Records Management for UW-Madison Employees – An Introduction

UW-Madison Records ManagementUW-Archives & Records Management

2012

Photo courtesy of University Communications

Why Records Management???

Records Management is defined as: Applying Systematic Controls on records throughout the entire records Life Cycle.

Active Records Inactive Records Disposition

Records over time go from an active phase to an inactive phase to final disposition.

The records Life Cycle consists of:• Records Creation• Distribution and Use • Storage and Disposition

1. Maintain University Records in accordance with the 8 Generally Accepted Recordkeeping Principles.

2. Ensure that all needed university records are retained and managed in all formats (paper and electronic).

3. Ensure that all university records that are required by statute and state regulations are kept according to law.

4. Ensure that users can access university records efficiently and in a timely manner.

5. Ensure that all university records are authentic and reliable.

6. Establish University Policy to ensure records are destroyed in the normal course of business in accordance with retention policy.

7. Following litigation hold procedures to respond to litigation, audit or open record requests.

UW-Madison Records Management Program Objectives:

University Records Management Best Practices: 8 Principles

Remember: ATIPCARD

As a key resource in the operation of the University, records must be created, organized, secured, maintained, and used in a way that effectively supports the activity of the University, including:

1. Facilitating and sustaining day-to-day operations.2. Promoting organizational efficiency by allowing for efficient access

to information in all formats and media.3. Reducing space constraints and saving storage costs in cabinets and

server space.4. Assisting in answering questions about past decisions and activities.5. Demonstrating and documenting compliance with applicable laws,

regulations, and standards and reduces risk.6. Provides a way to preserve historically valuable university records.

What are the Generally Accepted Recordkeeping Principles and why are they

important?

Components of an Effective Records and Information Management Program include the following University Policies and Procedures...

RECORDS MANAGEMENT POLICY & PROCEDURES

Records Inventory &

Classification

Record Analysis and

Retention

Records Storage & Migration

Vital RecordsDisaster

Prevention & Recovery Planning

Disposition

Records Management is more than Records Retention......

Graphic Courtesy of OSU Records Management

Records Inventory & Classification

• How and where are paper and electronic records stored?

• Is there a File Plan for the records in the Dept or Unit?

• How are paper/electronic records Organized, Classified and Named?

• Can the records be found now in a timely manner and in the future for open records request or litigation?

Records Inventory &

Classification

Records Analysis and Retention• Records Analysis identifies and documents what records the

department/unit creates.

• Under Wis. Stats. 16.62(4): agencies must identify the period of time to retain public records in a retention schedule and obtain Public Records Board approval of that policy.

• Retention Policy determines how long the university keeps

records.

• Policy is based on the Value of the record – Legal, Operational, Historical, and Research.

• Applied to both electronic and paper university records and is applied in the normal course of business.

Records Analysis and Retention

Records Storage & Migration

• Are Filing Cabinets, Shared Network Drives, E-mail or Cloud Storage organized and planned out?

• Is a uniform filing system and standardized file formats being utilizing for storage of both paper and electronic records?

• Is there a plan to migrate records from old application systems into new systems? (Wis. ADM 12)

Records Storage & Migration

Vital Records Program

• Vital records are those records which are crucial to the operation of the university.

• About 3% of an organizations records are considered vital.

• Have a plan for where these records are to be kept in case of a disaster- Tornado, Water, Fire, Earthquake etc.

Vital Records

Disaster Prevention & Recovery Planning

• Emergency Preparedness aims to limit damage from disasters or other emergencies.

• When damage occurs, good Emergency Response and Recovery helps save more records in usable condition.

• A list of Vital Records should be included with a Disaster Recovery plan.

Disaster Prevention & Recovery Planning

Disposition

Disposition is an accepted phase of the records lifecycle.

Record are disposed of at the end of the lifecycle.• Transfer and Accession into Archives• Destroyed

Based on the Records Retention Policy.

Completed within the Normal Course of Business.

Record schedules are suspended for discovery and litigation, audit or open records requests.

Disposition

Identifying University Records and where they live......

Photo courtesy of UW-Parkside Archives

University Records are stored in many formats and in many devices.....

Text & ChatElectronic Files

Websites & Social MediaPaper Files

Databases

Personally Owned Devices

E-mail

FAXNetwork Shared Drives

Desktop Personal Drives (m –drive)

How Do I know if I have a Public Record?Was the record created in the course of business?Does the record document university activities and actions?Is the record mandated by a legal requirement?Does the record support financial obligations or legal claims?Does the record communicate University requirements?

Identifying Public Records

Public Records are defined in Wisconsin State Statute 16.61 and 19.32.

If you answered

YES

If you answered

NO

Must maintain accurate linkages to sites.

Must be able to produce records that will continue to have meaning throughout their life.

Must have the capability to delete and purge records from a system in accordance with an approved records retention schedule.

Must be able to accurately reproduce a record with a high degree of legibility and readability and correctly reflect the original record.

Must insure the records authenticity. Information systems must be able to document that only authorized persons were involved in the creation, receipt, transmission, maintenance and disposition of records.

Must have a documented migration plan for electronic records.---------------------------Tools: See Administrative Rule 12: Legal Requirements for Public Records on Website.

Wisconsin Administrative Rule 12 – Electronic RecordsElectronic Public records are covered under Administrative Rule 12 and requires the following:

Apply the Generally Accepted Recordkeeping Principles: Accountability, Transparency, Integrity, Protection, Compliance, Accessibility, Retention and Disposition. http://www.arma.org/garp/index.cfm

Identify Departmental or Unit records through conducting a Records Inventory and developing a File Plan for your Department/Unit records and document it for future users.

Develop Departmental or Unit Records Management Procedures for the Creation, Use and Disposition of records kept in all formats.

Contact the University Records Officer for a Records Management Consultation recmgmt@library.wisc.edu

Photo by P.Eusch

It’s Time to Land....

So come and visit the UW-Madison Records Management Website for more information on:

UW-Madison Records Management Website

•To find out “What's New”•Overview of Records Management•University General Retention Schedules•State Records Center and Offsite Storage•Records Management Training •Records Management Resources/Bulletins•Legal Requirements for Public Records•Campus Records Review Group

http://archives.library.wisc.edu/

We are also on Facebook.

This concludes the Introduction to University Records

ManagementFor more information please visit the UW-Madison Records Management website at http://

archives.library.wisc.edu/records/Index.html

And visit us on Facebook: UW-Madison Records Management

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