Records Retention and Archival Policy (BU-PP 038)

1. Records Retention and Archival Policy (BU-PP 038) Training Session January 7, 2013

2. Agenda • Background on the Policy (Juan) • Policy Roll-out Process (Pattie) • Records Management Self-Assessment (Amanda and John) • Policy website and other sources for support (Juan) • Next Steps (Juan)

3. Background on the Policy • Regents Approved in February 2012 • Purpose • Identification • Preservation • Collection • Benefits: • Streamline storage costs • Spend less time and money managing data • Greater ease in finding important information • Streamline response to litigation or investigations

4. Policy Roll-out Process • Committee Composition and Meetings • Development of the Records Management Self-Assessment

5. Records Management Self-Assessment • Overview • What records do you have? • Where are the records located? • What records do you have to keep? • How do digital records factor in to this?

6. What records do you have? • Financial—invoices, P-card, contracts • HR—applications, personnel files, immigration documentation • Faculty—tenure review notebooks, curriculum action, student disciplinary • General—meeting records, reports, photos and AV materials, policies, office publications • Other—what records are unique to your office?

7. Where are the records located? • Paper or digital? Consider how both are kept (and security needs). • Are records centrally managed or for each, his/her own? (physical files AND servers) • Can you easily find records when you need them? • Do you use off-site storage, microfilming, or imaging? Do you transfer records to the University Archives? • Does your office keep records that are the primary responsibility of another office? (personnel files, invoices, etc.) • Do other offices maintain records that ultimately are your responsibility? • How do you know when to keep, transfer or destroy records?

8. What records do you have to keep? • Record: recorded transactions of Baylor’s activities and affairs, in any format (including without limitation paper, electronic and audiovisual materials), both created and received by Baylor • See Records Retention and Archival Policy and Common Record Guidelines—but each office should prepare its own retention policy to address its unique records

9. How do digital records factor in to this? • Whatever retention needs apply to paper also apply to born-digital records • ITS backups • Regular backups do occur of systems like TRAX and BANNER • Desktop computer backups—kept from 30 days of creation (especially important when handling employee exits) • Exchange (email) server backups—kept from 14 days of creation • Employees are ultimately responsible for their own recordkeeping practices

10. Emails • Emails are records which may contain evidence of official University actions, decisions, approvals, or transactions. • Most received and sent emails have a very temporary value—but some are very important.

11. Emails You Can Delete • Preliminary drafts • Routine replies/requests for information • Emails sent as reference or for informational distribution* • Emails used to schedule meetings • Announcements* • Acknowledgements *assuming this information is documented elsewhere

12. Email You Must Keep • Consult the Appendix to the Records Retention and Archival Policy and Common Records Guidelines. Also consider your office’s needs in retaining emails for reference as you prepare a retention schedule. • Email records might include: • Policy and procedure directives • Instruction regarding the implementation of substantive decisions regarding matters of University business • Legal or audit issues • Approvals for purchases or other actions to be taken • Final reports or recommendations • Receipts for purchases made electronically

13. Email • How to keep email • Retain electronically (preferred): Use Outlook’s Archive feature to save emails in local digital folders and retain searchability. The employee is responsible for ensuring that the email remains accessible (for all who need it) for the full retention period and that it is backed up. • Print and file: Lose keyword search capability and ability to use links, possible loss of attachments or understanding of back-and-forth dialogue; can promote sharing with colleagues as necessary • Consult with the University Archivist if you believe your office has emails that belong with the office’s records in the Baylor University Archives

14. Policy Website and other Sources for Support • Website - http://www.baylor.edu/ia/ • Training Sessions (Dates TBD) • Internal Audit & Management Analysis • 710-3867 • Juan_Alejandro@Baylor.edu

15. Tips to help you • Keep a recordof all your hardware & software (so you know how to access old file formats and such) • Keep your records retention schedule current • Be aware of electronic “footprints” – delete does not always mean delete (contact ITS for guidance) • Stop any document destruction on receiving notice of any legal/audit action

16. Next Steps • Implementation deadline • Sources for assistance • Internal Audits