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1. Take Stock! Perform a records inventory.
1. Take Stock! Perform a records inventory. A records inventory can help you not only identify and locate all of the files you have in your office, but also assists with identifying duplicate files or suggests filing categories. For example, if you have a large number of folders related to student issues, you may consider filing them together under a "student affairs" heading. To expedite the inventory process, number your file cabinets and drawers before you start taking note of the folders contained within. You should enter your inventory into a spreadsheet or database that contains at least the following information:
By using an electronic listing for your inventory, you can quickly and easily identify duplicate holdings (by using the "find" feature), as well as make changes if you have to move a file. 2. Identify and dispose of non-records. Non-records are any documents which do not directly relate to the operation of your office or department. The four major categories of non-records are:
Non-records, in general, should be destroyed as soon as no longer needed for purposes of efficiency and legal protection. If you are unsure whether a document is a record, ask yourself: "Does this document help me fulfill my job description?" If no, it is probaby a non-record and may be destroyed. 3. Familiarize yourself with your department's retention schedules. Retention Schedules, also known as Records Retention and Disposition Authorities or RRDAs, describe groups of related records, dictate how long records should be kept, and provide instructions for disposition (either destruction or archival preservation). Links to all records schedules for UWM offices are available at the UWM RM specific records schedules page. If your department is listed, contact Records Management for a copy of your schedules. In addition to your department's specific schedules, you probably have records in your office that are covered by one or more general records schedules. These schedules exist at the UWM, UW-System, and Wisconsin levels, and describe records series common to multiple offices, such as personnel records and student coursework. See the common records schedules page for a list of these schedules with series descriptions and retention periods. 4. Get your electronic records in order. Records are records regardless of whether they are filed in a cabinet or on your computer. Updates made in 2006 to the Federal Rules of Civil Procedure mean that electronic records can be produced by electronic discovery or subpoena and used as evidence in court, with penalties to the university or your office if they are not produced in a timely manner. Additionally, Wisconsin Administrative Rule 12 dictates 6 qualities that electronic records must possess throughout their lifespan:
With these qualities in mind, you should give your files meaningful names that will come up quickly in searches, and/or organize them into electronic folders and sub-folders. (Think of your computer as a filing cabinet; the folders are drawers or folders, as appropriate). You should also store your electronic records in a centralized, preferably distributed location, such as a departmental groupshare or PantherFile, to protect against data loss. Additionally, remember to migrate your records to newer formats periodically to avoid losing your data in obsolete formats. 5. Schedule a regular "records clean-up" time for your office. If you schedule a regular time to deal with records clean-up and disposal, the task of organizing and disposing of your records becomes easier. Try to schedule an hour per week devoted solely to getting your records in order: tidy up the filing system, throw out non-records, make arrangements for confidential destruction, etc. If you are an office manager, you may consider setting aside a day at the end of the month or semester to encourage your staff to go through files for organization and cleaning. 6. Identify your vital records and make arrangements for their preservation. Every office has a number of "vital records"-- records without which the office could not function properly. Examples of such records might include student transcripts, personnel files, or departmental budget and account statements. Make sure that these records are protected, usually through backups. 7. Create a records-friendly environment. If your office stores paper records for a prolonged period of time (5 years or more), you may wish to ensure that your office or storage room environment is appropriate for records storage. The ANSI standard for appropriate temperature and humidity for records storage is no more than 70 degrees Fahrenheit and no more than 50 percent relative humidity, but of course your department may be limited in the specific conditions it can maintain. The most important factor in records storage is consistency: sudden fluctuations in temperature and humidity will warp and damage documents much more than will consistently high levels of either. Try to keep your long-term records in a well-ventilated office or room with stable environmental conditions, usually regulated by a thermostat attached to a Heating, Ventilation, and Air Conditioning (HVAC) unit. If your storage room suffers from high humidity, a simple dehumidifier available at most drug stores will solve most of these problems. Your records should also be kept out of direct sunlight if at all possible to avoid fading. 8. Transfer important or significant records to the UWM Archives. Between time spent searching for records, answering questions about inactive records, and reorganizing file cabinets to incorporate new files, employees spend an inordinate amount of time dealing with historical questions rather than performing their primary duties. By transferring materials to the Archives, you free up space in your office, free up time in your day, and leave the research questions to the professional staff of librarians and archivists. If you have not referred to significant records in the past six months, consider transferring those records to the Archives. All materials remain accessible to the transferring offices for internal reference purposes, and may be returned as needed. The Archives is primarily interested in any material that documents the history of your office or of UWM as a whole; see the Common Archival Series page for more details. For tips on preparing materials for transfer, see the Archival Transfers page and the records management Guideline #7. 2. Prepare non-permanent records for scheduling and/or destruction. If you have records that are not permanent and not covered by existing general records schedules, the records may require specific schedules. You can expedite this process greatly by filling out the Record Series Description Worksheet and sending it to Records Management for review. The records manager will meet with you to discuss administrative and statutory requirements, then will prepare records schedules for your review and signature. New schedules are approved by the Wisconsin Public Records Board every 3 months. Once your records have been scheduled and their retention periods have passed, you should destroy them as soon as possible to minimize legal risk associated with retaining them. If the records are marked "destroy confidential," they should be deposited in shred bins provided by Kard Recycling and Shredding at locations listed here. If your building is not listed and/or you have a large quantity of confidential records to be shredded, contact Records Management to arrange for a records pickup. UWM Records Management tries to provide detailed information about all aspects of records management to the campus community through this website and bi-monthly seminars. You should start by perusing the PowerPoint presentations and handouts available on the Education page, which cover a number of topics of interest to records-handling employees on campus. UWM Records Management Seminars are held every other month and announced on the MyDevelopment calendar; the next seminar is scheduled for mid-May. Additionally, starting April 7, look on the main Records Management page for links to the UW-System Records Management podcasts, which will supplement and add to the information presented on this page.
Questions about anything on this site? Email the Records Officer or call Records Management at (414)-229-6979. |
