Finding and Reading General Records Schedules


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Presentation on finding and interpreting General Records Schedules at campus, UW-System, and Wisconsin state levels, originally presented at UWM May 21, 2008

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Finding and Reading General Records Schedules

  1. 1. Brad Houston, University Records Officer May 21, 2008
  2. 2. <ul><li>Records : Recorded information, in any format, that allows an office to conduct business </li></ul><ul><ul><li>This includes emails and IMs! </li></ul></ul><ul><ul><li>Also documents business processes </li></ul></ul><ul><li>Value of Record determined by content, not format! </li></ul><ul><li>Ask: “Does this document help me perform my job description?” </li></ul>
  3. 3. <ul><li>Legal document, authorized by State Archivist of Wisconsin, prescribing records retention </li></ul><ul><li>Also known as Records Retention and Disposition Authority (RRDA) </li></ul><ul><li>Five main parts to know about: </li></ul><ul><ul><li>Record Series Title </li></ul></ul><ul><ul><li>Records Description </li></ul></ul><ul><ul><li>Retention Period </li></ul></ul><ul><ul><li>Triggering Event </li></ul></ul><ul><ul><li>Final Disposition </li></ul></ul>
  4. 5. <ul><li>Records schedules that apply to records created by multiple offices </li></ul><ul><li>Can be created at Division, Campus, UW-System, or State level </li></ul><ul><li>Usually distinguish between official and unofficial copies </li></ul><ul><ul><li>Official copy: the copy that must be retained for audit/records request purposes </li></ul></ul><ul><li>Must be renewed every 10 years– RRDA Sunset Law </li></ul>
  5. 7. <ul><li> </li></ul><ul><li>Updated every 3 months; most current schedules available </li></ul><ul><ul><li>DO NOT use old “UWM Records Management” binder– it is 10 years out of date! </li></ul></ul><ul><li>Includes series title, brief description, RRDA authority, retention guideline </li></ul><ul><ul><li>Full RRDAs for all campus GRSs, including full description, available upon request </li></ul></ul>
  6. 8. <ul><li>Committee minutes (official) (RRDA #120) </li></ul><ul><ul><li>Retain for three years, then send to Archives </li></ul></ul><ul><li>Search and Screen Files (official) (RRDA #293) </li></ul><ul><ul><li>Retain for three years, then destroy confidentially </li></ul></ul><ul><li>Student Records (Unofficial) (RRDA #119) </li></ul><ul><ul><li>Retain for 1 year after last attendance, then destroy confidentially </li></ul></ul><ul><li>Personnel Files (Unofficial) (RRDA #251) </li></ul><ul><ul><li>Retain for MAXIMUM of 1 year; destroy confidentially when no longer needed for reference </li></ul></ul>
  7. 10. <ul><li> </li></ul><ul><li>Produced by UW Records Officers Council </li></ul><ul><li>Input solicited from interested parties </li></ul><ul><ul><li>PReps, UBRs, UITS staff, etc. </li></ul></ul><ul><li>Apply to ALL records-producing units in UW-System </li></ul><ul><li>Currently Active: Fiscal/Accounting, Library Records </li></ul><ul><li>Coming Soon: Personnel, Student Records, IT Records, Business Communication (incl. e-mail) </li></ul>
  8. 11. <ul><li>Explains scope of records schedules, definitions of terms </li></ul><ul><li>Detailed descriptions of different records series, retention periods applicable for each </li></ul><ul><li>The OFFICIAL copy of the Fiscal/Accounting GRS– when in doubt, refer to this one! </li></ul><ul><li>Expires February 2017, per sunset rule </li></ul>
  9. 13. <ul><li>“ At-your-fingertips” reference copy of GRS </li></ul><ul><li>Includes disposition instructions for official and unofficial copies </li></ul><ul><ul><li>Official Copy: copy of a record retained for audit </li></ul></ul><ul><li>Brief descriptions of included records series </li></ul><ul><ul><li>Record types with no individual disposition period assumed to reflect period of last major heading </li></ul></ul><ul><li>EVT=Start counting at end of use </li></ul><ul><ul><li>Exception: if other triggering event is mentioned </li></ul></ul><ul><li>FIS=Start counting at end of fiscal year </li></ul>
  10. 15. <ul><li>Recurring Audit records (FISC106) </li></ul><ul><ul><li>Retain for three years, then destroy </li></ul></ul><ul><li>Expenditures (FISC300), Receipts (FISC301) </li></ul><ul><ul><li>Retain official copy for six years, reference copies for one year, then destroy </li></ul></ul><ul><li>Gift and Grant Folders (FISC900, FISC901) </li></ul><ul><ul><li>Retain official copy for three years, reference copies for one year, then destroy </li></ul></ul><ul><li>Tenured Faculty Personnel File (UWPERS001) </li></ul><ul><ul><li>Retain for 30 years after termination, then transfer to Archives </li></ul></ul>
  11. 17. <ul><li> </li></ul><ul><li>Created by Records Managers across the state, in consultation with stakeholders </li></ul><ul><li>In theory, apply to ALL state agencies, including UWM </li></ul><ul><li>In practice, UW-System has opted out of many of these </li></ul><ul><ul><li>Consult University Records Officer before using! </li></ul></ul><ul><li>Useful as examples of retention periods </li></ul>
  12. 18. <ul><li>Classified Staff personnel records fall under the State Personnel GRS! </li></ul><ul><ul><li>Includes P-File, supporting documentation listed in state schedule </li></ul></ul><ul><li>PERS124 (Official Personnel File) </li></ul><ul><ul><li>Retain eight years after termination and destroy </li></ul></ul><ul><li>PERS125 (Supervisor’s Copy of P-File) </li></ul><ul><ul><li>Destroy upon termination </li></ul></ul><ul><li>Schedule does NOT apply to academic staff or faculty </li></ul><ul><ul><li>Will be scheduled under UW-System GRS </li></ul></ul>
  13. 19. <ul><li>Probably, but not necessarily </li></ul><ul><li>Take account of all records created by your office </li></ul><ul><ul><li>n.b. “Record”=any document produced as result of business function </li></ul></ul><ul><ul><li>Records officer can help you identify different record types </li></ul></ul><ul><li>Use Records Schedules at HIGHEST specificity first! </li></ul><ul><ul><li>Specific  Campus GRS  System GRS  State GRS </li></ul></ul><ul><ul><li>Contact records officer for copies of specific RRDAs </li></ul></ul>
  14. 20. <ul><li>Subject Files (UWM133) </li></ul><ul><li>Committee Minutes (UWM120) </li></ul><ul><li>Unofficial Personnel Files (UWM251) </li></ul><ul><li>Unofficial Student Files (UWM119) </li></ul><ul><li>Expenditures (FISC300) </li></ul><ul><li>Receipts (FISC301) </li></ul><ul><li>Search and Screen Committee Files (UWM293) </li></ul><ul><li>Agreements and Contracts (UWM159) </li></ul><ul><li>Publications (UWM131) </li></ul>
  15. 21. <ul><li>Contact the University Records Officer! </li></ul><ul><li>Identify potential functions of your office still in need of schedules </li></ul><ul><li>Identify any legal, fiscal, or administrative requirements for records retention </li></ul><ul><ul><li>AACRAO guidelines? Legal statutes? </li></ul></ul><ul><li>If possible, fill out Records Series Description Worksheet </li></ul><ul><li>RRDAs sent to PRB for approval every 3 months </li></ul>
  16. 22. <ul><li> </li></ul><ul><li>Includes links to everything listed in this presentation </li></ul><ul><li>Explore all pages on sidebar for maximum informational intake </li></ul><ul><li>“ Guidelines, Laws, and Policies” page </li></ul><ul><li>Or, contact the Records Officer directly: </li></ul><ul><ul><li>[email_address] </li></ul></ul><ul><ul><li>414-229-6979 </li></ul></ul>