2014 - 4th Quarter

UM Records Management Compliance and Overview

Records Management supports University staff and faculty in ensuring that records needed to meet the operational, legal, and regulatory requirements are managed in compliance with University policy.

We assist by:
1. Maintaining the University’s Records Retention Schedule. See Records Retention Authorizations: http://www.umsystem.edu/ums/fa/management/records/guide/records-retention-authorization
2. Overview Records Management Department Services: http://www.umsystem.edu/ums/fa/management/records
3. Other ways Records Management support the University System Campuses?
a. Maintaining the University’s Records Retention Schedule. Review the records  retention schedule and other important policies.
b. Monitoring external record-keeping requirements as best as possible with limited resource budgets.
c. Conducting (in partnership with staff and faculty department representatives) records reviews or audits.
d. Supporting Continuity of Operations by planning for Vital Records and departmental development of Disaster Preparedness Plans.

How we can help:
o Compliance & Records Management monitors external record-keeping requirements and assists departments by:
• Researching record-keeping regulations.
• Conducting records inventories, assessments, and providing recommendations for all four UM campuses…
• Assessing business records management systems and practices.

Important message:
o We encourage all staff and faculty to adhere to the Records Retention Schedule and ask for your support in becoming compliant. However, recognizing that following the University’s records management program is not always the first thing many think of in dealing with records and information, there will be instances when compliance with the schedule — and the records destruction expectations, in particular — will be difficult or over-looked. We will continue to work to resolve these types of issues until managing and following retention policy is a part of doing daily business. And we now are presenting Records Management Compliance Certificates to those departments that meet compliance requirements.

Frequently asked questions:
o How is the Records Retention Schedule organized?
• The records retention schedule is divided into functional categories. The categories do not correspond to divisions or departments because many record groups are used in departments and offices across campus. Each functional category includes multiple record series that prescribe the length of time the records must be kept and disposition requirements. Such relational records are grouped into a functional retention schedule. Each retention authorization is formatted to show;
 Item Number and Name of record,
 A detailed description of records involved and how they are used,
 A recommended retention, based on federal, state and university/departmental requirements.
o Are there any exceptions to the retention periods listed on the retention schedule?
• Yes. Records scheduled for destruction may sometimes be placed on legal or administrative hold. Holds are placed on records when they are audited, involved in litigation or otherwise requested by the courts or government. Records that are relevant to ongoing litigation or reasonably anticipated to relate to foreseeable legal action must be preserved without alteration. Refer to the Litigation Hold Policy or UM Legal department for additional information.
o Can I get rid of documents that aren’t specifically listed on the retention schedule?
• If a record type is not specifically listed on the retention schedule, you can contact Records Management to discuss writing a schedule that would fit the University/Departmental needs. Such records may or may not be unique to only one department.
o What is involved in becoming Records Management Compliant?
• If as a unit, program, school or department, you are following the retention guidelines and policies, final dispositions, storing records/using the Records Center, protecting if any, vital records and sending if any, historical records to the proper Campus Archives department, and other-wise using the Records Management Program, you are considered compliant.

There are other Best Practices that can always make us better at managing our records, however, becoming policy compliant is the place to start for a good and healthy legal foundation.