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Records Management Overview. Why?. It’s the Law It’s University Policy Fiscal and Legal Compliance Reduced Costs and Increased Efficiency Preserve the Institutional Memory. What’s in it for me?. More organized and efficient Easily find and retrieve records

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slide2
Why?
  • It’s theLaw
  • It’s University Policy
  • Fiscal and Legal Compliance
  • Reduced Costs and Increased Efficiency
  • Preserve the Institutional Memory
what s in it for me
What’s in it for me?
  • More organized and efficient
  • Easily find and retrieve records
  • Less work for supervisors
what is records management
What is Records Management?
  • Systematic control of recorded information, regardless of format, from the time a record is created until its ultimate disposition.
terms and forms
Terms and Forms
  • Retention Schedule
  • Record Series
  • Transmittal Form
  • Records Destruction Certificate
slide6
Retention Schedule
  • Different types of public records.
  • How long records must be kept.
  • When or ifrecords may be destroyed.
record series
Record Series
  • …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 1220.14).

National Archives

http://www.archives.gov/records-mgmt/faqs/federal.html#series

schedules used by nku
Schedules used by NKU
  • State University Model Records Retention Schedule
  • General Schedule for Electronic and Related Records
state university model
State University Model
  • Identifies records by series, title, function and content.
  • Gives retention time and disposition instructions.
  • Provides legal authority to destroy records.
process
Process
  • Determine the type of record – Contentmatters not the format
  • Locate the series on the records schedule
  • Applythe retention period to your records
kdla website
KDLA Website

http://www.kdla.ky.gov/recmanagement/schedules/kyuniversitymodel.pdf

university records formats
University Records Formats

Paper Files

Electronic Records

Video Tapes

Audio Tapes

Printed Publications

Web Pages

Photographs

CD, DVD, Flash drive

bad records
Bad Records
  • Documents with:

No title

No author

No date, draft or version status

  • Multiple copies of a report, but missing the signed, authorized copy.
  • Emails with subject lines that bear no relation to the current content (fw: fw: fw)
good records
Good Records
  • Titled
  • Dated
  • Labeled
slide21
Good

SACs committee report, 2009

History Dept,

Official Correspondence, 2008-09

(U0100, permanent)

Bad

Important, need to keep

Dept mail

electronic records
Electronic Records
  • Directory and Folder Structure
    • Office wide adoption best
  • Naming
    • Establish and follow standard naming convention
  • Security
    • Control access… shared drives
  • Back up
    • When, what format and where stored
best advice
Best Advice
  • Start immediately, even if only small steps.
  • Don’t create unnecessary records.
  • Reduce duplicate copies.
  • Create and use a file structure for all records, no matter what format.

The Result:

records that are easy to
Records that are EASY to:
  • Organize
  • Retrieve
  • Preserve
  • Delete or Transfer
when your office no longer uses or needs a set of records
When your office no longer uses or needs a set of records…

4 Possibilities

  • Inactive Temporary Storage
  • Permanently Stored by Original Office
  • Transferred to University Archives
  • Records Destruction
office maintains
Office Maintains
  • Records not actively used …

but not at end of retention time.

  • Permanent Records
record transfers
Record Transfers
  • Permanent Retention – those permanent records with historical significance are transferred to Special Collections and Archives
archives collecting guidelines
Archives Collecting Guidelines

Colleges, Schools, Research Centers, Institutes & Departments

  • Meeting minutes and agendas
  • Official correspondence – especially from department heads
  • Policies, guidelines, reports
  • Organizational charts, staff lists
  • Publications
  • Photographs-names, dates, place/event
  • Information on events, meetings, participants
  • Recordings of events, lectures, presentations, publicity
  • Any other records which document/describe your department, its history and function
records destruction32
Records Destruction
  • Records past their retention period can be destroyed
  • Destruction must be documented – complete the Records Destruction Certificate

Exception

  • Records with litigation holds
records destruction certificate
Records Destruction Certificate
  • Legal proof of authorized destruction.
  • Form is on the Records Management website
the form continued
The Form...continued

University Archivist’s Signature Here

Your Signature Here

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

Most common types of email records

  • Official Correspondence
  • General Correspondence
  • Informational and Reference Material
non business related email
Non-business Related Email
  • Spam
  • Personal Messages
  • Unsolicited email
email40
Email

Delete messages that are not needed

  • Spam and other non-business messages
  • General Announcements-NKU All, Midweek
  • Transitory messages
  • Informational and Reference material
retention for email
Retention for email

University

business?

Private/personal

e-mail

(Not saved on

NKU’s server)

Delete or move

to another folder

E-mail

Received

No

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

File and delete

according to

retention schedule

Save electronic copy in

permanent file on server; or

Print and file hard copy;

Transfer to Archives

Delete when no

longer needed

retention for email42
Retention for email

University

business?

Private/personal

e-mail

(Not saved on

NKU’s server)

Delete or move

to another folder

No Destruction Certificate needed

E-mail

Received

No

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

Complete

Destruction

Certificate*

*Annually or Semi-annually

May need to

Complete

Transfer to

Archives form

Complete

Destruction

Certificate

File and delete

according to

retention schedule

Save electronic copy in

permanent file on server; or

Print and file hard copy;

Transfer to Archives

Delete when no

longer needed

email folders
Email Folders

Filing formats examples

slide45
Email filed

by

record series

slide46
Email filed

by

retention time

most importantly
Most Importantly
  • Find a method that works for you
  • Use it consistently
email caution
Email: CAUTION
  • Auto Archiving
  • Replies to listserv/___ All’s
email management tips
Email Management Tips

Be Proactive – Email does not manage itself!

  • Effective email management = effective time management.
  • Is email the right tool?
  • Set up and use rules and filters.
  • Slow the Flow.
  • Use specific and descriptive subject lines
  • Restrict messages to one topic or subject.
remember to
Remember to…
  • Manage email on content, not space quotas.
  • 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.
  • 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.
slide51
And
  • Email is a searchable record.
  • Scary thought,

……..E-Discovery.

  • Keep email professional, limit personal.

Would you want to see it on the evening news?

1 records management hint
# 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 519.060 (1) (b)

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