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Chapter 6: Legal Requirements for Public RecordsA vast array of state and federal laws govern the management, retention, and accessibility of public records. We have provided below a general outline of the State of Wisconsin's policies regarding public records, in particular those relevant to the management of University records. 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 recordkeeping responsibilities. Defining Public Records Defining Public RecordsChapter 16.61 of the Wisconsin Statutes defines public records as "all books, papers, maps, photographs, films, recordings, or other documentary materials, regardless of their physical form or characteristics, produced or received by any state agency or its officers or employees in connection with the transaction of public business, except the records and correspondence of any member of the state legislature." University records thus consist of all documentary materials (including copies) produced or received by any university department, office, or staff member in connection with university business and retained as evidence of university activities because of the information they contain. Ownership and RequirementsLegal authority is needed to destroy public recordsUniversity records
are not the personal property of the staff who create and maintain them
but are the property of the University and, ultimately, of the State of
Wisconsin. University offices and departments thus do not have the legal
authority to dispose of paper records, delete files, erase documents,
or purge data elements from a records series without first securing the
approval of the Public Records Board (PRB) by submitting records schedules,
formally known as records retention and disposition authorizations (RDAs),
to cover their materials. RDA is a binding legal authority for records
disposalWithout an RDA approved by the Public Records Board, departments
may not destroy public records. Once approved, however, the RDA is a binding,
legal document which provides for both the retention and final disposition
of the records series it covers. Departments must delay the destruction
of records and retain them beyond their scheduled retention time if the
records are needed for purposes of:
The Records Schedule and the Public Records BoardDisposition ApprovalOverseeing the management of the state's public records, the Public Records Board protects the financial, legal, administrative, and historical interests of the state through the review of records schedules prepared by state agencies, including the University. All university offices must seek written approval from the PRB before disposing of any public record; approved records schedules must be reviewed and resubmitted every 10 years. The records-scheduling process enables the board to ensure that records are either preserved permanently, if they are of long-term historical value, or else retained and disposed of in the proper manner at the correct time. The board has the authority to order the destruction, reproduction by microfilm, transfer to optical disk, or temporary or permanent retention of all public records (s. 16.61 Wis. Stats.). Records Management, Permanent Records and Vital RecordsWith the Public Records Board's authority comes other duties. The board advises and assists agency records officers in developing useful, cost-effective strategies for records management and provides methods for the disposition of non-permanent records. Using the State Historical Society and University Archives as depositories, the board assists agencies in preserving important records for permanent use. The PRB is also responsible for identifying those records considered vital and essential in the event of an emergency, advising agencies on the preservation of their vital public records, and providing secure storage for those records (s. 166.10). University Archives as LiaisonCampus offices do not need to deal directly with the PRB, because the University Archives provides information and assistance in preparing records schedules to all departments and acts as a liaison between the campus and the PRB. All offices should submit proposed RDAs to the Archives for review and approval; the Archives will then forward the records schedules to the PRB for final approval and notify offices of the status of their RDAs. Access and Rules of EvidenceWisconsin has an open records law that gives citizens the right to inspect public records, unless specific statutory provisions dictate otherwise. In general, this legislation directs all public authorities to identify some staff person as the legal guardian of the records produced by the authority. In addition, this legislation directs that each authority shall display a notice informing the public of the procedures by which access to public documents can be attained. An authority is allowed to charge for the access to, and/or reproduction of, public documents. If any authority refuses to disclose or delays granting access to records which are eligible for public viewing, persons requesting access to such records can have recourse to legal remedies. For more information on the specific provisions of the open records law, see Chapter 19.31-19.39 of the Wisconsin Statutes:
Along with the State's Open Records Law, Federal Rules of Evidence also help determine the admissibility of public records in court. Privacy and ConfidentialityWhile Wisconsin law guarantees access to most public records, it also safeguards the individual's right to privacy by preserving the confidential status of certain records. Both federal and state laws identify certain types of records as confidential, and provide guidelines concerning the training of personnel who collect and have access to such information. Included among these confidential records are:
When developing their records schedules, university offices must also identify those records series that contain personally identifiable information and notify the Public Records Board of computer matching programs that provide personally identifiable information. "Personally identifiable information" is defined as information that can associated with a particular individual through one or more identifiers or other information or circumstances. Records that contain personally identifiable information, however, are not necessarily confidential. For more detailed information concerning confidential records see Chapter 19.62-19.80 of the Wisconsin Statutes, which details state law regarding privacy and confidential information as follows:
University of Wisconsin--Madison Records Management Manual. HTML Version created 5/96 |