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Records Management for IT

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Brad Houston

on 4 April 2017

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Transcript of Records Management for IT

Special Cases
Records of the business unit
(or, keeping the lights on and employees paid)
UITS-Specific Records
What is Records Management?
In short: how to work with your records and retain/dispose of them properly.
: Information used to document a decision of transaction.
Record status is determined by content, not format!
Database rows also can be records
Official Record
: The copy of record produced for public records requests
Record holder
: person responsible for producing the official record
: Group of records that support the same function
Records Management for IT
Retention Schedules
Also called Records Retention and Disposition Authorities (RRDAs)
Describe retention rules for records at *series* level:
Series Title
Series Description (incl. individual document types)
Triggering Event (i.e. when to start counting)
Retention Period
Disposition (Destroy, Destroy Confidential, Archive)
A list of UW-System records schedules is available at http://uwm.edu/libraries/archives/uwm-records-management/general-record-schedules/

Not everything is a record.
Non-Records Include:
Duplicate Copies
Drafts/Informal Notes*
Routing Slips
Personal Correspondence*
These are records series common to most campus units:
Fiscal/Accounting Records (Accounts Payable/Receivable, Capital Inventories, Reconciliation)
Personnel Records (P-Files, I-9s, Complaints)
Payroll Records (Leave requests, enrollment reports, etc.)
Administrative Records (meeting minutes, policies, publications)
General Records Schedules
Your records responsibilities
Know who holds the official copy of records
HR and/or PReps: most personnel records
HRS/Peoplesoft: many payroll records
Office head/supervisor or designate: administrative records
records are located
Create a file inventory!
Retain records for full retention periods
Destroy unofficial copies when no longer needed
Avoid "shadow systems" where possible
(or, the records that have to do with your actual job)
UW-System IT General Records Schedule
Records in the following functional areas:
IT Business Project-related
Computer Operations and Technical Support
Network/Data Services
Data Administration
Information Security and Disaster Planning
Backup tapes are specifically excluded from this schedule.
Should be used for disaster recovery only
Otherwise: ENTIRE tape needs to be retained length of longest unmet retention period
Records can (& should!) be kept in original format (WI Admin Rule 12)
Best practice: export long-term records from 3rd party systems
A few covered series (and retention examples)
Project Plans/Charters
: 5 years and send to archives
Software and Documentation
: Retain as long as software-dependent records are retained
Audit Trails
: 4 years after audit completed and destroy
Support Service History and Summary
(incl. Help Desk logs): 1 year and destroy
Info Security Incident and Investigation Records
: 5 years after resolution and destroy
Source Code
: 3 years after superseded and destroy
Don't laugh! I found printed source code in recent appraisal
E-Mail Records
Most fall into one of two series:
Transitory: Retain until no longer needed
Routine: Retain 6 months after close of project/transaction
If an email record falls into another series, that email must be kept according to that series' retention period.
Yes, that includes attachments!
Short-term email recommendation: inbox rules and folders
Long-term email recommendation: export!
...But make sure you're managing the PST/MBOX file as well
I don't have to go over security issues with 3rd party clouds with this group... right?
Official Records In OneDrive
: OK...
...But make sure your permissions are set correctly
Not great for storage of long-term records
Official Records in SharePoint
: ideal for records requiring collaboration
Use document libraries/content types/records management functionality
Power User training coming soon! (I hope)
Web Records
Web pages and uploaded documents can be records if they contain unique information
"Can" does not necessarily mean "should"
UWM Archives uses Internet Archive's Archive-It tool to capture an annual snapshot of UWM's site
Some exclusions: large datasets, forms, procedure documents
Let us know if you want a particular site crawled or excluded
For particularly important material: consider downloading/sending to archives
Recent example: SQL dumps and images from News Services' press release site
Thank You!
Brad Houston, University Records Officer
UWM Libraries, Archives Department
Phone: 414-229-6979
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