Finding and Reading General Records Schedules

1. Finding and Reading General Records Schedules Brad Houston, University Records Officer May 21, 2008

2. What is a record? • 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?”

3. What is a Records Schedule? • 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

4. RRDA Form: An Example

5. General Records Schedules • 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

6. Finding GRSs: Campus Level

7. Campus GRSs: An Overview • 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every 3 months; most current schedules available • DO NOT use old “UWM Records Management” binder– it is 10 years out of date!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

8. Campus GRSs: Highlights • 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

9. Finding GRSs: System Level

10. UW System GRSs: An Overview • 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)

11. Fiscal/Accounting: Instructions • 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

12. Fiscal/Accounting Instructions

13. Fiscal/Accounting Spreadsheet • “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

14. Fiscal/Accounting Spreadsheet

15. System GRSs: Highlights • 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

16. Finding GRSs: State Level

17. Wisconsin State GRSs: Overview • 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

18. The Major Exception: Personnel • 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

19. Does my office use a 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! • SpecificCampus GRSSystem GRSState GRS • Contact records officer for copies of specific RRDAs

20. The Most Common Record Series • 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)

21. If your office still needs RRDAs • 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

22. For Additional information • 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