Overview
What is records management? Watch an introductory video!
Records management is a "field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records" (ARMA, RIM 101).
The goals of records management are to:
- Comply with Federal and State laws and regulations
- Develop and implement sound record keeping practices
- Identify, appraise, locate, and manage University information resources during a record's lifecycle
- Maintain consistent record keeping practices
- Generate fewer records but better records
Records management is a globally recognized requirement. In 2001, the International Organization for Standardization (ISO) issued ISO 15489, a standard for developing a records management program. Requirements for records management programs are also outlined in both Wisconsin Statutes and the Board of Regents Policies.
What is a record?
By law, University records are any papers, books, photographs, tapes, films, recordings, or other documentary materials, or any copies thereof, regardless of physical form or characteristics, made, produced, executed, or received by any department or office of the University or by any academic or administrative staff member in connection with the transaction of University business, and retained by that agency or its successor as evidence of its activities or functions because of the information contained therein.
University records include the data generated via automated information systems. If your office has developed a computer application to manage some particular facet of its operations, the information in that system is considered a University record, whether or not you generate any actual paper or hard copy from it. You are not, however, responsible for information systems such as the accounting information system for which your office does not bear major responsibility. Although your office may access and/or input data into the accounting system, the responsibility for the system and its contents belongs to the business services-accounting office.
Certain categories of materials are not considered records:
- Stocks of printed or reproduced documents kept for supply purposes when file copies have been retained for records purposes; for example, handbooks or manuals prepared for the instruction of a particular course.
- Books, periodicals, newspapers, and other library and museum materials made or acquired and preserved solely for reference or exhibition purposes.
- Duplicate microfilm.
- Preliminary drafts of letters, memoranda, reports, worksheets, and informal notes which do not represent significant basic steps in the preparation of the record document.
- Convenience copies of reports, memoranda, etc., for which your office was not the originator or the office of record, and which have not been annotated by your office.
- Materials not filed as evidence for department operations that have no informational value, such as telephone call slips, letters of transmittal, route slips, etc.
When there is any doubt as to whether or not any document (paper or other format), record, or group of records is a University record, it should be considered an official record until determined otherwise. Any questions regarding the record should be directed to ARMS, which will carefully analyze the records in question and make the final determination.
While the definition of University records generally excludes books, periodicals, and other printed material, certain types of publications are collected by the UW Archives as official records of the University. Please read "Publications and the Archives" for more information.
What is my role & responsibility for University records?
Information technology has effectively made all of us records managers. The Campus Records Review Group and the University Archives and Records Management Services (ARMS) are concerned that all University employees recognize and understand the obligation they have to create, maintain, dispose of, and preserve records.
A very important part of your job is the management of records and information that is related to your job responsibilities. As part of your University employment, you are provided a number of workplace tools and institutional resources. A number of them relate to the production and management of University records and information.
Records you create while a University employee generally do NOT become your personal property. Official department records belong to the University and must be managed in accordance with established University and State policy. Some incidental personal records are expected and those should be maintained separately.
For a complete discussion about roles and responsibilities, including specific responsibilities for the Chancellor, Department Chair, Committee Chair, ARMS, and employees please read ARMS Bulletin No. 1.
What public records laws & regulations are applicable?
A vast array of state, federal, and Board of Regents policies govern the management, retention, and accessibility of public records. A more detailed discussion about the State of Wisconsin and Board of Regents policies regarding public records, in particular those relevant to the management of University records, can be found in the "Legal Requirements for Public Records" section. We have not, however, provided a complete listing of all state and federal legislation affecting public records. Please be aware that legal statutes and special requirements other than those listed below may have significant bearing on your office's record keeping responsibilities.
What services are offered?
ARMS assists offices in managing all information, regardless of form or format. One of the major objectives of the records management program is to identify and dispose of records logically and legally. ARMS offers the following free services to campus departments:
- Development of Records Disposition Authorizations (RDAs)
- Training
- Litigation & Audit Support
- Classification & Files Management
- Management of Electronic Records