Faculty Legislation II-323: Policies and Procedures Governing Access to Electronic Files

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Policy Number:
UW-870
Old Policy Number:
II-323
Responsible Office:
Office of the Secretary of the Faculty

University Policy

Rationale/​Purpose:

This procedure, including related definitions, shall govern access to faculty and research and instructional academic staff electronic files only.

Definitions:
Authorized user
The owner of a file and someone who is given explicit access to the file by an owner.
Owner of a file
  • On a single user computer under the control of a single person (e.g., a computer in a faculty office) that person is considered to be the owner;
  • On computers accessed by more than one individual, but which do not have an operating system that identifies files with a specific user, the individual responsible to the university for control of the computer (e.g., the laboratory director or department chair) is considered to be the owner of electronic files resident on that computer;
  • On multiuser systems, an individual is typically registered or given an account. The registered user or account holder is normally considered to be the owner of files held in that account;
  • In “work for hire” situations where one party enters or edits material for the originator of a file, the one responsible for originating the material in the file is the owner of the file. The person charged with entering the material is usually considered to be an authorized user. For example, when an administrative assistan or a research assistant working under explicit directions uses a computer to enter and edit a document for a faculty member, the faculty member is the owner of the file and the administrative assistant or research assistant is an authorized user.
Electronic File
Information stored and/or transmitted in electronic form, including text, data, sound, graphics, images, and video, irrespective of its recording and transmission media or its format. Examples include email messages, databases, and magnetic tape files and subsets thereof.
System administrator
An individual who has been charged by a university unit with maintaining a computer system and its software at an acceptable level of performance for the service that it is expected to provide.
Scope:

Faculty and research and instructional academic staff electronic files.

Procedure:
  1. No one, except for exceptions provided in number 5 and 6 below, but an authorized user of an electronic file may intentionally access that file without receiving either:
    1. The permission of the owner of the file; or
    2. The express written permission of the provost, who may grant such permission only in accordance with the procedures established by Section 3 below. The provost may designate the vice provost for faculty and staff affairs to fulfill their obligations listed in this procedure.
  2. The provost may authorize the appropriate university unit to take all necessary steps to preserve and save the contents of any requested file(s) within the university’s computer systems. An order to preserve the contents of the file is meant to assure that the data in the file is not destroyed, altered, or lost. Any such order does not constitute permission to open, read, or otherwise use the contents of the file. Access to the contents of the file shall be obtained only under procedures specified herein or under conditions stated in number 5 and 6.
  3. The provost may grant permission to access a computer or electronic file after:
    1. Receiving a written request from a dean, director, department chair, vice-chancellor, or other person who has responsibility for protecting the integrity of the university, its services, and the rights and property of the State for access that specifies the reasons for the requested access and lists the requested file(s) by name, contents, or a description that clearly limits access to the file(s) necessary to further the purposes designated in Section 3.b.iii.
    2. The owner of the file(s) requested has been notified by the provost of the request. When there is doubt as to who is the owner of a file, notice should be sent to all the known individuals likely to have such an interest. The notification should include who is requesting the file(s), the file(s) requested, and indicate that the file(s) in question shall not be altered or deleted by anyone, including the owner and that alterations or deletions may be a basis for disciplinary action. The letter should provide the owner of the file(s) with four business days to provide written permission allowing access to the files or else an appointed committee of faculty and academic staff will examine whether justification exists for granting the requested access.
      1. If the owner does not provide written permission, the provost appoints a committee of three members, all of whom are otherwise uninvolved in the request and at least two of whom are members of the faculty or academic staff (as is appropriate to the case), to inquire into whether a justification (that such a request is necessary to protect the integrity of the university, its services, and the rights and property of the State) exists to warrant granting the requested access. Unless granted additional time, the committee will conduct its inquiry and make a written report to the provost within ten calendar days of its appointment. At a minimum, the committee shall
        • examine the written request for access provided to the provost under Section 3(a);
        • offer all those notified under Section 3(b) an opportunity to provide the ad hoc committee their views on whether access is justified.
      2. The ad hoc committee will send the results of its inquiry to the provost.
      3. The provost will decide whether requested access is necessary to protect the integrity of the university, its services, and the rights and property of the State. The owner of the file(s) and person filing the written request will be notified in writing of the provost’s decision including the reasons for their decision within 10 business days upon receiving the ad hoc committee’s results.
  4. All requests for access to electronic files made under the Wisconsin open records law shall be made through the public records custodian.
  5. Nothing in these procedures is meant to:
    1. Supersede the usual procedures followed by departments and schools in monitoring student accounts given for specific course work; or
    2. Preclude computer system administrators from authorizing the routine maintenance of campus computer or communication systems or the rectification of emergency situations that threaten the integrity of campus computer or communication systems, provided that use of accessed files is limited solely to maintaining or safeguarding the system (which may include safeguarding the system from illegal use) or solving specific problems.
  6. Nothing in these procedures is meant to either limit or expand access to files pursuant to Wisconsin or United States statutes or regulations, such as those governing patient records, student information files, open records, criminal investigations conducted by federal, state or local law enforcement authorities or certain personnel actions.
Related UW-Madison Policies:
Related UW–Madison Documents, Web Pages, or Other Resources:

UW–Madison Faculty Document 890a, 7 October 1991(For access to document see policy contact above) 

External References:

Regent Policy Document 25-3 Acceptable Use of Information Technology Resources

Policy Administration

Approval Authority:
Secretary of the Faculty
Policy Manager:
Secretary of the Faculty
Contact:
Secretary of the Faculty -- Heather Daniels, sof@secfac.wisc.edu, (608) 265-4562
Effective Date:
10-07-1991
Revised Dates:

11-06-2023, amended by Fac doc 3108
10-07-1991, 

Retrieved:
04-23-2024 15:15:54