RM 201: Managing
Records for your Unit.
Training to become a Records Liaison.
Overview: The responsibilities of a Records Liaison
• Coordinating the unit's records and information management procedures
• Developing file organization structures and naming conventions
• Conducting inventories of records and information resources
• Overseeing disposal of the unit's records
• Working with the Archives and RIMS to protect historic materials
• Answering records related questions from others in the unit
In this course you will learn about.
• Records related requirements
• How to create and maintain a Unit Plan
• How to dispose of records.
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
1. You have records that may be historically significant. Should you:
a. Contact the RIMS Program
b. Store it in a secure area within your unit for as long as you have space
c. Contact the State Archives
d. Send it over to University Archives
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
1. You have records that may be historically significant. Should you:
a. Contact the RIMS Program
b. Store it in a secure area within your unit for as long as you have space
c. Contact the State Archives
d. Send it over to University Archives
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
2. You must obtain permission through a process managed by the RIMS group before
you dispose of records.
True or False
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
2. You must obtain permission through a process managed by the RIMS group before
you dispose of records.
True or False
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
3. Appropriate storage for records include:
a. A filing cabinet for clearly labeled paper records
b. A shared folder with restricted access for electronic records
c. A local folder on a password protected laptop
d. A labeled “bankers box”, shelved in a storage closet
e. All of the above
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
3. Appropriate storage for records include:
a. A filing cabinet for clearly labeled paper records
b. A shared folder with restricted access for electronic records
c. A local folder on a password protected laptop
d. A labeled “bankers box”, shelved in a storage closet
e. All of the above
Lesson 1: Requirements for Records Retention,
Archival Transfer, and Disposal.
3. Appropriate storage for records include:
a. A filing cabinet for clearly labeled paper records Does not contain sensitive information
b. A shared folder with restricted access for electronic records
c. A local folder on a password protected laptop
d. A labeled “bankers box”, shelved in a storage closet Does not contain sensitive information
e. All of the above
Retention Requirements.
Records that are produced or received by any agent or employee of the University during the
course of University business are considered University property. As University property,
records in your unit should be stored in a secure location within your unit.
Retention Requirements.
Records that are produced or received by any agent or employee of the University during the
course of University business are considered University property. As University property,
records in your unit should be stored in a secure location within your unit.
But what does that mean?
Retention Requirements.
Records that are produced or received by any agent or employee of the University during the
course of University business are considered University property. As University property,
records in your unit should be stored in a secure location within your unit.
But what does that mean?
Records are any material that are part of a contract or binding agreement, are accounts for
the receipt or expenditure of funds, contain facts concerning administrative decisions needed
for immediate day-to-day functions, indicate a formal approval or denial of some service,
action, or policy decision, was intentionally created or collected as evidence of legally
enforceable rights or obligations, represents an official action or position of the University,
or has a clearly identified historical or archival value.
Retention Requirements.
Records that are produced or received by any agent or employee of the University during the
course of University business are considered University property. As University property,
records in your unit should be stored in a secure location within your unit.
But what does that mean?
Records are any material that are part of a contract or binding agreement, are accounts for
the receipt or expenditure of funds, contain facts concerning administrative decisions needed
for immediate day-to-day functions, indicate a formal approval or denial of some service,
action, or policy decision, was intentionally created or collected as evidence of legally
enforceable rights or obligations, represents an official action or position of the University,
or has a clearly identified historical or archival value.
But what does that mean?
Retention Requirements.
Records are those materials that have been identified by the Records Liaison as being the
business input and output of their office.
Retention Requirements.
Records are any material that are part of a contract or binding agreement, are accounts for
the receipt or expenditure of funds, contain facts concerning administrative decisions needed
for immediate day-to-day functions, indicate a formal approval or denial of some service,
action, or policy decision, was intentionally created or collected as evidence of legally
enforceable rights or obligations, represents an official action or position of the University,
or has a clearly identified historical or archival value.
Retention Requirements.
Records are any material that are part of a contract or binding agreement, are accounts for
the receipt or expenditure of funds, contain facts concerning administrative decisions needed
for immediate day-to-day functions, indicate a formal approval or denial of some service,
action, or policy decision, was intentionally created or collected as evidence of legally
enforceable rights or obligations, represents an official action or position of the University,
or has a clearly identified historical or archival value.
The rough and ready definition of a Record could be said to be:
“Will I be reprimanded if I destroy this [item]?”
Please note that this is not a broadly accepted definition, but it is handy.
Archival Transfer Requirements.
University Archives retains University Records that are inactive and have historical
significance. These inactive records are retained in order to preserve the information
contained in them for future research or study.
If you are not sure whether your unit’s records would be appropriate for transfer to
University Archives, contact the Records and Information Management Services to help
identify records that have enduring value.
Paper records should be transferred in the order in which they were created and stored in
your unit and must include an electronic list indicating folder titles of the materials to be
transferred, along with the date range of the materials in each folder.
Electronic records are also accepted by the University Archives, but they may need to be
converted to a standard format.
Disposal Requirements.
The State Records Act requires you to obtain permission to dispose of University Records,
prior to their disposal. The State Records Commission must approve the disposal of any
University Records. Approval of the disposal of University Records is coordinated by the
RIMS group.
Disposal Requirements.
The State Records Act requires you to obtain permission to dispose of University Records,
prior to their disposal. The State Records Commission must approve the disposal of any
University Records. Approval of the disposal of University Records is coordinated by the
RIMS group.
Permission is not required for non-record materials; though some non-record material may
still contain sensitive data and therefore require secure transfer and destruction.
Lesson 2: Records Disposal
1. You have been waiting for over a month to receive approval to dispose of some records,
and you are anxious to get rid of them so you can free up that space. Should you:
a. Shred them and store the shredded paper in another area until the approval is given
b. Keep them where they are and wait for approval
c. Call RIMS to inquire as to what the delay is
d. Box the records and store them securely in another location
Lesson 2: Records Disposal
1. You have been waiting for over a month to receive approval to dispose of some
records, and you are anxious to get rid of them so you can free up that space.
Should you:
a. Shred them and store the shredded paper in another area until the approval is given
b. Keep them where they are and wait for approval
c. Call RIMS to inquire as to what the delay is
d. Box the records and store them securely in another location
Lesson 2: Records Disposal
1. You have been waiting for over a month to receive approval to dispose of some
records, and you are anxious to get rid of them so you can free up that space.
Should you:
a. Shred them and store the shredded paper in another area until the approval is given
b. Keep them where they are and wait for approval
c. Call RIMS to inquire as to what the delay is
d. Box the records and store them securely in another location
The approval process typically takes 30-45 days. It is therefore appropriate to call
RIMS only after a delay of longer than 45 days.
Lesson 2: Records Disposal
2. A request for records disposal can only be submitted if the records have passed the
retention period; are not needed for an audit, or litigation; and do not have historical
significance or enduring value for the University.
True or False
Lesson 2: Records Disposal
3. Which of the following are not an acceptable disposal methods for paper records
that contain sensitive information?
a. Transferring materials to Facilities and Services in a locked container
b. Working with an approved outside vendor to securely dispose of materials
c. Arrange for Facilities and Services to pick up the Records from a pallet on your loading dock
d. Use a cross cut shredder to shred the materials and place them in campus recycling
e. Tape shut the record boxes and use County recycling
Lesson 2: Records Disposal
3. Which of the following are not an acceptable disposal methods for paper records
that contain sensitive information?
a. Transferring materials to Facilities and Services in a locked container
b. Working with an approved outside vendor to securely dispose of materials
c. Arrange for Facilities and Services to pick up the Records from a pallet on your loading dock
d. Use a cross cut shredder to shred the materials and place them in campus recycling
e. Tape shut the record boxes and use County recycling
Disposal Process
When Should Records be Disposed of ?
A regular schedule for disposal should be established for your unit.
Employees notify
their unit Records
Liaison
of records to
dispose
Records Liaison
initiates disposal
request to Lead
Records Liaison
or RIMS
Lead Records
Liaison reviews
and submits
request to
RIMS
RIMS program
submits request
to State Records
Commission
State Records
Commission
approves disposal
(approximate)
March 15
March 31
April 10
May 1
June 15
June 15
June 30
July 10
August 1
September 15
September 15
September 30
October 10
November 1
December 15
December 15
December 31
January 10
February 1
March 15
When Should Records be Disposed of ?
Records should not be disposed of if they meet any of the following criteria:
• They are needed for a financial or performance audit.
• They are relevant to an existing, pending, or future legal proceeding.
• A relevant request for information under the Freedom of Information Act is in progress.
• They are still in the retention period specified by your Unit Plan.
• They have historical significance or enduring value.
If records have passed the appropriate retention period, there are no audit
proceedings, litigation, or requests for information affecting the record, then you may
initiate a disposal request.
Disposing of Paper Records with Sensitive Information
Any paper records containing sensitive information, such as Social Security Numbers,
student-related information, or credit card numbers, must be disposed of by one of the
following secure methods:
•Securely transfer materials to a campus recycling facility via monitored pick up or in a
locked container for shredding.
•Work with an approved outside vendor to securely dispose of materials.
•Use a crosscut shredder to shred the materials, then place the shredded materials into your
office’s campus recycling.
Disposing of Non-Sensitive Paper Records
Records on paper that do not contain sensitive information can be disposed of the same
way as any other kind of paper. Use any of the following methods for disposal:
• Place records in a recycling bin.
• Contact your campus recycling facility for a pick up.
• Work with an approved outside vendor to dispose of materials.
Disposing of Electronic Records
Electronic records should be purged when disposal has been approved.
If you have access permissions to do so, delete the records yourself. If you do not have
access permissions, ask the appropriate person in your department to delete them, and
follow up with that person to ensure that the records have been deleted. If electronic records
contain sensitive information, consult with the Lead Records Liaison or your unit’s IT
support staff to make sure they have been appropriately and completely purged from all
systems.
Lesson 3: Developing a Unit Plan
Before You Begin
A Unit Plan is one of the most important tools you will use in your role as a Records
Liaison. The Unit Plan is a document that describes how your unit will manage your
information resources. It is intended to be a living document, updated regularly, and
accessible to anyone in your unit.
Your Unit Plan should contain the following sections:
•Core Activities: This section includes a list and short description of all of your unit’s Core
Activities-the major functions of your unit.
•Core Documents and Systems: This section contains a list and short description of the
documents that support your unit’s Core Activities. These documents can be created, used,
or processed by your unit. Once the Core Documents have been identified, you can
determine where they should be located, whether they are records or non-records, and how
long they should be retained.
Lesson 3: Developing a Unit Plan
• Unit Standards: This section establishes the standard management practices for your
Core Documents, including an outline of the folder structure for your shared drive space,
a description of file-naming standards for shared documents, and a guide to managing
Core Documents that are sent and received via e-mail.
• Disposal Process: This section describes your unit’s process for disposing of records and
non-records.
• Clean-Up Day: This section includes a schedule for regular clean-up day in your unit to
begin the disposal process for records, and to purge unnecessary non-record files. Cleanup days should be scheduled at least once a year
• References: This section contains contact information for anyone involved with records
in your unit, along with other helpful information, such as links to pertinent regulations or
specific policies and procedures.
Identifying and Defining Core Activities
The next step in your Unit Plan is to make a list of the major functions of your unit,
including a description of each function. This list is your unit’s Core Activities. To help
identify your unit’s Core Activities, use the following resources as a starting point:
•Your unit’s business continuity plan, if one exists
•Your unit head
Identifying Core Documents
Core Documents are documents that support your unit’s Core Activities and are
considered University Records. This step will help you find the Core Documents that
are created, processed, or used in your unit. This step can also help indicate where
your unit has stored multiple versions of documents, so you can best determine which
copies should be retained as University Records and which can be purged at will when
no longer needed.
You should start by identifying where documents and data are stored in common places
across your unit, such as:
Shared drives, Filing cabinets, SharePoint/Intranet sites, Banner, Vendor systems
Identifying Core Documents
Make a list of all the different types of Core Documents that are found in the above places,
along with any other Core Documents stored in other areas of your unit or in other
electronic storage environments.
Once you have found and listed your unit’s Core Documents, you can determine whether
they are records or non-records.
Establishing Unit Standards
Establishing an organized folder structure on the shared drive(s)for locations where
your unit’s core documents are stored
Creating file-naming standards for the University Records your unit creates or
manages
Instituting appropriate e-mail procedures
Establishing a Folder Structure
To establish an organized folder structure for your unit’s shared drive(s)(or other
locations approved for storing University Records), you should start by reviewing the
current structure. As you review the current structure, ask these questions:
•Is it functionally organized to match common business processes of your unit?
•Is time (for example, a folder called FY12 Reports) somehow noted to help facilitate
disposal of core documents when they are no longer needed?
Creating File-Naming Standards
To create file-naming standards for your unit, check the Suggestions for Naming Files
document, which lists best practices for file-naming. Compare these best practices to
your unit’s current filenames and ask the following questions:
•How does your unit separate words within filenames?
•How are dates formatted in your unit’s filenames?
•What elements are included within your unit’s filenames?
Instituting E-mail Procedures
To establish appropriate e-mail procedures for your unit’s Core Documents, you
should consult with your unit Business Manager and co-workers to discuss what types
of essential information is exchanged via e-mail. If Core Documents are received or
exchanged via e-mail, they should not live only on the e-mail server or in an employee’s
Inbox. Core Documents received or exchanged via e-mail should be stored in an
approved system that supports records retention requirements for your unit.
Defining Unit Disposal and Clean-Up Procedures
Your unit is expected to dispose of non-record documents when they are no longer useful
and University record documents when they have passed the required period of retention.
The disposal process for records has requirements that are mandated by State law. In the
Disposal Process worksheet of your Unit Plan, you will outline a disposal schedule for when
you report the disposal of your unit’s University Records. This section will also be where
you define your unit’s agreed upon process for disposing of non-records.
In addition, your unit is expected to schedule time at least once per year cleaning up paper,
electronic, and e-mail file systems, along with disposing of extra copies, drafts, and other
non-record documents. This time can be one day, several days, or even a weeklong. “Clean
Up Day”should be scheduled at a convenient time for your unit. For example, a unit that is
most busy at the start of the academic year might schedule their Clean Up Days in the
middle of Spring Semester, after their workload has lightened.
Maintaining Your Unit Plan
Part of your responsibility as a Records Liaison is to maintain the Unit Plan. Your Unit Plan
is not a static document; it should be reviewed and updated on a regular basis, at least once a
year. You can choose when to update your Unit Plan; for example, it may be most
convenient for you to update it after year-end close activities are done, or after your annual
clean-up days. The important thing is to regularly review your Unit Plan and update itat least
annually.
Steps to Maintain Your Unit Plan
•Reviewing the list of Core Activities ,Core Documents and Systems, making additions,
removals, and changes wherever necessary.
•Reviewing the established unit standards and adding or removing folders from the folder
structure descriptions as needed.
Maintaining Your Unit Plan
• Editing file-naming standards if necessary.
• Changing e-mail procedures if necessary.
• Evaluating your unit’s disposal and clean-up process to determine its effectiveness, and
changing it as needed.
• Updating the References tab, particularly the unit contact information, as needed. Add
your name and the date to the Unit Plan Up-To-Date section.
Lesson 3: Developing a Unit Plan Summary
1. Which component of your Unit Plan contains contact information for the Records
Liaison?
a. Core Activities
b. File Naming Guide
c. References
d. Disposal Process
Lesson 3: Developing a Unit Plan Summary
1. Which component of your Unit Plan contains contact information for the Records
Liaison?
a. Core Activities
b. File Naming Guide
c. References
d. Disposal Process
Lesson 3: Developing a Unit Plan Summary
2. Which of the following actions should you take to maintain your Unit Plan?
a. Evaluating your unit’s disposal and clean-up process to determine its effectiveness, and
changing it as needed
b. Reviewing the list of Core Activities and Core Documents and making additions,
removals, and changes wherever necessary
c. Updating the References tab and adding your name and the date to the Unit Plan Up-ToDate section
d. All of the above
Lesson 3: Developing a Unit Plan Summary
2. Which of the following actions should you take to maintain your Unit Plan?
a. Evaluating your unit’s disposal and clean-up process to determine its effectiveness, and
changing it as needed
b. Reviewing the list of Core Activities and Core Documents and making additions,
removals, and changes wherever necessary
c. Updating the References tab and adding your name and the date to the Unit Plan Up-ToDate section
d. All of the above
Lesson 3: Developing a Unit Plan Summary
3. Which of the following parts of your Unit Plan contain your unit standards?
a. Core Documents and Systems
b. Folder Structure
c. Clean Up Day
d. E-mail Expectations
Lesson 3: Developing a Unit Plan Summary
3. Which of the following parts of your Unit Plan contain your unit standards?
a. Core Documents and Systems
b. Folder Structure
c. Clean Up Day
d. E-mail Expectations
Lesson 3: Developing a Unit Plan Summary
4. Your Unit Plan should be reviewed and updated at least once every other year, in
order to maintain it.
True or False
Lesson 3: Developing a Unit Plan Summary
4. Your Unit Plan should be reviewed and updated at least once every other year, in
order to maintain it.
True or False
It should be reviewed and updated at least once a year.
Other Records Liaison Responsibilities
Besides maintaining your Unit Plan and helping to dispose of records, your
responsibilities also include being a resource to other employees in your unit: to help
them determine what documents are records, and to help answer questions they might
have about records.
In addition, you should follow best practices for managing and organizing your
electronic files and e-mail. This lesson discusses these responsibilities, and how you can
best meet them.
Other Records Liaison Responsibilities
Being a Resource
As the Records Liaison for your unit, other employees might look to you as the local expert
on University Records. You are the first line of defense for their records-related questions.
Remember to be friendly and helpful when other employees come to you with questions;
records can be confusing! Some common questions you might receive include:
•What is a record?
•How long should I keep these files?
•Can I dispose of these files?
Answers to these questions, and others, will vary, based on your unit’s functions, records,
and Unit Plan.
Other Records Liaison Responsibilities
Practicing Best Practices
In addition to being a resource, as described above, you should also model the best practices
behavior recommended in RM 102: Information Management Best Practices. This includes:
•Keeping your unit’s electronic folder structure organized and consistent
•Naming your electronic files using your unit’s standards
•Identifying any records or supporting documentation in your e-mail inbox
•Managing and organizing your e-mail messages
Following these best practices will help you stay more organized, find information more quickly
and easily, and ultimately, perform your work more effectively. In addition, it will help you
answer any questions about best practices that your unit might have, and it may serve as an
inspiration to other employees!
Summary
Records Liaisons are charged with managing University Records and other information
resources for their units and are a vital component of the records management process.
When records are well-managed, both you and the University will benefit, by complying
with laws and regulations, reducing costs, and improving access to information. You will
also save time and effort by following standards and best practices for sharing, storing, and
disposing of records and information.
Summary
Now that you have completed this course, you are able to:
• Apply University requirements for storing records, archiving records, and documenting
records disposals.
• Initiate records disposal procedures for your unit.
• Create and maintain a Unit Plan that outlines effective systems of information
management.
• Determine records from non-records for documents created or managed by your unit.
• Explain concepts regarding best practices for information management to others in your
unit.
• Model best practice behaviors in information management.