Records and Information Management Lifecycle Dennis Larsen Records Officer Webinar for Cooperative Extension 5/19/2014

Records Management Wis. Statute 16.61(2) spells out management and retention of records, role of public records board, records officers, records retention schedules, etc. Records retention schedules: rules which concern the retention and disposition of specific and identified groups of records. 2

Presentation Will Help You-- 1.Learn the principles of records management. 2.Learn the records retention and disposition rules for managing your . 3.Consider what and other records to retain and what to delete and when. 3

What are records? Recorded information in any form or media. Evidence of business transactions. Wisconsin Statutes 16.61(2)(b) defines “Public Records” and lists various media, then identifies that records are made or received in the course of public business. 4

Records Management LegalAuthority Authority for records in the UW System is established by state statute and the UW System Board of Regents. Public Records Board (PRB) approves retention & disposition schedules. 5

Requests for Public Records Open Records Requests—when an individual or other entity (public or private) requests to obtain or see a public record. In Cooperative Extension, mostly mailing lists. Statue calls these “public records” Related in law to “open and public meetings Refer requests for “public records” to Jason Beier, Interim Vice Chancellor for Administrative and Financial Services, UW Colleges and UW-Extension, See also Jason Beier will ensure proper legal protection of confidential and personal identifiable information. 6

What are not records? Wisconsin Statute 16.61(2)(b) indicates what public records do not include: Duplicates or convenience copies, drafts, notes, preliminary computations, routing slips, envelopes, unsolicited invitations & notices, and library books These often called non-records. 7

We often have more records than we need & finding what we want is like finding… 8

Where do we start? 9 Computer files facebook Cloud Computing Google+Google+

Retention or Disposition? Retain or Dispose? Axiom of records management: – Most records loose significance fast. Once you have attended a meeting, the invitation becomes much less interesting. When can we discard, destroy, or delete? A few records - much more important & kept longer: contracts, others?.... But then delete! Retention periods for records imply an end to retention. In other words, deletion! 10

Records Management and Lifecycle Think in terms of a hierarchy for retention purposes: – Delete – Retain for 7 days then, delete – Retain for 6 months after an event, then delete – Retain based on an existing records schedule for longer periods of time and then delete. 11

12 Identify content Is the non- business & personal, an extra copy, a draft, or spam? Is the business, but has transitory, short term value? Is the routine business, but with an ending event? Is the part of existing a known schedule? Wisconsin State Statue 16.61(2)(b) says it is not a record. Delete it! Retention Schedule*: Keep 7 days or until superseded or event has expired. Delete it! Retention Schedule*: Keep 6 months after event, project or activity. Delete it! e.g. RDA Program Participant Data and Records/Registration Forms. Session ends + 18 months. Delete! No No? Contact records officer Yes No

13 Is the non- business & personal, an extra copy, a draft, or spam? Wisconsin State Statue 16.61(2)(b) says it is not a record, it is a non-record Delete it! Yes No

Non-Records Examples: Details about a social lunch date (non business) Copies of for which you are not the primary recipient. from a firm selling or advertising. 14

15 Is the business, but has transitory, short term value? Keep 7 days or until superseded or event has expired. Delete it! No Yes

Transitory This is business oriented but of very short term value. – Invitations to meetings that are only of minor importance for you, or for a meeting that has already occurred. – Response to a simple request for information or materials which are dispatched in a matter of minutes (without lengthy research to do). – Notifications sent via a distribution list about holidays, news bulletins, news of air conditioner maintenance, etc. e.g. News and Ideas updates 16

17 Is the routine business, but with an ending event? Keep 6 months after event, project or activity. Delete it! No? Contact the Records Officer Yes No

Create Folders for Retaining s 18 Routine Retain 6 mo. From Event – EVT = project ends (mm/dd/yyyy) – EVT = semester ends (05/17/2011) Event is defined by the user or by a group of users Routine Retain 6 mo. From Event – EVT = project ends (mm/dd/yyyy) – EVT = semester ends (05/17/2011) Event is defined by the user or by a group of users ABC Project

Routine Examples Routine has continuing value. Documents transactions of public business, decision making and dissemination of substantive materials. thread with members of program area team about development of educational program with attachments of the draft curriculum. The program will be used over time by colleagues throughout the state in local communities. from Dean and Director Rick Klemme explaining a study of salary equity issues in Cooperative Extension with the executive summary report of the consultant as the attachment. The report and Rick’s message is posted on a website and on a blog. 19

Routine Examples Routine has continuing value. Documents transactions of public business, decision making and dissemination of substantive materials. thread of a faculty governance committee discussing an issue from a recent and future committee meeting with comments about implications of the issue for an institutional governance meeting. 20

21 Is the part of existing a known schedule? e.g. RDA : Program Participant Data and Records/Regis tration Forms Keep after session ends, 18 months. Delete! No? Contact the Records Officer No? Contact records officer Yes

Cooperative Extension Records Schedules Some custom records retention and disposition schedules pertain to your work: Program Participant Data and Records/Registration Forms – RDA – Event + 18 months, destroy – Event = Session ends Criminal Records Checks (Criminal Background checks)- Volunteers – RDA – Year created + 4 years, destroy, but keep latest records check 22

UW System-wide Records Schedules Some General Records Schedules useful to you: UWPER013 Search & Screen Committee Records – Event + 6 years then confidentially destroy/delete, – Event = Date position filled – Copies: Destroy when no longer needed UWADM018 Agendas/Minutes – Event + 3 years then transfer to UW-Archives – Event = Approval of minutes – Copies: Destroy when no longer needed Many other records schedules and details are available at

Questions or Comments 24

Contact Information 25 Send questions and comments to Dennis Larsen 432 Lake Street, Room 211 Madison, WI –See website for information about records management and records retention schedules.