THE HUSKY HARNESS
RECORDS MANAGEMENT AT THE UW
2014
Chose to Actively Manage Records
Records Management
o The application of systematic control to recorded
information
o A logical and practical approach to the creation,
maintenance, use and disposition of records, and
therefore to the information those records
contain.
What is Records Management?
COMPLIANCE
Preservation And Destruction of Public
Records
RCW 40.14
o Defines a record
o Establishes authority for records retention and
destruction
o Requires the Records Management program
at the UW
UW Compliance Responsibility
It is the general policy of the University to:
o Create only the records it needs.
o Retain records according to legally approved records retention schedules.
o Maintain active and inactive records in appropriate storage equipment
and locations.
o Discard records when no longer required.
o Preserve records of historical significance.
o Identify and protect vital records.
Records Management Responsibilities
o Records Retention Schedules = The legal authority on how long records
created and received by the University are retained.
o Files Management (paper and electronic records)
o Electronic records (email, scanning, databases, the Web, etc) =
Responsible for establishing standards relating to University business
requirements and needs which ensure the legal legitimacy of University
record-keeping systems.
o Training = Provide a wide range of services which are designed to help
ensure that the University is meeting its record-keeping responsibilities.
o Litigation and audit support = Manages and oversees University
compliance with state and federal laws and regulations relating to the
preservation and destruction of electronic and paper information.
o Inactive Storage
o
o
Retrieval and Refile Services
Disposition process
o Vital Records Identification, Protection, Recovery
Responsibilities of Offices and
Departments
o
Records Authorities
o The Records Authority has final approval for the disposition of
records and oversees the implementation of records retention
schedules
o
Records Coordinators
o
The Records Coordinator administers all day-to-day
transactions associated with the office's records-related
functions. This can include files organization and maintenance,
inactive records storage, and records destruction. The Records
Coordinator also acts as liaison with Records Management staff.
Why Care…What Is The Business Case?
o Reduce Costs--Save time, save space, save money
o Reduce Risk--Poor audit findings
o Minimize Legal Exposure
o Storage may be cheap, but litigation is expensive
o Continuity of Business Operations in Case of a Disaster
o Protect the Rights and Interests of Employees and Customers
o Eliminates the need to produce records which have reached
the end of their retention period–and—have been destroyed
Managing Records:
Records Retention Schedules
o A Records Retention Schedule identifies
and describes each type of record created
and received by an office and specifies
how long that record must be retained
before it can be destroyed
o All records—paper and electronic are
managed through Records Retention
Schedules
WHO DETERMINES THE RETENTION
PERIOD?
Retention periods are based on state, federal, private sponsor
requirements, and our administrative use of the records.
These requirements are identified by the UW Records
Management Office and approved by the State Records
Committee.
NOTE: Be aware that all records pertaining to ongoing or
pending audits, lawsuits (or even reasonably anticipated
lawsuits), or public disclosure proceedings must not be
destroyed, damaged or altered until the issue is resolved and
you are specifically advised that such records may be
destroyed.
Purpose of Retention Schedules
o Assure compliance with state and federal
requirements by clearly stating how long each record
must be retained
o Provide a guideline for weeding files and moving them
to inactive storage
o Identify records which can be purged from the files
and destroyed
o Identify Vital Records
o Identify Archival records
Legal Benefits of Systematic
Scheduling
o Regulations—Assures compliance with state and federal
regulations
o Risk—Reduce legal risk/Reduce risk from poor audit
reports
o Legal Fees—Avoids unnecessary legal fees incurred during
Discovery through attorney review of records that could
have been destroyed
o Court Fees—Avoids Court fines imposed when documents
cannot be retrieved in the time frame stipulated
 Legal Proceeding, Audit, or Public Records Request—
Eliminates the need to produce records which have
reached the end of their retention period
What Do You Mean This Is A Record?
RCW 40.14.010
Definition and classification of public records.
As used in this chapter, the term "public records" shall include any
paper, correspondence, completed form, bound record book,
photograph, film, sound recording, map drawing, machine-readable
material, compact disc meeting current industry ISO specifications, or
other document, regardless of physical form or characteristics, and
including such copies thereof, that have been made by or received by
any agency of the state of Washington in connection with the
transaction of public business.
I Have To Keep This For How Long?!!
If Everything is a Record
and
Management and Retention is based on Content not
Format…..
That Text Message is a Record?
o
o
o
o
CAD Designs
Databases
Text Message/Twitters
Information and data kept in a cloud
computing environment
o Web pages/Facebook pages
o “Unofficial” records
o Anything about university business
that you recorded in some way
UW General Records Retention
Schedule
http://f2.washington.edu/fm/recmgt/retentionschedules/gs/general
• UW-GS 1 Committees, Councils, Associations And Boards
• UW-GS 2 Environmental Health & Safety/Facilities Services Records
• UW-GS 3 Curriculum Records
• UW-GS 4 Materials That May Be Disposed of Without A Specific Retention
Period
• UW-GS 5 Electronic Mail
• UW-GS 6 Financial Records (For non-grant/contract funded budgets)
• UW-GS 7 Research and Grant/Contract Records
• UW-GS 8 Personnel and Payroll Records
• UW-GS 9 Student Records
• UW-GS 10 General Office Administration Records
• UW-GS11 Publication Records
Departmental Retention Schedules
Created for Departments that have unique records
A searchable database of offices that have
departmental retention schedules is available at:
http://f2.washington.edu/fm/recmgt/retentionschedules/depar
tmental
UWGS 04: Dark Data
http://f2.washington.edu/fm/recmgt/retentionsche
dules/gs/general/uwgs4
o No administrative, legal, fiscal or archival requirements
for their retention
o May be disposed of as soon as they have served their
reference purpose
o Includes orphan documents
and drafts
o Includes list of electronic
records that do not have to be printed or saved
http://f2.washington.edu/fm/recmgt/Database_Printouts
What About Email?
Content matters, not format
Same retention applies
Email
o Each employee is individually responsible for handling and maintaining
records (including University email and other electronic records) in
accordance with University policy and requirements.
o Email that has a specific retention period should be retained electronically.
o When messages are retained electronically, employees are responsible for
making sure that their email remains accessible and readable for the full
retention period.
Email You Can Delete
Most received and sent emails have a very transitory value.
They have no administrative, legal, fiscal, or archival retention requirements and
can therefore be deleted as soon as they have fulfilled their reference
purpose.
o Preliminary drafts
o Routine replies/requests for information
o Emails sent as reference or for informational
distribution
o Emails used to set-up or accept meetings
o Announcements
o Acknowledgements
o Other Dark Data
Email You Must Retain
Other email messages that contain evidence of official University actions,
decisions, approvals, or transactions must be retained according to an
approved retention schedule.
o Policy and procedure directives
o Substantive decisions/instructions regarding matters of University
business
o Legal or audit issues
o Approvals for purchase/hire or other actions to be taken
o Final reports or recommendations
o Receipts for purchases made electronically with a ProCard or CTA
Quick Tips To Manage Email
o Create electronic folders mirroring physical
folders
o Set a routine time to delete emails
o Empty deleted folder: “take the trash to the
curb”
o Keep it simple!
Managing Electronic Records
Management of records depends on the content not the format
o No difference between paper and electronic records
o Both should be retrievable in 30 seconds
o Find it, open it and read it for the full retention period
o Same retention periods apply to either format
o Ideally, the electronic filing system should duplicate your paper system
o If part of the file is in paper and part electronic:
o either paper or the electronic record can be your official copy
o but you must be consistent with your choice of format for that
particular type of record
Scanning Records
UW Scanning Requirements
http://f2.washington.edu/f
m/recmgt/scanning
o Scanning does not automatically
authorize the destruction of the
paper
o Following the UW Scanning
Requirements
o The scanned record becomes
the official copy
o The paper can be destroyed
An Extra Concern
o “E Discovery”
o Public Records Requests
o Audit
o Court decisions and rules place
substantial obligations on public
and private organizations to:
o Retrieve, preserve, and produce all
electronic materials that could be
relevant to pending or anticipated
lawsuit or public records request or
litigation
o Exposure to possible liability and
sanctions if obligations are not
met
The High Cost of Fines under the
Public Records Act
o 1994 PAWS vs UW the majority of records were
protected but the Washington Supreme Court found that a grant
proposal was not (the UW lost this one)
o Department of Corrections was fined
$750,000.00 in 2008 for not releasing records in an electronic format
o 2013 the UW was fined for almost 1million dollars for not
releasing records in a timely manner (we are appealing one of the
fines)
An Average of $20 Million
Litigation
o A corporation is sued for fraud. It fails to fully search and preserve records
appropriately.
o
Plaintiff awarded $1.6 billion.
o Coleman Holdings v. Morgan Stanley
o Employee sues corporation. Defendant deletes some emails and loses
back-up tapes. Judge tells jury to assume the missing emails would have
hurt the corporation. Plaintiff wins $29.3 million.
Zubulake v. US Warburg
o Microsoft spends an average of $20 million per litigation
What Are Vital Records?
Vital Records are recorded information,
regardless of medium or format, that
MUST be protected in case of disaster
Tasks Of The Vital Records Team
o Identification of Vital Records
o Identification of Potential Risks
o Recommendations on Appropriate Methods of
Protection
o Responsibility for Coordinating the Recovery of
Damaged Records
Do You Know Where Your Records Are?
o Paper Records
o Electronic Records
QUESTIONS?
http://f2.washington.edu/fm/recmgt/
Barbara Benson
bbenson@uw.edu
543-7950
Leela Yellesetty
Leela23@uw.edu
543-0573
Cara Ball
ballc2@uw.edu
543-6512
John Bolcer, UW Archivist
jdbolcer@uw.edu
543-1929