Records Management Training Compliance and Enterprise Risk Management

Records Management Training Compliance and Enterprise Risk Management

Objective At the end of this training, understand how to use the records database.

Why are we doing this? Tell me why!

Requirements All state agencies must maintain an internal records management program (Rule 121001-.03(1)). Must ensure that retention schedules are properly implemented and followed (Rule 121001-.02(5)). MTSU Policy 129 Results in submission of a report to the Records Management Division, TN Secretary of State’s office.

Coordinator Responsibilities Why am I here?

Responsibilities Create record sets in Records Management Database. Maintain / update record series. Request destruction of record series. Destroy record series as appropriate. Confirm accuracy of records database periodically.

Terminology Words mean things.

Terminology Records Record series RDA – records disposition authorization Records cut off Retention period Retention action

RDA Example

Creating New Record Series Creating records about records.

Creating a new record series

New records, page 1

New records, page 2

New records tips Start Date / End Date If you are going to be (or suspect you will be) adding records throughout the year, align to the timeline in the RDA. Simplifies storage and destruction. Unique ID

New records examples Student Records (SW-U06) – non-education record Cut Off: Academic Year Retention: 5 Years Disposition: Destroy Recommendation: set up a new record series for each academic year. University Research Records (SW-U07) Cut Off: Completion, termination or suspension of research project Retention: 10 Years Disposition: Destroy Recommendation: set up a new record series for each research project. Student Records (SW-U02) – education record Cut Off: Academic Year Retention: Permanent Disposition: None Recommendation: set up a new record series for each academic year.

Finding Existing Record Series Hint: They are always in the last place you look.

Navigating to records, part 1

Navigating to records, part 2

Requesting Approval to Destroy Existing Record Series It’s the final countdown.

Requesting approval

Requesting approval

Warning – Litigation Hold Do not destroy documents that are on litigation hold.

Final Updates – Records are Destroyed Gone in 60 seconds.

Confirmation

Confirmation

Process Map No compass required.

Steps to Records Management Create Record Set Update and Maintain Record Set Request Destruction of Record Set Destroy Record Set Confirm Destruction of Record Set

Confirming Accuracy What is real?

Periodic Reviews Annually CAERM will send each Records Coordinator a list of all record series for your area. Confirm all the data related to such record series is accurate. Quantity Location Record Start / End Date Destruction Date Will typically occur in March - April As Needed CAERM will follow up on specific record series if it appears something is amiss. Retention period expired Location doesn’t exist Quantity is an imaginary number.

Records Holding Report CAERM compiles the Records Holding Report for submission to the Tennessee Secretary of State’s Office Includes: Number of active records. Records created. Records destroyed.

Records Audits Secretary of State’s office performs periodic audits of our records management practices. Includes on-site visits.

Resources CAERM site: https://www.mtsu.edu/caerm/records manag ement retention.php Tennessee Secretary of State records site: https://sos.tn.gov/rmd Email CAERM at [email protected]

Questions? Was I in the right training?