Introduction to Records Management Faculty Staff Training

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Introduction to Records Management Faculty / Staff Training November 2008 Introduction to Records Management Faculty / Staff Training November 2008

Session Outline • Records Management Basics • Roles and Responsibilities • The Records Retention Session Outline • Records Management Basics • Roles and Responsibilities • The Records Retention Schedule • Implementing the Records Retention Schedule • The Records Management Website 2

Records Management Basics Records Management Basics

Records Management Basics Why Records Management? “I’ve got it here somewhere. ” “I think Records Management Basics Why Records Management? “I’ve got it here somewhere. ” “I think the file is in that pile. ” “There is a desk here somewhere. ” “Oh, just print another copy”. “I think I wrote it on a post-it note. ” “A subpoena!? !? ” “Don’t turn on the fan!” “I think I need another filing cabinet. ” “Are any of these really records? ” 4

Records Management Basics • Records are a by-product of doing business • Records are Records Management Basics • Records are a by-product of doing business • Records are evidence of – What happened – Why – By whom • Properly managed records are valuable assets of the University 5

Records Management Basics • Records • Official Records • Unofficial Records can be in Records Management Basics • Records • Official Records • Unofficial Records can be in any format electronic, e-mail, paper, and other media A record is any recorded information, regardless of storage media or format, created, received, or maintained as evidence and information in conducting business 6

Records Management Basics • Records • Official Records • Unofficial Records These records provide Records Management Basics • Records • Official Records • Unofficial Records These records provide evidence of transactions, decisions, procedures and operations An official record is the complete (final) and most authoritative record that is required to be retained for business or legal reasons 7

Records Management Basics • Records • Official Records • Unofficial Records These records have Records Management Basics • Records • Official Records • Unofficial Records These records have no legal or business requirements to be retained Unofficial records may be drafts, or duplicates of official records 8

Records Management Basics Records confidentiality and security Each employee is accountable for – Protecting Records Management Basics Records confidentiality and security Each employee is accountable for – Protecting information confidentiality – Appropriate information security All employees are responsible for compliance with the De. Paul’s Information Security Policy as it applies to information and records. 9

Why Records Management at De. Paul? • • Because space is money! Creates consistency Why Records Management at De. Paul? • • Because space is money! Creates consistency across departments Reduces risk of data exposure Assists in preserving the history and heritage of De. Paul 10

Checkpoint #1 Records Management Basics Checkpoint #1 Records Management Basics

Checkpoint #1 (True or False) A draft contract is an official record. False An Checkpoint #1 (True or False) A draft contract is an official record. False An employee timesheet maintained by payroll is a record. True A copy of The Chronicle of Higher Education is a University record. False Electronically stored information does not become a record until it is printed onto paper. False The History Department’s copy of the University budget is an official record. 12 False

Roles and Responsibilities Roles and Responsibilities

Roles and Responsibilities Director of Records Management – Manage and implement records management program Roles and Responsibilities Director of Records Management – Manage and implement records management program – Issue and Implement records management procedures – Educate and train employees on records management – policies and procedures Work with University Archivist to identify records of continuing value 14

Roles and Responsibilities Records Coordinators – Complete records management training – Implement Records Management Roles and Responsibilities Records Coordinators – Complete records management training – Implement Records Management within their department • Promote the program • Assist in training – Act as a liaison to the Director of Records Management • Notify the Director of Records Management if any changes are needed to the Records Management Policy – Support legal holds as necessary – Sign Records Disposal Certificates 15

Roles and Responsibilities Records Management Committee – Approve amendments to the Records Management – Roles and Responsibilities Records Management Committee – Approve amendments to the Records Management – – Policy Ensure the Records Management Program is properly maintained and updated Provide guidance to the Records Management Office 16

Roles and Responsibilities Office of the General Counsel – Authorize suspension of the routine Roles and Responsibilities Office of the General Counsel – Authorize suspension of the routine destruction of – – records Authorize the release of legal holds Provide advice on applicable laws and regulations 17

Roles and Responsibilities Office of Institutional Compliance – Promote awareness – Monitor quality (QARS) Roles and Responsibilities Office of Institutional Compliance – Promote awareness – Monitor quality (QARS) 18

The Records Retention Schedule The Records Retention Schedule

The Records Retention Schedule 20 The Records Retention Schedule 20

The Records Retention Schedule • • Record Group Number Responsible Department Records Group Retention The Records Retention Schedule • • Record Group Number Responsible Department Records Group Retention Period Retention Event Retention Authority Action to be Taken 21

The Records Retention Schedule • Record Group Number – A unique identifier assigned to The Records Retention Schedule • Record Group Number – A unique identifier assigned to each record – Facilitates systematic management of retention 22

The Records Retention Schedule • Responsible Department – Indicates the business area responsible for The Records Retention Schedule • Responsible Department – Indicates the business area responsible for the record 23

The Records Retention Schedule • Records Group – Describes the type of records found The Records Retention Schedule • Records Group – Describes the type of records found in a particular category 24

The Records Retention Schedule • Retention Period – Length of time that a record The Records Retention Schedule • Retention Period – Length of time that a record must be maintained 25

The Records Retention Schedule • Retention Event – The basis upon which the retention The Records Retention Schedule • Retention Event – The basis upon which the retention period is calculated 26

The Records Retention Schedule • Retention Authority – The legal or regulatory authority for The Records Retention Schedule • Retention Authority – The legal or regulatory authority for the retention period 27

The Records Retention Schedule • Action to be taken – Indicates final disposition 28 The Records Retention Schedule • Action to be taken – Indicates final disposition 28

The Records Retention Schedule • Record Example #1 • Student Registration Forms – Record The Records Retention Schedule • Record Example #1 • Student Registration Forms – Record Group – Student Records – Record Group Number – 2. 21 – Responsible Department – Student Records – Retention Period – 1 Year – Retention Event – Creation of Record – Retention Authority – AACRAO Guidelines – Action to be Taken – Shred 29

The Records Retention Schedule • Record Example #2 • Staff Personnel Files – Records The Records Retention Schedule • Record Example #2 • Staff Personnel Files – Records Group – Personnel Records – Record Group Number – 3. 2 – Responsible Department – Human Resources – Retention Period – 3 Years – Retention Event – Termination of Employment – Retention Authority – 42 U. S. C. § 2000 – Action to be Taken – Shred 30

Checkpoint #2 The Records Retention Schedule Checkpoint #2 The Records Retention Schedule

Checkpoint #2 Find this record in the retention schedule and answer the following five Checkpoint #2 Find this record in the retention schedule and answer the following five checkpoint questions Hint First narrow your search by identifying the correct responsible department or record group. Then look for the individual record. 32

Checkpoint #2 – Question 1 Question: What is the record group number that best Checkpoint #2 – Question 1 Question: What is the record group number that best fits this record? Answer: 9. 2 33

Checkpoint #2 – Question 2 Question: Assuming this contract expires on 01/01/2008, what is Checkpoint #2 – Question 2 Question: Assuming this contract expires on 01/01/2008, what is the retention event date for this record and when is it eligible for destruction? Answer: Retention Event Date: Destruction Eligibility Date: 34 01/01/2008 01/01/2018

Checkpoint #2 – Question 3 Question: How might your previous answer be different if Checkpoint #2 – Question 3 Question: How might your previous answer be different if this was the document in question? 35

Checkpoint #2 – Question 3 Answer: This document appears to be a draft and Checkpoint #2 – Question 3 Answer: This document appears to be a draft and not an official record. 36

Implementing the Records Retention Schedule Implementing the Records Retention Schedule

Implementing the Records Retention Schedule Record Destruction • Official records – Once retention requirements Implementing the Records Retention Schedule Record Destruction • Official records – Once retention requirements have been satisfied • Unofficial records – When no longer needed for reference purposes • Unofficial records should NEVER be kept longer than the official record Records subject to the University’s Information Security Policy must be destroyed according to procedures outlined in the policy to ensure the security and privacy of the records 38

Implementing the Records Retention Schedule Disposal Certificate • All destruction activity should be documented Implementing the Records Retention Schedule Disposal Certificate • All destruction activity should be documented • Records Disposal Certificate and Instructions can be found on the Records Management Website 39

Implementing the Records Retention Schedule Suspending the Retention Schedule A Legal Hold can be Implementing the Records Retention Schedule Suspending the Retention Schedule A Legal Hold can be issued or released by The Office of General Council – Used to preserve information relating to ongoing legal – matters Issued by Office of the General Council All regularly scheduled destruction of any records that fall within the scope of the Legal Hold must be suspended immediately 40

Implementing the Records Retention Schedule Suspending the Retention Schedule Legal Holds may include – Implementing the Records Retention Schedule Suspending the Retention Schedule Legal Holds may include – Email messages and attachments • Regardless of storage location or format – User created files • Word processing documents • Spreadsheets • Images – Hard copy files – De. Paul database systems 41

Checkpoint #3 Implementing The Records Retention Schedule Checkpoint #3 Implementing The Records Retention Schedule

Checkpoint #3 – Question 1 What is an appropriate action to take with an Checkpoint #3 – Question 1 What is an appropriate action to take with an unofficial record? A) Destroy when no longer useful B) Retain permanently C) Image and retain as the official record D) Transfer to the University Archives 43

Checkpoint #3 – Question 2 Which of the following may be included as part Checkpoint #3 – Question 2 Which of the following may be included as part of a legal hold? A) Email messages B) Word processing documents C) Images D) Hardcopy records 44

Checkpoint #3 – Question 3 Routine destruction of records included on the Records Retention Checkpoint #3 – Question 3 Routine destruction of records included on the Records Retention Schedule should be what? A) Documented B) Fun C) On file destruction day D) Performed by Records Coordinators 45

Records Management Website Demo Records Management Website Demo

What Now? • • Records Inventory Review Records Retention Schedule Contact Records Coordinator Shred, What Now? • • Records Inventory Review Records Retention Schedule Contact Records Coordinator Shred, recycle, store, re-organize, re-think • Records management may require a shift in the way you store or think about storing your records • More work up-front but easier to manage in the long term 47

Records Management Basics Tools and Resources • Records Management Manual – Consistent, University-wide practices Records Management Basics Tools and Resources • Records Management Manual – Consistent, University-wide practices and standards • Records Retention Schedule (RRS) – Defined retention periods for University records • Records Management Website – Central system for Records Management information • Director of Records Management – Responsible for the records management program for the University 48




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