Comprehensive Records Management Training Program

 
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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 1210-01-.03(1)).
Must ensure that retention schedules are properly
implemented and followed (Rule 1210-01-.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
 
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_management_re
tention.php
Tennessee Secretary of State records site:
https://sos.tn.gov/rmd
Email CAERM at 
recordsretention@mtsu.edu
 
 
Questions?
 
Was I in the right training?
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Dive into the world of records management with a detailed training program covering compliance, enterprise risk management, database usage, state agency requirements, coordinator responsibilities, terminology, and more. Understand the importance of maintaining internal records management programs and retention schedules. Gain insights into creating and maintaining record sets, destruction procedures, and periodic database accuracy checks. Enhance your skills in managing record series, retention periods, and actions. Explore essential terminology and learn through practical examples for effective implementation. Start your journey to becoming a records management expert today!


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Presentation Transcript


  1. Records Management Training Compliance and Enterprise Risk Management

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

  3. Why are we doing this? Tell me why!

  4. Requirements All state agencies must maintain an internal records management program (Rule 1210-01-.03(1)). Must ensure that retention schedules are properly implemented and followed (Rule 1210-01-.02(5)). MTSU Policy 129 Results in submission of a report to the Records Management Division, TN Secretary of State s office.

  5. Coordinator Responsibilities Why am I here?

  6. 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.

  7. Terminology Words mean things.

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

  9. RDA Example

  10. Creating New Record Series Creating records about records.

  11. Creating a new record series

  12. New records, page 1

  13. New records, page 2

  14. 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

  15. 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.

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

  17. Navigating to records, part 1

  18. Navigating to records, part 2

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

  20. Requesting approval

  21. Requesting approval

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

  23. Final Updates Records are Destroyed Gone in 60 seconds.

  24. Confirmation

  25. Confirmation

  26. Process Map No compass required.

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

  28. Confirming Accuracy What is real?

  29. 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.

  30. 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.

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

  32. Resources CAERM site: https://www.mtsu.edu/caerm/records_management_re tention.php Tennessee Secretary of State records site: https://sos.tn.gov/rmd Email CAERM at recordsretention@mtsu.edu

  33. Questions? Was I in the right training?

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