University of Wisconsin - Stout

What is Records Management?

“Records Management is a concept which views all recorded information as having a “life-cycle” of its own from initial creation, to active office use, to inactive storage, and finally to eventual destruction or transfer to the Archives for permanent preservation.”

Process to Enter Materials into Archives

  1. Either by request or own initiative, the University Archivist contacts the Department Chair or Unit Administrator to discuss the records inventory, its objectives, and to receive administrative commitment to the process.
  2. The Department Chair or Unit Administrator assigns one employee to serve as the Records Management Representative (RMR) for that department or unit and discusses the nature and value of the project, how the project will affect on-going work, and sets time limits regarding completion of the project.
  3. The University Archivist meets with the representative (RMR) to discuss the inventory procedure, answer questions, and encourage further contact as questions arise.
  4. The RMR then identifies all known locations of the records for the department or unit. This includes both active and inactive records and may require some creative searching to insure that all locations have been included.
  5. The Archivist and RMR work together to complete an inventory worksheet for each records series.
  6. The RMR submits copies of all completed inventory worksheets to the Department Chair or Unit Administrator for comments. If necessary, the University Archivist, the RMR, and the Department Chair or Unit Administrator meet to formalize the worksheets.
  7. The University Archivist compiles the Records Disposition Authorization (RDA) from the completed inventory worksheets and sends a copy of the tentative RDA to the RMR for additional input. Upon receipt of the RMR’s comments, the Archivist makes necessary revisions, receives the RMR’s final approval, and then routes the RDA to the department head or unit administrator for signature.
  8. The signed RDA is sent back to the University Archivist for signature. The Archivist then submits the RDA to the Public Records Board in Madison for final approval. This process can take several months to complete.
  9. Upon approval by the Public Records Board, the RDA is assigned a number and is returned to the University Archivist. The Archivist then makes a copy of the approved RDA as well as the “Records Retention Schedule.” Following the receipt of the approved authorization, the RMR can now begin the process(es) submitted in his or her RDA.
  10. The disposition of a record series is final when it is either destroyed or legal custody is transferred to another agency. In effect, the RDA is a legal agreement between the University and the Public Records Board that a given record series will be retained at least so many years and then disposition will be handled in a certain way. It is then the responsibility of the RMR to notify the University Archivist of any changes in records series. Should a different retention period for a record series on an approved RDA be desired, the Archivist should be contacted to submit a new RDA to the Board.

Submitting Materials to Be Retained

  1. Records are to be packed in Record Center Cartons only. These are available through the University Stores Catalog.
  2. Records MUST be packed in the cartons in the same arrangement as they appeared in the file drawer. Records must not be removed from the original file folders nor should any portion of the records be weeded or discarded.
  3. Records stored in notebooks or three-ring binders may be removed and placed in accordion folders. Information which appeared on the notebook or binder should be written on the accordion folder. Special care should be taken to insure that the records are not disarranged during this process.
  4. Generally only one record series is to be packed in a Records Center Carton. However, if a record series is small, another record series may also be packed in the same carton if both series are adequately separated and identified and have the same retention period.
  5. Prior to transportation, a Records Transmittal Sheet must be completed for each box. Records Transmittal Sheets are available through the UW-Stout Records Center, located in the University Services Building, or on the Procurement and Materials Management. Three copies of the completed form will be needed; two copies must accompany the records and should be placed inside the box, the other copy is to be retained by the office.

Storage of Records

The actual storage of records is coordinated through the Procurement and Materials Management Department. Departments needing temporary housing for their inactive files may use the University Record Center.  A Records Disposal Authorization is required.

Records should be kept in your office for as long as you need access to them. Because space is limited, contact should be made before any records are transferred to the University Record Center (715-232-2218).

UW-Stout custodial staff will transfer your records to the Records Center or Archives for a nominal fee.

Online Log of Archived University Records

A complete log of all records currently housed in the University Record Center may be viewed at the the Records Center.

General Record Retention Schedules

The Wisconsin Department of Administration has a general schedule that covers common records statewide.

General schedules…

Use of Archived University Records

No records or publications which have been incorporated into the Archives may be used outside the premises of the Archives. The office of origin, however, may withdraw on loan any record which it has deposited.

Non-UW-Stout Personal Papers and Records

Personal papers and records of faculty, alumni, and other organizations not a part of the UW-Stout community are not public records and will be acquired by donation to the University Archives.

The law forbids the destruction of any records while an open records request is pending, until the request is granted or at least 60 days have passed since the date the request is denied. Court orders may extend this time period. 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.

Electronic Record Keeping

For guidelines on electronic record-keeping, visit University Archives and Area Research.

For further questions or to set up a meeting for Records Management concerns, contact the Area Research Center (Archives) at 232-2300 or archives@uwstout.edu

Last Updated: 01/28/2008 and Last Revised: 2006-01-20

Contact University Archives E-mail for more information or help on this topic.