University of Wisconsin - MadisonRecords Management Program2011 - 2012Photo taken: P.Eusch 2011UW MADISON ARCHIVES AND RECORDS MANAGEMENT2012Authored by: Peg Eusch, CRM, University Records Officer

University of Wisconsin-Madison Records Management Program2011 -2012Contents: Executive SummaryPage 2 UW-Madison Records Management Program BackgroundPage 4 University Mission and Records ManagementPage 4 The Campus Records Review Group (CRRG)Page 4 Generally Accepted Recordkeeping Principles “THE PRINCIPLES” Page 5 2012 Quality ShowcasePage 6 University Records Management 2011-2012 InitiativesPage 6 Records Management Communication and TrainingPage 7 Records Management and Campus PartnershipsPage 9 Records Management and the Public Records Board andState Records CenterPage 11 Records Management Program 2012-1013 Goals & ObjectivesPage 111

UNIVERSITY OF WISCONSIN - MADISONRECORDS MANAGEMENT PROGRAM2011 - 2012EXECUTIVE SUMMARY:The UW-Madison Records Management Program has limited visibility within the campus community, butis an essential part of all university employees’ daily activity. All departments/units contain UniversityRecords, which should be organized and accessed and managed according the Generally AcceptedRecordkeeping Principles. The UW-Madison Records Officer is here to consult with all universitydepartments/units to improve the creation, distribution and use of university information in all formats.There are many components to a records management program that bring value to the UW-Madisoncampus besides development of Records Retention schedules. The Records Officer provides consultationin organization of records in electronic and paper formats, digital imaging, e-mail management, databasemanagement, taxonomy and filing systems to name a few. If any university record is created, then itneeds to be managed through its lifecycle, whether it is in e-mail, a document stored in a network shareddrive or paper. The University Records Officer has to be strategic yet tactical in the management of theprogram. In order to accomplish this, the University Records Officer relies on the Campus Record Reviewgroup to support and give direction to Records Management initiatives.For 2012 the Records Management highlights were: In 2012 UW-Records Management participated in the Quality Showcase with a poster titled: UWMadison Records Management: Electronic Communication Guidance for the Management of E-mail,Text and Chat Records. The poster highlighted the guidance and management of e-mail records andretention as a campus best practice. Departmental presentations on this topic were also given todepartments. UWHC was reorganized as a separate public authority in 1996. The transfer of around 100 recordsseries back to UWHC was completed by January 2012 saving storage costs to the University. Developing and instituting a campus wide high level University Records Management Liaison Programto help facilitate communication across the campus on new schedules, or other records managementissues.2

Planning and discussion to implementation of Perceptive Software’s “Retention Policy Manager” tomanager retention for records stored in the ImageNow application. A work team is being put togetherby the Director of ISIS and the University Records Officer.The Records Officer and the Records Management Program have a close working relationship with otherUniversity & Sponsored Programs including the CIO Office, Provost, Administrative Legal Services, QualityImprovement, and University Research. The University Records Officer is always looking for workingrelationships to assist with getting the Records Management message out, through departmentalpresentations, new or updated records guidelines, and new technologies.The University Records Management Programs goals for 2012 – 2013 consist of the following: Establish top level support for a Records Liaison network for point persons at a high level in UWMadison Administration and Deans offices for communication of records management issues. Continue to seek new approaches to communication and training though social media avenuessuch as webinars and training videos on the Records Management portion of the UW Archiveswebsite. Develop with CRRG a Campus Records Management Survey in conjunction with the GARP AuthorityModel to bench mark the UW- Madison Records Management Program. Continue to nurture working partnerships with the Provost’s Office, Administrative Legal Services,CIO and Campus IT units, Quality Improvement, Enrollment Management, the Graduate School andthe Research Community. Increase recognition and collaboration with other campus groups and communities across campuson Records and Information Management best practices and GARP Principles. This would beapproached through communication outreach in various formats, one on one meetings,departmental meetings and group presentations. Continue to seek new avenues to provide easier access and use of the University RecordsRetentions Schedules for employees.The following is a summary of the status of the UW-Madison Records Management Program from August2011 through July 2012. An annual summary report will be compiled each year for the Director of GeneralLibrary System (GLS), Provost’s Office, Chief Information Officer (CIO), Campus Records Review Groupmembers and other university leadership.3

UW-Madison Records Management Program BackgroundThe UW-Archives was founded in 1951. As a result of the changing needs and management of campusrecords, the Records Management Program was founded in 1985. Records Management is housed inArchives and reports through the General Library System.The first University Records Officer was Nancy Kunde, CA., CRM. She retired at the end of 2008. InOctober of 2009, Margaret (Peg) Eusch, MLIS, came on board as the second University Records Officer. InOctober 2010, she received her certification as a Certified Records Manager (CRM) through the Institute ofCertified Records Managers (ICRM).The UW- Madison University Records Management program is managed in accordance with the UW Boardof Regents Records Management Policy 3-2 and the Wisconsin Public Records Board requirements forrecords management programs. The program follows ISO Standard 15489 for Records Management andthe ARMA International’s Generally Accepted Recordkeeping Principles (GARP).Currently the Records Management Program is staffed by 1 FTE, the University Records Officer.The UW-Madison Records Management Program is located on the 4th floor in Steenbock Library and has apresence on the Web at lUniversity Mission and Records ManagementThe creation, management, and distribution of records and information is at the heart of what theUniversity is all about. Knowledge and the transmission of information are basic to the University mission:“The primary purpose of the University of Wisconsin-Madison is to provide a learning environment in whichfaculty, staff and student can discover, examine critically, preserve and transmit the knowledge, wisdomand values that will help ensure the survival of this and future generations and improve the quality of lifefor all.”The UW-Madison Records Management Program strives to meet this mission and purpose through theendorsement of The Generally Accepted Recordkeeping Principles (GARP) as a campus recordsmanagement best practice. Campus Records Review Group (CRRG)The Campus Records Review Group (CRRG) is a broadly representative body tasked by the Provost's Officeto provide direction and support for the campus records and information management program. TheCRRG is comprised of UW-Madison representatives from different divisions on campus.In 2007, Provost Farrell approved the restructuring of the CRRG to include a diverse membership andexpanded the mission to ensure a more collaborative and systematic approach to records management on4

campus. In 2010 Vice Chancellor & Provost Paul M DeLuca reaffirmed the charge and mission of supportfor the CRRG and the UW-Madison Records Management Program.In addition to offering policy and guidance on records management issues for the UW-Madison campus,the CRRG is also the campus authority for approval of records retention schedules before going to theWisconsin Public Records Board for state approval.2011-2012 Membership includes: Eden Inoway-Ronnie – Sr. Special Assistant - Provost’s Office John Dowling - Administrative Legal Services Bruce Maas-CIO & Vice Provost for Information Technology –(Judy Caruso, Director of Policy & Planning, CIO Office) Martin Cadwallader- Vice Chancellor for Research and Dean of the Graduate School(Steve Hahn, Assistant Dean - Graduate School) Joanne Berg, Vice Provost for Enrollment Management(Scott Owczarek – Registrar)(Ilene Seltzer – Director of ISIS) Robert Golden, Dean – School of Medicine and Public Health(Mary Hitchcock - Health Sciences Library) David Null, Director, UW-Madison Archives & Records Management Peg Eusch, CRM, University Records Officer, UW-Madison Archives & Records ManagementThe Generally Accepted Recordkeeping Principles “THE PRINCIPLES”The CRRG endorsed ARMA International’s Generally Accepted Recordkeeping Principles in 2010.THE PRINCIPLES consists of 8 recordkeeping principles for information tionDispositionThese 8 principles are core to the understanding and management of our university records andcomplement the strategic planning of campus leadership. A trial run at auditing by the University RecordsOfficer using the Information Governance Maturity Model provided an overall GARP score of 64%. A yearlyreview completed to try to improve the score and the overall University Records Management Program.

2012 Quality Showcase:The CRRG supports the UW-Records Management Program’s participation in the Office of QualityImprovement’s Quality Showcase every year.In 2012 UW-Records Management participated with a poster titled: UW-Madison Records Management:Electronic Communication Guidance for the Management of E-mail, Text and Chat Records. The posterhighlighted the guidance and management of e-mail records and retention as a campus best practice. Theshowcase was a positive experience and a way to get cross campus visibility for the Records ManagementProgram. Plans are to participate in 2013. For The UW – Madison University Employee Guide to:Electronic Communication Guidance for University Records Visit: Management Poster from Showcase 2012.University Records Management 2011 -2012 Initiatives: URML (University Records Management Liaison):The UW-Madison Campus Records Review Group (CRRG) and the University Records Officerproposed the development and implementation of a formal University Records Management6

Liaisons (URML) Program to communicate, educate, and support the UW-Madison RecordsManagement Program and records management initiatives campus-wide. Work is being completed bythe University Records Officer to finalize and to present to the upper management for support andimplementation. Perceptive Software’s “Records Policy Manager” Application:Many units on campus are currently utilizing Perceptive Software’s ImageNow Content Managementapplication as part of their workflow and imaging of records. Digital records created by ImageNowshould be managed throughout their lifecycle through disposition. This currently has to beaccomplished manually. Records are being kept indefinitely due to the difficultly of manuallyimplementing the university’s record schedules in a consistent manner. The volume of informationbeing kept in the application is causing the system to slow down. The University now has a campuslicense for the complement application of “Retention Policy Manager”. A Student Records team isbeing put together by the University Records Officer and the ISIS Director to begin evaluation ofimplementation of the Retention Policy Manager.Records Management Communication and TrainingCommunication and Training are key components of the UW-Madison Records Management Program.For 2011-2012 Basic Records Management, E-mail Management and Document Imaging were populartopics for presentations.1. Departmental presentations included: A yearly presentation as part of the Department Administrator Certificate Program on recordsmanagement and archival records was conducted October 2011. A presentation with John Dowling-Administrative Legal Services to School of Education – PublicRecords and Electronic Communication Guidance for Records – January 2012 A presentation to Environmental Health and Safety on Digital Imaging – Feb 2012 A Presentation with Ben Griffiths-Administrative Legal Services as part of the Research Series onPublic Records Participated in the IT Forum and spoke about the Electronic Communication Guidelines – Feb2012Other communication avenues included: Articles to Business Services, Utilization of Facebook, NewBrochures and Handouts, and Records Management Training Videos using the Jing application.2. Articles to the Division of Business Services: see: UW-Madison Administrative News.Vol. 28 Number 3.ADMINISTRATIVE NEWS - MARCH 2011The A,B and C’s of University Records ManagementVol. 29 Number 4.ADMINISTRATIVE NEWS – DECEMBER 2011Update on State Records Center; Records Management Program Report. Update to the Bulletin7

“Your Work Responsibilities and University Records”, Updated Records Retention and Disposition ScheduleVol. 29 Number 1.ADMINISTRATIVE NEWS - MARCH 2012NEW Just out is the Electronic Guidance for University Records.Vol. 29 Number 2.ADMINISTRATIVE NEWS - JUNE 2012Update: from the University Records Program3. UW-Madison Records Management Facebook December 2010 as an alternative way to communicate to the campus community, the the UWMadison Records Management Facebook page was launched. As of the middle of July 2012 theRecords Management Facebook page has 40 active users. Facebook is one of many communication tools used to update the campus community on recordsmanagement issues, new retention policies and schedules, records management articles ofinterest and other records management events such as workshop or seminars.An example how Facebook is used; communication was done this past April reaching out throughFacebook. April is Records and Information Month and I posted the following:“With April being designated Records and Information Management month; this is agreat time to take a look at how your unit or department’s physical and electronicuniversity records are organized. If you need help please refer to the 10 Steps Plan forManagement of University Records”.

4. New Brochures and Handouts: The Office of Human Resources Development (OHRD) now includes the handout on “Your WorkResponsibilities and University Records” is included in New Employee Orientation packet. One new guideline was developed and approved by CRRG, Legal and UniversityCommunications. It was published in January 2012. “UW-Madison Employee Guide. ElectronicCommunication Guide for University Records” Training Video’s:With the assistance of an Archives student, short videos (5 min or less) are being created in Jing toprovide information to campus. Introduction to Records Management has been completed. Twoothers on how to use the State Records Center and how use a University Records RetentionSchedule are still in the works.Records Management Campus PartnershipsProvost’s Office Support and PartnershipThe Provost’s Office is an important component of the records management program through its supportof the Campus Records Review Group which provides direction and support to the Records Officer and theRecords Management Program.CIO and Campus Information Technology PartnershipsThe University Record Officer has a working relationship with the CIO Office and other Campus IT. Ongoing participation on the CIO Policy Committee, Participated in several IT Community Forums. SOE CIO initiated presentation on Public Records and Electronic Communications [Merit is reallythe library and the head of it is also the CIO for SOE, kind of a strange set up] Working with DoIT on implementation of the “Records Policy Manager” application. Met with DoIT before migration to new calendar regarding retention of calendar entries. Resource for the A/E Email and Calendaring Team.Due to the fact that approximately 85% of records are now being created and stored electronically, it isvital that the Records Officer have a visible partnership and collaboration with the CIO Office and otherCIO’s from Campus Information Technology units. Records management requirements and availablerecord modules should be viewed as part of the package for new applications whether they are within theuniversity firewalls or out in the cloud. Agreements should include shared IT security and recordsmanagement issues such as addressing Compliance, Access, Privacy, Retrieval, Authenticity and Dispositionof records.9

Administrative Legal ServicesAdministrative Legal Services is an important partner with the Records Management Program in providinglegal review for the records retention and disposition schedules, collaboration with regards to publicrecords, e-discovery and other records management issues which require legal opinion.Attorneys with Administrative Legal Services have begun to refer questions regarding retention of recordsto the University Records Officer.Internal AuditThe University Records Officer has made progress in this area and will has met with Internal Audit toregarding participation on the CRRG as a neutral party.Quality ImprovementThe University Records Officer is participating on the A/E Policy Team.Research CommunityThe University Records Officer is working to create more connections and collaboration within theresearch community. With the implementation of the NSF Data Management Plan for requirements forelectronic data, records management plays a role as a resource for management of electronic researchrecords throughout their lifecycle.Records Management Consultations with University CommunityRecords Management Departmental Consultations are an important part of the Records Officerresponsibilities and consists of answering records management questions via telephone, e-mail and/orvisiting campus departments/offices/units to review their records and make recommendations.Consultations involve teaching and guidance to campus records policies and records management bestpractices such as GARP. These meetings involve reviewing the department/units business process, andanalyzing of what types of records they produce in all formats and media. Recommendations are madewhich may result in a new records schedule.UWROC (University Records Officer CouncilThe University Records Officer also collaborates with the University of Wisconsin Records Officer Council(UWROC) on UW System wide schedules. The Records Officer has collaborated on and authoredcompleted schedules for: GRS System-wide Unclassified HR records GRS System-wide Payroll GRS System-wide Administrative records GRS System-wide Student Records GRS System-wide IT Business RecordsCompleted schedules are posted on the Records Management da.html#general-records10

Records Management and the Public Records Board/State Records CenterThe University Records Officer acts as the liaison between the Wisconsin Public Records Board and theState Records Center on the behalf of the University. The State Records Center has been auditing theirdatabase for record schedules that have sunset. The SRC provided Records Management with reports withan option for an 18 month extension. The University Records Officer has been reviewing these sunsetreports and has submitted the required extension of 18 months. Many of the university’s 1600 recordseries have sunset and are undergoing review.This is a huge undertaking for the Records Officer to identify which record series are active from those thatare not. Out of this review, the Records Officer identified 100 series in the summer of 2010 as belongingto University of Wisconsin Hospitals & Clinics. UWHC was reorganized as a separate public authority in1996. This transfer of around 100 records series back to UWHC was completed by January 2012.General Records Schedule for Retention and Disposition and RDA’s37 departmental records schedules (RDAs) were completed and submitted for approval.Records Disposition at the State Records CenterRecords disposition and retention at the State Records Center is another component of working with theState. The university offers offsite storage for paper records as a way to better utilize limited space indepartments and units on the campus. The Records Officer receives a Disposition Report twice a year insummer and winter. This report is quite lengthy and requires manually splitting and sending out toaffected campus units for sign off on destruction of records barring litigation hold or audit.Records Management Program Goals and ObjectivesThe University Records Management programs goals for 2012 – 2013 consists of the following:Establish top level support for establishing a Records Liaison network for point persons at a highlevel in UW-Madison Administration and Deans offices for communication of recordsmanagement issues.Continue to seek new approaches to communication and training though social media avenuessuch as webinars and training videos on the Records Management portion of the UW Archiveswebsite.Develop with CRRG a Campus Records Management Survey in conjunction with the GARPAuthority Model to bench mark the UW- Madison Records Management Program.11

Continue to nurture working partnerships with the Provost’s Office, Administrative LegalServices, CIO and Campus IT units, Quality Improvement, Enrollment Management, theGraduate School and the Research Community.Increase recognition and collaboration with other campus groups and communities acrosscampus on Records and Information Management best practices and GARP Principles. Thiswould be approached through communication outreach in various formats, one on onemeetings, departmental meetings and group presentations.Continue to seek new avenues to provide easier access and use of the University RecordsRetentions Schedules for employees.CONTACT INFORMATION:University Records Officer550 Babcock Drive432 Steenbock LibraryMadison, WI. [email protected]

In 2012 UW-Records Management participated in the Quality Showcase with a poster titled: UW-Madison Records Management: Electronic Communication Guidance for the Management of E-mail, Text and Chat Records. The poster highlighted the guidance and management o