Records Management Lunch & Learn, 24 January 2013

1. Records ManagementLunch & Learn, 24 January 2013 Chris Halonen University Records Manager

2. Intro & Overview • I tell you who I am • Info & records management at Waterloo • Guiding principles of RM program • Getting a handle on “transitory records” • WatClass: records retention schedules & their use • Steps to follow: managing the records lifecycle from creation to disposal • Some suggestions for managing paper & electronic records • Questions? Suggestions?

3. University Records • All information created, received, & kept by the university, its units & employees, documenting university activities, regardless of format/medium, including: • Email • Letters & memos • Minutes of meetings • Photos, digital images, video • Social media: tweets, Facebook pages

4. University Records • Records are always managed as a system • It’s information tied to a process/activity, so records are always interconnected with other records • Records are a university resource & asset • We need to document what we have, in consistent manner • Available to the university – not just individuals – if/when the need arises

5. What isn’tUniversity Records? • Faculty members’ teaching materials, research, scholarly works (Policy 73, IP rights) • Only documentation from assigned tasks are university records • Personal email & documents, clearly identified & stored as such

6. Info Management Policies & Guidelines • Statement on Information Management • Includes list of all IM policies, procedures & guidelines • Policy 8: Information Security • Policy 12: Records Management • Guidelines for Confidential Information • Guidelines on Managing Student Information for Faculties, Depts. & Schools

7. Policy 8 • Information security classification • Confidential • Restricted • Highly restricted • Public • Roles • Stewards • Custodians • Users • Policy 12, your responsibilities: • “Individual employees must ensure that records for which they are responsible are managed in accordance with the university’s records-related policies, procedures, and guidelines.”

8. Records Management Goals • Meet internal needs for information as efficiently as possible • Demonstrate accountability to our constituencies • Our competence is reflected through responsible & documented management of our information • Comply with statutory/regulatory requirements • Provide evidence of processes or transactions, admissible in legal proceedings • Preserve history of the university

9. Guiding Principles • Records have a lifecycle • Created or received in some work activity or process, • Kept for current work, reference, or to meet external requirements (e.g., FIPPA, CRA), • Destroyed when no longer needed by the university. • Of historical value: part of University Archives

10. Guiding Principles • Organize records by work activities/processes • Document the records you have, their lifespan, and their destruction. • WatClass retention schedulesprovide guidance on records lifecycle, organization, & responsibility • (approx. 60% complete) • We set priorities for the RM issues we deal with first, but the RM policy & program applies to all university records

11. Destroy Transitory Records!! • Records of temporary value • Working documents, drafts, copies and reference materials. • “cc”, FYI, & broadcast e-mails. • Keep only as long as needed for your work. • Some estimates: up to 75% of all info in offices is transitory. • Transitory records should be destroyed when you no longer need them. • Secure destruction if they contain confidential info • No need to document their destruction unless they contain personal information.

12. Document the Destruction of Personal Information • Document destruction of copies of records containing personal information, such as student information. • These are transitory records, but FIPPA requires that we document their destruction.

13. Records Destruction Form • End of retention period: secure & authorized destruction • Manager or delegate signs off on destruction • Central Stores secure shredding • Shared drives: delete computer files & folders • SharePoint: be sure to empty recycle bin • Use the records destruction form to document records destruction • Keep these forms on file as a permanent record

14. WatClass: 12 University Functions • Core University Activities: • Research Management (RS) [bold font = completed…for now] • Student Management (ST) • Teaching and Learning (TL) • “Housekeeping”: common to many organizations: • Administration (AD) • Campus Services (CS) • External Relations and Communications (ER) • Finance (FN) • Governance (GV) • Human Resources (HR) • Health, Safety, and Security (HS) • Information Management (IM) • Property and Facilities (PF)

15. Research Management (RS): • Research ethics, grants & contracts administration, controlled goods and technology • Student Management (ST): • Recruitment, admissions, student records, financial aid &scholarships, student grievances, discipline, appeals • Teaching and Learning (TL): • Calendars, program reviews & accreditation, co-op & continuing ed programs, course management, student work & grading, exchange programs, internships & practica, professional development and training, class/exam schedules

16. Administration (AD) • general correspondence, subject files, planning, reports & stats, administrative committees and faculty councils, legal records (contracts, legal opinions, IP records), policies & procedures • Campus Services (CS) • non-academic services: ancillary services, athletics/recreation, parking, WatCard • External Relations and Communications (ER) • donors, alumni, gov’t and inter-institutional relations, events, media relations, marketing, outreach, publications, images, speeches, and the website • Finance (FN): • accounts payable/receivable, p-card transactions, banking, budgeting, investments, financial audit, procurement, and taxation

17. Governance (GV) • Board of Governors and Senate • Health, Safety, and Security (HS) • Conflict management & human rights, health & counselling, occupational health, safety, access & key control, police services • Human Resources (HR) • Faculty & staff appointments, employee records, promotion and tenure, pension & benefits, employee discipline & grievances, position descriptions, salary/payroll, work schedules & leave management • Information Management (IM): • FIPPA, info systems management & security, libraries, museums, and galleries, and records management • Property and Facilities (PF) • Buildings, capital construction projects, space management, asset management, utilities, equipment & supplies, maps & plans

18. WatClassExamples • Human Resources • Student Management • Teaching & Learning • If you’re unsure of the meaning or scope of a retention schedule, or can’t find the one you need, call me

20. Steps to Follow • Separate your records from transitory records • Regularly destroy transitory records • Classify records by activity, using WatClass • Identify retention periods, using WatClass • Document what you have: file plan or folder listing • Destroy records at the end of their lifecycle • Document the destruction of your records

21. Helpful Hints • Keep a list (spreadsheet, database, Word table…) of what you have!! • WatClass record class • Policy 8 security classification • File title or type • For paper files: date span of the file • Description (if needed) • How organized (alpha, chrono, some kind of code) • Retention period, from WatClass • Additional indexing keywords, if you want them

22. Helpful Hints • Start a new file (or folder) every year!! • Makes it easier to pull records for destruction • Set up rules for naming files/folders • There’s no right or wrong way, but you need to be consistent • For e-records, think of sorting issues: • e.g., for dates, use 2013-01-24, not Jan 24, 2013

23. Future Plans • Model file plan & Excel template • Folders for Outlook • “How to” for (re-)organizing shared drives • With IST: more support for SharePoint site design & records management • Records of long-term value: integration of SharePoint & OnBase • SharePoint as “front end” for work & OnBase for long-term storage

24. Topics for Another Day • Are you creating all the records you need to document your processes & decisions? • Paper vs. electronic as the “official record” • For now, check WatClass • See Standards for imaging (scanning) paper documents • Email management (no easy answers) • Social media & web content as university records: Twitter, Facebook, etc. • Managing videos & digital images

25. Questions? • Call or email: • Ext. 38284 • Chris.Halonen@uwaterloo.ca