As a public body, the University of Oregon has a responsibility to “ensure orderly retention and destruction of all public records” and “the preservation of public records of value for administrative, legal and research purposes.”[i]
Records
The University Records Management Policy establishes the definition of records, and should be reviewed by all University of Oregon employees. Records
- are not media specific; they may be digital (for example, e-mail, .pdf, data and metadata) or physical (for example, paper, audiotape, microfilm, CDs, DVDs, film).
document key activities, programs, decisions, or milestones; and/or money received, managed, or spent; and/or the rights or responsibilities of UO or its personnel
- do not all need to be kept for the same amount of time.
When does the RRS not apply?
Disposal activities should be halted in case of an impending audit, litigation, major organizational restructuring, or public records request
- Personal records and some other material are outside scope for the RRS.
- Learn more by reviewing the University Records Management Policy.
The Value of Records Management
Records management (RM) is the systematic control of records throughout their life cycle so that the right information gets to the right people at the right time for the right purposes. It helps departments ensure that their records are retrievable, reliable, secure, and trustworthy. It is guided by the principle that managed records are an asset and unmanaged records are a liabililty.
Benefits
- Efficiency - poor recordkeeping leads to records being kept past their retention period, making useful records hard to find and loss of valuable office space.
- Access - good recordkeeping makes it easy to locate records.
- Accountability - proper recordkeeping ensures that the university can appropriately account for their actions.
- History - well managed records make it easier to identify the permanent, historical records that will be preserved in the University Archives.
The Records Retention Schedule (RRS)
The University of Oregon uses an organization wide Records Retention Schedules (“RRS”), presented in this document, to guide its recordkeeping. The RRS does not prescribe a filing structure. It provides timeframes, responsibilities, and handling instructions and labels for tagging content.
The RRS presents information using the following conventions:
- Series Records grouped by activity and requirements. Each Series has a heading and a brief description and/or list of the kinds of material that make it up. Where present, the lists are not exhaustive.
- Office of Record The program, unit, or department accountable for maintaining reliable, complete, and accessible records in the given series for the duration of assigned retention period.
- Being named the Office of Record is not always synonymous with having physical custody of the material. In cases where third parties are used to store or manage data that are records, the Responsible Office(s) remain(s) accountable as described above.
- More information about responsibilities for responsible offices can be found in the Records Maintenance section of the program’s website.
- Retention and Disposition Instructions Minimum time to keep records in the series and what happens when that time has been met, disposal method (Recycle or Delete; Shred or Erase; Coordinate with University Archives), and any other special handling required, as is the case with vital records.
- These instruction are based on government regulations, funding agency rules, UO Policies, Collective Bargaining Agreements, and professional standards and best practices.
The RRS is organized into five functional sections:
- Governance
- Academics, Instruction and Research
- Administration of Student Affairs
- Finance, Administration and Infrastructure
- Human Resources
While some of the section headings resemble department names, it is important to keep in mind that they represent functions, not departments.
- Example: an academic department will find information about records that pertain to its work not only in the 2. Academics, Instruction and Research but also sections 4. Finance, Administration and Infrastructure, and 5. Human Resources.
The retention schedule includes a list of references that link to laws, regulations, standards, and best practices that inform the established retention rule.
The Records Management Program has guidelines and advice for how to organize files and is available to meet with employees to discuss specific needs.
What is Records Management?
Records management (RM) is the systematic control of records throughout their life cycle.
The life cycle of a record:
- Creation - the beginning of a record's life - when a record is created, collected or recieved during the routine transaction of business.
- Use - how the record serves its function within a department, institution or to the public at large.
- Filing/Storage - how the record is filed after it is created.
- Disposition - determining whether the record needs to be destroyed or permanently preserved in the University Archives.
How Does Records Management Affect my Daily Work?
Records document the actions of your work, so proper records management is a key ingredient in efficient business activity and decision-making. Applying the proper retention periods from the UO Records Retention Schedule can ensure effective management of university records.
For basic access into the retention schedule, use the functional sections to find specific records series.
Files Management
Files management ensures the efficient retrieval of information, regardless of format. An effective file plan (a blueprint for how to organize your files) can save you time and frustration when trying to locate information. A filing system consists of policies and procedures directing how files should be stored and indexed in order to ensure their retrieval, use and disposition.
Developing a file plan
A file plan should be based on classifying the records that your unit creates and organizing them in a hierarchical manner. It should be simple, logical and easy to implement; otherwise, it will be ineffective. A great example of a file plan is the UO records retention schedule. It classifies records by functional units (e.g. payroll or facilities), then within those units record series are grouped by similar types of records (e.g. admission records are grouped together in that record series in the student records section).
Remember, this file plan can be used for all records, both in paper (e.g. filing cabinets and desk drawers) and in electronic form (e.g. departmental file servers and email applications). Here is an example of a file plan based on an academic department.
How to organize records in the file plan
Groups of records within each record series can be organized based on the most appropriate method of retrieval and use. There are several types of filing schemas:
- Alphabetical
- Chronological
- Numerical
- Geographical
How to get staff to adopt the new system
Training will need to occur to educate unit employees on how to appropriately use the new filing system.
Monitoring use and compliance will ensure adoption and proper use of the filing system.
Maintenance
Pull files from the system once they are inactive to save space and increase efficient retrieval.