Records Management What to Keep and What to Toss

What is Records Management? Management of the life cycle of a record Management of the life cycle of a record Creation Creation Storage Storage Retrieval Retrieval Retention Retention Protection Protection Disposition Disposition Ensures that authentic and accurate information Ensures that authentic and accurate information can be retrieved quickly, easily and costeffectively can be retrieved quickly, easily and costeffectively

Record Creation Records Active Use Record Inactive Records Center Archives Destruction Life Cycle of a Record

Records Exist in Many Formats The medium used to document an official activity or function is irrelevant The medium used to document an official activity or function is irrelevant The content of the record determines if it is evidence of an official government transaction, action, or activity The content of the record determines if it is evidence of an official government transaction, action, or activity Records can be stored as paper, photographs, maps, drawings, microfilm, databases, digital images, spreadsheets, , tweets, etc. Records can be stored as paper, photographs, maps, drawings, microfilm, databases, digital images, spreadsheets, , tweets, etc.

Records Management is Risk Management Understand the risk of loss--loss is not just inadvertent destruction… Understand the risk of loss--loss is not just inadvertent destruction… Intentional and illegal destruction or alteration Intentional and illegal destruction or alteration Security breech (theft, misuse or fraud) Security breech (theft, misuse or fraud) System backup process failed System backup process failed Human error Human error Technology obsolescence Technology obsolescence Deterioration Deterioration Pests (rodents, insects, etc.) Pests (rodents, insects, etc.)

What is the Negative Impact? Financial loss Financial loss Lost opportunity Lost opportunity Litigation/audit/ investigation Litigation/audit/ investigation System repair/recovery costs System repair/recovery costs Customer inconvenience Customer inconvenience Lost time/productivity Lost time/productivity Public embarrassment or scrutiny Public embarrassment or scrutiny

How to Mitigate Risk? Select appropriate recordkeeping systems (efficient and effective retrieval) Select appropriate recordkeeping systems (efficient and effective retrieval) Policies, procedures, documentation Policies, procedures, documentation Security (inappropriate use or alteration, protect private information) Security (inappropriate use or alteration, protect private information) System backup System backup Redundancy Redundancy Disaster plan Disaster plan Implement retention routinely in accordance with an approved schedule Implement retention routinely in accordance with an approved schedule Maintain proper storage conditions Maintain proper storage conditions

NMU Records Management Policy and Statutory Requirements Policy and Statutory Requirements University Records Center University Records Center University Archives University Archives Records Retention and Disposition Scheduling Records Retention and Disposition Scheduling New Records Management Web Site New Records Management Web Site New Records Management Web Site New Records Management Web Site

Policy and Statutory Requirements Michigan Public Act 431 (1984) Michigan Public Act 431 (1984) Michigan Public Act 116 (1992) Michigan Public Act 116 (1992) Michigan Optical Imaging Rules Michigan Optical Imaging Rules Michigan Optical Imaging Rules Michigan Optical Imaging Rules NMU Board of Control Policy Statement (1991) NMU Board of Control Policy Statement (1991) NMU Board of Control Policy Statement (1991) NMU Board of Control Policy Statement (1991)

Records Retention Scheduling Assists offices in the management of their files Assists offices in the management of their files Provides for the efficient and legal disposition of official University Records Provides for the efficient and legal disposition of official University Records Records Inventory Records Inventory Records Analysis Records Analysis Approval Process Approval Process Legal document Legal document

Why Follow a Retention Schedule? Risks of keeping records too long Risks of keeping records too long Wastes space Wastes space Harder to find records you need Harder to find records you need Records must be reviewed for FOIA and litigation Records must be reviewed for FOIA and litigation Risks of destroying records too soon Risks of destroying records too soon Violation of Michigan law Violation of Michigan law Exposes agency to liability if the records are requested via FOIA or litigation Exposes agency to liability if the records are requested via FOIA or litigation Avoid random record purging by establishing a routine within the normal course of business Avoid random record purging by establishing a routine within the normal course of business

Determining Retention Periods Operational/ Administrative Value Operational/ Administrative Value Fiscal Value Fiscal Value Legal Value Legal Value Historical/Archival Value Historical/Archival Value Destroy records when their value ceases to exist Destroy records when their value ceases to exist

New Records Management Web Site Access to general and office specific records retention schedules Access to general and office specific records retention schedules Access to general and office specific records retention schedules Access to general and office specific records retention schedules Records Transfer Procedures Records Transfer Procedures Records Transfer Procedures Records Transfer Procedures Online Retrieval Request Form Online Retrieval Request Form Online Retrieval Request Form Online Retrieval Request Form Online Records Transfer Form Online Records Transfer Form Online Records Transfer Form Online Records Transfer Form

University Records Center GSB 205 4,000 square foot, climate control, secure 4,000 square foot, climate control, secure Comprehensive storage and retrieval service Comprehensive storage and retrieval service Records Destruction Service Records Destruction Service Access restricted but available by appointment Access restricted but available by appointment