Certificate of Destruction Hard

							Records Management Overview
                 Why?
   It’s the Law
   It’s University Policy
   Fiscal and Legal Compliance
   Reduced Costs and Increased Efficiency
   Preserve the Institutional Memory
    What’s in it for me?

   More organized and efficient
   Easily find and retrieve records
   Less work for supervisors
    What is Records Management?


   Systematic control of recorded information,
    regardless of format, from the time a record
    is created until its ultimate disposition.
     Terms and Forms

   Retention Schedule
   Record Series
   Transmittal Form
   Records Destruction Certificate
        Retention Schedule
   Different types of public records.
   How long records must be kept.
   When or if records may be destroyed.
                             Record Series

   …Basic unit for organizing and controlling
    files.

    It is a group of files or documents kept together (either physically or
    intellectually) because they relate to a particular subject or function, result
    from the same activity, document a specific type of transaction, take a
    particular physical form, or have some other relationship arising out of their
    creation, receipt, maintenance, or use (36 CFR 1220.14).

National Archives
http://www.archives.gov/records-mgmt/faqs/federal.html#series
    Schedules used by NKU
   State University Model Records Retention
    Schedule

   General Schedule for Electronic and
    Related Records
    State University Model
 Identifies records by series, title,
  function and content.
 Gives retention time and disposition
  instructions.
 Provides legal authority to destroy
  records.
                 Process
   Determine the type of record – Content
    matters not the format

   Locate the series on the records schedule

   Apply the retention period to your records
A–Z Index
                 KDLA Website




http://www.kdla.ky.gov/recmanagement/schedules/kyuniversitymodel.pdf
University Records Formats
         Paper Files
      Electronic Records
         Video Tapes
         Audio Tapes
     Printed Publications
         Web Pages
         Photographs
     CD, DVD, Flash drive
    Records
Recommendations



 GOOD vs. BAD
                   Bad Records
   Documents with:
       No title
       No author
       No date, draft or version status

   Multiple copies of a report, but missing the signed,
    authorized copy.

   Emails with subject lines that bear no relation to the
    current content (fw: fw: fw)
    Good Records

   Titled
   Dated
   Labeled
           Good                              Bad
SACs committee report, 2009         Important, need to keep

History Dept,                       Dept mail
   Official Correspondence, 2008-
   09
   (U0100, permanent)
                Electronic Records

   Directory and Folder Structure
       Office wide adoption best
   Naming
       Establish and follow standard naming convention
   Security
       Control access… shared drives
   Back up
       When, what format and where stored
Filing Example for Electronic Records
                 Best Advice

   Start immediately, even if only small steps.
   Don’t create unnecessary records.
   Reduce duplicate copies.
   Create and use a file structure for all records,
    no matter what format.


                  The Result:
Records that are EASY to:

  Organize
  Retrieve

  Preserve

  Delete or Transfer
  When your office no longer
uses or needs a set of records…

                4 Possibilities

   Inactive Temporary Storage
   Permanently Stored by Original Office
   Transferred to University Archives
   Records Destruction
              Office Maintains

   Records not actively used …
      but not at end of retention time.

   Permanent Records
          Record Transfers

   Permanent Retention – those permanent
    records with historical significance are
    transferred to Special Collections and
    Archives
    Archives Collecting Guidelines

Colleges, Schools, Research Centers, Institutes & Departments

   Meeting minutes and agendas
   Official correspondence – especially from department heads
   Policies, guidelines, reports
   Organizational charts, staff lists
   Publications
   Photographs-names, dates, place/event
   Information on events, meetings, participants
   Recordings of events, lectures, presentations, publicity
   Any other records which document/describe your
    department, its history and function
Records Destruction


     Procedures
         Records Destruction
   Records past their retention period can be
    destroyed

   Destruction must be documented – complete
    the Records Destruction Certificate


                   Exception
            Records   with litigation holds
Records Destruction Certificate

   Legal proof of authorized destruction.

   Form is on the Records Management website
The Form
      The Form...continued




University Archivist’s
Signature Here           Your Signature Here
Email
              Email:
      What’s the Retention?

   Email is a format
   Records retention is based on content
   Evaluate the content of each email to
    determine retention period
                   Email
Most common types of email records

   Official Correspondence
   General Correspondence
   Informational and Reference Material
Non-business Related Email


     Spam
     Personal Messages
     Unsolicited email
                  Email
Delete messages that are not needed

   Spam and other non-business messages
   General Announcements-NKU All, Midweek
   Transitory messages
   Informational and Reference material
                Retention for email
                                                                       Private/personal
  E-mail              University     No      Delete or move                e-mail
 Received             business?             to another folder         (Not saved on
                                                                      NKU’s server)
                           Yes

                      Determine
                      Category



  Informational            General Record                    Official Record
  & Reference               (Temporary)                       (Permanent)
   (Transitory)                 Example:
                                                                   Example:
      Examples:          •General correspondence
                                                          •Official correspondence
 •Listserv messages        •Activity reports on
                                                       such as policies and procedures
  •Reminder memos           periodic activities

                          File and delete             Save electronic copy in
Delete when no             according to             permanent file on server; or
longer needed           retention schedule           Print and file hard copy;
                                                       Transfer to Archives
                      Retention for email
                                                                                  Private/personal
    E-mail                   University       No          Delete or move       No Destruction
                                                                                      e-mail
   Received                  business?                   to another folder       Certificateon
                                                                                 (Not saved
                                                                                  needed
                                                                                 NKU’s server)
                                  Yes

                             Determine
                             Category



     Informational                General Record
     Complete                                                             Official Record
                                                                          May need to
      & Reference                  Complete
                                   (Temporary)
     Destruction                                                           (Permanent)
      (Transitory)                     Example:
                                   Destruction                                Complete
                                                                                Example:
     Certificate*
        Examples:               •General correspondence
*Annually or Semi-annually          Certificate
                                  •Activity reports on
                                                                            Transfer to
                                                                       •Official correspondence
    •Listserv messages                                              such as policies and form
     •Reminder memos               periodic activities                    Archives procedures

                                 File and delete                   Save electronic copy in
 Delete when no                   according to                   permanent file on server; or
 longer needed                 retention schedule                 Print and file hard copy;
                                                                    Transfer to Archives
    Email Folders


Filing formats examples
              Mail Filed By Project/Category
              E




Email filed
 by project
or category
                Mail Filed By Record Series
                E




 Email filed
     by
record series
                 Mail Filed By Retention Time
                 E




  Email filed
      by
retention time
         Most Importantly


   Find a method that works for you
   Use it consistently
            Email: CAUTION


   Auto Archiving
   Replies to listserv/___ All’s
             Email Management Tips
Be Proactive – Email does not manage itself!

   Effective email management = effective time management.

   Is email the right tool?

   Set up and use rules and filters.

   Slow the Flow.

   Use specific and descriptive subject lines

   Restrict messages to one topic or subject.
               Remember to…
   Manage email on content, not space quotas.

   Use folders and sub-folders; sort & categorize by record
    type or series and retention.

   Keep only the last message in a chain; clear out sent
    messages once a reply is received.

   Schedule time to review, move and delete files and stick
    to it! Do not use your inbox for long- term storage.

   Empty your deleted files and junk mail folders.
                         And

   Email is a searchable record.

   Scary thought,
                     ……..E-Discovery.

   Keep email professional, limit personal.

    Would you want to see it on the evening news?
And finally….
            #1
  Records Management Hint

 AVOID BECOMING A FELON!

 Ignorance is not a valid excuse!!

Tampering with public records without the
  authority to do so is a Class D felony
              KRS 519.060 (1) (b)