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Records Management

Records Management. Chris Halonen, University Records Manager Chairs’ Compliance Workshop, 10 January 2013. University records. All information created, received, & kept by the university, its units & employees, documenting university activities, regardless of format/medium, including:

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Records Management

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  1. Records Management Chris Halonen, University Records Manager Chairs’ Compliance Workshop, 10 January 2013

  2. 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

  3. What’s excluded? • 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

  4. Basic principles of RM program • All university-owned information has a lifecycle: • created or received in some work activity, • kept for reference or to meet external requirements (e.g., FIPPA) and • destroyed when no longer needed by the university • Records are organized/classified by these work activities • The lifecycle, organization, and units responsible for records are documented in the WatClass retention schedules (currently 60% complete) • We set priorities for the RM issues we deal with first, but the RM program applies to all university records

  5. WatClass: 12 university functions • 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) • Research Management (RS) • Student Management (ST) • Teaching and Learning (TL)

  6. Purpose of the RM program • Meet internal needs for information as efficiently as possible • Demonstrate accountability to our constituencies • Comply with statutory/regulatory requirements • Provide evidence of processes or transactions, admissible in legal proceedings

  7. Policy 12: roles/responsibilities • Secretary & CIO: overall responsibility • University Records Manager: • Design & promote RM program • Provide advice & guidance • Chairs: • “Unit managers/heads are responsible for ensuring that their unit’s records are accurate, complete, and retained in accordance with the university’s approved retention schedules; and for authorizing disposal actions (destruction or transfer to the university’s archives) at the end of the retention period.”

  8. How to proceed? • Regularly destroy transitory records when no longer needed • Organize records by the activities they belong to, & document the records you have • File plan for paper files • Directories & folders list, for shared drives & SharePoint • Identify retention periods for records, from the WatClass retention schedules (consult with me on this) • Destroy records at the end of their retention period, and document their destruction • A very small percentage of records go to the University Archives

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