Track 2 – Session 1 Records Management 101 10/20/2016 Department of Administration, State Records Center October 19, 2017 Track 2 – Session 1 Records Management 101 Kathryn Egeland Program and Policy Analyst

10/20/2016 Records Management 101 October 19, 2017 * Laws & Oversight * What Constitutes a Record *Records Management & Procedures

Records Management 101 – Laws and Oversight 10/20/2016 Records Management 101 – Laws and Oversight Wis. Stat § 15.04 prescribes department head responsibilities, which includes designating a records officer to be responsible for coordinating and managing the records management functions within the state agency.   Wis. Stat. Ch. 16.61 speaks to records management requirements for purposes of records retention. Wis. Stat. § § 19.31-19.39 speaks to open records law, access to records, fees, limitation on access, enforcement and penalties.  

Records Management 101 – Laws and Oversight 10/20/2016 Records Management 101 – Laws and Oversight Wis. Stat. § 16.61(2)(b) defines what constitutes “public records” for purposes of the records retention obligations of state agencies. Wis. Stat. § 19.32(2) defines what constitutes a “record” for the purposes of the access/disclosure mandate of the public records law. The above two definitions of ‘record’ are similar but not identical and they are not interchangeable. Wis. Stat. § 16.61(2)(b) is used to manage the retention of records and Wis. Stat. § 19.32(2) is used for purposes of responding to public records requests.

Records Management 101 – Laws and Oversight 10/20/2016 Records Management 101 – Laws and Oversight State Records Center: Pursuant to Wis. Stat. §16.62(1)(b), DOA operates a state records management facility and promulgates rules necessary for its efficient operation. Pursuant to Wis. Stat. §16.62(2), the department may establish user charges for records storage and retrieval services and structure such charges to encourage efficient utilization of those services. The SRC is a secure, low-cost facility that offers off-site records management services to Madison-based state agencies and nearby local units of government The SRC's primary function is to serve agency needs for records security, maintenance and disposition of state agency inactive records.  Public Records Board: Is responsible for the preservation of important state records, the orderly disposition of state records that have become obsolete and cost-effective management of records by state agencies. State agencies must have written approval from the PRB to dispose of records the agency generates or receives. Statutory authority for the PRB is found in Wis. Stat. § 16.61. The PRB’s oversight and accountability is performed collaboratively with Wisconsin governmental entities to assist in their compliance with records retention and preservation requirements.  

10/20/2016 Records Management 101 – What Constitutes a Record What Constitutes a Record? A record is … any documentary material, regardless of physical form or characteristics, which is created, received or maintained in connection with business activities and serves as evidence of functions, policies, decisions, procedures, obligations or operations. Any Media … E-mail messages; Data, electronic documents; Paper, Microfilms, Audio-visual materials; and, all other materials. Bottom Line … A record is the final form of information, in any format, which: * Is evidence of the function of the agency. * Documents its decisions or actions. * Is the non-alterable, final form of information.  

Records Management 101 – What Constitutes a Record 10/20/2016 Records Management 101 – What Constitutes a Record Agency speeches/ presentations. Grant documentation. Website content and administrative materials. Budgets and related materials. Purchase orders/invoices/ billings/payment documents. Legal documents. Public/open record requests. Continuity of Operations, Emergency and Workplace Safety plans. Building permits/construction files. Examples Of Records: Procedures and standards. Policy directives, updates, clarifications and approvals. Official reports, e.g., annual reports for external audiences. Routine activity/production reports. Internal and external letters, memorandums and other correspondence. Applications and related materials. Organizational charts/ organizational documents. Agency-sponsored conference materials.  

Records Management 101 – What Constitutes a Record 10/20/2016 Records Management 101 – What Constitutes a Record A record in the employee’s work area … information is a record in the employee’s work area if: * Their program is designated as the custodian due to oversight duties or other reasons; * Their program needs it to document its activities or decisions; * Their program created it; * Their program received it for action; or, * Their program acted on it.  

Records Management 101 – What Constitutes a Record 10/20/2016 Records Management 101 – What Constitutes a Record E-mail: * Does the content or attachment to the e-mail directly relate to my work area or responsibility? * Does the subject relate to the content of other information known to be a record? * Does the material describe processes, policies or decisions of the agency? * Did I provide opinions, advice or comments? * Did my supervisory chain transmit the e-mail to me with directions to perform in some way? The content defines if an e-mail message or attachment is a record.  

Records Management 101 – What Constitutes a Record 10/20/2016 Records Management 101 – What Constitutes a Record Websites: * Agency communications with students, businesses or the public via its website or via Twitter, Facebook, etc., may be state records. * Terms of use, policy and how posts will be maintained and archived must be defined by the agency and retained as state records. Business Messages on Private Accounts: * Email, voicemail, text messages regarding state business on private accounts may be state records. The content defines if a state record exists, not the medium, format or location.  

Records Management 101 – What Constitutes a Record 10/20/2016 Records Management 101 – What Constitutes a Record What is Not a Record? * Reference materials and stock copies… vendor catalogs, phone books, agency publications, blank forms * Duplicate copies… copies of records (paper or electronic) used for convenience or reference purposes only * Drafts or working papers… draft documents without substantive comments, rough notes, calculations * General announcements and unsolicited email (internal or external)… reminders received by all staff, listserv messages, spam

Records Management 101 – What Constitutes a Record 10/20/2016 Records Management 101 – What Constitutes a Record Examples of Non-Records: Reference materials. Periodicals and publications not created by the agency. Notices or invitations not created or solicited by the agency and not related to any action taken, proposed or considered by the agency. Drafts, notes, preliminary computations and similar planning materials unless they leave your work area. Materials that are purely personal property and have no relation to an individual’s official capacity. Convenience/duplicate copies unless kept longer than the original. Blank forms, (are records for the agency forms officer). Routing slips.

10/20/2016 Records Management 101 – Records Management & Procedures Records Management No record can be destroyed, deleted or transferred to an archival repository without an approved and active records retention disposition authorization. Wis. Stat. § 16.61(4)(a) Records Retention Disposition Authorization (RDA): Describe a group of records and mandate how long they must be kept (retention) and their ultimate disposition (destruction or transfer). Provide instructions and information as to record content, format, length of the retention period, official record location and disposition to assist employees in managing records throughout a record’s life cycle, (creation through destruction or transfer).

Records Management 101 – Records Management & Procedures 10/20/2016 Records Management 101 – Records Management & Procedures Whether Stored On-Site or Off-Site…paper or electronic… * Preserve records for their life cycle. * Easy process for access to a specific record. * Orderly method for the destruction/transfer of records. Dispose of information in a confidential manner. * File not stack. * Maintains strict security: Access Chain of Custody * Secure and safeguard confidential, sensitive and personally identifiable information.

Records Management 101 – Records Management & Procedures 10/20/2016 Records Management 101 – Records Management & Procedures Whether Stored On-Site or Off-Site…paper or electronic… * Maintains an industry standard for inventory management. * Provides a fast and efficient retrieval service. * Notifies you at least once a year of records having met the retention requirement. * Disposes of records in a confidential manner with the agency’s authorization at end of the retention period.

Records Management 101 – Records Management & Procedures 10/20/2016 Records Management 101 – Records Management & Procedures Personally Identifiable Information: Personally Identifiable Information (PII) is broadly defined by Wis. Stats. § 19.62(5) as: “..information that can be associated with a particular individual through one or more identifiers or other information or circumstances.” Confidential / Access Protected: Records that are Confidential or denoted as Access Protected have a specific statute, administrative rule, or other legal authority which requires that all, or some, information in the record series be kept confidential or protected from public access.

Records Management 101 – Records Management & Procedures 10/20/2016 Records Management 101 – Records Management & Procedures Safeguarding confidential and personally identifiable information: * Do not leave unattended on your desk or computer. * Limit access by locking the information in your desk drawer, overhead bin, file cabinet or similar when not in use. * Clearly label as “Confidential”. * Dispose of as confidential by shredding.

10/20/2016 Records Management 101 – Records Management & Procedures Procedures Records Retention Administration * RDA Review Process * Writing New, Renewing, and Amending RDAs * Closing and Superseding RDAs * Extending RDAs * PRB Process and Cycle Records Inventory Management * On-site vs. Off-Site * Records Inventory Disposition Process * Transferring “Ownership” of Records * Daily Inventory Maintenance > paper vs electronic > proper disposition

Records Management 101 – Records Management & Procedures 10/20/2016 Records Management 101 – Records Management & Procedures General Records Schedules: * General Records Schedules are sets of RDAs for record types available for and commonly used across all state agencies and local units of government. * The Public Records Board created General Records Schedules to make recordkeeping simpler and consistent. * The Public Records Board approves all General Records Schedules. * Valid for ten (10) years. * Where can I find the General Records Schedules? Public Records Board Website – Document Library.

Records Management 101 – Records Management & Procedures 10/20/2016 Records Management 101 – Records Management & Procedures Business Area or Program RDAs: * For record types that are unique to the business or mission of an agency or local unit unique to a specific department or program area. * Single RDAs are created by the records officer for the agency or by a program area. * Records created by the business area or program which are not covered in a General Records Schedule. * Valid for ten (10) years. * Creation, renewals and amendments (changes) to these RDAs must be approved by the Public Records Board.

Department of Administration, State Records Center 10/20/2016 Department of Administration, State Records Center October 19, 2017 Thank you for your commitment to records management.