published by the North Carolina Department of Natural and Cultural Resources. [The self-warranting of records in itself does not authorize the destruction of records, originals or copies, nor does it change current records retention and disposition scheduling procedures. Destructions of records are authorized when your institution approves the current retention and disposition schedule. If scanned records are intended to take the place of original paper records, departments/offices must submit the Authorization to Destroy Paper Records form.] Each signatory should initial each element for certification, print his/her name on the Approved by line, fill in the job title, and sign and date the form. IT Professional The IT Professional is the person responsible for providing technical support to the records custodians and who may be involved in infrastructure and system maintenance. The IT Professional certifies that: Audit trails document the identity of the individual who creates, duplicates, modifies, or otherwise prepares the records, what actions are taken by the individual during the course of the process, when these actions are taken, and what the results of these actions are. Audits: are performed periodically to confirm that the process or system produces accurate results. confirm that procedures followed are in accordance with the agency’s documentation. are performed routinely on files to ensure no information has been lost. are performed by an independent source (i.e., persons other than those who create the records or persons without an interest in the content of the records. Acceptable sources may include different department or authorized auditing authority). are adequately documented. The process or system hardware and software are adequately documented. Permanent records conform to all file format, file naming, and digital preservation guidance produced by the Department of Natural and Cultural Resources. Backup procedures are in place and comply with best practices as established by the Department of Natural and Cultural Resources. Successful disaster recovery backup is completed at least once every two years. Approved by: Date: Title: Signature:
published by the North Carolina Department of Natural and Cultural Resources. [The self-warranting of records in itself does not authorize the destruction of records, originals or copies, nor does it change current records retention and disposition scheduling procedures. Destructions of records are authorized when your institution approves the current retention and disposition schedule. If scanned records are intended to take the place of original paper records, departments/offices must submit the Authorization to Destroy Paper Records form.] Each signatory should initial each element for certification, print his/her name on the Approved by line, fill in the job title, and sign and date the form. IT Professional The IT Professional is the person responsible for providing technical support to the records custodians and who may be involved in infrastructure and system maintenance. The IT Professional certifies that: Audit trails document the identity of the individual who creates, duplicates, modifies, or otherwise prepares the records, what actions are taken by the individual during the course of the process, when these actions are taken, and what the results of these actions are. Audits: are performed periodically to confirm that the process or system produces accurate results. confirm that procedures followed are in accordance with the agency’s documentation. are performed routinely on files to ensure no information has been lost. are performed by an independent source (i.e., persons other than those who create the records or persons without an interest in the content of the records. Acceptable sources may include different department or authorized auditing authority). are adequately documented. The process or system hardware and software are adequately documented. Permanent records conform to all file format, file naming, and digital preservation guidance produced by the Department of Natural and Cultural Resources. Backup procedures are in place and comply with best practices as established by the Department of Natural and Cultural Resources. Successful disaster recovery backup is completed at least once every two years. Approved by: Date: Title: Signature:
higher-ed_erec_policy_201801_1.docx