Introduction
A document is a discrete individual item of written information, in paper or electronic form. This includes letters, memos, reports, spreadsheets, emails and databases. A university record is a document, regardless of format or medium, which is created, received, and maintained by the University and its employees, and which provides evidence of University transactions or activities.
Because they provide evidence of business transactions, records are regulated by the University. They are subject to specific retention, access and disposition policies. All members of the University are obliged to comply with the University Records Policy 46 – Information Management and the University of Waterloo Records Classification and Retention Schedules (WatCLASS).
This document is intended to provide a framework for the storage of documents/records within the Faculty of Environment.
Shared Electronic Document Storage
Electronic documents related to administration in the Faculty of Environment are stored either in shared file - storage locations, or are stored as part of a special - purpose system (e.g., HRMS, Quest). Normally, no active work - related files are stored on the local hard drive of any individual desktop computer or laptop.
Removable media (such as DVDs and flashdrives) may be used for transfer or short-term storage of files, but they should not be used for primary document storage.
Option 1: Shared Network Drive
Shared network drives accessible to staff working in the same administrative area or academic department are used to store and manage the electronic documents. Files can be created, modified and deleted in exactly the same way as using a local hard drive. There are several benefits to using a shared network drive rather than the local computer hard drive:
- All electronic documents are in a known location
- Documents are backed up to guard against system failure
- Documents are easily accessible to everyone in the workgroup (a.k.a. security group)
- All members of the workgroup can refer to the same version of the document, as opposed to everyone having their own local copy
- The concept of a work team is reinforced, as the shared documents are viewed as a common resource rather than the work of a sing le individual
- Downtime is reduced; in the event of a single workstation failure, the user can work on any workstation (such as a “hot spare”) and connect to the shared network drive
- The temporary or permanent transfer of work to another individual becomes trivial
- Use of a shared network drive makes it easy to access files from a second computer or laptop without the need to copy or email the files
- It is more cost-effective and reliable to backup the shared network drives than to backup hundreds of individ ual computers
- It is easier to implement retention policies if everything is in a single location
Option 2: Sharepoint
Sharepoint is an alternative to a shared network drive which can be used to store work-related files. Some departments may use both Sharepoint and a shared network drive. Typically, Sharepoint would be used to store completed documents that are shared more widely than the local work group (such as meeting minutes that may be viewed by any faculty member); a shared network drive would typically be used only within the local work team.
Implications of using a Shared Storage System
Access Permissions
With a shared file system, other members of your work team (including the manager) potentially have access to documents created by any individual. This is by design, and provides one of the advantages of using a shared file system.
Access permissions are determined at the departmental level by the unit manager. When assigning permission, considerations will be made as to: work groups, preservi ng data integrity, and preserving data confidentiality.
Common Filing System
The filing system will be determined by the unit manager. You may need to adapt your c urrent filing system.
Where it is appropriate files should be named with the appropriate WatCLASS function along with the retention period for the document and destruction method (e.g., HR 82 – Vacation Records.3yr.SD, TL 32 –Course Eval.10yr.SD). Managers can contact the University Records Manager, Chris Halonen for assistance in adapting their filing system and identifying the appropriate WatClass functions and retention schedules.
Managers
Managers will need to have private areas for storing documents that contain personal information related to the staff under their jurisdiction, and for confidential information that cannot be shared with their staff.
Backups
Shared network drives and Sharepoint sites are backed up by computing support services. There will be no backups of individual computer hard disks for faculty or staff.
Personal Files
Personal files are not to be stored on shared network drives or Sharepoint sites. Options for storage of personal files include the computer’s local hard drive, and removable media (such as flash drives and DVDs). Note that the computer’s local hard drive is not backed up.
Privacy of Information
Some information held on shared drives will be considered sensitive or confidential, either on business grounds or through being the personal information of individual staff, students or others. Such information needs to be held securely and access to it strictly limited to those members of staff who need to refer to it as part of their job in accordance with Policy 46 – Information Management. The area manager will take this into account when determining access permissions.
Disposing of Documents/Records
Regular review of the records stored in shared drives should be done the same way as you would on a local hard drive:
- Unnecessary duplicates of draft and final documents should be deleted
- Working copies of documents which are no longer required should be deleted
- Records whose retention is covered by University retention policy, schedules or guidance should be disposed of in accordance with those guidelines
- Document destruction by completion of appropriate records management form
Last updated on August 25, 2015