INTRODUCTION TO

RECORDS MANAGEMENT

Carleton University

January 30, 2020

CORPORATE RECORDS AND ARCHIVES

• Manages corporate records of the university, pertaining to departments, faculties, and business units.

• Assures that permanent records are transferred to the Corporate Archives when they come to the end of their lifecycle.

• Advises on proper retention and disposal of non-permanent official records.

• Advises on best records management practices, including file classification, shared drive organization, and email practices.

GOALS OF RECORDS MANAGEMENT

• Efficient retrieval of accurate information, across platforms and personnel changes.• Potential reduction of costs.• Reduction of duplication and redundancies.• Improved team work; efficient sharing of information across units and departments.• Protecting authenticity and fullness of records; identification of records of enduring

value.• Creation of file naming conventions that are understandable, predictable, and

consistent.• Ensure deletion of transient documents or documents legally requiring destruction.• Distinguishing drafts and documents from one another easily.

INTRODUCTION TO RECORDS MANAGEMENT WORKSHOP

1. Introduction

2. Defining Records

3. Official Records vs. Transient Records

4. Record Life Cycle

5. Record Roles & Responsibilities• Ownership, Legislation, and Policy

6. Carleton University Retention Schedule (CURS)

7. Transferring and Disposing of Records

DEFINING RECORDS

OFFICIAL VS. TRANSIENT

RECORDS

OFFICIAL RECORDS

• Materials (electronic or paper) that document formal agreements, confirmation of actions or decisions.• Minutes, reports, agendas• Correspondence (emails and formal letters)

• Drafts or copies that are annotated with important decisions or information that is not contained elsewhere.

• Correspondence, documents, and other materials from external sources that contain significant information related to the operations and administration of the university.

• Materials that convey opinions, decisions, or positions of university staff, faculty, departments, committees, and other governing bodies.• Minutes, reports, agendas• Correspondence (emails and formal letters)

• Materials that may record milestones of the university’s history, the work of its staff, faculty, and students.

TRANSIENT RECORDS

• Preliminary drafts that do not record significant changes/decisions.

• FYI or “CC” copies for which no action by your office is required (reference copies).

• Minutes and agendas originating from other departments or committees for which your department is not responsible.

• Newsletters or publications external to your department or the university.

• Personal or collegial correspondence.

• Business transaction messages to confirm meetings, etc.

• Notices of meetings, holidays, or special events.

• Memos to all staff or university for which you are not the creator.

RECORD

LIFE CYCLE

RECORD LIFE CYCLE

RECORD LIFE CYCLE

Retention: period of time that a university record must be kept because of legal, policy, or procedural reasons. The Carleton University Retention Schedule provides instructions for retention periods. All university records have some retention period, even if their eventual final disposition is destruction.

Final Disposition: Disposition does not mean destruction. Disposition is the final decision made about a record once it has finished its active and semi-active life cycle. Final disposition could see a record transferred to the Corporate Archives for permanent preservation, secure destruction, or further archival review prior to decision (AR).

RECORD LIFE CYCLE

Final minutes approved. Transient records (notes, drafts deleted if no longer needed). Distribute approved minutes and accompanying documents as required.

Minutes of meeting recorded, filed according to body and planned retention (e.g. 2020-01-30_ACUR7)

Retention period on records ends. Check records against anticipated use, any governing policies or legislation, and CURS to decide on route to final disposition.

AR – Archival Review D – DestructionP - Permanent (Transfer)

RM PRO TIPS – RETENTION & LIFE CYCLE

• Classification plan in your shared drive (or other platform) should be based on the main functions of your office, followed by activities, and then the record type.

• Within the classification plan, organize folders according to any known retention periods.

• A record is a record is a record, regardless of format.

• Your classification plan should also extend to your Outlook accounts. Outlook is NOT an archive.

• Create a complete file plan, including file naming guidelines for both electronic and paper files. File a copy with Corporate Archives.

• Your electronic records classification and paper files should mirror each other as much as possible.

RECORD ROLES &

RESPONSIBILITIES

RECORD ROLES & RESPONSIBILITIES

RECORD ROLES & RESPONSIBILITIES

RECORD ROLES & RESPONSIBILITIES

RECORD ROLES & RESPONSIBILITIES

www.carleton.ca/secretariat/policies

RECORD ROLES & RESPONSIBILITIES

University Units• Adheres to and familiarizes with FIPPA and the

University Privacy Office.• Manages records in a manner consistent with the

Corporate Records and Archives Policy.• Takes steps to preserve those records that may be

historical or of enduring value.

University Secretary• Ultimate responsibility for retention and disposition. • Final decision on destruction or removal of any

university record.• Ensures the university fulfills legal obligations.

University Units• Overall management of records in their unit.• Seek advice from the Corporate Archivist regarding

application of retention schedules and disposition of records.

• Provides reasonable access to the unit’s current and non-current records to the Corporate Archivist.

Corporate Archivist • Appraises, acquires, preserves, and makes accessible

records of enduring value.• Facilitates efficient management of corporate records.• Advises units on records management and

classification.

RM PRO TIPS – RECORD RESPONSIBILITIES

• Assign a lead to oversee records management.

• Include the Corporate Archives in orientation for new employees.

• Ensure your department understands all records roles and responsibilities.

• Schedule regular Record Management Clean-Up Days.

CARLETON UNIVERSITY RETENTION SCHEDULE

CURS

RECORD ROLES & RESPONSIBILITIES

https://carleton.ca/records/retention-schedule

RECORD ROLES & RESPONSIBILITIES

https://carleton.ca/records/retention-schedule

Function area: Relates to administrative functions, NOT necessarily just your office.

Description: Details of the types of records and how they relate to functions and requirements of the university.

Office of Primary Responsibility: Office responsible for retention and final disposition.

Active: Time a record is considered still in use by your office.Trigger: Event/Time that transitions the record to inactive.Inactive: Time a record is considered still in your office’s control, but inactive.Final Disposition: Recommendation for permanency, destruction, or archival review. Final disposition is represented in CURS as P (Permanent; transfer to Archives); D (Destruction; file destruction certificate); AR (contact Corporate Archives for an archival review of material).

Retention Rationale: Will list any reasoning behind use or Filing Notes: Greater details on aspects of file classification, links to other departments, or clarification on retention and disposal.

RM PRO TIPS – RETENTION & LIFE CYCLE

• Document a file classification plan and attach relevant CURS schedule sections to specific record(s).

• Request a Corporate Archives review of departmental records as related to CURS.

• Communicate retention problems or questions to the Corporate Archives.

• Set up a off-site storage filing plan with the Corporate Archives so that we can assist in identifying retention periods.

• Set aside regular bi-annual retention review of your records, including materials sent to any off-site storage.

TRANSFERRING & FINAL DISPOSAL OF

RECORDS

FINAL DISPOSITION*OFFICIAL RECORDS

https://carleton.ca/records/retention-schedule

P (Permanent)

D (Destroy):

AR (Archival Review):

Not sure?

• Identify appropriate Retention Schedule rule.• Contact the Corporate Archives. • Complete a file listing and transfer form. • Transfer to Corporate Archives.https://carleton.ca/records/records-management-services/transferring-records-to-the-archives/

• Identify appropriate Retention Schedule rule.• Contact the Corporate Archives.• Complete a destruction form. • Shred according to approved destruction method.https://carleton.ca/records/records-management-services/destruction-of-records/

• Identify appropriate Retention Schedule rule.• Contact the Corporate Archives. • Complete a file listing and transfer form. • Transfer to Corporate Archives.https://carleton.ca/records/records-management-services/archival-review/

• Call us! We’re happy to help!