Records Management at UW-Whitewater

1. Records Management at UW-Whitewater 2013.08.22

2. Why records management? • Life cycle of records • Four values • Administrative • Legal • Fiscal • Historical http://www.uwex.uwc.edu/admin-services/audit/records/

4. Define “Record” A RECORD is recorded information created in the conduct of agency business, regardless of medium or characteristics.

5. 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

7. Three Levels of Schedules • Public Records Board • Department of Administration general schedules • UW System general schedules • UWW local schedules

10. 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

14. 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.

15. 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.

16. 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.

17. 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.

18. 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)

19. 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.

20. 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

21. Transfer formhttp://library.uww.edu/Documents/library/recordstransferform.xlsx

22. RRDA Form

23. 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

24. Contact Special Collections RECORDS MANAGEMENT • UW-Whitewater Special Collections / Archives L1230 Andersen Library, first floor Karen Weston, Archivist Mon-Fri 9-1 Deronica Goldsmith, Assistant Mon-Fri 9-4:30 X5520 or recmgt@uww.edu