Evaluation

Reporting

StorageDigitization

DispositionInstitutional Archives

Information Management: Developing a Records Management Plan

Susan Barrett

Twitter: @suebeeinaz

Topics 1.Information management.2.Records management.3. Evaluating records.4. Inventory.

1. Reporting.2. Documentation.3. RMAA.4. Digitization.5. Unit records coordinator.

Information OverloadRecords document what we do and how we do it.

Area 51

Content is King

StudentGrades

FinancialReceipts

AcademicCalendars

FacultyPublications

WebsiteBiographies

ResearchGrants

AdmissionApplications

The Stuff of Life

Glory is Acquired by Virtue but Preserved by Letters

We must maintain records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures and essential transactions of the agency designed to furnish information to protect the rights of the state and of persons directly affected by the agency's activities. ARS 41-151.14(A)(2)

Confidential RecordsARS 44-7601

An entity shall not knowingly discard or dispose of records or documents without redacting the information or destroying the records or documents if the records or documents contain:

1. An individual's first and last name or

2. Last name in combination with a:

A. Social security number.

B. Credit card, charge card or debit card number.

C. Retirement account number.

D. Savings, checking or securities entitlement account number.

E. Driver license number or non-operating identification license number.

3. Additional safeguards to protect student records are governed by FERPA.

Lean In

Workers spend:

• 28 percent of their time, reading, writing or responding to email.

• An additional 19 percent of their time tracking down information to complete their tasks.

2012 McKinsey Global Institute Report

Creatio

nActive Use

Disposition

The Circle of Life

• Records have a life cycle:

creation > active use > disposition

• Two types of records:

1. Permanent.2. Temporary.

Timing is EverythingA records management schedule:• Describes the records.• Defines the length of time to keep the records.• Defines when and how to send records to oversight/accreditation organizations.• Defines when to send the originals to the university archive.

Schedules are UniqueEach record, or record series, in a unit will have a unique retention schedule:

If your unit produces 20 different record series (types) = 20 different schedules.

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Value of Records• Administrative value = records that help

your office do its work (student grades, meeting minutes, policies, manuals, reports).

• Fiscal value = document financial authorizations and transactions and are often subject to audit (budget, expenditures, p-card receipts).

• Legal value = records subject to official actions such as subpoenas, investigations or lawsuits (employment records, admission records).

http://www.flickr.com/photos/rwalstrom/

Historical Value

• Historical or research value – these records document significant historical events or may reflect decisions about significant activities in the community (PBC campus grand opening, Buffmire lectures, Cancer Center groundbreaking).

• If a record is historically significant, it is a permanent record.

http://www.flickr.com/photos/cliffordjol/

Variety is the Spice of Life

Evaluating Records

• What do you create (policies, brochures, grades, reports)?

• What type of records do you have (paper, electronic, virtual)?

• Is it labeled and identified, or stuffed in a filing cabinet, or floating in cyberspace?

• The content is important, not the media.

Make a New Plan, Stan

Initial goal is to complete an evaluation of unit records, which includes:

1. An inventory.

2. Document reporting needs.

3. Develop records management schedule for regulatory reporting.

4. Identify the need for potential digitization.

5. Identify a coordinator for each unit. This can be the unit leader or the staff member(s) responsible for records in the unit who is:

Familiar with unit records.

Knowledgeable about reporting institution requirements.

Monkey in the Middle?

Step 1: Complete an inventory

1. Identify the records created in the unit.

Record series (personnel records, student records, financial records).

Volume of records.

Identify the dates/years that the records were created.

Identify all confidential records.

Identify any existing naming or filing conventions.

Identify staffing = match job descriptions to the records (registrar = grades).

Determine if there are records that are not currently managed by a staff member.

On Closer Inspection …

2. Identify the media and storage locations.

Paper (filing rooms).

Electronic (shared drive, CD, work computer).

Virtual (Google Drive, SurveyMonkey, Dropbox).

Do you move records from virtual to local storage? If yes, document it.

2. Identify copies: these should never be kept longer than the original.

Format (paper, electronic, virtual).

Storage location (shared drive, CD, work computer).

Multiple units using the same records?

http://www.flickr.com/photos/emsl/

High Surf or Balmy Breezes?

Step 2: Identify reporting needs

Identify and document:

1. The regulatory/accreditation institutions that request unit records.

2. If any other institutional units are responsible for reporting unit records (administrative, financial or human resources).

3. When you are required to report data to the institution (schedule).

4. What method of delivery (paper or electronic).

5. How long you are required to keep those records for reporting purposes per institution.

6. How long you refer to those records within the office (active use period).

Feng Shui

Step 3: Institutional Records Management and Archives Department

We are responsible for collecting records for the Records Management and Archives Department (RMAA). The institutional archivist is the officer responsible to the State of Arizona.

1. RMAA will acquire permission from the state to digitize paper documents.

1. RMAA will provide us with folders, boxes and other supplies.

2. RMAA will pick-up all the records for free.

Beam Me Up, ScottyStep 4: Digitization

Transforming paper records to electronic records is expensive.

Information Technology staff need to plan where to store and secure electronic data, especially confidential records, and to plan for the server space needed.

Equipment or software may need to be purchased.

Scanning

The state requires minimum standards for scanning.

Information and training will be supplied at a later date.

Herding Ducks

Step 5: Unit Coordinator

1. Identify a records coordinator for each unit.

2. Perform a record series inventory. This is a general overview of records managed in the unit.

Questions?

Forward!

Unit inventories will inform:

The volume of records to be managed.

The types of records.

Staff needs and experience with records management.

The need for digitization.

The potential purchase of software or equipment.

Time and staff to develop an efficient information work flow per unit.