UNIVERSITY OF WISCONSIN River Falls
I. INTRODUCTION AND PURPOSE
The University of Wisconsin System comprises fifteen distinct institutions, many of which create and receive records that are similar in purpose and utility. In the interest of efficiency, therefore, this records schedule identifies two categories of records that are common to all University of Wisconsin institutions, so as to avoid making each institution secure a distinct retention schedule for the same categories of records.This document also provides guidance to University of Wisconsin System employees regarding what does and does not comprise a public record, which will in turn allow University employees to retain for a discrete time period and thereafter destroy expired public records, as well as those materials that do not comprise public records.
II. SCOPE: The records schedules described within this document include the following University Records:
- POLICY DOCUMENTS
- LEADERSHIP REPORTS
- DIRECTOR'S SUBJECT FILES
- LIBRARY USE REPORTS
- MEETING RECORDS-INTERNAL STAFF
- LIBRARY STRATEGIC PLAN
- LIBRARY BUDGET RECORDS
- CONFIDENTIALITY FORM
- ELECTRONIC EQUIPMENT INVENTORY
- PATRON (NON-FACULTY/STAFF) REQUESTS
- DEACCESSION RECORDS (Library)
- DONOR FILES (Library)
- ART INVENTORY
- SPECIAL COLLECTIONS - ANNUAL REGISTRATION FORMS
- SPECIAL COLLECTIONS - DAILY REGISTRATION RECORDS
- SPECIAL COLLECTIONS – ANNUAL STATISTICS
- SPECIAL COLLECTIONS – CALL SLIPS
- SPECIAL COLLECTIONS – TRANSFER FORMS
- SPECIAL COLLECTIONS – REFERENCE/RESEARCH REQUESTS & RESPONSES
- SPECIAL COLLECTIONS - DONOR FILES
- SPECIAL COLLECTIONS – ACCESSION, DEACCESSION, AND PROCESSING RECORDS
- CIRCULATION RECORDS-PATRON HISTORY
- CIRCULATION RECORDS-ITEM HISTORY
- OVERDUE AND COURTESY NOTICES″TRANSFER OF PATRONS RECORDS TO COLLECTION AGENCIES
- PATRON REGISTRATION (LIBRARY), USER AGREEMENTS, CHECKOUT FORMS″SEARCH/HOLD/RETRIEVAL REQUESTS
- RESOLVED SEARCH LISTS
- STACK MANAGEMENT RECORDS
- INTERLENDING RECORDS
- LIBRARY STAFF CLIENT RECORDS
- APPLICATION SERVER RECORDS
- PATRON RECORDS AND STATISTICS
- INTERLENDING SERVER RECORDS″LIBRARY WEBSITE
- LIBRARY NEWSLETTERS
- PROGRAMMING AND EVENTS FILES
- REFERENCE QUESTIONS AND STATISTICS (LIBRARY))
- BIBLIOGRAPHIC INSTRUCTION STATISTICS
- SURVELLIANCE RECORDS
- SECURITY RECORDS
- ACCIDENT REPORTS AND CLAIMS RECORDS
- PATRON INCIDENT AND DISCIPLINARY FILES
III. UTILITY AND FUNCTION OF INFORMATION PROVIDED WITHIN THIS DOCUMENT.
A.Preservation of Historical Documents. Historically, University records have been preserved in paper files. Presently however, advances in technology are beginning to present a viable alternative to paper records: electronic data stored in computer systems. Using electronic data to store University records presents a potentially fatal flaw, however, because electronic data decays over time. Thus, unlike paper records, with the passage of time electronic records lose information as it randomly slips away in byte-sized chunks, unless software updates are consistently purchased, installed, and maintained.
Because of this aspect of information technology systems, records storage within an information system must comply with the legal requirements set forth in: Regent Policy Document 3-2: University of Wisconsin System Public Records Management; and Chapter Adm 12: Electronic Records Management–Standards and Requirements. Please carefully review these documents prior to storing official copies of public records upon information systems and if you have questions or concerns, then please seek assistance from the records officer at their respective University of Wisconsin institution.
B.Use of the Systems Approach. To as great an extent as possible, the records schedules included within this document were developed using a systems approach. That is, the substantive information contained within an individual document, rather than the document's format, is the basis for the descriptor of each document. This is because the format for some documents is dynamic in nature and subject to administrative change. Thus, the descriptors for each document are as comprehensive as possible without relying upon format or form names.
Due to these changes, however, there may be instances in which an individual records schedule does not reflect the exact title or name of a form as used by the originator of a document. In such cases, if a University employee has difficulty determining whether a document comprises a record by reviewing the descriptive information contained within both the document and a records schedule, then employees seek assistance from the records officer at their respective University of Wisconsin institution.
C.Minimum Retention Established and Permanent Retention Procedure. The records schedules included within this document establish minimum retention periods for each type of record. The disposition of each record is assumed to be destruction after its minimum retention period. However, expired records may be retained, for as long as they are needed as a resource for performing future projects on behalf of the University of Wisconsin.
D.Materials That Do Not Comprise Public Records. Under Wisconsin law,many materials do not comprise public records. Therefore, non-records should be retained only so long as they are useful as a resource for performing the transaction of public business on behalf of the University of Wisconsin System. Thereafter, in the interest of efficiency and proper resource management, they must be destroyed.
The following materials are not public records, under Wis. Stats. §§ 16.61 and 19.35:
1.Duplicates. Public records do not include duplicate copies of records, the original copies of which are in the custody of an office contained within the University of Wisconsin System Administration, and which are maintained by a University employee only for convenience or reference and for no other substantive purpose.
2.Unsolicited Notices or Invitations. Public records do not include unsolicited notices or invitations received by a University employee,which are not related to any official action taken, proposed, or considered by the University of Wisconsin System.
3.Drafts, Notes, and Preliminary Computations. Public records do not include drafts, notes, preliminary computations, and like materials, but only if they are intended for personal use by an individual University employee or prepared by a University employee in the name of the person for whom the employee is working.
4.Routing Slips and Envelopes. Public records do not include routing slips and envelopes.
5.Personal Materials. Public records do not include materials that are purely the personal property of a University employee and that have no relation to his or her office.
Please note that non-records should be destroyed as soon as possible, concurrent with the time at which they are no longer useful as a resource for performing the transaction of public business on behalf of the University. Moreover, personal materials should neither be created nor retained by a University during the regular course of business.
Also note that if non-records are retained beyond the time they are no longer useful as a resource for performing the public business on behalf of the University, then under Wisconsin law, duplicates, unsolicited notices, invitations, routing slips and envelopes would have to be turned over to a requester in response to a relevant public records request, and in response to audit or litigation proceedings. Wis. Stats. §§ 13.94, 19.35, and 804.01. Moreover, even though non-records such as drafts, notes, preliminary computations, and personal materials are not subject to disclosure under the public records law, they are subject to disclosure during litigation or audit proceedings. Wis. Stats. §§ 13.94, 19.35, and 804.01.
IV. CONDITIONS AFFECTING FINAL DISPOSITION.
All recommended dispositions stated within this schedule may be carried out by University of Wisconsin institutions without further consultation or approval from the University of Wisconsin Archives, legal services, or internal audit with the following exceptions:
A.Public Records Request. If a public records request is received by an office for any record or records included within this schedule, then the record(s) cannot be destroyed until the request is granted, or until at least sixty days after the date the request is denied. Court orders may extend this time period. If necessary and upon request, the Office of General Counsel will provide guidance to University of Wisconsin institutions regarding public records requests.
B.Litigation or Audit. Each University of Wisconsin institution must not only retain records that are the subject of pending litigation or audit, but also suspend any disposition until such time as the litigation or audit is completed. In order to be valid, however, requests for records relating to open audit must be filed with the affected University of Wisconsin institution. And if that institution is not apprised of pending litigation or audit, then that department is not responsible for retaining records longer than the retention periods specified within this document.