UK Records Management/UK Internal Audit Presentation
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UK Records Management/UK Internal Audit Presentation Handling records and managing their life-cycles UK Business Officers Meeting May 22, 2013
Transcript of UK Records Management/UK Internal Audit Presentation
UK Records Management/UK Internal Audit Presentation
Handling records and managing their life-cycles
UK Business Officers Meeting
May 22, 2013
What happens when you don’t manage your records?
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Agenda Introduction Records Management Requirements Records Management Trends “Record” Definition Steps for Effective Records Management
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Introduction--Why is records management important?
State law and UK policy require it Managing your records improves
efficiency To preserve the history of UK Ensures accountability to the state
and general public
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Who owns records?
All university records are the property of UK All UK employees are responsible for the records they
create and maintain If you create or use a record, you must take responsibility
for that record, including managing it through its life cycle
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Records Management Requirements
Kentucky Statues Public Records Law (KRS 171.410-740) Open Records Act (KRS 61.870-884)
University Regulations UK BPM E-1-3.IV.E.7 Fiscal Responsibilities of Administrators—
Departmental unit administrators, Business Officers shall: Maintain on file or submit to the appropriate University administrative office original supporting documentation for each fiscal transaction in accordance with minimum documentation levels and time periods specified by the records retention schedule.
University of Kentucky | Office of Legal Counsel Open Records
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Records Management Trends
Inadequate holding periods Keeping documents for 1 year when requirement is 3
years Not keeping documents at all
Retaining documents too long “We never throw anything away”
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Records Management Trends (cont’d)
Lack of awareness for systematic records management
Haphazard treatment of records Not sure what to do with records Unaware of Records Destruction Certificate
UKIA note: Once notified of audit, UK unit shall not destroy any records until the audit has been completed and retention periods met (Record Series U0239)
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What is a record?
Any document that you create or use is a record
Document can be hard copy or electronic
Examples include: reports, minutes, timesheets, procard receipts, correspondence, and research data
Once you create or use a record, it is your responsibility to manage its life-cycle.
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What is an electronic record?
KRS 369.102 states: “a record created, generated, sent communicated, received, or stored by electronic means.”
Computer Record! Uniform Electronic Transaction Act
validates the electronic record use.
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Electronic records
Electronic records are the same record as a hard copy record only in a different format.
Documents that are created, stored, and used on your computer are records.
Examples of electronic records are: email, web pages, databases, spreadsheets, and reports.
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Types of Electronic Records
Born Digital – have always been created electronically: email, websites
Records previously produced in paper now produced electronically: forms
Paper records that are being reformatted into an electronic form: imaging
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Four Steps to effective Records Management
Remember the four steps for effective records management:
1. Create 2. Use 3. Review 4. Retain,
Archive, or Destroy
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Records Retention Policy
Consult the State University Records Retention Schedule
State University Records Retention Schedule
UK Legal guide supporting records management It lists the record series created and maintained by the
University and denotes their state retention period
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Determining Record Retention Period
How to use the State University Records Retention Schedule: Determine record’s name, function (or type) and if it is
an original record or copy. Examples of types of records include general, fiscal, student/course, personnel/payroll, etc.
Locate the record on the Schedule Interpret the Schedule entry to ascertain proper
retention period
Ask the UK Records Manager for guidance [email protected]
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Destroying records
Once the retention period has been fulfilled, non-permanent records should be destroyed.
Contact the Records Manager before the annual review period (ARP) begins.
A Records Certificate must be completed and is available electronically through the Records Program website Guidelines for Managing Records.
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Q & A
Any questions?
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