Fundamentals. of Records & Information. Management

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1 Fundamentals of Records & Information Management

2 Records & Information Management Two Major Objectives: To manage the creation, growth, duplication, maintenance, retention and disposition of records. (Records & Information Management) To ensure the University is in compliance with all regulations governing the disclosure of and access to information maintained by the University (Information Practices)

3 Why Records Management? The Most Important Benefit of Good Recordkeeping It helps us find needed information quickly, at the least possible cost, and get it into the right hands in a timely way. Management benefits: Allows us to maximize campus storage space and computing resources Reduces operating costs Ensures protection of University s vital records Preserves University history

4 Records Management Risks Lack of control over records Records being kept far too long = high cost and unnecessary legal exposure Unprotected vital records Failure to maintain archived records due to lack of records management technology In 2007, it was estimated that: 30% of paperwork was useless and could be eliminated 37% of photocopies made are unnecessary The cost of creating a business letter can range from $12 to $25 Between 1% and 5% of all records in a typical office are misfiled that is lost for good A typical office worker can waste up to 2 hours/day looking for misplaced paperwork

5 Recordkeeping: What s the Value? Every office is faced with storage space issues and decisions about which records to keep and which to discard. Records may have one or more of the following values: Operational Administrative Legal Historical Records support business processes. They must be created, maintained, used, and disposed of as part of UC s normal business routine.

6 Records Management Objectives Records Management is a staff function, not a service Information should be treated as a resource A Records Management program should be continuous Records Management should not be an administrative burden Departmental staff must be trained continually

7 Definitions Records All books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristic This includes: Individual personnel folders Working papers/files that contain unique information Accounts payable/ receivable Research and development Non-Records Extra or convenience copies of correspondence Reference files of user manuals, catalogs, and other publications Library or museum materials Private or personal papers of researchers Drafts or deliberative materials Routing slips, transmittal sheets, and envelopes Duplicate copies of documents maintained in official files

8 Definitions Vital Records Anything that allows a business to regain operations after an emergency Payroll records Architectural drawings Delegations of Authority Active Records Records we need to use frequently to support our work Inactive Records Emergency/contingency plans Insurance Records Contracts Those records that are no longer needed to support daily activities Cut-off (or breaks) should occur at the moment when records become inactive. Breaks can occur at the end of a calendar or fiscal year, or at the conclusion of an event, such as a contract or research project closing.

9 Recordkeeping: Then and Now Then: In the old days, when it came to records, a secretary did it all: typing, transcription, filing, retrieval, and disposal. Now: The secretary is us. We create, file, retrieve, and dispose of our own records on our own desktops. This goes for all our faculty, staff, and student workers, too. Then: The main concern was regulating storage of paper. Now: The main concerns are proliferation of electronic data; risk to the organization and to individuals; decentralization of records management decisionmaking via distributed access; and accountability at lower levels.

10 Records Management: Responsibilities Compliance with applicable laws, UC policies, collective bargaining agreements, and terms & conditions of gifts, contracts and grants Maintenance of a sound financial condition and good business practices for business units Establishment of an effective system of internal controls Adherence to ethical business standards

11 Records Management: Responsibilities File records using a standardized departmental system, so that all employees can use them efficiently Disseminate sound records management practices information to staff and as possible, faculty Periodically review recordkeeping requirements to make sure they are still necessary and being managed/enforced. Annually remind employees of their responsibilities, especially the penalties and consequences of unlawfully disclosing, destroying, or stealing records. Records management needs to be a priority for everyone.

12 UC Guidelines and Policies UC Records Retention & Disposition Schedules: Serves as the policy authority for the disposition of records Provides guidance on records cut-offs, retention periods, and disposition; either by destruction, transfer to off-site storage, or deposit in an archive

13 UC Business & Finance Bulletins: Records Management & Privacy (RMP) Series Twelve Business and Finance Bulletins covering major aspects of records and information management Located at: RMP BFB Campus Records & Information Management Contact Information: Jessica Reeves (209) Katie Unruh (209) Sonia Johnston (209)

14 Public Records Request The California Public Records Act declares that access to information concerning the conduct of the people's business is a fundamental and necessary right of every person in the state, that public records are open to inspection at all times during regular office hours, and are subject to inspection and copying by every person except as noted in the Act. Certain confidentiality requirements governed by policy must be followed in order to avoid putting you and the University at risk. Public records requests should be sent to Janet E. Young, Associate Chancellor and Chief of Staff or

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