Records Management

UNIVERSITY OF WISCONSIN – RIVER FALLS
PUBLIC RECORDS NOTICE, WIS. STAT. § 19.34(2)

The University of Wisconsin-River Falls is a state institution of higher education created pursuant to Chapter 36 of the Wisconsin Statutes.  The University of Wisconsin-River Falls is governed by the Board of Regents of the University of Wisconsin System and is directed by a chancellor.  See Wis. Stat. § 36.09(3). 

The University of Wisconsin-River Falls has designated a Custodian of Public Records to meet its obligations under Wisconsin public records laws.  Members of the public may obtain information and access to or copies of public records by making a request of the records custodian during regular office hours of Monday through Friday, 8:00 a.m. to 4:30 p.m.:

David Ruhland
Vice Chancelor for Finance and Administration
University of Wisconsin-River Falls
111 North Hall
410 S. Third Street
River Falls WI 54022-5001
Primary email address: David.Ruhland@uwrf.edu

The University of Wisconsin System Administration may bill requesters $.25 for each copy made, but will not charge reproduction costs for electronic copies of records that exist in electronic format.  A location fee may be charged if the cost to locate the record(s) in question is $50.00 or more.  Location fees will be calculated at the hourly salary and benefit rate for the lowest-paid employee capable of performing the task.  No fee will be charged for the cost of reviewing records for possible redaction or removal of confidential information.  Requests which exceed a total cost of $5.00 may require prepayment.  All requests will be processed as soon as practicable and without delay.

How Do I Dispose of Records?

Records disposition is the final phase in a record's lifecycle. It normally involves two possibilities: destruction or transfer to the University Archives for preservation. On rare occasions, the disposition may be to transfer to another State or Federal agency. The disposition of a records series is noted on the records schedule (RDA). See the "Records Schedules" section for information on preparing an RDA. 

NOTE: It is the department's responsibility to obtain the proper authorization prior to proceeding with disposition; that means having an approved records schedule (RDA) on file with the Wisconsin Public Records Board. The Archives cannot provide verbal approval for the disposition of University records. 

Disposition of records should occur routinely in accordance with the provisions of the RDA. If the RDA states the records are to be retained 3 years from the date of the record and then destroyed, records disposal should occur promptly at the conclusion of the 3 year retention regardless of format. This ensures that file space will be used efficiently and lessens the possibility that active records which are needed for day-to-day operations do not become interfiled with records which have outlived their administrative usefulness. IMPORTANT: These policies apply to electronic records as well.

Maintain a Disposition Log to help keep track of records disposition and demonstrate regular compliance with record retention schedules.

EXCEPTION for Litigation, Audit, and Open Records Requests

If a request for information has been filed on the records under the open records law or the records are involved in litigation or audit, physical destruction may NOT be carried out until all legal or audit action has concluded.

Physical Destruction, Non-confidential

When the final disposition of the records is DESTROY, and the records have been retained within your office area, it is appropriate to place the material in your building's recycling or trash receptacles. It is not necessary to notify the Archives or seek further authorization. The approved RDA is your authorization to destroy. If records are stored at the State Records Center, the department will receive a report two times a year requesting authorization to destroy those boxes that have met their retention time. As a general rule, all office paper can be recycled, although there may be some exceptions. Check the UWRF Recycling Guidelines for details.

Physical Destruction, Confidential

When the final disposition is DESTROY CONFIDENTIAL, special precautions must be taken to ensure that the material is securely handled prior to and during the destruction process. Records marked confidential must not be placed in trash receptacles, which would permit access by those not authorized to view the information, nor in containers which would permit the material to be easily scattered, such as boxes or other containers without secure lids. The same precautions that were taken to protect access during the record's active life need to be extended to the inactive period and during the final disposition.

Records Management Guidance Documents

• Guide to Records Retention and Disposition
• Identifying Confidential Records
• Guidance on digitization of public records

UW-River Falls Policies

• AP-01-201 Records Management Program
• AP-01-106 Access, Use and Retention of Social Security Numbers
• AP-01-112 Social Media
• AP-05-301 Information Security

University of Wisconsin System Policies

• UW System / Regent Policy 3-2 Public Records Management
• UW System Admin. Policy 190:Computer Software Ownership
• UW System Admin. Policy 191: Copyrightable Instruction Materials Ownership, Use and Control
• UW System Admin. Policy 346: Patent Policy

Records Management Guides

• Records Management Basics
• Create and maintain a File Plan for your records. Here is a basic template to help you get started.
• Records Retention and Disposition.
• Confidential Records
• Shared Network File Review
• Permanent University Records

Records Management Training and Presentations

New to the University or need a refresher on records management practices? Contact Records Management to request a brief presentation on what you need to know about managing university records.

Wisconsin Historical Society Workshop

• "Managing Digital Content Over Time," presented at UWRF October 17, 2013
• 10 Reasons Why Electronic Records Need Special Attention
• E-mail Decision Tree

State of Wisconsin Materials

• Various Introduction to Records Management presentations (for employees, for supervisors/managers, etc.)
• PowerPoint presentation on "Wisconsin Public Records Law Basics for State Employees," presented by the Wisconsin Dept. of Administration
• WI Act 294 of 2003 - Uniform Electronic Transactions Act (UETA)  (speaks to the use of electronic records and electronic signatures by the state)

In accordance with Wis. Stat. 16.61(2)b, “Public records" means all books, papers, maps, photographs, films, recordings, optical discs, electronically formatted documents, or other documentary materials, regardless of physical form or characteristics, made or received by any state agency or its officers or employees in connection with the transaction of public business.

To transfer historical materials to the University Archives complete the following steps:

1. Maintaining the original order, place records into a box.
2. Complete a Transfer Form and include a box inventory and email to archives@uwrf.edu.
3. Send or drop off records at the Archives, 170 Chalmer Davee Library (lower level).

For electronic records on your computer or shared drive:

1. Select the electronic file folders that you wish to transfer into a single folder.
2. Complete a transfer form and complete a file inventory and email to archives@uwrf.edu.
3. Drop the folder in the campus falconshare T: Drive\Collaboration\University Archives Dropbox.

If you have further questions please contact the University Records Manager at morgan.paavola@uwrf.edu or 4968.

Wis. Stat 16.61(b) also indicates what is not a public record, these include:

• Duplicate copies of materials which are maintained only for convenience or reference
• Reference materials
• Unsolicited notices or invitations
• Drafts, notes, preliminary computations and like materials prepared for the originator's personal use or prepared by the originator in the name of a person for whom the originator is working
• Routing slips and envelopes

Records must be kept in accordance with approved records retention schedules. Records retention is the legal minimum amount of time that a record must be kept and cannot be disposed of prior meeting the scheduled retention. The retention of a record is determined based on legal, fiscal, and administrative requirements. Records retention schedules are searchable here or email Records Manager morgan.paavola@uwrf.edu.

Records retention schedules also determine what is to be done with a record once it has met retention. This is called Disposition, and one of three actions will occur.

• Delete/Recycle
• Destroy Confidential
• Transfer to Archives

Applying records retention and disposition should be a part of regular business practice.

Yes! Both email and text messages record business activity and are considered records. Click here for more information on retaining business communications. 

Just like records destruction, transfer of records for permanent preservation at the University Archives should occur as a regular business process. Other events, however, may require early intervention such as departing staff and faculty, or department moves. Before sending records, please email archives@uwrf or call 715-425-3567.