Brad Houston, University Records OfficerSeptember 16, 2009

The systematic and administrative control of records throughout their life cycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, and disposition. (Source:

http://www.archivists.org/glossary/term_details.asp?DefinitionKey=200)

Everyone! Classified Staff

▪ Office records, personal files Unclassified Staff

▪ The above, PLUS case files, project files Faculty/Teaching Staff

▪ The above, PLUS grade books, course/teaching files

When you first arrive at UWM Expectations-setting

Day-to-day operations Organization and legal protection

Supervisory positions Supervisee accountability

Leaving UWM Preserve continuity, history

Discuss records management responsibilities at all career stages

Provide hints and resources for dealing with records

Describe strategies for ensuring records compliance

Framework now=less trouble later

Recorded information, in any format, that allows an office to conduct business Value determined by content

Four types of record value: Administrative Legal Fiscal Historical

Personal materialsWorking notes and drafts

Once a draft is shared with colleagues, it becomes a “record”

Envelopes and routing slipsDuplicate copies

Includes vast majority of “cc” email

Identify Job Functions Consult your job description Discuss key duties with supervisor/holdover

staff Refer to files left by your predecessor

Identify Record Series Look for groups of records related to same

function Look for records already filed together Ask: what is minimum documentation for this

transaction?

Physical Plant: Fleet Operations Records Inventories, repair logs, mileage

PSOA: Production Files Scripts, programs, blocking directions

Student Life: Student Organization Files Registration, publicity, correspondence

CIE: Program Files Agreements, curricula, credit transfer forms

After you’ve identified record series, look for two types of record schedules: Specific Records Schedules: records held

in your office only▪ Contact Records Management for copies

General Records Schedules: records held in many offices▪ Consult Records Management website for

retention periods

Business Correspondence, incl. e-mail Retain for 7 days if transitory, 6 months if

project related, then destroy/delete Student Coursework and Grade Books

Retain both for 1 year after course, then destroy

Subject Files and Committee Minutes Retain for 3 years and transfer to UWM

Archives

Organize your files by records series Usually, but not always, the same as

organize by subject Follow retention periods and

disposition instructions Keeping things either too long or not long

enough both problematic Transfer inactive historical files to

archives Inactive= no activity within 6 months

Day-to-Day Records Management and Supervisory Responsibility

When you are creating your own new records or records series

When you are creating or storing large amounts of electronic records

When you are expected to reply to records requests

When you are responsible for records over entire department

Ensure the record has all useful metadata attached/included Subject, recipient, author, date, title

Determine if record is long-term or short-term, and create accordingly File format, storage/delivery medium

Determine appropriate record series for files

Classify and store records according to an organized filing system

Create an inventory of records Usually, folder-level is good enough

Be prepared to retrieve records for various purposes Administrative need? Public Records Request?

Any administrative record potentially accessible (Wis. Stat. 19.31)

Refer all requests for non-published records to Amy Watson, Public Records Custodian Do not produce records until you hear

backRecords must be produced in timely

fashion– another reason to get organized!

Records Management will work with you to create appropriate retention/disposition Records Survey and Series Description

Worksheet Be aware of legal requirements for

retention! New Records Schedules approved 4

times/year by Wisconsin Public Record

Be aware of disposition periods of various records series

Make arrangements for confidential destruction, as needed Kard Shred Bins around campus

Prepare records with long-term value for archival transfer

Retain student coursework, grade calculations for one year after class

Transfer “permanent” course materials to dept. office manager every year Syllabi, tests, comps questions

If Dept. Chair or Committee Chair: Take and retain minutes of meetings Transfer these to office manager as well

An important exception to retention schedules!

Under litigation holds, NO RECORDS in that series may be destroyed for duration

Legal Affairs and/or Public Record Custodian will inform your office if a hold is placed

Electronic Record Paper Analog

E-mail message Memo, typed letter

E-Form template Form master copy

Museum accessions database

Accession card catalog

Student paper (e-mailed or D2L-submitted)

Student paper submitted in class or via mail

Instant message log Memorandum of conversation

Short-term/active records: PantherFile

Versioning and Logging produces authenticity trail

See e-records slides for more detail on these functions

Coming soon-ish: fully-functional records module within PantherFile

Long-Term: Three Options On-line storage (within existing system) Near-line storage (exported to CD,

PantherFile, etc.) Off-line storage (printed out and filed)

If historical records: transfer via CD/PantherFile to UWM archives

You are responsible for making sure your office/department is compliant! Secure copies of all schedules for your

dept. Consider training through UWM Records

Management Program Set aside some time each week/month for

records cleanup Create internal guidelines for “historical”

records

You fill or delegate these roles: Holder of official copy of record Respondent to subpoenas or public

records requests Arbiter of ongoing historical value Responsible for signing off on records

schedule creation or modification

Subject Files (Projects, reports, correspondence)

Publications (Newsletters, posters, flyers) Minutes (and related material in

appendices) Any other materials that “tell the story”

of the department or of the University as a whole

See also: http://www.uwm.edu/Libraries/arch/recordsmgt/collection.html

Preserving continuity, assisting your successor, protecting the university

If you are retiring from UWM If you are leaving UWM for a job at

another institution If you are moving to a position in a

different office at UWM Office-specific records only

Preserve office continuity-of-operations

Assist your successor with his/her jobProtect the university from potential

legal action or public embarrassment

Remember: Public records are University property!

Are your existing records: Scheduled for retention/destruction with

an active RRDA? Organized in a systematic fashion

(subject, retention period, etc.)? Checked and marked for confidential

information?

Getting rid of extraneous materials=cutting down on search time, storage needs Duplicate copies of records Personal Notes Purely logistical materials (but check the

RRDAs!) Archive materials of historical

significance Consult your supervisor re: what’s important

UWM Archives may be interested in faculty teaching or research materials if that person: Has spent significant portion of career at UWM Has made an important contribution to his/her

field OR has worked in areas reflected in UWM collection

policy OR▪ http://www.uwm.edu/Libraries/arch/about/overview.html

Has created records showing the development of a UWM department or program

Move all university records on personal drive or PantherFile to a shared space Dept. LAN? PantherFile share? External HD?

Make copies of personal records onto portable media n.b. e-mailing yourself files is NOT optimal

Create pathfinder/guide for navigating e-recs

Work with supervisor/office manager to identify significant emails High-level employees (Deans, Directors,

etc.) will have proportionately more of these Export emails with short-term value to

shared space Pantherfile “Import/Export” feature

Export or print emails with long-term value Don’t forget to file!

Revisit the job description Indicate which duties correspond to which

records Create a “records management”

folder Include relevant schedules, training

materials, retention times Organize and re-organize your files

Consider a file plan to explain your system

Move quickly to preserve relevant files, folders, emails UITS may be able to assist with this

processCopy, don’t move, university records

in electronic form Why? Public Records Requests (6

months)

Where to find more relevant information

Identify records that will be produced by job activities

Make inventory of records already in your work area

Identify relevant records schedules, retention times, and disposition requirements

Be familiar with responsibilities at all stages of records life cycle Creation, Maintenance, Disposition

Identify unscheduled records and work with Records Management to produce RRDAs

Be prepared to respond to records requests

Work with supervisor/supervisees to identify records of enduring value

Take a final inventory of recordsWeed extraneous documents,

archive significant recordsTake appropriate actions to preserve

or destroy electronic recordsCreate continuity-of-operations

records management guidance for successors

Archives Policy (S-6) http://www4.uwm.edu/secu/acad+admin_polici

es/S6.htmPublic Records Access (S-45)

http://www4.uwm.edu/secu/acad+admin_policies/S45.htm

Personnel File Policy (S-42) http://www4.uwm.edu/secu/acad+admin_policies/

S42.htm

Information Security Policy (S-59) http://www4.uwm.edu/secu/acad+admin_policies/S-

59.pdf

UWM Common Records Schedules http://www.uwm.edu/Libraries/arch/recordsmgt/common.html

UW System Records Schedules http://www.uwsa.edu/gc-off/records/

schedules/ Wisconsin Dept. of Administration

Schedules http://www.doa.state.wi.us/docs_list.asp?doccatid=7

Coming Soon(ish): Searchable database!

Records Management Basics http://www.uwm.edu/Libraries/arch/recordsmgt/basics.html

Records Responsibilities of UWM Staff http://www.uwm.edu/Libraries/arch/recordsmgt/StaffRecordsResponsibilities.htm

Common Archival Series http://www.uwm.edu/Libraries/arch/recordsmgt/collection.html

Records Management Handouts and PowerPoints http://www.uwm.edu/Libraries/arch/recordsmgt/education.html

UW System Desktop training sessions http://www.uwsa.edu/gc-off/records/

training.htm

This presentation available online: http://www.uwm.edu/Libraries/arch/recordsmgt/

beginend.ppt

Or, contact UWM Records Management: houstobn@uwm.edu (Brad Houston) 414-229-6979 http://www.records.uwm.edu