Records Management
Dr. Andrew L. Luna
University of North Alabama
Institutional Research and Planning
Points of Discussion

All About Records Management
 Vital Records
 Disaster Plan/Recovery
 Records Management System
Records Management
I am going to review a few concepts and
ideas that can make the job of managing
your records easier
Records Management
Nothing I say here today is carved in stone…
At least, not very hard stone
Group Exercise……
List the possible types of records your
IRP office generates
What is a record?
Papers, correspondence, forms, books,
photographs, films, sound recordings,
maps, drawings, or other documents,
regardless of physical form or
characteristics, and including all copies
thereof, either originated or received by
an organization.
Record Cycle
5. Disposal
4. Transfer
1. Creation
2. Use
3. Active
Storage Retention
Important Reasons for Records
Management

Institutional Memory
 Management Decision Making
 Paperwork Volume & Cost Reduction
 Organizational Efficiency
 Legislative & Regulatory Requirements
Myths and Misconceptions
All records should be permanently stored
FACT:
A few records should be kept permanently and
most records should be destroyed after their
legally mandated retention period expires.
Myths and Misconceptions, cont.
As soon as files are destroyed, a need for them
will arise
FACT:
If a record has been destroyed upon the
expiration date of its legally mandated
retention period, that record no longer exists,
and the office is no longer responsible for it.
Myths and Misconceptions, cont.
That’s not a record, but a computer file
FACT:
Computer generated databases, reports, files, and
e-mail are all considered records by state and
federal laws.
Myths and Misconceptions, cont.
A good spring-cleaning is all we need to do for
records disposition
FACT:
In most states, it is illegal to randomly destroy
records. For this reason, it is important to
maintain retention schedules of your records
and to document the life of a records from its
beginning to its destruction or permanent
storage.
Myths and Misconceptions, cont.
These are my records; it’s nobody’s business what
I do with them
FACT:
All states have open records laws that apply to
state-supported institutions. These laws specify
how long records should be kept and which are
open for public inspection.
Myths and Misconceptions, cont.
I don’t need to worry about the files, the
secretary or file clerk will take care of them.
FACT:
How records are filed, retained, and destroyed is
everyone’s concern, especially the IR director.
Myths and Misconceptions, cont.
Alphabetically by subject is the only way to go
when filing records
FACT:
While filing records by subject is a good way of
keeping track of them, it is also important to
manage records by date of creation, destruction
(or permanent retention), as well as record
series.
Myths and Misconceptions, cont.
Office automation (computers) will reduce the
amount of paper we have to deal with.
FACT:
To the contrary, computers have made the job of
compiling reports so much easier, more reports
and records are being produced.
Myths and Misconceptions, cont.
We can solve all of our file problems by putting
our old boxes of records in commercial storage
or inside an unused room or building of the
university’s
FACT:
It is not enough to store files, one must be able to
find them. Furthermore, as storage space
diminishes, the need to dispose of unneeded
paper is paramount to administrators.
And Finally…..
Myths and Misconceptions, cont.
Anyone can file
FACT:
Wrong….A successful records management
program insures that all staff are aware of
filing, retrieval, and destruction of its records.
Implementation of a Records
Management Program
Step 1 – Planning
 Step 2 – Obtain Authorization/Support
 Step 3 – Conduct Records Inventory
 Step 4 – Conduct Records Analysis
 Step 5 – Establish Retention Periods
 Step 6 – Program Implementation

Step 1 - Planning
Determine where the department wants to
go (Goals) and how it will get there
(Strategy).
Alice asked, “Cheshire Puss… Would you tell, please, which way I
ought to go from here?
“That depends, a good deal, on where you want to go,” said the cat.
“I don’t know where I want to go,” said Alice.
“Then it does not really matter which way you choose,” said the cat.
Step 2 – Authorization/Support
Management – Prepare a special report,
one-on-one meeting, presentation to
committee, well planned test program,
etc.
 Support (Users) – Make sure to
communicate intentions and get the
support from users.

Step 3 – Records Inventory
A detailed review of the quantity, type, function,
and organization of records.
 What kind of records do we have?
 Where are the records located?
 How many records do we have?
 Are the records active/inactive?
 Are the records vital/nonessential?
 Which records are the official copies?
Step 3 – Records Inventory, cont.
Purpose of a Records Inventory:
 To define the present scope and status of the
records to be managed.
 To provide the foundation for the development
of a records retention program.
 To provide information for other decisions in
the development of an effective records
management program.
Records Retention Schedule
A retention Schedule documents
information regarding a records series
and the length of time the records need to
be maintained. This may include a
description of the records series, legal
citations and where the record series is
retained.
Records Retention Schedule
Why do I need Retention Schedules?
 Legal documentation
 Documents the disposal of the record
 Open Records request
Records Retention Schedule
How do I create one?
 Institution
 Higher Education Governing Agency
 State Agency
 Look in appendix of Workbook
Step 3 – Records Inventory, cont.

Records inventory can be a hot, dark,
damp, filthy, disgusting, bug-crawling,
spider-stomping, mould-infested,
odoriferous exercise that is not for the
faint of heart.
 Or it could just mean a trip to your filing
cabinet.
Forms for Records Inventory
Look under FORMS in Workbook
Step 4 – Records Analysis

Identify records common to your
department
 Identify records that are unique to IRP or
those records of which IRP is the
originator
 Identify different record types that serve
the same function
 Identify the holder of the official copy
Step 5 – Records Appraisal
Determine the value of each records series
 Administrative Value – series that defines
operating procedures (i.e. mission)
 Fiscal Value – series that documents the use of
funds (i.e. receipts)
 Legal Value – series that documents business
transactions (i.e. contracts)
 Historical Value – series that documents
institutional/departmental accomplishments
Step 6 – Establish Retention Periods
The length of time records are retained is
based on two considerations:
 Institutional/State/Federal requirements
(i.e. laws)
 Value of records and support for business
activity
Step 7 – Program Implementation

After the records retention periods have
been established, prepare/revise a
schedule
 Established retention periods must be
summarized in a list or a retention
schedule for distribution within the
department
Where Are We So Far?

All about records Management
 Vital Records
 Questions?
Records Protection
To determine the degree of protection
needed for each class of records, the risk
of loss must be established. The greatest
cost to the organization concerns the loss
of all records classified as vital
What is a Vital Record?
Records containing information essential
for:

The resumption of operations after a disaster
 The reestablishment of the legal and financial
status of the institution
 The determination of the rights and obligations
of individuals and corporate bodies with
respect to the organization
Vital Records, cont.
It is essential to identify those records before
the emergency arises
 They can be substantive records
 They can be procedural records
 It depends on the department
Vital Records, cont.
It would cost too much to ensure every
possible document be saved, so the
program must be practical and specific
1. The identification of Vital Records should
evolve out of the records inventory
2. It should be considered another part of
records retention scheduling
Vital Records
3.
4.
5.
6.
7.
Assignment of responsibility
Risk Analysis
Selection of Protection methods
Operating procedures
Maintenance of communications
Vital Records
Factors to consider in appraising vital records:
 Function of records within the organization
 The life cycle of the records
Vital Records - Risk Analysis
Physical Problems

Fire
 Water
 Mildew
 Light

Dust
 Insects
 Rodents
 High Humidity
Vital Records - Risk Analysis
Natural Disasters

Earthquakes
 Hurricanes
 Tornados
 Floods
 Systems Malfunction
Vital Records - Risk Analysis
Human Factor

Theft
 Misplacement
 Accident
 Vandalism
 Terrorist Acts
Vital Records - Protection

Must choose the method of protection most
appropriate to the situation
 Must weigh the cost of protection against
the potential and probability of loss
Possible Means of Protection

Fire resistant safe
 Off-site storage
 Computer back-up
 Surveillance
Possible Means of Protection
The best means is…….
Duplication
Duplication Methods

Paper
 Microform
 Electronic
Remember Murphy’s Law
If anything can go wrong…..it will

Prepare for what you can prepare for
 Except what you can’t prepare for
Group Exercise……
Discuss and determine the possible
vital records in various areas around
campus
Disaster Recovery
After you have determined what are Vital
Records, you must figure out how to get
your operation back in business (at least
from the records standpoint)
Where Are We So Far?

All about records Management
 Vital Records
 Disaster Plan/Recovery
 Questions?
Disaster Planning Steps
Step 1 – Identify and assign responsibility
(i.e. committees, task forces, teams)
 Planning
 Response
 Recovery
Disaster Planning Steps, cont.
Step 2 – Train members of the committees,
task forces, or teams
 Train in records management
 Train in disaster planning
Disaster Planning Steps, cont.
Step 3 - Conduct a risk analysis
 Identify potential building problems
 Survey fire protection policies and
equipment
 Assess ability to protect people
 Evaluate potential for damage from
natural disasters
Disaster Planning Steps, cont.
Step 4 – Establish goals and set a timeline
 Communicate goals and timeline with
users
 Establish reasonable goals and timeline
(i.e. less on goals, more on time)
Disaster Planning Steps, cont
Step 5 – Develop a reporting schedule
and reporting lines
 Who is to be notified in case of disaster?
 Who is responsible for what?

Disaster Planning Steps, cont
Step 6 – Evaluate records and assign
priorities
 Practice triage on vital records
 Practice triage on important records
Disaster Planning Steps, cont
Step 7 – Identify potential sources of
damage
 Physical
 Natural
 Human
Disaster Planning Steps, cont
Step 8 – Assess prevention and protection
needs
 Keep supplies and equipment on hand
 Replenish when necessary
Disaster Planning Steps, cont
Step 9 – Review fiscal implications
 How much will it cost to implement
protection plan?
 How much will it cost to not implement
plan?
Disaster Planning Steps, cont
Step 10 – Prepare the plan
 Communicate with all users of the
records
 Review disaster plans from other colleges
and state institutions
Disaster Planning Steps, cont
Step 11 – Distribute the plan
 Make the plan available on paper and
electronically
 Train all staff on the plan
 Practice drill
Disaster Planning Steps, cont
Step 12 – Evaluate the plan and update it
regularly
 Record retention schedules change
 Record series are added or deleted
 Laws change
 Department may actually experience
disaster - debriefing
Disaster Recovery

It is best to have a well thought out disaster
recovery plan in place long before a disaster
occurs
Disaster Recovery

Some disasters will allow you to resume
business where you are
 Some will require you to go elsewhere
Disaster Plan, Summary
Five essential questions an IR department must
address in a good disaster plan





How are vital records stored and/or duplicated?
How important are the department’s other files?
How are the other records stored?
What is the institutional/departmental policy if a
disaster occurs?
What is the department’s plan for records
protection/recovery?
Where Are We So Far?

All about records Management
 Vital Records
 Disaster Plan/Recovery
 Records Management System
 Questions?
Records Management System
Four phases of developing a records
management system
 Inventory phase – Search/Identify
 Series phase – Category by date
 Retention phase – Retention schedules
 Storing/Labeling Phase – What to call
them and where will they be kept?
Record Series – Data Requests
This series includes all reports,
correspondence, and data files that relate
to internal or external requests for
information or data
Record Series – Surveys
All external surveys (i.e. U.S. News,
Peterson, Wintergreen/Orchard House,
etc), and the correspondence, working
papers, and computer generated reports
and programs associated with them.
Record Series – Projects
Any long-term assignments that takes
longer to complete than a data request
(i.e. salary studies, fact books, student
satisfaction surveys), and all
correspondence, working papers,
computer generated reports/programs
associated with them.
Record Series – Governing Agencies
Includes everything that is received from or
generated to a board of regents, trustees,
or post-secondary agency. Also included
with this series are any working papers
and computer generated
reports/programs associated with them.
Record Series – Institutional
Includes information coming from other
departments within the college or
university that is not associated with
either data requests or projects (i.e. other
departmental reports, policies, letters,
general information).
Record Series – Departmental
Includes all information generated by the
IRP office that is used internally to
manage the office (i.e. office policies,
calendars, schedules, meeting minutes,
SAIR, AIR, committee meetings)
Record Series – Reference
Includes any information that the office
would like to keep for future referral.
This includes articles, conference
materials, and new procedures. This
series can also include records from other
series that have reached their destruction
date, but that the office would like to
keep.
Procedures for Filing at UWG
Step 1 – Cover sheet is completed for all
data requests, projects, and surveys.
 Ease of records filing
 Entered into database
 Used in effectiveness evaluation
Procedures for Filing at UWG, cont.
Dates are entered onto the cover sheet
 Received date
 Deadline date
 Cut-off date (fiscal/academic year)
 Transfer date (fiscal/academic year)
 Destroy date (fiscal/academic year)
Procedures for Filing at UWG, cont.

Each record series has separate filing
cabinet drawer/s in IRP office
 Only three years of records are kept in
the IRP office.
 After three years, all records are
transferred to the basement
 Most of IRP’s records have a retention
schedule from 5-7 years
Procedures for Filing at UWG, cont

After retention period, all records
marked for destruction are reviewed and
then shredded.
 Office regularly updates retention
schedules and policies.
Questions or Comments?
This concludes the workshop on
records management
THANK YOU!