Records Retention and Archival Policy (BU-PP 038)

Records Retention and Archival Policy(BU-PP 038)
Training SessionJanuary 7, 2013
Background on the Policy(Juan)Policy Roll-out Process(Pattie)Records Management Self-Assessment(Amanda and John)Policy website and other sources for support(Juan)Next Steps(Juan)
Agenda
Regents Approved in February 2012PurposeIdentificationPreservationCollectionBenefits:Streamline storage costsSpend less time and money managingdataGreater ease in finding important informationStreamlineresponse to litigation or investigations
Background on the Policy
Committee Composition and MeetingsDevelopment of the Records Management Self-Assessment
Policy Roll-out Process
OverviewWhat records do you have?Where are the records located?What records do you have to keep?How do digital records factor in to this?
Records Management Self-Assessment
Financial—invoices, P-card, contractsHR—applications, personnel files, immigration documentationFaculty—tenure review notebooks, curriculum action, student disciplinaryGeneral—meeting records, reports, photos and AV materials, policies, office publicationsOther—what records are unique toyouroffice?
What records do you have?
Paper or digital? Consider how both are kept (andsecurity needs).Are records centrally managed or for each, his/her own? (physical files AND servers)Can youeasily findrecords when you need them?Do you use off-site storage, microfilming, or imaging? Do you transfer records to the University Archives?Does your officekeeprecordsthat are the primary responsibility of another office?(personnel files, invoices, etc.)Do other offices maintain records that ultimately are your responsibility?How do you know when to keep, transfer or destroy records?
Where are the records located?
Record: recorded transactions of Baylor’s activities and affairs, inany format (including without limitation paper, electronic and audiovisual materials), both created and received by BaylorSeeRecords Retention and Archival PolicyandCommon Record Guidelines—but each office should prepare its own retention policy to address its unique records
What records do you have to keep?
Whatever retention needs apply to paper also apply to born-digital recordsITS backupsRegular backups do occur of systems like TRAX and BANNERDesktop computer backups—kept from 30 days of creation (especially important when handling employee exits)Exchange (email) server backups—kept from 14 days of creationEmployees are ultimately responsible for their own recordkeeping practices
How do digital records factor in to this?
Emails are recordswhichmay contain evidence of official University actions, decisions, approvals, or transactions.Most received and sent emails have a verytemporary value—but some are very important.
Emails
PreliminarydraftsRoutinereplies/requests forinformationEmailssent as reference or for informationaldistribution*Emailsused toschedule meetingsAnnouncements*Acknowledgements*assuming this information is documented elsewhere
Emails You Can Delete
Consult the Appendix to the Records Retention and Archival Policy and Common Records Guidelines. Also consider your office’s needs in retaining emails for reference as you prepare a retention schedule.Email records might include:Policyand procedure directivesInstructionregarding the implementation of substantive decisions regarding matters of UniversitybusinessLegal or audit issuesApprovals for purchases or other actions to be takenFinal reports or recommendationsReceiptsfor purchases made electronically
Email You Must Keep
How to keep emailRetain electronically (preferred):Use Outlook’s Archive feature to save emailsin localdigital folders andretainsearchability. The employee is responsible for ensuring that the email remainsaccessible (for all who need it)for the full retention period and that it is backed up.Print and file: Lose keyword search capability and ability to use links, possible loss of attachments or understanding of back-and-forthdialogue; can promote sharing with colleagues as necessaryConsult with the University Archivist if you believe your office has emails that belong with the office’s records in the Baylor University Archives
Email
Website-http://www.baylor.edu/ia/Training Sessions (Dates TBD)Internal Audit & Management [email protected]
Policy Website and other Sources for Support
Keepa recordof allyour hardware&software (so you know how to access old file formats and such)Keep your records retention schedule currentBe aware of electronic “footprints” – delete does not always meandelete (contact ITS for guidance)Stop anydocumentdestruction on receivingnoticeofany legal/audit action
Tips to help you
Implementation deadlineSources for assistanceInternal Audits
Next Steps