007 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_detai ls.asp?DefinitionKey=200)

8. Brad Houston, UWM Libraries, 2007 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!

9. Brad Houston, UWM Libraries, 2007 Records vs. Non-records Not everything produced by an office is a record Duplicate Copies Drafts and Informal Notes Routing Slips Personal Correspondence

10. Brad Houston, UWM Libraries, 2007 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?

11. Brad Houston, UWM Libraries, 2007 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!

12. Brad Houston, UWM Libraries, 2007 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?

13. Brad Houston, UWM Libraries, 2007 If yes to all three… It is a record! Public Records = Practice Records Management

14. Brad Houston, UWM Libraries, 2007 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

15. Brad Houston, UWM Libraries, 2007 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

16. Brad Houston, UWM Libraries, 2007 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

17. Brad Houston, UWM Libraries, 2007 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)

18. Brad Houston, UWM Libraries, 2007 A Sample RRDA

19. Brad Houston, UWM Libraries, 2007 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

20. Brad Houston, UWM Libraries, 2007 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

21. Brad Houston, UWM Libraries, 2007 Part II: The Records Life Cycle

22. Brad Houston, UWM Libraries, 2007 The Records Life Cycle

23. Brad Houston, UWM Libraries, 2007 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

24. Brad Houston, UWM Libraries, 2007 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

25. Brad Houston, UWM Libraries, 2007 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

26. Brad Houston, UWM Libraries, 2007 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?

27. Brad Houston, UWM Libraries, 2007 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

28. Brad Houston, UWM Libraries, 2007 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

29. Brad Houston, UWM Libraries, 2007 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

30. Brad Houston, UWM Libraries, 2007 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

31. Brad Houston, UWM Libraries, 2007 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

32. Brad Houston, UWM Libraries, 2007 Archival Retention The Archives permanently preserves records with: –Enduring administrative value –Historical value Our goal: document the history of UWM

33. Brad Houston, UWM Libraries, 2007 Part III: Electronic Records

34. Brad Houston, UWM Libraries, 2007 Electronic Records Value of a record determined by content, not format! Electronic RecordPaper Analog E-mail messageMemo, typed letter E-Form templateForm 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 logMemorandum of conversation

35. Brad Houston, UWM Libraries, 2007 Wisconsin Admin. Rule 12 Electronic Records must retain the following properties throughout their lifecycle: 1.Accessible—You can find it 2.Accurate—Reflects the original record 3.Authentic—Has not been tampered with 4.Reliable--Always produced accurately 5.Legible—The letters are clear 6.Readable—The content is coherent

36. Brad Houston, UWM Libraries, 2007 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

37. Brad Houston, UWM Libraries, 2007 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

38. Brad Houston, UWM Libraries, 2007 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 http://www.uwm.edu/Libraries/arch/recordsmgt/email.html

39. Brad Houston, UWM Libraries, 2007 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

40. Brad Houston, UWM Libraries, 2007 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

41. Brad Houston, UWM Libraries, 2007 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

42. Brad Houston, UWM Libraries, 2007 Part IV: What can UWM Records Management do for you?

43. Brad Houston, UWM Libraries, 2007 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

44. Brad Houston, UWM Libraries, 2007 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

45. Brad Houston, UWM Libraries, 2007 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!

46. Brad Houston, UWM Libraries, 2007 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 http://www.uwm.edu/Libraries/arch/recordsmgt/transfer.html

47. Brad Houston, UWM Libraries, 2007 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 http://www.uwm.edu/Libraries/arch/recordsmgt/collection.html

48. Brad Houston, UWM Libraries, 2007 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

49. Brad Houston, UWM Libraries, 2007 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

50. Brad Houston, UWM Libraries, 2007 Confidential Records Destruction Your building may have its own shredding bin –List at http://www.uwm.edu/Libraries/arch/recordsmgt/confiden.htm 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

51. Brad Houston, UWM Libraries, 2007 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!

52. Brad Houston, UWM Libraries, 2007 For More Information Records Management Website –http://www.records.uwm.eduhttp://www.records.uwm.edu –Includes general schedules, forms, hints Contact Records Management –houstobn@uwm.eduhoustobn@uwm.edu –414-229-6979