Department Record Management Plan
All departments must develop a Records Management Plan (RMP). The RMP is essentially an inventory of department records that describe the record and link to an approved record schedule with the correct retention period and disposal method.
1Familiarize Yourself With Records
To create a plan, it's best to understand what records your department uses. This includes records in file cabinets, shared computer files and database or software systems. List systems you use but may not be in charge of, such as the Registrar or Student Billing.
2 Create an Inventory
Catalog all records created and used by your department using an Inventory Management Worksheet. This worksheet is your department's Record Management Inventory Plan. During this assessment, match these records to an approved record schedule, which are approved by the State Public Records Board and are the only source for determining the duration a record must be maintained.
Inventory Management Worksheet Example
| Electronic Software or Paper Folder Location | Department Record Description | Dates | Record Schedule # | Record Schedule Title | Retention | To Archives | Destroy | Confidential? | Original or Copy? |
|---|---|---|---|---|---|---|---|---|---|
| E-File BP Logix | Accident Reports | 2020-2022 | RISK038 | Liability Incident | EVT+11 Years | X | X | O | |
| Z Drive Folder: Projects | Project Working Files | 2022-2023 | ADMIN402 | Project Records | EVT+5 Years | X | O | ||
| File Drawer: Invoices | Invoices Uploaded to Shop+UW | 2014-2023 | FIS00020 | Receipts & Disbursement Transactions | FIS+6 Years | X | C |
Electronic Records
Electronic records, including software system records, are the SAME as paper records as far as retention applies and should be included on your worksheet. As with all records, you should pick a file structure that suits the needs of your office and consistently use that structure. There are some considerations that may help you with managing your electronic records. The goal of naming records is to find them later! Specifically, if someone is looking for a record five years from now, would they know what to search for to find it, or is it only understandable to you and those in your department? Setting up a naming convention avoids confusion in locating records and new employees can maintain a consistent style.
Emails
Email is the most common electronic record, but it's also one of the hardest formats to deal with in records management. Microsoft Outlook retains emails as long as you have an open account, access it at least once a month and do not exceed your storage limits, so you essentially retain all of your emails for the duration of employment with the University. However, before deleting any, you'll need to determine if these records are transitory or require to be retained per a record schedule.
| Action | Details |
|---|---|
| Sending Emails | When sending emails, think about how you can best locate this email later. The subject line is the most critical component. As emails are saved into folders later, locating them later is easier if the subject line is more specific. Examples of subject lines: FYI: Record Schedule Changes to Transitory Records 2022 Request Review: GRC Meeting Minutes 01252018 |
| Saving Emails | Once an email is received, users may save the email into a folder to review or recall at a later date. Setting up email folders will be beneficial should records need to be transferring to the Archives per a record schedule. Examples of folders: Contracts Meetings Purchasing |
3 Identify Disposal Options
After you complete the worksheet, your department will have an accurate inventory to make the disposal process easier once a record retention period has passed. You'll be able to quickly identify records, both paper and electronic, that are ready for archiving or disposal.
4 Retain Your Records
All employees in your department should be aware of the Record Management Inventory Plan and where it is located. Forward the plan to the Records Officer at maines@uwgb.edu. Sandi will notify departments annually to review your plan and make any updates.
Ask an Expert
Managing your records can be a time-consuming process, but Sandi Maine-Delepierre, Records Officer, is here to help! She can answer any questions you have about records management.