Records Management

at UW-Whitewater

2013.08.22

Why records management?

• Life cycle of records• Four values

– Administrative– Legal– Fiscal– Historical

http://www.uwex.uwc.edu/admin-services/audit/records

/

Define “Record”

A RECORD is recorded information created in

the conduct of agency business, regardless of

medium or characteristics.

Life Cycle of Records• 1) Creation or receipt of the record

by a University employee

• 2) Active use of the record to complete business activities on behalf of the University of Wisconsin

• 3) Inactive storage of the record for its assigned retention time period

• 4) Disposition of the record: transfer to archives or destruction

Three Levels of Schedules

• Public Records Board• Department of Administration general

schedules• UW System general schedules• UWW local schedules

UW System RM

• System policy established in 2007 http://www.uwsa.edu/bor/policies/rpd/rpd3-2.htm

• Policy guidelines • Adm 12 Legal requirements for digitization

http://docs.legis.wisconsin.gov/code/admin_code/adm/12.pdf

Definitions

• Retention Period: The retention period is the minimum length of time an office must keep particular records. This is usually expressed in terms of years, months, days and may be contingent upon an event date or specification date that triggers the “clock.” Most often, retention periods are triggered at: creation (CR), event (EVT), or fiscal (FIS).

• Creation (CR): The retention period starts when a record is created or received. • Event (EVT): The retention period is triggered or tied to event dates; thus,

retention does not begin until the specified event occurs. For example, if a record series has a retention of EVT+ 1 year and the event is defined as the last semester attended, then all records in this category would be retained one year after the last semester of attendance.

• Fiscal (FIS): This retention period is tied to the current fiscal year, and unlike CR and EVT retention periods, FIS record series are managed in blocks by fiscal year. For example, “FIS+4 years” indicates that records must be retained for the current fiscal year and four complete additional fiscal years.

• Disposition: The final state in a record’s life cycle, involving: destruction or transfer to the individual University of Wisconsin archival depositories for permanent preservation.

• UWPERS001 • OFFICIAL PERSONNEL FILE (P-FILE) • The official P-file comprises the comprehensive employment record for every academic or

unclassified University of Wisconsin staff member. The location of the official unclassified P-file varies throughout the UW System. Generally, it is maintained in the office of the Provost, Dean of the employing School or College or employing department.

• NOTE: In terms of implementing the provisions of this retention schedule, the office holding the official personnel file (wherever that is located within the institution) generally has the responsibility of implementing the retention period listed for the ‘original’ copy of the record series.

• For Tenured Faculty: Date of employee’s retirement or death + additional 30 years and destroy confidentially or transfer to Archives for permanent preservation.*

• For Non-Tenured Faculty: Date of termination of employment + additional 10 years and destroy confidentially or transfer to the Archives for permanent preservation.*

• For Indefinite Unclassified Staff: Date of employee’s retirement or death + additional 30 years and destroy confidentially or transfer to the Archives for permanent preservation.*

• For Unclassified Staff: Date of termination of employment + additional 10 years and destroy confidentially or transfer to the Archives for permanent preservation.*

• * The determination of archival value of official personnel files will be made by each institution’s archives.

• At UWW, RETENTION of Unclassified Personnel files is PERMANENT.

Guidelines for Faculty and Academic Departments

• Many of the documents in your office or on your computer are considered public records and must be handled in accordance with UW System Records Management schedules. Electronic records have the same retentions as the equivalent papers records.

• Personal papers and research – Belong to the faculty member

• Instructional materials (ACAD030) - student papers and other work submitted for classes – Retain 1 year after the end of the semester for which the work was done, destroy confidential if there is information identifying the student.

• Grade books (ACAD025) – Retain 2 years after the semester for which the grades were submitted. Destroy confidential.

• Advising files (UWADV001) – Retain 3 years after last semester of attendance, destroy confidential. NOTE: If the student is enrolled in a program with certificate or licensure implications (UWADV003) (ex. DPI licensure), retention is 8 years after last semester.

• Syllabi – State law considers syllabi to be the property of the faculty member. However, The Archives receives frequent requests for them, so sending a copy to the Archives is desirable.

• Personnel records– Student employees – Departmental (FINAID025) – Retain 1 year after

last Fiscal year of employment, destroy confidential

– Classified staff (HR000190) – Keep for current employees. Retain in the department for 8 years for non-current employees, then destroy confidential

•

– Unclassified faculty and academic staff - (UWPER001) – Keep for current employees. Retain files of non-current employees in the department for 5 years, then send to Archives (UWW retention for faculty and academic staff files is more comprehensive than the system schedule)

Published materials – Discard as you choose. Archives would be interested in copies of books or articles which faculty and staff have authored.

Search & Screen files (UWPER013) – Retain 6 years from closing date of search, destroy confidential

Departmental Minutes - Send one copy to Archives. Personal copies may be discarded.

Minutes of Other University/Faculty Committees – Archives would like the chair’s minutes, copies belonging to other members may be discarded

Annual reports – Send one copy to Archives

Financial records – Consult Archivist as rules differ between general financial records and budget files.

Reports / Documents issued by other campus offices – Discard at your own discretion.

BEFORE DISPOSING OF MATERIALS, CONTACT ARCHIVES FOR PROPER PROCEDURES

INCLUDE THE FOLLOWING WHEN SENDING MATERIALS:

-Department name, contact person, phone, email

-Place contents in folders*If you need folders, ask us, we recycle*Reuse ring binders instead of sending them to us

-Folder level list of contents, with comprehensive dates if known

-RRDA number, if known

-15” x 12” x 10” record cartons preferred

-Marked shredding, if applicable

Transfer formhttp://library.uww.edu/Documents/library/recordstransferform.xl

sx

RRDA FormSTATE OF WISCONSIN http://publicrecordsboard.wi.gov

DEPARTMENT OF ADMINISTRATION PUBLIC RECORDS BOARD PRB-001 (R 04/2010) PAGE 1 OF 3

Records Retention / Disposition Authorization

Instructions for completion are provided on pages 2-3.

In accordance with s.16.61, Wis. Stats, this form must be completed and approved by the Agency and the Public Records Board (PRB) within one year of creation of the records series and prior to disposition of any public record.

Field #1 - Agency Records Officers generally assign sequential RDA numbers which are subject to PRB approval. If the agency does not assign an RDA number, leave this field blank and the PRB will assign the number.

Agency Records Officer: Review & approve RDA; Assign RDA #, if applicable. Forward original only to the PRB. Maintain an agency copy during the Board's review process.

1. Retention/Disposition Authorization # (RDA)

Sequential Number Suffix

2. Agency Number 3. Unit Number

4. RDA Status New Amended

Sunset/Renewal Closed/Superseded

5. Agency Name

Division Name Subdivision Name

6. Record Series Title

7. Record Series Life Cycle Dates 8. Medium for Records Storage – Check all appropriate categories Year Created Year Discontinued Year of Final Disposition

Electronic/Digital

Microform Paper

Other (Specify)

9. Retention Time Period - Specify Actual Period 10. Event that Initiates the Start of the Retention Time Period

Yrs Mo Wks Days Permanent Creation Fiscal Other (Specify)

(CR) (FIS)

11. Disposition

Destroy Transfer to State Archives (WHS) Transfer to Other Location (Specify)

Destroy Confidential Transfer to UW Archives 12. Records Series Description

13. Records Contain Personally Identifiable Information (PII)

14. Name of Agency Program Contact or Records Officer – Select appropriate title.

Yes No Program Contact Records Officer

Telephone Email

15. Records Series is Confidential or Access is Limited Yes No (If yes, enter Statute/Code)

16. APPROVAL SIGNATURES

Agency Official Date (mm/dd/ccyy) Agency Records Officer Date (mm/dd/ccyy)

PUBLIC RECORDS BOARD APPROVAL - Contingent on restrictions to record destruction contained in s. 19.35(5), Wis. Stats., (Open Records Law), and that no records are destroyed if litigation or audit involving these records has commenced.

State Archivist Date (mm/dd/ccyy) Executive Secretary – PRB Date (mm/dd/ccyy)

This document can be made available in alternate formats to individuals with disabilities upon request.

WHAT WE LIKE TO COLLECT FROM UNITS:

• Annual reports• Department minutes• Photos, labeled if possible• Newsletters• Other substantive policy materials, i.e. repots

to accrediting bodies• Publications

Contact Special Collections

RECORDS MANAGEMENT• UW-Whitewater Special Collections / Archives

L1230 Andersen Library, first floor

Karen Weston, Archivist Mon-Fri 9-1Deronica Goldsmith, Assistant Mon-Fri 9-4:30

X5520 or recmgt@uww.edu