University of Wisconsin Stout | Wisconsin's Polytechnic University

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."

General Record Retention Schedules

The University of Wisconsin Records Officer Council has been establishing General Records Schedules that can be used uniformly throughout the UW System. These schedules:

• Provide agencies with uniform guidelines for retention and disposition of common records
• Ensure that records are maintained for the established minimum time periods to meet all applicable program requirements and statewide legal, fiscal and historical requirements.
• Are designed to cover administrative records, thereby freeing up resources for agencies to focus on their program-specific records.

For the most current approved schedules, go to http://www.uwsa.edu/gc-off/records/schedules

Legal Issues

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 715/232-2300 or archives@uwstout.edu

Transferring Materials to the UW-Stout Records Center

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.
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 also available through the UW-Stout Archives, located in the University Library. 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.
6. A copy will be returned to you with your box's location number and the year of destruction/transfer to archives. Keep this for your records; there will be no other communication on this. When the date of destruction/transfer comes up, if no notification of a pending lawsuit or need to keep records for longer period has been made to the records center staff, the records will be disposed of according to the RDA (Records Disposition Authorization) or General Schedule.

Storage of Records

The storage of records is coordinated through the Archives and Area Research Center. Departments needing temporary housing for their an active files are required to be covered under a Records Disposition Authorization. Records should be kept in your office for as long as you need access to them.

Please contact Robin Melland at 715/232-2300 before transporting them to the Records Center. Incomplete or inaccurately completed records/paperwork could result in the return of the records to the department and may result in greater costs.

Desktop Records Management Training Site

The University of Wisconsin Records Office Council has developed Desktop Webcasts to assist in the training of UW System employees in Records Management. These webcasts are a valuable tool for the employee in managing their university records. http://www.uwsa.edu/gc-off/records/training.htm