Records Management

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Why Records Management?

Records are essential to the operation of state and local governments and are an invaluable source for historical research. Wisconsin law protects public records by defining them and specifying steps for their care, preservation, access, transfer to successors in office, disposition, and in some cases transfer to the Wisconsin Historical Society.

Introduction to Records Management

Records management is a program to achieve control over records from the time of their creation or receipt, through their organization and maintenance, and to their ultimate disposition. It has three goals:

To keep fewer and better records in the office.
To provide for the orderly disposition of non-current records.
To preserve valuable documents by identifying records which have significant administrative, financial, legal, or research value.

The records of state agencies and local governments are valuable assets to officers, employees, and citizens. Proper management of governmental records meets the public’s demand for increased efficiency, improved services, and greater accountability. It also makes it easier to meet state and federal reporting requirements.

Benefits of Records Management

Ensure compliance with legal and regulatory requirements.
Protect records that are essential to mission-critical business operations.
Reduce risk in litigations, government investigations, and the legal discovery process.
Reduce physical and electronic storage requirements (space, equipment, and supplies) when records are disposed of or transferred per record schedule.
Records are easy to locate (because they are well-organized and named) and accessible to those who need them.
Records with permanent historical value are identified and protected.
Programs and decision making operate smoothly as a result of the availability and findability of information.
Services are delivered in a consistent and equitable manner.
Provides continuity in the event of a disaster.

ID:W011UOH

Records Management Guidance

Records schedules control the retention of records.

Schedules:

Identify the record series
Describe the series
Identify restrictions on access
Identify statutes governing the records
Determine how long records need to be kept

Types of schedules

The Wisconsin Public Records Board recognizes three primary types of record schedules:

Functional Record Schedule:

Groups several related record series, typically by office or program.
Contains multiple record schedules in one document.

Record Disposition Authorization (RDA)

Describes a single record series.
Are written independently by the municipality which creates the records.

General Record Schedules (GRS)

Record schedules created to cover records common across government units; they group similar records and encourage consistency. GRS’s include multiple record schedules within the document.
Developed at the request of the Public Records Board.
The GRSs approved by the Public Records Board are found here. They cover functions common across government units such as procurement, human resources, and risk management.
NOTE:
- State Agencies: General Record Schedules are MANDATORY upon approval.
- Local Units: General Record Schedules must be adopted using the PRB-002 Form on the PRB website.

All record schedules, regardless of type, must be approved by the Public Records Board prior to implementation.

Records that have passed the time period specified in the record schedule are no longer legally required to be maintained by the creating agency/government unit.

State Agencies:
The retention schedule will specify “destroy”, “destroy confidential”, “transfer- State Archives”, or “transfer-other.” For records stored at the State Record Center (SRC), with agency approval, the SRC will handle this step.

Destroy/Destroy Confidential - records must be destroyed, so that they no longer remain in the creating agency’s custody.
Transfer-State Archives - records must be sent to the State Archives for permanent care and preservation. Records will no longer remain in the creating agency’s custody.

Local Governments:
The retention schedule will specify “waived” or “notify”.

Waived- Records may be destroyed following their set retention time.
Notify- Send written notification to the WHS 60 days before destruction.

There are a number of statues that outline requirements for records management, the list below is not exhaustive.

Wis. Stat. § 15.04(1)(i)

Heads of departments and independent agencies shall establish and maintain a records and forms management program

Wis. Stat. § 15.04(1)(j)

Heads of departments and independent agencies shall appoint a records and forms officer

Wis. Stat. § 15.105(4)

Establishes the Wisconsin Public Records Board (PRB) and sets the composition

Wis. Stat. § 16.61(1)

Public Records Board responsibilities

Wis. Stat. §16.61(2)(b)

Defines public records for the purposes of records retention

Wis. Stat. §16.61(2)(b)(1-6)

Outlines what material is not considered a public record

Wis. Stat. § 16.61(3)

Powers and duties of the Public Records Board

Wis. Stat. § 16.61(4)

Records are property of the state; agencies shall submit retention

schedules; retention schedules are valid for 10 years

Wis. Stat. § 16.61(5)

Transfer of records to optical disk format

Wis. Stat. § 16.61(6)

Microfilm reproduction of public records

Wis. Stat. § 16.61(12)

Authority to reproduce, access to copies

Wis. Stat. § 16.61(13)

Historical Society and UW Archives as depositories

Wis. Stat. § 19.21(1)

Establishes that every officer of a town, city, village, school district or other municipality or district is the legal custodian of records

Wis. Stat. § 19.21(2)

Transition of records on administration change

Wis. Stat. § 19.21(4)

Provides the 60 day written notification to the Wisconsin Historical Society for municipalities, sets 7 year minimum retention for municipal records unless a specific period of time is provided by statute, and provides reformatting of municipal records by ordnance or resolution

Wis. Stat. § 19.21(5)

Provides the 60 day written notification to the Wisconsin Historical Society for counties, sets 7 year minimum retention for county records unless a specific period of time is provided by statute, and provides reformatting of county records by ordnance or resolution

Wis. Stat. §§ 19.31-19.39

Open Records Law

Wis. Stat. § 19.32(2)

Definition of a record – for public records law purposes

Wis. Stat. § 19.62(5)

PII definition

Wis. Stat. § 19.82(1)

Definition of governmental body

Wis. Stat. § 19.82(2)

Definition of a meeting