UW-Whitewater

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UW-Whitewater

• Records Management Workshop
• May 26, 2005

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Topics

• RM Basics
• Review of general and agency schedules
• RM process at UWW

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Legal Sources

• Wisconsin Statutes Chapter 16.61-16.62
• Wisconsin Statutes Chapter 19.32-19.39
• Wisconsin Administrative Code ADM 12
• 44 USC 33
• 36 CFR 12, subchapter B
• 20 USC 1223g

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Wisconsin Laws

• 16.61 - creates a Public Records Board to
  establish policies and standards for the
  management, preservation, and disposition of
  state records defines public records
• 19.31 Open Records law
• ADM 12 governs preservation of electronic state
  records

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Federal Laws

• 44 USC 31 requires Federal agencies to manage
  their records
• 36 CFR 12 (B) NARA rules for records management
  by Federal agencies
• 20 USC 1232g Federal Educational Rights and
  Privacy Act, gives students right to review and
  request corrections of their educational records,
  student must give consent before contents may be
  disclosed

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Open Records

• Open records requests-the law forbids the
  destruction of any requested until the request is
  granted or at least 60 days after
• the date that the request is denied. Court
  orders may extend this time period.

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Open Records

• Pending litigation or audit. If an audit or
  pending litigation involves any records listed in
  a RDA agencies must suspend any disposition until
  such time as the audit or litigation is completed.

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Life Cycle of Records

• Basic records management concept
• Creation - Records are created for a purpose
• Use - Records are used for that purpose
• Retention -Records are retained for documentation
  and reference
• Disposition - Records are disposed of, either
  destroyed or transferred to an archives for
  permanent retention

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Definitions

• Appraisal evaluation of records to determine
  their value and proper disposition
• Office of Origin office where the record was
  originally created or accumulated, also referred
  to as the records creator
• Original / Agency / Working copies Original
  copy is the record copy as issued by the office
  of origin, a department may keep a copy Agency
  copy in its files for reference, a Working
  copy is a copy made for convenience agency and
  working copies do not have to be retained beyond
  their usefulness to the office
• Active vs. Inactive active means used at least
  once a month, inactive means used less than once
  a year

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Values

• Administrative - usefulness in the day-to-day
  work of office of origin
• Legal /Evidential documents an offices
  authority and operations and provides evidence of
  rights and/or obligations
• Fiscal information about an offices financial
  activities
• Historical /Informative information about an
  offices function, development information may
  be about people / places / events / issues

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Record

• Public records means all books, papers, maps,
  photographs, films, recordings, electronically
  formatted document or other documentary materials
  or any copy thereof, regardless of physical form
  or characteristics, made or received by any
  agency of the state or its officers or employees
  in connection with the transaction of public
  business.

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Record Series

• Public records arranged under a manual or
  automated filing system, or are kept together as
  a unit because they relate to a particular
  subject, result from the same activity or have a
  particular form.

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Retention Period

• The length of time an office must keep
  particular records in a series. This is usually
  expressed in terms of days, months, years, and
  may be contingent upon an event date or specified
  date that triggers the clock.

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Retention Period

• CRtime Creation plus 1 year
• EVTtime Event plus 8 years. The event date must
  be specific and has to occur to start retention
  clock ticking
• FIStime FIS4 years. The current fiscal years
  and 4 back years. Records are kept together in
  blocksfor a complete fiscal year.

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Retention Period

• P meaning permanent. Permanent is forever, not to
  be confused with indefinite undefined or keep
  as long as needed.
• Usually records having historic or documentary
  value.

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Retention Period

• Retention is the longest of administrative
  (business need) financial/audit and legal
  values.
• Business need CR1
• Financial value FIS4
• Legal value EVT4
• Required retention EVT4

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Disposition

• The final state in a record series life cycle
  involving either destruction transfer to
  inactive storage with destruction at a specified
  later date or transfer to either the state or
  university archives for permanent preservation.

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Disposition

• Disposition-Destroy Confidential or
• Transfer to Archival repository as records have
  historical value

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Retention Schedule

• Instructions as to the length of time,
  location, and form in which record series are
  kept and the method of filing record series. Also
  called Records Retention/Disposition (RDA) form.

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Retention Schedule

• No further approval is required to destroy or
  transfer records that are covered under either an
  agency specific or general schedule approved by
  the Public Records Board except
• Scheduling records is required only if
  records are not being retained permanently or
  for paper records only.

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General Schedules

• A general record schedule is a grouping of
  related record retention schedules for a common
  function of state government. General schedules
  provide guidance and authorization to agencies to
  either dispose or transfer these types of
  records.

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General Schedules

• General schedules
• -provide agencies with uniform guidelines for
  retention and disposition of common records
• -ensure that records are maintained for the
  established minimum time periods to meet all
  applicable program requirements and statewide
  legal, fiscal and historical requirements

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General Schedules

• General Schedules cover administrative records
  thereby freeing up resources for agencies to
  focus on their program specific records.
• General record schedules help identify
  duplication by analysis of the interrelationships
  between like records at various levels in
  government.

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General Schedules

• -reduce state exposure to litigation involving
  records that need not be retained for business
  purposes
• -save money by reducing record keeping related
  expenses.

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DoA General Schedules

• http//www.doa.state.wi.us/docs_list.asp?doccatid
  7

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Existing General Schedules

• Personnel and Related Records-Third Edition July,
  1999 (145 series)
• Fiscal and Accounting Related Records-Third
  Edition September 1999 (115 series)
• Purchasing and Procurement Related Records-Second
  Edition-May 2003 (27 series)

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Existing General Schedules

• Payroll and Related Records-2nd Edition November
  1997 (45 series)
• Workers Compensation and Related-Second Edition
  -July 1997 (20 series)
• Data Security and Related Records-July 2001 (12
  series)

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Exsisting General Schedules

• Motor Vehicle Management Records-May 1999 (14
  series)
• Common Records in Wisconsin State Agencies and
  Local Units of Government-2nd Edition May 2002 (7
  series)
• Budget and Budget Related-March 2002 (41 series)

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Proposed General Schedules

• General Schedules In process-Not Yet Approved
• Publication and Reproduction Services (8 series)
• Facilities Operational Records (15 series)
• Building Security Related Records (5 series)
• Health and Safety Related Records (8 series)

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General Schedules

• All approved general schedules are available
  electronically on the DOA Internet site.
• Main DOA Internet Page http//www.doa.state.wi.u
  s
• Then select Business in DOA Public Records Board
  and then General Schedules.

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General Schedules

• Larger agencies also use general schedules.
  UW-Madison and UW-System general schedules are
  available at http//archives.library.wisc.edu
  then choose records management and then general
  record schedules.

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UWS Schedules

• Fiscal and Accounting general schedule
• Internal Audit general schedule
• Payroll general schedule
• Available at UW-Madison ARMS site
  http//archives.library.wisc.edu/RM/GENSKED/gensch
  ed.html

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Agency or Local Schedules

• UWW currently has 70 local schedules in use
• Written by the Office of Origin and Records
  Management in conjunction
• Many are approaching the 10-year sunset review
  date
• Academic Affairs and Registrar are in process

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Aids

• Department of Administration fact sheets
  http//www.doa.state.wi.us/fact_sheets_list.asp?fa
  ctcatid7
• Guidelines for electronic records
• Guidelines for the permanent retention of records
  by Wisconsin state agencies (PRB, November 2001)

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Records Management Process at UWW

• Call or email University Archives, 472-5520 or
  archives_at_uww.edu to set up an RM appointment.
• Archivist will visit and complete a records
  inventory

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Records Management Process at UWW

• Records series will be identified and assigned to
  a general schedule, or
• Based on the inventory and discussions with the
  Office, the Archivist will prepare a draft PFRB1,
  the Records Retention/Disposition Authorization
  or RRDA, for a new record series
  http//www.doa.state.wi.us/docs_view2.asp?docid70
  0
• After the Office of Origin and the Archivist are
  agreed on the RRDA, it is submitted for approval
  to the Public Records Board
• RRDA goes into effect after it receives Board
  approval

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Records Management at UWW

• Established RRDAs are reviewed every ten years
• When ready to dispose of records, review the
  RRDAs for your office
• Records requiring confidential destruction or
  scheduled as permanent should be sent to the
  University Archives
• Prepare a transmittal form to accompany the
  records it should include a box number, title
  of the records, inclusive dates, RRDA (if known),
  and retention period.

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Records Management at UWW

• For records scheduled as permanent, a list of the
  files is very helpful and the records should be
  in records cartons. Remove rubber bands and
  binders.
• The Archives does not accept bankers boxes for
  permanently retained records due to safety
  concerns.

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Records Management at UWW

• On arrival in the Archives, boxes are logged in,
  assigned an accession number, and sorted as to
  retention status
• A box control sheet is prepared and boxes
  transferred to the Archives temp stacks
• As time permits, permanent records are fully
  processed and assigned permanent numbers in their
  appropriate record series