General Overview of Records Management Responsibilities
CT Law requires public agencies, such as UConn, to follow record management policies and procedures set forth by the Office of the Public Records Administrator (OPRA) of the Connecticut State Library. Per §1-200 (5) of the Connecticut General Statutes, a public record is defined as “any recorded data or information relating to the conduct of the public’s business.” Furthermore, the official record copy (or the official system of record for datasets) is the specific copy of a record designated as the legally recognized version. In contrast, duplicates and drafts are usually considered non-official records.
Retention and Disposition
Official record copies are subject to retention schedules that dictate the minimum amount of time a type of official record or data must be kept (record retention requirement). Keep in mind that record retention requirements are format neutral, meaning that anything from data, electronic documents, email correspondence, media, your typical form (electronic or paper!), and any documented information in between may qualify as an official record. University Administration has established longer retention periods for specific types of documents, primarily financial. After an official record’s retention requirement is met, it is okay to destroy the records only after the individual(s) responsible for the records requests and receives official authorization.
A major function of UITS is to provide storage for electronic files. However, University employees should not be under the impression that UITS is solely responsible for governing the retention and disposition decisions surrounding electronic records and data. It is for this reason that mainframe decommissioning projects catalyze collaboration among system administrators, data users, subject matter experts and UITS to determine appropriate records management choices based on legal and operational need. UConn’s Records Management Liaison Officer and Records Compliance Specialist are both resources for compliance with state record policies and procedures.
Migration of data/information to a new system of record will be a necessity when decommissioning applications on the mainframe. Disposition approval is not required because the records or data are not being destroyed; proper controls should be in place to ensure information is accurately transferred and accessible. Best practice is to notify UConn’s RMLO and OPRA for significant migration projects, especially ones involving essential records.
For More Information:
Records Management Liaison Officer
Records Compliance Specialist