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: [email protected] (Brad Houston) 414-229-6979 http://www.records.uwm.edu