Using Records Management Services June 9, Wess Jolley, CRM, Records Manager 1

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1 Pre-Session Handouts Business Card Slides Records Management at DC (Overview) Records Transfer Procedure Boxes and Lids Box Transfer Form Sending Shredding Charge Out How Long Should We Keep Our Records? Retention Schedule RECORDS MANAGEMENT Part II: Using Records Management Services Wess Jolley, CRM Records Manager Dartmouth College History 1985: Yikes! We have way too much stuff!!! Consultant recommends hiring a Records Manager Ray Cunningham & Wess Jolley Program Established: : 1988: Housecleaning, Breaking and Entering Records Management s Charge: Protect the Records of the Institution COORDINATE the record retention and disposition of the College MANAGE inactive, occasionally accessed material PROVIDE consulting services to College departments PLAN for future record keeping needs Records Management Today 225+ Departments 1,000+ different record series 22,000+ boxes Approximately 1 million files 12,000 record requests per year 2,000 boxes disposed each year 3,500 new boxes received Records Management Staff Records Management Staff Wess Jolley, Records Manager Diane Preston, Records Center Supervisor Ginger Harrington, Records Deborah Siwulec, Records Diane Preston, Records Center Supervisor Ginger Harrington, Records Wess Jolley, CRM, Records Manager 1

2 Deborah Siwulec,, Records Four Reasons to Care About Records Management 1. We are all Information Professionals You are the keeper of the Corporate Memory 2. You want the ability to do your job better You want to improve your organization, efficiency and accuracy You want to make more informed decisions You want to gain control! 3. You recognize that you have a responsibility to protect the institution 4. You also have a desire to limit your personal liability! Storage Locker 1 Storage Locker 2 Introductions Your Name Department Job Record Responsibilities The Records Management Training Cycle Part 1: Managing Records in an Office Environment (Today!) Part 2: Using Records Management Services (Today!) Part 3: Vital Records Identification Protection, and Disaster Recovery (June 16) Part 4: Introduction to Digital Records (June 23) Part 5: Digital Document Management (June 30) Session Outline for Today Part 1: How to Use Records Management Services Consulting Record Storage Record Retrieval Break! Retention and Disposition Part 2: Using RMS On-Line (There will be some duplication from previous sessions, but not a lot ) Records Management Manual SESSION PART I: How to Use Records Management Services The Record Transfer Process 1. Records Records produced produced in in office office In Office 2. In Disposition Office Destruction 3. RECORDS RECORDS MANAGEMENT MANAGEMENT 4. Recycle Recycle 5. Shred Shred 6. Purge or 7. Image Micro- Interfile Film 8. Archives Archives 9. Return Return Wess Jolley, CRM, Records Manager 2

3 Records Management: Four Services 1. Consulting on Record Systems 2. Record Storage 3. Record Retrieval 4. Retention and Disposition Service 1: Consulting Individualized Process File Management Techniques, Guidelines, Systems New Technologies Records Survey Vital Records Electronic Records Service 2: Storage of Your Material What to Send What NOT to Send When Do I Send Material The Box Cataloging WHAT TO SEND RECORDS Any recorded information generated in the course of conducting business, and which must be maintained to meet the fiscal, legal, historical or administrative needs of the organization. Records should be declared and classified as part of a formal process or workflow. Records exist regardless of their format. What NOT to Send: NON RECORD MATERIAL Office Supplies Blank Forms Periodicals, Books and Other Published Materials Multiple Identical Copies of Any Document Personal (Non-College) Files Working Papers and Drafts Uncompiled Research Data Any other information that is NOT a record of the transaction of Dartmouth College Business When do I send Material This is a Judgment Call on your part When the Convenience Value of Having the Material On-Hand is Outweighed by the Cost (Space, Access, Etc.) of Maintenance. The Records Management Box Ordering and Receiving Cost: $2.00 / box Putting it Together Packing Guidelines...And have it picked up! Dartmouth College The Box Transfer Form Sending Shredding Confidential Material Only Boxes Only (Non-Records Center Boxes) Label Boxes and Seal with Tape Blitz Work Control Office (Denise Martin) Pickup Occurs First Wed. of Every EVEN NUMBERED Month No Charge! Wess Jolley, CRM, Records Manager 3

4 Records Management Cataloging Records Management Cataloging Accessioning DPTN SERN ACCN BOX FILE Accounts Payable AP Batches Journal Entries Cash Receipts FY05 FY06 FY07 01/10/06 01/14/06 01/15/06 01/24/06 01/25/96 02/03/06 JMX JMX JMX DPTN SERN 1548: Accounts Payable 1056: AP Batches 2883: Journal Entries 1175: Cash Receipts Adding the new material to the existing catalog Determination of the correct Department and Series Assignment of Accession and Box Numbers File Title Itemization RMS On-Line The Records Center REQ MARY 01/15/07 FRANK 06/19/08 LISA 09/22/08 The Old Records Center: YOUR RECORDS ARE NOT HERE! Presenting: THE NEW RECORDS CENTER! The Records Center Opened July, 2006 Wess Jolley, CRM, Records Manager 4

5 Take a Break! Be back in ten minutes... Service 3: Record Retrieval Deadlines and Delivery Times 11:00 am: Same day delivery 4:00 pm: Next morning delivery 6 Working Hour delivery guarantee Making a Request On-Line (Preferred), Blitz or Phone When you don t know what you are looking for Charge Out Procedures (see example) Charging Out Boxes Information Requests Returning Records: Three Cases Reference Only, No New Material Added Significant New Material Added to the File File to be Retained Permanently Returning Records (cont.) How to Return a Refile Refiling Procedures New Records to Existing Sets IMPORTANT: NO HINMAN MAIL Service 4: Retention and Disposition NO RECORD IS FOREVER!...At Least Not in Records Management Retention Analysis The examination of the reasonable administrative, legal, fiscal, and historical value of a given record, as it changes over time Finding the point where the balance tips and a record is no longer worth maintaining Records Management can help you make this analysis! Wess Jolley, CRM, Records Manager 5

6 Retention and Disposition: Two Options Method 1: Record HALF Life Method 2: Relative Values Comparison Use Records Management Preferred Provides maximum legal protection Allows the institution to stand behind your decisions Perform Retention and Disposition Internally Less critical systems and documents Provides less institutional protection Talk to RM before attempting in-house disposition! Historic Administrative Legal Fiscal VALUE Administrative Value: Access Frequency Usage Patterns Administrative Use Fiscal Value Legal Protection Legal Liability Storage Costs Historical Value TIME ZONE OF DISPOSITION Method 3: The Robek Model (see handout) Avoid the Every Conceivable Contingency Syndrome Retain where there is a reasonable probability of a significant need Retain if the consequences of absence are substantial Be conservative and minimize risk Remember that the presence or absence of information can be either helpful or harmful Therefore, dispose material immediately after the expiration of a document s value. Use consensus in setting retention schedules The Records Custodian One Person Per Department Knows the Records Authorized to Make Retention and Disposition Decisions A consensus document An evolving document The Retention Schedule Retention Schedule Approval The Disposition Process The Record Transfer Process In Your Office: Creation of a New Series: Section 4 of Box Transfer Form Disposable Accessions Identified At Records Management Blitz Notification with Return Receipt Sent 1. Records Records produced produced in in office office 2. In In Office Office Destruction Verification with Existing Cataloging At Records Management: Series Number Assigned Yearly Review of New Series: Retention Periods and Disposition Methods Negotiation: Records Manager and Custodian Records Retention Committee At the Office of the Records Custodian Message Read, Return Receipt Generated Five Business Day Waiting Period 3. RECORDS RECORDS MANAGEMENT MANAGEMENT 6. or 7. Micro- 4. Recycle Recycle 5. Shred Purge Image Shred Interfile Film 8. Archives Archives Denied, Modified APPROVED! Hold Requested DISPOSAL 9. Return Return Disposition Methods Wess Jolley, CRM, Records Manager 6

7 Other Management Issues Security and Confidentiality Tracking Activity The Future: Digital Record Keeping! PDF Forms ~library/recmgmt/forms.html One Final Plea... Be Willing to Let Records Go SESSION PART 2: RMS On-Line Demonstration RMS On-Line: Home Screen RMS On-Line: Search Results RMS On-Line: Submit a Request What We Have Learned... How to Use Records Management Services Consulting Records Storage Records Retrieval Retention and Disposition Using RMS On-Line Questions and Discussion Wess Jolley, CRM, Records Manager 7