Presentation on theme: "Records Management for UW-Madison Employees – An Introduction UW-Madison Records Management UW-Archives & Records Management 2012 Photo courtesy of University."— Presentation transcript:
Records Management for UW-Madison Employees – An Introduction UW-Madison Records Management UW-Archives & Records Management 2012 Photo courtesy of University Communications
Applying Systematic Controls Records Management is defined as: Applying Systematic Controls on records throughout the entire records Life Cycle. Active RecordsInactive RecordsDisposition 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.
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.
Components of an Effective Records and Information Management Program include the following University Policies and Procedures... Records Inventory & Classification Record Analysis and Retention Records Storage & Migration Vital Records Disaster 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 (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, 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
Text & Chat Electronic Files Websites & Social Media Paper Files Databases Personally Owned Devices FAX Network 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? Public Records are defined in Wisconsin State Statute and
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.
Apply the Generally Accepted Recordkeeping Principles: Accountability, Transparency, Integrity, Protection, Compliance, Accessibility, Retention and Disposition. 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 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 / We are also on Facebook.
For more information please visit the UW-Madison Records Management website at And visit us on Facebook: UW-Madison Records ManagementUW-Madison Records Management Music By