Finding and Reading General Records Schedules

Brad Houston, University Records Officer May 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DO NOT use old “UWM Records Management” binder– it is 10 years out of date!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!
Specific  Campus GRS  System GRS  State 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:
[email_address]
414-229-6979

Finding and Reading General Records Schedules

by Brad Houston

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Finding and Reading General Records Schedules Presentation Transcript