UW Madison Electronic Records and Information Policy Principles
The University of Wisconsin-Madison recognizes the impact of changing
information technology upon its informational resources. These changes
have a profound effect upon its corporate memory, and the continued success
of its mission. The University Archives and Records Management Service
(ARMS) strives to maintain and preserve the University's cultural heritage
and meet the institution's records obligations. The University needs to
provide increased support to ARMS for the continuing accomplishment of
those objectives. ARMS has worked with the University community to meet
those objectives in the past and will work to insure the successful completion
of them in the future.
In the years ahead, many of the traditional items in an academic archive
will be available only in electronic or digital formats. The maintenance
and preservation of electronic archives is a shared responsibility requiring
the commitment of the information creator, information technology staffs,
campus administration, and the archives. This statement of policy principles
addresses the continued mission of the University Archives and Records
Management Service and the new resources that will be needed and changed
campus responsibilities. It provides the basis for the development of
an electronic archives and records management program for the University.
1. The basic mission of the University Archives and Records Management
Service is reaffirmed. To ignore the mission is to abandon the preservation
of the UW's collective memory and presents legal, audit, and administrative
risks to the institution.
2. Information is a valuable institutional resource. It must be managed
with the same care and level of detail as are applied to other key resources
in and organization. The ultimate goal is to preserve access to the
information contained in the electronic systems.
3. University records and information, regardless of form and format,
are subject to state and federal records laws as well as University
policies.
4. The retention of electronic records is based upon appraisal and
analysis of the informational content and context of the records. ARMS
conducts records appraisal and works with University departments to
determine the retention value of their records and information.
5. The determination of 'record status' is based NOT upon the storage
media used, but upon the records-keeping requirements of the office
creating the maintaining the information, to the intent to create a
record, and the need to provide evidence to support and document University
transactions and decision making.
6. The management of records and information in varying forms and formats
requires a team approach. Without the active cooperation of the records
creator, information technology staffs, legal and audit services, ARMS,
and others, sound records practices will not be implemented and the
University's corporate memory will not be protected.
7. The management of electronic information resources is complex. There
is not likely to be a single solution to the problem of information
retention and disposition that is suitable in all situations. Strategies
will need to be developed that address a wide variety of technology
situations and capabilities; from the individual employee who creates
University records in a personal computer environment, to the complexity
of hybrid information systems.
8. Each University department must be responsible for migrating or
refreshing electronic resources that are scheduled to meet University
records-keeping needs or for long term or permanent preservation. University
departments must also be responsible for documenting how their information
systems work. Without adequate documentation, continued access to the
information will be in jeopardy.
9. Although preservation of electronic records may be distributed over
the campus rather than physically in the Archives, there will be increased
need to provide intellectual control and access to a rich and complicated
body of electronic University records. While distributed maintenance
and preservation is likely to be the model, ARMS will doubtless be called
upon to maintain certain records of institution-wide importance as well
as orphaned records. ARMS will need additional resources to administer
these institutional assets.
10. Long-term access to and preservation of University records stored
in varying electronic media will require the commitment of University
staff and resources. Deans, directors, and department chairs will need
to provide sufficient support so that it will be seen as a priority,
and sufficient work time will be committed to it. The benefits of implementing
sound records and information management practices are significant and
substantial. They include: reduction of storage costs, reduction in
staff time needed for the retrieval of records, ensures legal acceptability
of their electronic records, and ensures economies in the migration
of records to successive generations of technology and services.
11. The University Archives and Records Management Service must be
given sufficient administrative and financial support to carry out its
mission in this complex electronic environment. ARMS will need to expand
its consulting, partnering, and training roles to meet the demands of
new systems, while continuing to do its traditional work.
12. ARMS will need to develop partnering efforts with the General Library
System, the Division of Information Technology, Administrative Legal
Services, Internal Audit, and other offices to develop and maintain
new policies and procedures that will insure the long-term viability
of institutional informational resources. For example, such standard
items as catalogs and timetables, long determined to be permanent institutional
resources, must be maintained to meet the academic needs of past and
present students, and to serve the needs of future generations.
These basic principles need to be communicated to the University community,
most especially to those groups charged with information systems development
and long-term information technology planning. The University Archives
and Records Management Service will serve as a resource for those groups
and will develop appropriate policy statements, guidelines, and procedures
on various aspects of electronic records management.
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