Records Coordinator Training

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• Records Coordinator Training
• June 2008

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General Information

• Training is broken into 5 sections
• Between each section there are checkpoint
  questions
• Everyone should have
• A copy of the Records Retention Schedule
• Records Coordinator Training Checkpoints
• Records Management Manual
• Participate Participate Participate!
• Dont hesitate to interrupt and ask questions

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Session Outline

• Roles and Responsibilities
• Records Management Basics
• The Records Retention Schedule
• Implementing the Records Retention Schedule
• The Records Management Intranet Site

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Roles and Responsibilities
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Roles and Responsibilities

• Records Coordinators Key to the success of the
  programs implementation at DePaul
• Complete records management training
• Implement Records Management within your
  department
• Promote the program
• Assist in training
• Act as a liaison to the Director of Records
  Management
• Notify the Director of Records Management if any
  changes are needed to the Records Management
  Policy
• Support legal holds as necessary

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Roles and Responsibilities

• Director of Records Management
• Manage and implement records management program
• Issue and Implement records management procedures
• Educate and train employees on records management
  policies and procedures
• Work with University Archivist to identify
  records of continuing value

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Roles and Responsibilities

• Records Management Committee
• Approve amendments to the Records Management
  Policy
• Ensure the Records Management Program is properly
  maintained and updated
• Provide guidance to the Records Management Office

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Roles and Responsibilities

• Office of the General Counsel
• Authorize suspension of the routine destruction
  of records
• Authorize the release of legal holds
• Provide advice on applicable laws and regulations

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Roles and Responsibilities

• Office of Institutional Compliance
• Promote awareness
• Monitor quality (QARS)

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Checkpoint 1Roles and Responsibilities
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Checkpoint 1
Office of General Counsel
Office of Institutional Compliance
Records Management Committee
Director of Records Management
Records Coordinators
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Records Management Basics
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Records Management Basics
Why Records Management?

• Ive got it here somewhere.
• I think the file is in that pile.
• There is a desk here somewhere.
• Oh, just print another copy.
• I think I wrote it on a post-it note.
• A subpoena!?!?
• Dont turn on the fan!
• I think I need another filing cabinet.
• Are any of these really records?

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Records Management Basics
What is Records Management?
The field of management responsible for the
systematic control of the creation, maintenance,
use, and disposition of records
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Records Management Basics

• Records
• Official Records
• Unofficial Records

Records can be in any format electronic, e-mail,
paper, and other media
A record is any recorded information, regardless
of storage media or format, created, received, or
maintained as evidence and information in
conducting business
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Records Management Basics

• Records
• Official Records
• Unofficial Records

These records provide evidence of transactions,
decisions, procedures and operations
An official record is the complete (final) and
most authoritative record that is required to be
retained for business or legal reasons
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Records Management Basics

• Records
• Official Records
• Unofficial Records

These records have no legal or business
requirements to be retained
Unofficial records may be drafts, or duplicates
of official records
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Records Management Basics

• Records
• Official Records
• Unofficial Records

Legal discovery requests may compel the
production of any or all draft documents
In legal proceedings, copies can be used in
court in the same way as the original or official
record
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Records Management Basics

• Records are a by-product of doing business
• Records are evidence of
• What happened
• Why
• By whom
• Properly managed records are valuable assets of
  the University

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Records Management Basics

• A Records Management Program provides
• Volume reduction
• Cost control
• Improved access
• Litigation risk management
• Consistency

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Records Management Basics

• Records confidentiality and security
• Each employee is accountable for
• Protecting information confidentiality
• Appropriate information security
• All employees are responsible for compliance with
  the DePauls Information Security Policy as it
  applies to information and records.

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Records Management Basics

• Tools and Resources
• Records Management Manual
• Consistent, University-wide practices and
  standards
• Records Retention Schedule (RRS)
• Defined retention periods for University records
• Records Management Intranet Site
• Central system for Records Management information
• Director of Records Management
• Responsible for the records management program
  for the University

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Checkpoint 2Records Management Basics
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Checkpoint 2 (True or False)
False
True
False
False
False
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The Records Retention Schedule
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The Records Retention Schedule
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The Records Retention Schedule

• A Records Retention Schedule defines standard
  retention periods and disposition instructions
  for official records
• The purpose of the Records Retention Schedule is
  to ensure
• Appropriate retention and preservation
• Controlled disposition

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The Records Retention Schedule

• Record Group Number
• Responsible Department
• Records Group
• Retention Period
• Retention Event
• Retention Authority
• Action to be Taken

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The Records Retention Schedule

• Record Group Number
• A unique identifier assigned to each record
• Facilitates systematic management of retention

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The Records Retention Schedule

• Responsible Department
• Indicates the business area responsible for the
  record

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The Records Retention Schedule

• Records Group
• Describes the type of records found in a
  particular category

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The Records Retention Schedule

• Retention Period
• Length of time that a record must be maintained

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The Records Retention Schedule

• Retention Event
• The basis upon which the retention period is
  calculated

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The Records Retention Schedule

• Retention Authority
• The legal or regulatory authority for the
  retention period

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The Records Retention Schedule

• Action to be taken
• Indicates final disposition

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The Records Retention Schedule

• Student Registration Forms
• Student Records
• Student Records
• 2.14
• 1 Year
• Creation of Record
• AACRAO Guidelines
• Destroy

• Record Example 1
• Responsible Department
• Records Group
• Record Group Number
• Retention Period
• Retention Event
• Retention Authority
• Action to be Taken

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The Records Retention Schedule

• Staff Personnel Files
• Human Resources
• Personnel Records
• 3.2
• 3 Years
• Termination of Employment
• 42 U.S.C. 2000
• Destroy

• Record Example 2
• Responsible Department
• Records Group
• Record Group Number
• Retention Period
• Retention Event
• Retention Authority
• Action to be Taken

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The Records Retention Schedule

• General Ledgers
• Financial Accounting
• Financial Records
• 4.2
• Permanent
• None
• None
• Permanently Retain

• Record Example 3
• Responsible Department
• Records Group
• Record Group Number
• Retention Period
• Retention Event
• Retention Authority
• Action to be Taken

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The Records Retention Schedule

• State Grant Agreements
• Restricted Accounting
• Grant and Award Records
• 6.5
• 5 Years
• Close of Grant
• 30 ILCS 500/20-65
• Dispose

• Record Example 4
• Responsible Department
• Records Group
• Record Group Number
• Retention Period
• Retention Event
• Retention Authority
• Action to be Taken

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Checkpoint 3The Records Retention Schedule
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Checkpoint 3
Find this record in the retention schedule and
answer the following five checkpoint questions
Hint - First narrow your search by identifying
the correct responsible department or record
group. Then look for the individual record.
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Checkpoint 3 Question 1

• Question Instead of searching the entire
  schedule for the record, how can you narrow your
  search to find the record more quickly and
  efficiently?

Answer Begin by first identifying the
responsible department or records groups that are
likely to have this record. For example, it is
unlikely that the athletic department would be
responsible for an office supplies contract. It
is more likely that the record would be located
in finance or Legal.
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Checkpoint 3 Question 2

• Question What is the record group number that
  best fits this record?

Answer 9.2
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Checkpoint 3 Question 3

• Question Assuming this contract expires on
  01/01/2008, what is the retention event date for
  this record and when is it eligible for
  destruction?

Answer Retention Event Date
01/01/2008 Destruction Eligibility
Date 01/01/2018
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Checkpoint 3 Question 4

• Question When the official copy of the record is
  destroyed in accordance with the records
  retention schedule, how long should duplicate
  copies be maintained?

Answer Duplicates or convenience copies must
never be retained longer than the time period
stated in the records retention schedule. All
copies of a record (regardless of location or
format) should be destroyed when eligible.
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Checkpoint 3 Question 5

• Question How might your answers be different if
  this was the document in question?

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Checkpoint 3 Question 5

• Answer This document appears to be a draft and
  not an official record.

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Implementing the Records Retention Schedule
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Implementing the Records Retention Schedule

• Record Destruction
• Official records
• Once retention requirements have been satisfied
• Unless the records are subject to a legal hold
• Unofficial records
• When no longer needed for reference purposes
• Unofficial records should NEVER be kept longer
  than the official record

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Implementing the Records Retention Schedule

• Destruction Method
• Records subject to the Universitys Information
  Security Policy must be destroyed according to
  procedures outlined in the policy to ensure the
  security and privacy of the records
• Most other records may be disposed of by means of
  regularly established departmental practices for
  handling recyclable or waste paper

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Implementing the Records Retention Schedule

• Destruction Certification
• All destruction activity should be documented
• Records Destruction Certification can be found on
  the Records Management Intranet Site

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Implementing the Records Retention Schedule

• University Archives
• Records of continuing value
• Reviewed by The University Archivist

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Implementing the Records Retention Schedule

• Suspending the Retention Schedule
• Legal Hold
• Used to preserve information relating to ongoing
  legal matters
• Issued by Office of the General Council
• All regularly scheduled destruction of any
  records that fall within the scope of the Legal
  Hold must be suspended immediately
• Records that are under a Legal Hold cannot be
  destroyed even when permitted by DePaul
  Universitys Records Retention Schedule

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Implementing the Records Retention Schedule

• Suspending the Retention Schedule
• Legal Holds may include
• Email messages and attachments
• Regardless of storage location or format
• User created files
• Word processing documents
• Spreadsheets
• Images
• Hard copy files
• DePaul database systems

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Implementing the Records Retention Schedule

• Suspending the Retention Schedule
• A Legal Hold is issued by The Office of General
  Council
• The Director of Records Management coordinates
  implementation with
• Individuals possessing documents subject to the
  Legal Hold
• The appropriate Records Coordinators
• Information Services

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Implementing the Records Retention Schedule

• Releasing a Legal Hold
• The Director of Records Management coordinates
  implementation with
• Individuals possessing documents subject to the
  Legal Hold
• The appropriate Records Coordinators
• Information Services

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Checkpoint 4Implementing The Records Retention
Schedule
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Checkpoint 4 Question 1
What is an appropriate action to take with an
unofficial record?
A) Destroy when no longer useful B) Retain
permanently C) Image and retain as the official
record D) Transfer to the University Archives
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Checkpoint 4 Question 2
Legal Holds may be issued by whom?
A) The Director of Records Mgmt. B) Records
Coordinators C) Richard Gere D) The OGC
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Checkpoint 4 Question 3
Which of the following may be included as part
of a legal hold?
A) Email messages B) Word processing documents C)
Images D) Hardcopy records
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Checkpoint 4 Question 4
Routine destruction of records included on the
Records Retention Schedule should be what?
A) Documented B) Fun C) On file destruction
day D) Performed by Records Coordinators
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Checkpoint 4 Question 5
Which of the following is the most significant
factor in successfully implementing the DePaul
Records Management Program?
A) Unlimited financial resources B) Records
Coordinators C) Secrecy D) Elimination of all
paper records
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Records Management Intranet Site Demo