Finding and Reading General Records Schedules

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Finding and Reading General Records Schedules

• Brad Houston, University Records Officer
• May 21, 2008

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What is a record?

• 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?

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What is a Records Schedule?

• 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

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RRDA Form An Example
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General Records Schedules

• 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

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Finding GRSs Campus Level
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Campus GRSs An Overview

• http//www.uwm.edu/Libraries/arch/recordsmgt/commo
  n.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  it is 10 years out of date!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

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Campus GRSs Highlights

• 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

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Finding GRSs System Level
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UW System GRSs An Overview

• 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)

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Fiscal/Accounting Instructions

• 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

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Fiscal/Accounting Instructions
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Fiscal/Accounting Spreadsheet

• 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
• EVTStart counting at end of use
• Exception if other triggering event is mentioned
• FISStart counting at end of fiscal year

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Fiscal/Accounting Spreadsheet
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System GRSs Highlights

• 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

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Finding GRSs State Level
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Wisconsin State GRSs Overview

• 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

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The Major Exception Personnel

• 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 (Supervisors Copy of P-File)
• Destroy upon termination
• Schedule does NOT apply to academic staff or
  faculty
• Will be scheduled under UW-System GRS

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Does my office use a GRS?

• Probably, but not necessarily
• Take account of all records created by your
  office
• n.b. Recordany 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

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The Most Common Record Series

• 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)

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If your office still needs RRDAs

• 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

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For Additional information

• 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
• houstobn_at_uwm.edu
• 414-229-6979