Sample Records Management Plan
Records Management Plan
Records inventory workbook or database
Refer to attached “[Department Name] Records Inventory.”
Unit Records Contact (RC)
Quality assurance process for centrally imaged master records
We submit payment vouchers to be imaged by Imaging and Documentation Servics (IDS) for final approval and payment processing. A copy of the submitted materials are retained until the voucher is marked APP in *DEFINE or until the the vendor is payed. We submit post payment audit and VP7 documents to IDS to be imaged and retained as the master record. The department’s document reviewers are responsible for verifying the legibility and completeness of records that are submitted. Document reviewers work with document creators to correct/complete documentation before submission. Document creators are responsible for destroying hard/convenience copies.
Quality assurance process for departmentally stored imaged master records
Refer to signed acknowledgement. Record types that are imaged in the department are noted in the record inventory.
Management of email
Since email mailboxes are quite large, staff regularly delete only transitory emails. Staff are encouraged to periodically review email to delete transitory and convenience copies. Staff understand that they cannot delete email master records without an approved disposition. Disposition of email master records is completed as part of the annual disposition, as time allows.
Staff are required to file email in subfolders of their inbox to ease search/retention. Staff are also required to save to the server critical emails related to policy interpretation/specific record series. Emails saved to the server retain all required metadata and are included in the annual disposition process.
Annual review of records inventory and management plan
The records inventory and management plan will be reviewed each Spring.
Management of four record types
Management of specific master records, convenience copies, and transitory information is detailed in the record inventory.
Master records: Routine disposition of master records will take place each Spring. The Unit Records Contact will review the server, UT Box, wiki, paper records, and email as described in #5. The Unit Records Contact will prepare the disposition form; the Senior Associate Dean will approve.
Convenience copies: Paper convenience copies are regularly shredded. Electronic convenience copies are reviewed during the annual disposition.
Transitory information: Paper transitory information is regularly shredded. Electronic transitory information, if any, is reviewed during the annual disposition and deleted. Staff regularly delete transitory emails.
Non-University systems: We do not store records in non-University systems.
Departmental shredding of confidential/sensitive documents
We use a departmental shredder to dispose of confidential/sensitive convenience copies. The shredder meets University requirements; it is a cross cut that shreds to .16 inches x 1.38 inches. List names of department users authorized to shred; these users have been trained about which records may be shredded as convenience copies. Documents awaiting shredding are stored in locked offices/cabinets; shred is placed in recycling bins.
Commercial shredding of confidential/sensitive documents
For commercial document destruction/shredding, we use the approved CCG vendor as described in HBP 20.7.3. (List names of vendors, e.g. ATI, Document Solutions)
Departmental shredding of documents that are not confidential/sensitive
We dispose of convenience copies that do not contain confidential/sensitive information in University recycling bins.