Brad Houston, University Records OfficerJuly 15, 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?”

Produced by UW Records Officers Council (UWROC), in conjunction with library staff◦ Department heads here were consulted for input

Covers 44 records series (functional groups) in 9 categories

Effective immediately and retroactively◦ Example: records with 10 years’ retention created

in 1998 can be destroyed immediately Prescribes MINIMUM retention periods

◦ Be aware, however, of legal liability

Organized into 9 categories◦ Administration, Collection Development, Special

Collections, Circulation, Interlending, Information Systems, Publicity, Reference, Surveillance

Within each category, find the record type you need◦ Examples: Call Slips, Donor Files, Registration

Forms◦ Record series names may not correspond to the

names YOU use– read the description to determine functional similarity

GRS Category Schedule Examples GML Departments

Administration Director’s Files, leadership reports, use reports, staff meeting minutes

ALL

Collection Development

Patron requests, donor files, art inventory

Collections and Tech Svcs (all), AGSL, Special Collections

Special Collections Registration forms, call slips, processing records

Archives, Special Collections, AGSL

Circulation Patron histories, overdue notices, stack management records

Circulation, Shelving Maintenance

GRS Category Schedule Examples GML Departments

Interlending Interlending records Interlibrary Loan

Information Systems Staff client records, patron statistics, ILL server, website

Library Systems, Circulation, Interlibrary Loan

Publicity Newsletters, Program Files

Director’s Office, RIS, Multicultural Svcs., all public service depts.

Reference Reference Questions and Statistics, BI records

All public service depts.

Security Surveillance tapes, accident reports, patron incident files

Facilities Management

Official Record: The copy of record for audit purposes, record requests, etc.

Usually, author of document is the official record-holder◦ Exception: Committee chairs are official record-

holders for minutes, etc. Only official records need to be retained for

full period◦ Convenience copies usually have shorter period, if

any

Record Schedules consist of:◦ Description of the Series◦ Retention period (original)◦ Retention period (copies)

Retention periods include ‘triggering event’, i.e. when you start counting (creation, end of fiscal year, etc.)

If retention is marked “Destroy confidentially”, materials MUST BE SHREDDED or put in records management shred bins

As with paper records, need to be scheduled and retained appropriately◦ Includes E-mails, instant messages, webpages, etc.

For long-term retention e-records, convert to neutral format (PDF/A, text) before transfer

For short-term retention e-records, do not format-switch unless appropriate ◦ E.g. software upgrade, etc.

Printouts of computer records are copies◦ Can be destroyed once no longer needed

Yes, this is a record, too! (Wis. Adm. 12) Most email is transitory and can be

destroyed after small period of time Some email (reference requests, etc.) is

routine, and should be retained 60 days or specific schedule length

Small amount of email of historical value– save and send to Archives (via PantherFile, etc.)

In general, Archives is interested in records that provide unique historical perspective on library activities and operations

Series specifically included for archives in GRS include:◦ Director’s Subject Files◦ Library Strategic Plans◦ Newsletters◦ Programming/Events Files

Fill out records transfer form (available on Records Management website)

Contact Brad for records center boxes◦ 1 file cabinet drawer=1.3 records center boxes

Put documents in folders; remove binders if possible

Create inventory of boxes◦ Box-level is OK; folder-level is better

Arrange for pickup/transfer

UWM now contracts with Kard Recycling and Shredding for confidential shredding

Pickup is 2nd and 4th Thursday of each month Contact Brad to have shreddables taken to

the shred bins/shred room n.b. There is a limited amount of space in

the shred room, so send shredding a little at a time if possible

Shredding is for confidential material only– NOT an all-purpose garbage pickup!

May be covered by existing GRS◦ Examples: Fiscal/Accounting records, annual

reports, payroll information May be covered by existing Library

schedule◦ Example: Cataloging/Statistical Files are

scheduled at UWM, but do not appear on the GRS May have been missed by both UWM RM

and UWROC◦ Often the case for specialty program files◦ If so, contact Brad for records scheduling

Received by Brad and Amy Watson, UWM Public Records Custodian

Supersedes ALL active records schedules Records from series affected by Litigation

Holds MAY NOT be destroyed until hold lifted

Most likely will affect email; probably does not affect most library records

1. Am I no longer actively using this record?2. Is it an official or unofficial copy?3. Has the triggering event for this series

occurred?4. Has the retention period for this record

passed?5. Does this record need to be sent to the

archives?6. Does this record need to be destroyed

confidentially?

http://www.uwsa.edu/gc-off/records/schedules/UW.System.Library.Schedule.pdf ◦ The Library/Archives GRS itself

http://records.uwm.edu ◦ UWM Record Management, with tips (and this

presentation!) http://www.uwsa.edu/gc-off/records/guidelines/

◦ Records Management Guidelines from UWSA