Records Schedules

Overview: What is a records schedule?

A records schedule, also known as a records disposition authorization (RDA), is a policy document that provides certain descriptive information about a given set of records. In essence, the records schedule describes your department's information resources, how long they are going to be retained, and what their ultimate disposition will be. State agencies are statutorily required to provide records schedules for all records not already covered by an existing records schedule. By law, RDAs have to be submitted one year after each records series has been received or created. After 10 years, the RDA sunsets, and a new one must be resubmitted for Public Records Board approval.

The records schedule is the key document for establishing a records management program for your department. In Wisconsin State government, the records scheduling process is accomplished by completing an RDA and submitting it to the Campus Records Review Group (CRRG) and the Public Records Board (PRB) for approval.

There are three types of records schedules for the University: general campus-wide, general system-wide, and department/unit specific.

General and System-wide Records Schedules:

General records schedules codify retention policies for record types which are common to all offices across the organization. Rather than making each office secure its own specific retention schedule (as otherwise required by State Statute), the Archives and Records Management Service develops campus-wide general records retention schedules that set minimum retention policy for certain types of records. In the case of system-wide schedules, ARMS works with other UW campuses and System to create schedules that apply to all universities in the system. Campus units are required to follow the retention and disposition recommendations set out in these schedules for their similar records or submit their own RDA proposal for review and approval.

Advantages:
  • Consistent retention periods
  • Elimination of duplicate schedules
  • Maintenance of fewer series
  • Reflection of business processes
  • Promotion of standard naming conventions
Disadvantages:
  • Time intensive to analyze business processes
  • Additional training

Departmental Records Schedules: Departmental records schedules set retention policies for records types that are specific to a department or unit.

Advantages:

  • Departmental specific
  • Reflects the organization of the department
  • Finer detail
Disadvantages:
  • Proliferation of records series
  • Duplication across campus
  • Conflicting retention periods
  • Department use only
  • Revision due to reorganization

What General Records Schedules are available?

Use the Common Records Guide as a quick reference for retention information for some of the most common records. The Guide includes links to the appropriate General Schedule. If you can't find a record in the Guide, try one of the General Schedules instead.

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Personnel:

Financial:


Administrative:


Student:


Communications:


Information Technology:
Library and Archives:

 

WARNING: Conditions Affecting Final Disposition

All recommended dispositions stated within these schedules may be carried out by the office without further consultation or approval from the University of Wisconsin-Madison Archives, Administrative Legal Services or Internal Audit with the following exceptions:

  • Records Request. If an open records request has been made with an office for any item or items in this schedule, the Open Records Law (Sec.19.35 (5) Wis. Stats.) forbids the destruction of any record until the request is granted or until at least sixty days after the date that the request is denied. Court orders may extend this time period. The University's legal records custodian can advise offices on specific requests for access (Sec. 19.33 and 19.34, Wis. Stats.)

  • Pending Litigation or Audit. It is the department's responsibility to determine if an audit or pending litigation will involve any records listed in a Records Disposition Authorization, and to suspend any disposition until such time as the audit or litigation is completed.

  • Duplicate records. Duplicates may be destroyed when their administrative usefulness has ceased. A separate records schedule is not required to dispose of such duplicates.

How do I develop an RDA?

Completing the records schedule or RDA form is greatly aided by conducting a records inventory and appraisal prior to preparing the RDA. The records inventory worksheet from that process will supply the base data that you will need to complete the RDA form. For more information about how to conduct a records inventory, visit the "Information Resources Inventory" section of this website.

Once the inventory has been completed, begin preparing the RDA. The RDA is divided into three main sections: summary and signature, department history, and records description. Please note that multiple records schedules may be added to one RDA form.

After completing the RDA, forward the draft without signature to the Records Officer for preliminary review. This can often eliminate the need for successive revisions and rewrites.

Here are some helpful hints for completing the form:

Signature Page (1 of 3):

  • College/Department/UDDS: Enter the full name of your college/division and department. The UDDS number should be entered as A followed by 6 digits (e.g., A555111).
  • RDA#: No action required. This number is assigned by the Records Management office after the form is submitted.
  • Title: Enter a short but descriptive title for the records series
  • Dates: If describing a closed series, meaning no new records will be added to the series at a later date, then be sure to provide inclusive dates (e.g., 1997-2008). However, if the series is open, then indicate by using the phrase "to present' with the beginning date of the material (e.g., 1997 to present).
  • Format: Indicate whether the records are paper, electronic or both. A more detailed description of the type of electronic format should be entered in the medium/format note in section 3, Description of Records Series.

  • Volume: Estimated in cubic feet, megabytes (MB), gigabytes (GB), or terabytes (TB). One standard file drawer is approximately 1.5 cubic feet. If the records being described are part of an ongoing series (e.g., 2000 to present) then indicate the average annual accumulation.
  • Retention: Indicate the length of time the material should be retained. This is usually preceded by the abbreviation "EVT," or event; however, it may also be preceded by "FIS," or current fiscal year. A detailed description of the type of event trigger should be added to the retention note in section 3, Description of Records Series.
  • Disposition: Indicate Destroy donfidentially, Destroy, or Transfer to UW Archives.

Description of College and/or Department (2 of 3):

  • Provide detailed background information about the department or program that generated these records. Such information is often found on department websites.

Description of Record Series (3 of 3):

  • Description: Describe the record series in detail, including types of records and media, by whom the records are generated, and the reason records are created.
  • Medium/Format: Transfer information from summary page and add additional detail regarding electronic format(s). For example, type of documents, such as word processing, spreadsheet, database and/or web-based and the software used, e.g., Microsoft Word, Oracle, etc.
  • Accumulation: Transfer information from summary page.
  • Retention/Disposition: Indicate retention time, explain event trigger in more detail, and indicate final disposition. For example, EVT+10 years. Retain 10 years from close of study. Destroy confidentially.

  • Access Requirements: Indicate either open or closed. Records can only be declared closed if they contain information that is legally confidential. If closed, cite the statute or other legal limitation. Provide contact information for access if the records contain personally identifiable information.

  • Appraisal Note: If the RDA is a renewal or amendment of a previous RDA, please provide such information here. Other information that may be useful are comments on the arrangement of the records, use of multiple media, or additional background information.
  • Repeat this section as many times as necessary to cover all RDAs.

Is there common language used in RDAs?

Yes, in fact the CRRG has endorsed certain language for inclusion in the RDAs. The two main areas of the RDA that are affected include access and appraisal. Please note: the language provided for the appraisal note was developed in response to certain situations. Departments may wish to include additional information specific to their departmental records.

Access Note:

Only in rare instances are records closed in their entirety to the public. In most situations, certain elements of the record can and should be redacted (e.g., social security number) so that the remainder of the record can be disclosed to the public or other departments on campus.

Given the nature of our access requirements as a public institution, the following language should be used when a record falls into this category:

Closed, except with permission from [insert department name]. These records contain [insert type of restrictive information] and are closed under[insert appropriate Wisconsin Statute or other regulation when applicable]. For example: Closed, except with permission from University Archives and Records Management Services.  These records contain personally identifiable information and are closed under 19.36 (10)(a) Wis. Stats.


Laboratory research records:

Closed, except with permission from Laboratory Department Chair in consultation with the Dean.  Trade secrets and intellectual property may be kept confidential under section 19.35, Wis. Stats., certain personnel records must be kept confidential under section 19.36(10), Wis. Stats., and certain information pertaining to research activities, such as the security measures for specific research facilities and the location of hazardous materials or controlled substances, are exempt from disclosure per federal law 19.36(1), Wis. Stats., 19.36(9), Wis. Stats., and the balancing test. 


Appraisal Note:

Depending on the type of records being described, an appraisal note should be added to provide additional contextual information regarding the value or the necessary actions to preserve the records during their stated retention. The following are appraisal notes endorsed by the CRRG. There are, however, times when no appraisal note is needed.

Electronic records.

If the records being described are in digital format the following text should be included when the stated retention is greater than 3 years:

In order to safeguard the information contained in these records, to make sure that it remains available throughout the stated retention period, and to meet the requirements of Administrative Rule 12 (see http://archives.library.wisc.edu/records/legal.html#adm12), a readability and retrieval check must be done at least every 3 years and transfer to new storage media at least every 5 years.

Research records with long-term value due to patent development.

The retention period of 7 years [or 10 years depending] is in agreement with UW Madison misconduct in scientific research policy.  This records series has long-term value to the University because of its interest in patent development.  The retention of these records is influenced by their use in litigation support.  The University of Wisconsin-Madison and the Wisconsin Alumni Research Foundation (WARF), a non-profit foundation, partner in managing patents of faculty, staff, or students of the UW-Madison community.  Should the University Archives determine to de-accession any research materials, WARF should be contacted prior to disposal in the event any patent applications remain pending for which research materials provide supporting documentation. 

Prior to final disposition, the lab director must be contacted for review of these records to determine if any portions have ongoing value to current lab research projects.

Research records with no long-term value but publishing implications:

According to the Faculty Misconduct in Scientific Research Policy and the American Psychological Association’s Code of Ethics, records must be maintained for a minimum of 7 years subsequent to publication.  Because manuscripts based on these data have been published recently and/or are in preparation, we are requesting a retention period of 10 years to cover documentary responsibilities.

How does my RDA get approved?

The approval process for RDAs involves not only the department but also the Campus Records Review Group (CRRG) and the Public Records Board (PRB). The Records Officer coordinates the campus review of the proposed RDA as well as making sure that it is forwarded to the PRB. The PRB is a statutory body with the responsibility for approving agency records schedules.

A simple timeline of the RDA process is as follows:
  • Department drafts an RDA and submits to ARMS, Attn: Records Officer
  • Records officer reviews and sends back for either signature or additions, corrections, and/or clarifications.
  • Department signs off on the final document and mails the original to ARMS.
  • Records Officer reviews the proposed RDA with the CRRG at their monthly meeting. When applicable, any corrections or questions are relayed to the department following the meeting; otherwise, group members approve and sign the RDA.
  • Records Officer forwards the RDA to the PRB at the designated times. The PRB reviews and approves RDAs on a quarterly basis according to their meeting schedule. As a general rule, the deadline for submitting agenda items for Board review is one month in advance of their meeting date. Recognizing that the PRB only meets quarterly, offices desiring to have RDAs approved need to be mindful of the 6-8 week minimum lead time that is required for RDA proposals to meet PRB deadlines. The deadline for RDA submissions are typically in January, March, June, and September and are approved at their board meeting in February, May, August, and November.

When can I begin using my RDA?

Upon approval by the PRB, an approved copy of the RDA will be returned to the office of origin electronically. Offices are advised to keep all RDAs together in the main administrative office for their department along with all records inventory and transfer information. No further approval is needed to implement provisions of the RDA. At this time you may begin sending records to the State Records Center for storage if needed.

NOTE: Approved RDAs are valid for a 10 year period from the date of PRB approval. The sunset date is noted on the RDA. The sunset provision was added to Wisconsin's records law to make sure that agency retention policies (RDAs) adequately describe the records they govern, and that they are kept current.

Other considerations

Moving:

If departments have remodeling, moving, or reorganization plans, it is strongly encouraged that planning for records disposition be incorporated into the overall planning process for those major activities. Please see our ARMS Bulletin on "Moving and Your Records."

The University Archives cannot give official approval to records disposition requests or make formal appraisals of your department's records over the telephone or by email. Nevertheless, the archives staff welcomes inquiries about what to do with your records. We are happy to offer advice and assistance in records disposition once we have gathered descriptive information about the records.