What is Records Management? • A program designed to systematically control or monitor records during their entire lifecycle from creation or receipt to disposal. How Does It Control Records? • Promotes efficient administration and management of records. – Removes inactive or obsolete records from the offices. • Ensures that records are maintained as long as they meet administrative, fiscal, and legal requirements. • Ensures the protection of vital and historical records. • Ensures compliance with all internal, state, and federal policies. Reduces the university’s liability. What is a record? • A record is any document created, received, and maintained that documents the university’s activities, transactions, and functions in the course of the its business or legal obligations, regardless of format. • Examples: Correspondence – Meeting Minutes Invoices – Registers Time Sheets – Maps Travel vouchers – Photographs Records Are Information Fixed On Any Media • Electronic Records Word documents Spreadsheets PDFs JPEGs DVDs • Databases • Videos and photographs • Paper documents Records Are Defined by… • Federal and State legislation – FERPA, HIPAA, SOX (Arbanes-Oxley), GrammLeach-Bliley, IRS The courts – “ESI” (Electronically Stored Information) Institutional Policy Department Needs University Records • Records created or received by a department or an employee of the university become the property of the university. • Records created or received by faculty in the conduct of student advising, committee work, administration, or university program, school and department administration are also university records. Exceptions include faculty manuscripts, teaching and research notes. These items may be donated to the University Archives. Records Have a Value A records management program ensures that records are kept as long as they have value: • Administrative/Operational • Fiscal • Legal/Regulatory • Archival/Historical • Research What isn’t a record? • Reference materials • Surplus publications • Personal files • Duplicates • Preliminary drafts • Convenience copies • Blank forms Why do we do we need a Records Management Program? • To minimize risk and lower liability • To provide efficient and transparent business processes • To preserve our institutional story Minimizes Risk and Lower Liability Significant legal liabilities and costs associated with poor or inadequate records management practices. • Ensures that vital records are not discarded, destroyed, or transferred outside the custody of the university. • Records are kept as long as required and destroyed when retention requirements are met. • Ensures records comply with state and federal regulatory requirements, legal and financial requirements, and best practices. Provides Efficient and Transparent Business Processes Provides guidance on maintenance, retention, and storage based on their legal, administrative, fiscal and historical value. • Good records management practices reduce clutter and streamline workflow. • Well organized and managed information is quickly and easily retrieved. • University administrative, legal, audit, research and historical interests are served. Preserves Our Institutional Story • University records are important information assets and may have historical and research value or lasting administrative significance: • Core functions • Organizational structure • Major projects • Publications explaining activities and programs • Records of enduring value are transferred to the Archives on a regular basis to be preserved and made accessible. Best Practices for Managing Records • Create records that accurately document their core activities. • Manage and store records in a manner that facilitates timely and accurate retrieval. • Ensure that records are stored in secure locations and stable environments. • Allow only those with proper authority to have access to the records. • Carry out the proper disposition of records. Compliance • Know and comply with University policies regarding records management. • Know and comply with external laws and regulations that affect the records. Who is responsible? • An effective records management program requires the cooperation of all University colleges and departments. • Each employee is responsible and accountable for keeping accurate and complete records of the business activities they conduct. • Each employee is responsible for protecting the University by creating, using, retrieving and disposing of records in accordance with the University’s established policies and procedures. Electronic Records Management Introduction Describes the legal framework guiding the development of an electronic records management strategy, and the purpose of the guidelines. Electronic Records Management Strategy Read this set of guidelines first for basic, key concepts in electronic records management. Long-Term Preservation Learn about the steps to developing a long-term electronic records preservation plan. Metadata Introduce yourself to metadata, its functions, and its importance in managing electronic records. Become familiar with specific metadata standards. File Naming Learn about the importance of including a file naming policy in your electronic records management strategy. File Formats Review descriptions of common file formats and a summary of the issues regarding converting or migrating files. Storage Facilities and Procedures Learn about physical storage space options and access procedures. Digital Media Review digital media storage options (e.g., magnetic tape, optical disk) for your electronic records. Electronic Document Management Systems Introduce yourself to electronic records issues that may arise as you seek to integrate and manage the records management process with an electronic document management system. Digital Imaging Introduce yourself to digital imaging, its uses, and legal considerations. Review recommendations for implementing digital imaging projects. E-mail Management Consider the issues involved in extending your electronic records management strategy to your e-mail messages. Web Content Management Learn how to develop a policy for managing your web content that meshes with your electronic records management strategy. Electronic and Digital Signatures Learn about the distinction between electronic and digital signatures, and the legal considerations surrounding their use. Glossary Look up key terms in the guidelines. Introduction Summary You routinely create, use, and manage information electronically in your daily work as you use computers to send e-mail, create spreadsheets, publish web pages, manage databases, and create other electronic materials. Because you work for a government agency, Minnesota and federal laws mandate that you treat that information as official government records. You probably already have a strategy to manage your paper records. With the growing pervasiveness and importance of electronic records, you should also
