From Paper to Paperless:
Records Management in a Decentralized Environment

Jenny Mehmedovic
Assistant to the Vice Provost
for Information Services
University of Kansas

ECURE 2002

October 10, 2002

Page 1

Presentation Objectives

• Case Study in records management
  • How we got started
  • Where we are now
  • Where we still need to go
• One size does not fit all!

ECURE 2002

October 10, 2002

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KU Environment

• Institutional stats
  • 26,000 students
  • 1,600 faculty
  • 3,000 staff
• Archivist role
• Lack of central records mgm’t function
• Movement towards electronic or web-based records ONLY w/o understanding of retention impact
• Highly decentralized
• Large state institution

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Success Factors

• Support of CIO and other high-level administrators
• Strong relationship with state records managers and archivists
• Very apparent need for focused attention to records management
• Setting realistic goals

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Setting the Stage

• “Buying” administrative support

Student Affairs Human Resources Institutional Research data Warehouse Libraries Comptroller

Financial Aid Registrar Internal Audit General Counsel Archives ID Card Administrator

• Invoking the law
• Gathering names

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Getting Started

• Invitation to kick-off meeting
• Presentation of Task Force charge
• Laying the “Law of the Land”
  • Open Records Act
  • Public Records Act
  • Gov’t Recorsd Preservation Act

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Task Force Charge

• The purpose of the task Force is to serve as a coordinating body for University record management and preservation. Our responsibilities include:
  • Develop a typology of University record groups to facilitate policy development.
  • Advise University officers and system adminitrators on policies concerning:
    • Access to records
    • Privacy parameters
    • Retention schedules
  • Establish record use policies for major University record groups and systems, in consultation with system leadership and management.

ECURE 2002

October 10, 2002

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The Matrix

• BEFORE
  • gensched.jpg
• AFTER
  • matrix.xls

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October 10, 2002

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Organization of Participants

• Task Force Chair
  • Assistant to VP Information Sercives/CIO
• Working Subgroup Chairs
  • Financial
  • Student
  • Human Resources
  • Libraries
  • Administrative
• Key Liaisons
  • University Archivist
  • Ex-officio representative of Kansas State Historical Society
• As-needed liaison
  • University General Counsel
  • Director. Internal; Audit
  • VP Information Services/CIO

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Working Subgroups

• Financial subgroup co-chairs
  • Comptroller
  • Director of KU center for Research
• Student subgroup chair
  • Associate VP for Student Affairs
• Human Resources subgroup co-chairs
  • Director of HR
  • Systems Administrator for HR
• Libraries subgroup co-chairs
  • Associate Dean of Libraries
  • Head of Access Services, Libraries
• Administrative subgroup chair
  • Director of Institutional research & Planning

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Reaching for the Moon

• Wow!
  You mean we can influence...
  
  
  • Authentication/authorization?!
  • Access/security protocols!?
  • Data warehouse system?!?

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October 10, 2002

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Setting Realistic Goals

• 1st phase
  • Identify as many records as possible
  • Determine retention/disposition periods
  • Identify who HAS access &' who GRANTS access
• 2nd phase
  • Identify related University policies and/or federal, state, and local laws
  • Identify data type, storage method, and systems
  • Develop educational strategy to assist implementation by data stewards

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Timeline

CIO’s proposal to upper admin

Call to Participate

Kick-off meeting

Task Force begins work in subgroups

Nearing completion of 1st phase

---

Oct. ’01

Jan. ’02

Mar. ’02

Apr. ’02

Oct. ’02

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October 10, 2002

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Lessons Learned

• Find the right level of record specificity
• Break it down into layman’s terms
• Focus on records by function, NOT organizational structure
• Recognize other projects that intertwine with and support records management
• Be realistic, but optimistic

ECURE 2002

October 10, 2002

Page 14

Questions?

ECURE 2002

October 10, 2002

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Contact Information

Jenny Mehmedovic
Assistant to the Vice Provost for
Information Services
University of Kansas
jmehmedo@ku.edu

ECURE 2002

October 10, 2002

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