UNIVERSITY OF WISCONSIN River Falls

Risk Management Related

SCOPE

§16.865 Wis. Stats., provides that the Department of Administration (DOA) will coordinate a statewide Risk Management program in order to:

• Protect the state from losses which are catastrophic in nature and minimize total cost to the state of all activities related to the control of accidental loss; and

• Place emphasis on the reduction of loss through professional attention to scientific loss control techniques and by motivational incentives, prompt claims payments and other loss prevention measures.

This General Records Schedule (GRS) covers risk management and related records of Wisconsin state agencies which include worker’s compensation, property, liability, occupational health and safety, environmental management, permitting and compliance, hazardous materials transportation, and radioactive materials/radiation records. This schedule replaces the current Workers Compensation and Related Records GRS revised and approved by the Public Records Board (PRB) on July 1997.

This general records schedule applies to all Wisconsin government agencies and University of Wisconsin System Administration and all campuses.

A companion document, Introduction to General Records Schedules, found on the Public Records Board (PRB) website http://publicrecordsboard.wi.gov/docview.asp?docid=16116&locid=165, provides more information and guidance about the use of general records schedules by Wisconsin state agencies.

RECORDS NOT COVERED BY THIS GRS

This general schedule does not include the following types of records:

• Worker’s compensation records maintained by the Department of Workforce Development (DWD) for purposes of regulating worker’s compensation functions under Chapter 102, Wis. Stats., and related rules and statutes.

• Records created by other state agencies in their function as regulatory agencies. (For example DNR, DHS, WEM, and DSPS among others.)

INTERRELATED RECORDS CROSS-REFERENCED

Other records related to Risk Management are covered by other approved general schedules. These include Human Resources, Facilities, Fiscal & Accounting, Purchasing & Procurement and Administrative records GRS.

RECORDS FORMAT

Records covered in this schedule may be retained either in electronic or in paper format. This schedule also applies to all records born digital (including those created or transmitted via e-mail), data contained in database systems, tapes/ cartridges and other types of electronic records and information systems maintained and managed by DOA’s Bureau of State Risk Management (BSRM) and other state agencies. In order to safeguard the information contained in records maintained exclusively in electronic format, agencies must meet the standards and requirements for the management of electronic records outlined in Wisconsin Administrative Rule, Chapter ADM 12.

RiskManagementGRS.docx Page 3 of 26 2/25/2013

OFFICIAL RECORD

Each record series contained herein covers official records, in all formats, maintained by either DOA, other state agencies or both parties including the electronic data contained in DOA’s Risk Management information System (RMIS).

AGENCY COPY

The agency copy is that copy that must be retained to satisfy any agency-specific management requirement of the agency’s operation. It must follow the same retention periods outlined in this schedule.

REFERENCE OR CONVENIENCE COPIES

Reference or convenience copies are duplicates kept by agency staff for personal use or convenience. These copies are considered non-records under §16.61(2), Wis. Stats., and should be destroyed when no longer needed. DO NOT retain reference or convenience copies longer than the retention periods specified in this schedule and do not send to offsite storage or the State Records Center (SRC).

WISCONSIN DOCUMENT DEPOSITORY PROGRAM

§35.83 Wis. Stats., as amended by 1991 Wisconsin Act 285, requires Wisconsin state agencies to send copies of their publications, regardless of format, to the Wisconsin Reference and Loan Library for distribution to libraries through the Wisconsin Document Depository Program. The Wisconsin Document Depository Program collects and distributes state publications in print and electronic formats to Wisconsin libraries; preserves and makes available a record of major state government programs; and assures the availability of state publications for use by the public throughout Wisconsin now and in the future. For more information, contact the Wisconsin Reference and Loan Library via email at statedocuments@dpi.wi.gov .

ELECTRONIC STATE PUBLICATIONS

Many state publications are now born digital. They are only published on the Web. Electronic publications are collected and preserved as part of the Wisconsin Document Depository Program. URLs to state publications published electronically on Wisconsin State Agency websites should be emailed directly to statedocuments@dpi.wi.gov as a way for state agencies to fulfill the statutory obligation to participate in the Wisconsin Document Depository Program.

RiskManagementGRS.docx Page 4 of 26 2/25/2013

CONFIDENTIALITY OF RECORDS

In accordance with §102.33 (2) (b), Wis. Stats., Risk Management records maintained by the State of Wisconsin (§102.08, Wis. Stats.), shall be confidential where they reveal the identity of an employee who claims worker’s compensation or any other compensation, the nature of the employee’s claimed injury, the employee’s past or present medical condition, the extent of the employee’s disability, or the amount, type, or duration of benefits paid to the employee. In addition, some record series in this schedule may contain additional confidential or restricted access information such as social security numbers, medical and mental health and treatment records, attorney-client privileged communications, attorney work products, and other assessment/strategy information records. These records are subject to confidentiality rules as authorized by the appropriate statutes such as s. 146.81-146.83 and s.51.30 Wis. Stats and HIPAA regulations and cannot be disclosed or released without legal consent. Records that are not privileged may be provided to any party when the employee who is the subject of the record, or an attorney or authorized agent of the employee, provides a written authorization for inspection and copying.

PERSONALLY IDENTIFIABLE INFORMATION (PII)

Wisconsin law requires authorities to specifically identify certain record series within a general records schedule that contain personally identifiable information (PII). §19.62(5) Wis. Stats., defines PII broadly as “information that can be associated with a particular individual through one or more identifiers or other information or circumstances.” Those record series identified as containing PII on the schedule should further indicate whether the PII is incidental to the primary purpose for which the record series is created. Certain risk management records may contain personally identifiable information such as social security number, telephone number, addresses, etc., that can be associated with a particular individual. This information cannot be disclosed. If in doubt as to whether a specific record series contains PII, check with agency legal counsel, either within your agency or by contacting the Attorney General’s office.

RISK MANAGEMENT INFORMATION SYSTEM (RMIS)

DOA and state agencies use a Risk Management Information System (RMIS) to manage risk management claims information. The information in the database is created with the information from the official paper files of the accident reports, employee exposure records, supervisory analysis, safety officer analysis and related correspondence.

The RMIS interfaces and provides data to the State of Wisconsin accounting system which is operated by DOA for statewide fund accounting, expenditure monitoring and generation of financial statements.

The system enables all state agencies and University of Wisconsin System Administration and institutions to enter claims on RMIS, to read claims and to run management reports for their institutions. DOA’s Bureau of State Risk Management (BSRM) has provided RMIS access to the University of Wisconsin System and its institutions. BSRM has also provided RMIS access to all state agencies in a limited capacity. This allows all locations the ability to enter claims into RMIS, and/or run loss reports from RMIS. DOA’s RMIS is the only official, electronic data system included in this schedule. Agencies and UW System institutions maintaining separate information systems or databases to manage these records should develop their own Retention Disposition Authorization (RDAs) to schedule these systems. Documents in risk management information systems unique to agencies or UW institutions are not considered as official RMIS records.

DOA’s Bureau of State Risk Management is committed to converting data to new technology to insure accessibility over time to comply with the requirements of ADM 12.

RiskManagementGRS.docx Page 5 of 26 2/25/2013

FOR EFFECTIVE USE OF THIS SCHEDULE

The schedule requires some interpretation, training and application to specific agency titles of the risk management function records. Titles of records series may not be the exact titles used by an agency. If agency staff is uncertain about the schedule’s application to a specific group of records or needs help determining whether or not a specific record is confidential they should seek assistance from their risk management program manager, their agency records officer, legal counsel or DOA’s BSRM staff. For other sources of advice see “For Additional Information and Assistance” section below.

RETAINING RECORDS

Agencies are required to follow this schedule for the proper retention and disposition of these records. Retention periods established in this schedule are minimum retention requirements. Records may be retained for longer periods if needed but disposition should be done on a continuing basis, after the records have met their retention period provided there is not a legal hold (an open records request, an open audit or pending/current litigation proceedings) in place for those records at the time of disposition. It is the responsibility of the office holding the record to determine if a legal hold is in place before disposing of that record.

RECORDS DISPOSAL

When disposing of records that have met their retention periods, agencies must ensure that records identified in this schedule as containing PII or confidential information are disposed of so the information cannot be compromised or reconstructed. RDAs in this schedule may contain PII, confidential or both types of information. Any records identified in the RDA in this schedule that has one or both of these types of information (i.e. with a “Yes” in the PII or Confidential column in the schedule) must be destroyed in a confidential manner. The best method to ensure that this information is properly disposed of is by shredding the information. The SRC offers confidential destruction services for all state agencies.

FOR ADDITIONAL INFORMATION AND ASSISTANCE

For additional information and assistance implementing this general schedule, agencies staff should contact:

• Agency Records Officer or Risk Management Staff

• DOA Bureau of State Risk Management, 101 East Wilson Street, P.O. Box 77008, Madison, WI 53707-1008.

• UW System Administration, Office of General Counsel, 1852 Van Hise Hall, 1220 Linden Dr. Madison, WI 53706.