Records Management

What is the program’s mission statement or statement of purpose? Why does the program exist?

Records Management Mission:  to work collaboratively to provide education and communication for EIU employees regarding Records Management and compliance.  the program exists so that the University will be compliant with the IL State Records Act.

How does the program mission align with the university mission?

Without the integrity of the university's records, the student's education could be compromised.  Academic departments and the Office of the Registrar are examples of how important records are for the University's mission.  Also, as a public institution, it is imperative that we comply with the state's requirements; records management being one of those.  Also, the business functions of the University are of vital importance.  An entity will not endure if financial records are not retained accordingly.

Whom does the program serve?

Records Management (RM) serves every department/unit on campus.  Every EIU employee is responsible for records retention according to each department's records retention schedule.  The RM unit provides training (for departments and individuals) to ensure up-to-date information is disseminated.  Also, the RM unit provides storage (approximately 1500 cubic feet currently) and shredding of records for campus.  In the past three years, approximately 2500 cubic feet of paper records have been shredded.  The security of the records is very important; restricting access to only approved individuals and overall security for records is extremely important to the University.

What are the services provided? How do these services align with the university mission and program mission?

State Records Act mandates record retention and disposal.  Every department/unit on campus has (or should have) a retention policy.  Again, if records are not maintained, then the integrity of the student information and the business continuity could be compromised.  The role of RM is to provide leadership to ensure records are retained appropriately, encourage compliance of life of the record by shredding according to the retention schedule, and provide information for the transition from paper to electronic records.

Describe the program’s origins (e.g. year established, purpose, expectations).

The State Records Act was amended to include state universities in 1984.  The purpose of the Records Management department is to provide education and training so all records can be maintained and disposed based on value of the information of the record.  The expectation is that every unit on campus retain and dispose of records according to the department's retention policy. 

How has the unit changed or adapted over time?

The purpose of the unit has not changed--to be compliant to state mandates.  However, the format of the records have evolved over time.  More of the records are now electronic rather than paper.  Departments must maintain the integrity of the record in order for the University to continue to function in its role regardless of the format used to retain the records. 

If needed, provide supplemental comments to help the reader understand the program’s history and relevance to university mission.

Provide data, if available, on the numbers of students, faculty, staff, or others served by the program during the past four years. If no data are available, please estimate the numbers served annually.

There are approximately 150 different departments/units on campus that have retention schedules.  The Records Manager provides training to all of the departmental contacts and works with the employees for disposal approval, storage of records, updating retention schedules, and to provide other assistance as needed. The Records Storage Center houses long-term records for many campus units.  The disposal (shred) of records is also performed in the Records Storage Center.

Does the program offer any co-curricular opportunities for students (e.g., internships, RSO support, service-learning activities)? Please describe.

In order to maintain the security of records, no students are allowed access to the Records Storage Center. 

Does the program contribute to the delivery of academic programs (e.g., providing professional expertise, serving as adjunct faculty)? Please describe.

No.

If needed, provide supplemental comments to help the reader understand the internal demand for the program. Note any clarifications or special circumstances (e.g., curriculum changes made by another program) that should be considered when reviewing the above data.

Is the program accredited or approved by a recognized external agency or otherwise certified to meet established professional standards? Provide an executive summary of and link to the program’s most recent accreditation or certification report, if available.

The Records Management unit works with the State Records Commission, which is part of the Illinois Secretary of State.  There is no certification required at the state level.  EIU's Records Manager is a member of International ARMA (Association of Records Manager and Administrators) and has been since 2005.  This group promotes high standards for the records management field and there are various levels of certification from this professional entity.  Cathy Kimball has attended two international conferences and attends several meetings every year at the regional chapter level.  She has also completed over a dozen webinars via ARMA's website.

Is the program required to meet any regulatory or legal requirements? Is the program subject to any special auditing requirements?

Compliance with the State Records Act is the only legal requirement for EIU.  The RM works closely with the employees of the State Records Commission.  The Records Management unit provides assistance to departments so they can meet compliance to state regulations.  The unit is not subject to special auditing.  The RM Department completed an internal audit during September/October 2013. 

What are the most important outreach or public service activities supported by the program?

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How do the local community and the region benefit from the program?

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If needed, provide supplemental comments or data sources to help the reader understand the external demand for the program.

What are the two or three more important measureable outcomes tracked to assess program quality? Does the program conduct an outcomes assessment, and if so, what has been the impact?

The RM tracks the progress made on the development and updates of retention schedules for the University.  The RM works collaboratively with the State Records Commission employees in tracking completion of new retention series.  She also tracks the volume of records that have been stored and disposed for campus.  Every request for disposal comes to the RM who forwards the State Records Commission.  Tracking also includes a "Destruction Certification Log" sheet be completed for all records shredded by the RM unit which is a requirement by the State Records Commission. 

What are the two or three most effective best practices that the program has implemented? What benefits have been gained from implementing these best practices?

The RM promotes the Best Practice program developed by the International ARMA, called "The Principles". These Principles for Records Management are:  Accountability, Transparency, Integrity, Protection, Compliance, Availability, Retention, and Disposition.  Updates to the RM area include a new shredder which has increased productivity for disposal (shred).  Bar-coding of boxes and organization of the Records Storage Center has improved efficiencies in storage, retrieval, and disposal.

What external recognitions (e.g., awards, accommodations, professional certifications, references in trade publications) have the program and its staff received in the past three years?

Cathy Kimball, Records Manager, has been a member of the "International ARMA" group since she assumed the role in 2005.  She has served on the local chapter board of directors from 2006-present.  She is currently the "Immediate Past President" and continues to provide assistance to the chapter and attend meetings.  Cathy was voted as Central IL ARMA Chapter Member of the Year for 2010 and 2013.

Is the program active with any regional, national, or international professional organizations?

The local chapter is a regional one which covers the Central IL region--southern point is Charleston, IL and northern point is Peoria, IL.  "International ARMA" has 27,000 members from around the world. 

Note any presentations, publications, or offices held in the last three years.

Vice President of Central IL ARMA Chapter Board--2010-2011

President of Central IL ARMA Chapter Board--2012-2013

Immediate Past President of Central IL ARMA Chapter Board--July 2013 - present

If needed, provide supplemental comments or data sources to help the reader understand the quality of program outcomes.

Note any special benefits (e.g., personnel support, equipment, permanent improvements) that the program has received in the past three years from its grants and other sponsored programs.

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How does the program benefit from donor gifts (e.g., scholarships, endowed chairs)? Does donor support provide a significant percentage of the program’s overall funding?

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List two or three key relationships that the program maintains with external constituencies (e.g., community colleges, other universities, government bodies). How do these relationships advance the university mission or otherwise benefit the university?

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If needed, provide supplemental comments to help the reader understand the resources generated by the program. Note any clarifications or special circumstances (e.g., revenue pass-throughs) that should be considered when reviewing the above data.

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Provide an executive summary of and link to any metrics or benchmarks that the program tracks to measure productivity.

Sister universities in the State of IL (Western and IL State) are of a comparative size, and are comparable in staffing levels.  University of Illinois has several staff to cover all three campuses.  There are no benchmarks available from the IL State Records Commission.

What initiatives has the program implemented to enhance staff productivity (e.g., access to training, workflow improvements)? Briefly describe the costs and benefits of these initiatives.

Staff consists of one 50% employee, plus one temporary extra help employee.  With the upgrade to a new shredder unit, the time required to shred has been cut by approximately 75%.  Re-organization of the storage area has reduced the amount of time spent searching for a record when retrieval of a record is necessary.  Organization has also improved efficiencies in the disposal process, as boxes are located in one general area and easier to access.  Software usage which resulted from the implementation of the bar-code processing has also increased efficiencies in the disposal process. 

If needed, provide supplemental comments to help the reader understand the productivity of the program. Note any clarifications or special circumstances (e.g., accreditation requirements, curricular changes, program restructuring) that should be considered when reviewing the above data.

If needed, provide supplemental comments to help the reader understand the costs associated with the program. Note any clarifications or special circumstances (e.g., expenditures made centrally or externally, expenditures made on behalf of other units) that should be considered when reviewing the above data.

As RM, I am only half time for this assignment.  I work the other half time for the Director of Facilities Planning & Management.

Currently my salary is paid from the Facilities account, 135000.  In 2011, I was able to hire one temporary extra help employee to perform the shred of paper records.  The purchase of the shredder was from VPBA office.

The $6,000 in 2011 for Administrative was for a person working in a different area; not records management.

How does the program seek to distinguish itself from similar programs at other institutions?

The Records Manager is working to improve the program at EIU.  Recently, an Advisory Group was created to increase collaborative efforts on campus. 

Note any unique and/or essential contributions that the program makes to the university.

The main focus of the RM unit is for EIU to meet compliance of the IL State Records Act and to promote "Best Practices" for Records Management.

Provide any program-specific metrics that help to document program contributions or program quality. Examples of some commonly used program-specific metrics may be found here.

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If needed, provide supplemental comments to help the reader understand the program impact on the university mission.

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Provide a link to or listing of the program’s goals and/or strategic plan.

The Records Manager is currently working with other universities in the State of Illinois.  U of I at U/C has recently developed training materials and the EIU Records Manager requested and has been granted access to the copyrighted materials.  Other materials are being created to improve the RM website and provide more training for employees.  The program goal is to develop measureable outcomes to indicate improved compliance on campus.  This can only occur if the Records Manager is allowed to work full-time in this area.

Program goals to improve compliance are:

1. implement an audit of RM programs for each campus departments

2. enhance training materials

3. update website

What role will the program have in the implementation of the university’s strategic plan (provide link to strategic plan)?

The RM unit will continue to support the business functions of the University with Records Management "Best Practices" and meet compliance with IL State Records Act.

In the next two or three years, what best practices, improvements in operations, or other opportunities to advance the university’s mission are likely to be implemented?

International ARMA has developed a copyrighted program, called "The Principles".  These principles relate to Best Practices for Records Management, with emphasis on:  Accountability, Transparency, Integrity, Protection, Compliance, Availability, Retention, and Disposition.  If funded to full-time status, the Records Manager would incorporate more awareness within these areas.  The RM would also implement an electronic audit form for Departmental Records Coordinators and utilize information as measurement of compliance and improvements.

If needed, provide supplemental comments to help the reader understand future opportunities for the program.

Opportunity for the RM program to be less of an isolated unit and work more collaboratively with IT to enhance the safety and security of records and information on campus; especially as we continue to move away from paper records and into electronic record retention.