UW-Whitewater

Records Management Workshop May 26, 2005

Topics

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

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

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

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

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.

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.

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

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

Values

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

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 it’s officers or employees in connection with the transaction of public business.

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.

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”.

Retention Period

• CR+time Creation plus 1 year • EVT+time Event plus 8 years. The event date must be specific and has to occur to start retention clock ticking • FIS+time FIS+4 years. The current fiscal years and 4 back years. Records are kept together in “blocks”for a complete fiscal year.

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.

Retention Period

• Retention is the longest of administrative (business need); financial/audit; and legal values.

• Business need: CR+1 • Financial value: FIS+4 • Legal value: EVT+4 • Required retention: EVT+4

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.

Disposition

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

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.

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.

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.

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;

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.

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.

DoA General Schedules

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

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)

Existing General Schedules

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

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)

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)

General Schedules

• All approved general schedules are available electronically on the DOA Internet site.

• Main DOA Internet Page: http://www.doa.state.wi.us

• Then select Business in DOA; Public Records Board and then General Schedules.

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.

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/GENSK ED/gensched.html

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

Aids

• Department of Administration fact sheets – http://www.doa.state.wi.us/fact_sheets_list.a

sp?factcatid=7 • Guidelines for electronic records • Guidelines for the permanent retention of records by Wisconsin state agencies (PRB, November 2001)

Records Management Process at UWW

• Call or email University Archives, 472 5520 or [email protected]

to set up an RM appointment.

• Archivist will visit and complete a records inventory

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?docid=700 • 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

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.

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 banker’s boxes for permanently retained records due to safety concerns.

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