Brad Houston, University Records OfficerMay 21, 2008

Records: Recorded information, in any format, that allows an office to conduct business◦ This includes emails and IMs!◦ Also documents business processes

Value of Record determined by content, not format!

Ask: “Does this document help me perform my job description?”

Legal document, authorized by State Archivist of Wisconsin, prescribing records retention

Also known as Records Retention and Disposition Authority (RRDA)

Five main parts to know about:◦ Record Series Title◦ Records Description◦ Retention Period◦ Triggering Event◦ Final Disposition

Records schedules that apply to records created by multiple offices

Can be created at Division, Campus, UW-System, or State level

Usually distinguish between official and unofficial copies◦ Official copy: the copy that must be retained for

audit/records request purposes Must be renewed every 10 years– RRDA

Sunset Law

http://www.uwm.edu/Libraries/arch/recordsmgt/common.html

Updated every 3 months; most current schedules available◦ DO NOT use old “UWM Records Management”

binder– it is 10 years out of date! Includes series title, brief description, RRDA

authority, retention guideline◦ Full RRDAs for all campus GRSs, including full

description, available upon request

Committee minutes (official) (RRDA #120)◦ Retain for three years, then send to Archives

Search and Screen Files (official) (RRDA #293)◦ Retain for three years, then destroy confidentially

Student Records (Unofficial) (RRDA #119)◦ Retain for 1 year after last attendance, then

destroy confidentially Personnel Files (Unofficial) (RRDA #251)

◦ Retain for MAXIMUM of 1 year; destroy confidentially when no longer needed for reference

http://www.uwsa.edu/gc-off/records/schedules/

Produced by UW Records Officers Council Input solicited from interested parties

◦ PReps, UBRs, UITS staff, etc. Apply to ALL records-producing units in UW-

System Currently Active: Fiscal/Accounting, Library

Records Coming Soon: Personnel, Student Records,

IT Records, Business Communication (incl. e-mail)

Explains scope of records schedules, definitions of terms

Detailed descriptions of different records series, retention periods applicable for each

The OFFICIAL copy of the Fiscal/Accounting GRS– when in doubt, refer to this one!

Expires February 2017, per sunset rule

“At-your-fingertips” reference copy of GRS Includes disposition instructions for official

and unofficial copies◦ Official Copy: copy of a record retained for audit

Brief descriptions of included records series◦ Record types with no individual disposition period

assumed to reflect period of last major heading EVT=Start counting at end of use

◦ Exception: if other triggering event is mentioned FIS=Start counting at end of fiscal year

Recurring Audit records (FISC106)◦ Retain for three years, then destroy

Expenditures (FISC300), Receipts (FISC301)◦ Retain official copy for six years, reference copies

for one year, then destroy Gift and Grant Folders (FISC900, FISC901)

◦ Retain official copy for three years, reference copies for one year, then destroy

Tenured Faculty Personnel File (UWPERS001)◦ Retain for 30 years after termination, then transfer

to Archives

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

Created by Records Managers across the state, in consultation with stakeholders

In theory, apply to ALL state agencies, including UWM

In practice, UW-System has opted out of many of these◦ Consult University Records Officer before using!

Useful as examples of retention periods

Classified Staff personnel records fall under the State Personnel GRS!◦ Includes P-File, supporting documentation listed in

state schedule PERS124 (Official Personnel File)

◦ Retain eight years after termination and destroy PERS125 (Supervisor’s Copy of P-File)

◦ Destroy upon termination Schedule does NOT apply to academic staff

or faculty◦ Will be scheduled under UW-System GRS

Probably, but not necessarily Take account of all records created by your

office◦ n.b. “Record”=any document produced as result of

business function◦ Records officer can help you identify different

record types Use Records Schedules at HIGHEST

specificity first!◦ SpecificCampus GRSSystem GRSState GRS◦ Contact records officer for copies of specific RRDAs

Subject Files (UWM133) Committee Minutes (UWM120) Unofficial Personnel Files (UWM251) Unofficial Student Files (UWM119) Expenditures (FISC300) Receipts (FISC301) Search and Screen Committee Files

(UWM293) Agreements and Contracts (UWM159) Publications (UWM131)

Contact the University Records Officer! Identify potential functions of your office

still in need of schedules Identify any legal, fiscal, or administrative

requirements for records retention◦ AACRAO guidelines? Legal statutes?

If possible, fill out Records Series Description Worksheet

RRDAs sent to PRB for approval every 3 months

http://records.uwm.edu Includes links to everything listed in this

presentation Explore all pages on sidebar for maximum

informational intake “Guidelines, Laws, and Policies” page Or, contact the Records Officer directly:

◦ houstobn@uwm.edu◦ 414-229-6979