Challenges of Implementing Retention. March 9, 2017

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1 Challenges of Implementing Retention March 9, 2017

2 Agenda Retention Schedule Definitions Approaches Challenges Implementing

3 A Retention Schedule Should: Provide retention requirements for the organization Comply with Federal & State laws and regulations Reference legal and regulatory citations Support the business needs of the organization Should include a reference for non-record information Be suitable to implement in both a physical and electronic records environment Be kept up-to-date with changes in laws & regulations

4 Retention can be Applied to: Physical Folders (Active Records) Physical Boxes (Inactive Records) PCs and Shared Drives Content Management Systems, for example: SharePoint, OnBase, and FileNet Structure Information Systems Departments (can be all of the above)

5 Policy vs Retention Schedule Policy - Broad and stable (rarely changes) - Approved by leadership - Approval is slow (1 to 2 years) Retention Schedule - Detailed and fluid (ongoing change) - Approved by the Records Management Committee - Ongoing approval needs to be fast

6 Departmental Retention Schedule A

7 Departmental Schedule Shortcomings Thousands of Record Types across the organization Inconsistent naming across departments Difficult to keep up-to-date Difficult to apply to boxes Many types of records are often placed into a box Difficult to apply to information systems Many types of records are associated with a system Difficult to apply rules to a variety of records in a single information system process

8 Functional Retention Schedule Normally 100 to 200 Record Categories With fewer categories, it can be updated more easily Aligns with the major business processes in an organization (i.e. Legal and HR) Aligns with key information system processes Departments lose their list of records Can promote common naming of Record Types Lose the Department s List of Records to Retain

9 Components of a Functional Schedule Function Record Category (Record Series) Description Example Record Types Retention Period Retention Event (When Retention Begins) Citations (Reference to Laws and Regulations)

10 Functional Retention Schedule Structure Business Function Human Resources (HUM) Record Series Where Retention is Managed HUM03 Employee Recruitment and Selection 3 years HUM07 Personnel Files Non-Medical 6 Years after Termination Record Types Inherits Retention Applications Resumes Background Checks Performance Appraisals Promotions Transfers

11 Functional Retention Schedule 11

12 Two Major Types of Records Individual Records (Subject) Retention is managed for each Record Time-based Retention Retention begins at Creation or when it is received Administrative Records or Meeting Minutes Case-based Records (on average 2/3 of your records) Retention is managed as a group of related Records Event-based Retention Retention is not known at Record Creation Project Files Retention begins at Project Closure Contract Expiration Retention begins when Contract Expires Employee Files Retention begins with Employee Departure Asset Files Retention begins with the Sale or Discontinuance of an Asset

13 Examples from a Retention Schedule Time-based Record Categories ADM01 Routine Administrative Support FIN01 Banking Transactions FIN05 - Capital Equipment Inventory HUM07 Payroll STU13 Transcript Requests Event-based FIN05 Capital Property/Fixed Assets FIN10 Investment Management LEG01 Contracts and Agreements LEG06 Dispute Resolution and Litigation STU23 Student Records

14 Common Retention Language Time-based: 3 = 3 years after creation 3 ECY = 3 years after the end of the calendar/current year 3 EFY = 3 years after the end of the fiscal year Event-based: 6 years after contract expiration 3 years after project completion 6 years after termination

15 Most Common Retention Challenges Keeping a Retention Schedule up-to-date Departments knowing what they have and how long to keep it Applying Retention to information systems Applying Event-based Retention How will Records Management be notified that physical records have met their retention? How will systems be notified of retention events Getting people to destroy records when retention is met

16 When Implementing Retention Retention rules must be translated into your electronic records environment Descriptive retention periods cannot be applied directly into electronic systems Most systems cannot handle Event-based rules Avoid Event-based retention whenever possible! 6 years after termination/retirement 50 years 6 years after agreement/contract 20 years

17 Applying Retention to Physical Records

18 Folders and Boxes Active to Inactive Folders Use year tags to identify last use Place into boxes & inactive storage when no longer in use Boxes are placed in low-cost storage Retention begins or is calculated when added to box Boxes often contain records of mixed retention (try avoid) Boxes are often reviewed before destruction, as the department isn t quite sure what is in the box Often managed by barcode tracking solution (check in/out) Boxes are destroyed when all of the contents has met retention

19 Applying Retention to Information Systems

20 What are Information Systems? Tables and Relationships

21 Multiple, Related Tables Make Up a Record

22 Applying Retention to Information Systems Work with stewards and custodians to evaluate retention needs for each system (does the system contain records?) Does the system have retention capability? If so, work with and provide retention requirements to system stewards and custodians Can retention be manually applied to the system? If so, work with and provide retention requirements to system stewards and custodians If retention cannot be applied to the system: Determine how retention will be addressed (retain all, archive) Add retention capability next time system is modified

23 Applying Retention to Content Mgmt Systems Example: Using SharePoint and RecordLion

24 Appling Retention to SharePoint Retention is based on: Date Created Date Modified Manually Declared as a Record Limitations Include: Retention applied to Libraries or Content Types Based on Date Modified or Created Events can only be applied manually, one-at-atime

25 Steps to apply Retention to Content Mgmt 1. Review RRS (Translating) 2. Identify Triggers (Time-based and Event-based) 3. Create Policies (Retention Rules) 4. Define File Plan 5. Build Rules from File Plan 6. Map Rules to System These steps apply, regardless of the system you are using

26 1. Review Your Retention Schedule 26

27 2. Define Retention Triggers Must Address: Time-based Retention Event-based Retention

28 3. Define Retention Rules

29 4. Define File Plan Record Categories associated with Retention Rules A Retention Rule can be applied to many Record Categories For Case-based, Define the Rule: What Folder will be used to group them? What ID field will be used to group them?

30 5. Build Retention Rules Record Classes Lifecycles

31 6. Map Record Categories to System Property Operator = Value Contract Data Type Text Join Operator = Value Contracts Data Type Text Join None Operator = Value Contracts Data Type Text Join None Operator = Value Contracts Data Type Text Join None

32 Implementation Retention at BYU

33 Implementing Retention at BYU General Retention Schedule (GRS) is Functional-based Published on the BYU Policy and Implementing Procedures site as an Implementing Procedure Department Retention Schedule (DRS) Provides listing of records to depts Retention is derived from the GRS Each Department manages their own DRS, but approved by RIM Using SharePoint to manage DRS

34 Common Records List

35 Department Retention Schedule

36 Records Operation Center Manage Department Records Liaison list Manage Department Requests for Boxes and Folders Track location of Boxes and Folders (uses barcodes) Manage disposition processing Prints barcode labels Reporting

37 Lists and Reports

38 Using SharePoint

39

40 Content Type HUB & Managed Metadata

41 Content Types, Site Columns, Metadata

42 Metadata vs. Folders

43 Metadata vs. Folders

44 Questions and Contact Info Questions For more information, contact Howard Loos