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Records Management for Supervisors

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Brad Houston

on 5 May 2017

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Transcript of Records Management for Supervisors

Records Management for Supervisors
End-of-Employment Planning
The Goal: Access to all records still needed (and destruction of records past disposition!)
Additional Resources
For records retention questions:
UWM Records Management
http://records.uwm.edu
A list of records schedules: http://uwm.edu/libraries/archives/uwm-records-management/general-record-schedules/
For responses to Public Records requests:
Public Record Custodian
http://uwm.edu/universityrelations/public-records/
For ePanther and other accounts management:
Identity and Access Management
http://uwm.edu/iam
Before you leave UWM checklist: http://uwm.edu/iam/procedures/before-you-leave-uwm/
For general personnel management questions:
Human Resources
http://www4.uwm.edu/hr/
PRep/UBR list: http://www4.uwm.edu/hr/prep_ubr/prep_ubr.cfm
You've Got Records!
As a supervisor, you've got some additional records responsibilities:
Records of your office (probably)
Including historical records!
Records pertaining to your employees
Records maintained by your employees(!)
Records Management at UWM: A Brief Primer
The RM Departure Checklist
Document end-of-employment in P-File (or have your PRep do it)
Prepare for Archives or storage as applicable
Inventory and identify all paper and electronic records
Move the long-term ones to communal space (or shared drive, SharePoint, etc.)
Destroy/delete the ones past disposition!
Consider documentation for continuity-of-operations planning
"Problem" Employees and records retention
If an employee leaves under less-than-ideal circumstances...
What records am I responsible for?
There are a few general categories:
University Records are property of Wisconsin and can only be destroyed with permission.
Read: Records Retention and Disposition Authorities (RRDAs)
Records
Recorded information, in any format, that allows an office to conduct business.
(and what doesn't count as one)
This includes:
Paper or "traditional" records
Electronic records (e.g. Word documents)
Emails and Instant Messages
Text Messages*
Social Media
Not everything is a record.
Non-Records Include:
Duplicate Copies
Drafts/Informal Notes*
Routing Slips
Personal Correspondence*
Yes
Is it related to my job duties?
Is it a record?
Am I the creator or primary user?
No
Yes
No
No
It's not a Record!
Non-records should be removed from files as soon as possible.
Does it document an action or decision?
Yes
It's a Record!
Records must be managed and destroyed according to state law.
Record
Non-Record
E-mail to contractor clarifying terms
E-mail to friend making dinner plans
Memo notifying a subordinate of committee assignment (sender copy)
Memo notifying a subordinate of committee assignment (recipient copy)
(The recipient may want to hold onto this for reference purposes, though.)
Draft of a report (non-shared)
Draft of a report shared with colleagues or committee members
(Source: NFL.com)
*Worth pointing out specifically because we've recently received public records requests. SMS export Apps for Android and iOS are available!
Your Records Responsibilities
Retention and Maintenance
Disposition
Public Records Requests
Archiving
Office Activity Records
Employee Records
Derived/Convenience Copies
How should I manage these records?
Appoint an official records holder.
You're responsible for producing the records, but that doesn't mean you have to *physically* hold onto them.
Department chairs: main office files/dept. fileshare
Are you the office of record? (P-Files e.g.)
Designate an official version of the records.
You'll produce this version as part of records requests, and eventually send it to Archives.
Personal drafts aren't records; drafts you share with committee members may be, though, so be careful..
Keep a good filing system.
Organize your files by type and date for easier disposition.
Committee On Examples
Minutes
2013
2014
Correspondence
2013
2014
Project X
Etc.
(Probably not ideal.)
(Eventually with SharePoint you will be able to designate the final version a "record" and automate retention.)
Special Cases: Email and Other Systems
I'm using email here as shorthand for any system that doesn't produce local, discrete records (PAWS, WISPR, D2L, Wordpress, etc.)

The Easy Way: On-Line Access
The Safe Way: Export!
Most appropriate if information is still in active use
If pre-termination (recommended): have employee share account access
If post-termination: contact Help Desk ASAP to open account (w/HR approval)
Prepare to remove employee from accounts/groups/etc.
Most appropriate if information is needed for reference and/or large data
Work with employees to remove any and all personal data pre-export
Instructions for exporting email, other systems on UWM Knowledge Base
Make sure you export to a format you can read!
Email: PST, MBOX
WordPress/DB: CSV or SQL dump
Other Systems: Plain-text or modified plain-text (incl. PDF)
Important: UITS can no longer work "email magic" on closed accounts, so prepare your records ASAP.
April-November Departure: Account Purged in January
November-April Departure: Account Purged in June
Contact Identity and Access Management to cut off access immediately
If records will be needed for litigation, contact Legal Affairs ASAP
Legal Hold: No records from that series can be destroyed!
Contact the Help Desk --> Information Security if you need confidential information protected
UITS needs to know about putting a hold on an account as soon as possible to minimize data loss.
What kinds of records you have in your office
Which RRDAs (general or specific) apply
If an RRDA doesn't exist, needs to be created
Where (physically and electronically) records are stored
Which of your supervisees work with which records
Public Records Law: Most records open to public inspection...
...but some exemptions exist
If "public" information (publications, newsletters, etc.):
provide access directly
If "sensitive" (non-public) or confidential (FERPA, Personnel, etc.):
refer requestor to Public Records Custodian (not me!)
Track time spent searching for records
Provide access to records in original format (electronic, etc.)
Need to provide records promptly
...Another good reason to get organized!

Destroy records on or after retention period-- Never before!
Retain records only as long as needed
Why? Risk reduction!
Be aware of office-specific exceptions (e.g. accrediting agency retention requirements)
Destroy records with confidential information in brown Kard Recycling bins
Records of enduring value (in whatever format) should be sent to the Archives
Common archival series (not inclusive):
Minutes/Agendas/Attachments
Topical/Subject Files
Publication Files
Make sure your supervisees are aware of archival series and file them separately!
Things to think about:
What FUNCTION am I documenting? (
Primary
)
What
ACTIVITIES
let my office complete that function? (
Secondary
)
What
IDENTIFIER
helps me find the particular case I want? (
Tertiary
)
Example:
Curriculum Development--
Course Action Requests
--
English
Get your supervisees on board.
Office-Specific Records Management/Public Records training
Set aside time (weekly? monthly? end of semester?) for records retention cleanup
Designate a records coordinator? (Might be the same person as the records holder, above.)
Everything your office creates as part of its core functions.
Examples:
Advising Office: Student Records
Travel Office: TERs
Academic Department: Budget Planning Documents
Know the retention periods and related statutory/administrative needs for these records-- they are your primary responsibility!
It's 1:24 PM.... Do you know where your records are?
Records you personally maintain in your role as supervisor pertaining to your supervisees.
Examples:
Search and screen committee notes
Performance evaluations
Local copy of P-File
Some-- but not all-- of these records may be unofficial (local P-File e.g.). Check with your unit PRep to confirm who holds the official copy.
Records you hold for your own reference, but for which you are not the official record-holder.
Examples:
Local copies of requisition forms
Email correspondence from your own supervisor
Minutes of committees to which you belong
Records maintained in a central system (HRS, PAWS, etc.)
You are not REQUIRED to keep these copies as records... but they may be useful for reference purposes.
(e.g. keeping TER copies to prove that you appropriately approved a travel expenditure)
Electronic Records
Records maintained electronically should be retained and disposed of on the same schedule as paper records.
In practice, of course, there are some unique complications.
Create an office E-records plan
In other words: best practices for creating and maintaining electronic records.
File format
Examples of Sustainable Formats
Text Documents
Images (raster)
Presentation Files
Video
Good
Less Good
PDF, docx, odt
doc, wpd
TIFF, png
PDF, odp, pptx
mp4, AVI, mov
JPEG, psd
ppt
wmv, rv
Spreadsheets/DBs
odt, csv, xlsx
mdb, fp7
Suggest use of widely-used formats if possible.
If records have long retention (>7 years), consider a non-proprietary, sustainable format.
See also: http://uwm.edu/libraries/archives/uwm-records-management/preferred-file-formats-for-electronic-records/
File naming
Help your supervisees create filenames they can easily recognize.

Some useful info to include:
Date (e.g. "052912")
Type (e.g. "report", "minutes", etc.)
Unique Identifier (Project name, committee name, etc.)
Avoid "forbidden" characters (@#$&*%/?)
Bad: Minutes.docx
Good: ITPCMinutes050412.docx
A bonus of using Microsoft Office formats: they integrate directly into OneDrive/Sharepoint! (For versioning, collaboration, etc.)
Storage Options
If nothing else, know *where* official records are being stored. (and make sure the important ones are backed up!)
In Office 365: You Can Configure Your Office Applications to Sync to OneDrive.
Once you have your OneDrive set up, you can default to save there as a secondary location.
OneDrive/Cloud
Be very, very careful about storing records here.
OneDrive
Other Cloud
Not recommended
for confidential records (FERPA, personnel, etc.)
Sensitive (internal) records should be stored with additional security (e.g. encryption)
Make sure department permissions are set correctly
Sharing with external users: get IT to help
Not recommended for storage of any university records.
UWM has no contract with these services! Ask yourself:
Are your records safe from data breaches?
Are records backed up? What happens in case of disaster?
Who owns/licenses your content? (Check the EULA--- it might not be you!)
Security and Data Breaches
E-records provide greater access/collaboration, but also increased risk.
Take an inventory of potential confidential records.
FERPA? HIPAA? Credit Card/SSNs? Personnel?
Find a way to indicate that a record/folder is confidential, especially if it comes to the Archives.
Keep personal and university records separate.
Don't take home records, or put records on a device (laptop, thumb drive, etc.) that leaves the office.
Maintain robust passwords for any account with sensitive information.
Dispose of records according to their schedules to minimize the chance of data being leaked.
If a security breach DOES occur:
Contact the Office of Information Security
Be prepared to discuss with Info Incident Response Team
Determine who may have been affected by the breach
Keep a log of everything you do!
General Tips
Above all...
See also UWM's Information Security Policy, https://www4.uwm.edu/secu/docs/other/S_59.pdf
Move office records to communal file-share space whenever possible.
Why? Increased access if/when your records owner can't be reached
Use portable media (CDs, USB drives, etc.) for TRANSFER ONLY.
Records in systems (D2L, WISPER, ImageNow, etc.): Export data you need long-term access to.
Your vendor should be able to help with this...
Can you still read one of these?
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