UW Records Management Manual

425 Steenbock Library
550 Babcock Drive
Madison, WI 53706-1201
Phone: (608) 262-5629
FAX: (608) 262-8899
Email: Records Management 

© 1996-2007 by the Regents of the University of Wisconsin.

Last updated:
October 22, 2001.

Originally published:
prior to 2001

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The records schedule is the key document for establishing a records management program for your department.  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.  It is the policy statement that governs the ultimate disposition of your records.

In Wisconsin State government, the records scheduling process is accomplished by completing a Records Retention Disposition Authorization or "RDA" and submitting it to the Public Records and Forms Board (PRFB) for approval.  This chapter will provide detailed instructions on completing the RDA form, outline the review and approval process for the proposed RDA, and briefly discuss other records scheduling formats.

Completing the RDA Form
Review Process of the Draft Records Schedule
Sunset Rule

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Completing the RDA Form

Completing the records schedule or RDA form is greatly aided by conducting a records inventory and appraisal prior to preparing the RDA (see the Records Inventory Section of the Manual).  The records inventory worksheet from that process will supply the base data that you will need to complete the RDA form.

We recommend that you prepare a draft version of the RDA and forward it to the Records Officer for preliminary review.  This can often eliminate the need for successive revisions and rewrites.

The RDA forms are available online. See the Training & Forms page to download a copy or contact ARMS to obtain a hard copy.

Here are some helpful hints for completing the form.

Signature Page:

• The RDA numbers will be assigned by the Records Management office after the forms are submitted.
  
• Volume should be estimated in cubic feet. One standard file drawer is approximately 1.5 cu. ft. Please indicate if the volume is the amount already accumulated or an estimation of annual accumulation.
  
• Disposition is usually Destroy confidential, Destroy, or Transfer to UW-Madison Archives.
  
• The final draft must be signed by the Department Chair/Administrative Officer. The Records Management office will issue the final signature page to the department after the RDA has been reviewed by the Records Management Officer. The original signed copy must be returned to the Records Management office for review by the Campus Records Review Group. Faxes are not acceptable.

Description of College and/or Department:

• Please provide some detailed background information about the department or program that generated these records. Such information is often found on department web sites.

Description of Records Series:

• Describe the records series in detail, including the types of records and media, by whom the records are generated, and the reason the records are created.
• Access requirements are either open or closed. Records can only be declared closed if they contain information that is considered legally confidential. If closed, cite the statute or other legal limitation.
• 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 arrangment of the records, use of multiple media, and contact information for access if the records contain personally identifiable information.
• Please repeat this section as many times as necessary to cover all RDAs.

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Review of the Draft Records Schedule

After the RDA has been drafted, it must be forwarded to the campus Records Officer at B134 Memorial Library.  A final signature page will be issued for signature after the Records Officer has reviewed the RDA and any revisions have been made. The Records Officer coordinates the campus review of the proposed RDA as well as making sure that it is forwarded to the Public Records and Forms Board (PRFB) for formal approval.  The PRFB is the statutory body with the responsibility for approving agency records schedules.

Deadlines:

Proposed RDAs are reviewed and approved on a quarterly basis in coordination with the PRFB's meeting schedule.  As a general rule, the deadline for submitting agenda items for Board review is one month in advance of their meeting date.  An additional two weeks is needed for the campus records review group to make its review of the proposed RDAs.  Recognizing that the PRFB 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 even clearcut RDA proposals to meet PRFB deadlines.  Generally, the PRFB meets the third week of February, May, August, and November.

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 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 electronic mail.**  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.

Upon Approval:

Following approval by the PRFB, an approved copy of the RDA will be returned to the office of origin.  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 the provisions of the RDA.

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Sunset Rule

Approved RDAs are valid for a 10 year period from the date of PRFB 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 up-to-date.

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University of Wisconsin--Madison Records Management Manual. HTML Version created 5/96