Records Management Overview

1. Records Management Overview

2. Why? • It’s theLaw • It’s University Policy • Fiscal and Legal Compliance • Reduced Costs and Increased Efficiency • Preserve the Institutional Memory

3. What’s in it for me? • More organized and efficient • Easily find and retrieve records • Less work for supervisors

4. What is Records Management? • Systematic control of recorded information, regardless of format, from the time a record is created until its ultimate disposition.

5. Terms and Forms • Retention Schedule • Record Series • Transmittal Form • Records Destruction Certificate

6. Retention Schedule • Different types of public records. • How long records must be kept. • When or ifrecords may be destroyed.

7. 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

8. Schedules used by NKU • State University Model Records Retention Schedule • General Schedule for Electronic and Related Records

9. State University Model • Identifies records by series, title, function and content. • Gives retention time and disposition instructions. • Provides legal authority to destroy records.

10. Process • Determine the type of record – Contentmatters not the format • Locate the series on the records schedule • Applythe retention period to your records

12. A–Z Index

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

17. University Records Formats Paper Files Electronic Records Video Tapes Audio Tapes Printed Publications Web Pages Photographs CD, DVD, Flash drive

18. Records Recommendations GOOD vs. BAD

19. 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)

20. Good Records • Titled • Dated • Labeled

21. Good SACs committee report, 2009 History Dept, Official Correspondence, 2008-09 (U0100, permanent) Bad Important, need to keep Dept mail

22. 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

23. Filing Example for Electronic Records

24. 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:

25. Records that are EASY to: • Organize • Retrieve • Preserve • Delete or Transfer

26. 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

27. Office Maintains • Records not actively used … but not at end of retention time. • Permanent Records

28. Record Transfers • Permanent Retention – those permanent records with historical significance are transferred to Special Collections and Archives

29. 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

31. Records Destruction Procedures

32. Records Destruction • Records past their retention period can be destroyed • Destruction must be documented – complete the Records Destruction Certificate Exception • Records with litigation holds

33. Records Destruction Certificate • Legal proof of authorized destruction. • Form is on the Records Management website

34. The Form

35. The Form...continued University Archivist’s Signature Here Your Signature Here

36. Email

37. 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

38. Email Most common types of email records • Official Correspondence • General Correspondence • Informational and Reference Material

39. Non-business Related Email • Spam • Personal Messages • Unsolicited email

40. Email Delete messages that are not needed • Spam and other non-business messages • General Announcements-NKU All, Midweek • Transitory messages • Informational and Reference material

41. 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

42. 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

43. Email Folders Filing formats examples

44. Email filed by project or category

45. Email filed by record series

46. Email filed by retention time

47. Most Importantly • Find a method that works for you • Use it consistently

48. Email: CAUTION • Auto Archiving • Replies to listserv/___ All’s

49. 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.

50. 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.