{"id":32875,"date":"2022-05-12T14:37:17","date_gmt":"2022-05-12T19:37:17","guid":{"rendered":"https:\/\/uwm.edu\/libraries\/?page_id=32875"},"modified":"2026-03-23T14:14:42","modified_gmt":"2026-03-23T19:14:42","slug":"records-responsibilities-of-uwm-staff","status":"publish","type":"page","link":"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/records-responsibilities-of-uwm-staff\/","title":{"rendered":"Records Responsibilities of 51ÁÔÆæ Staff"},"content":{"rendered":"\n<div class=\"uwm-l-row uwm-l-row--3\">\n<div class=\"uwm-l-col\">\n<p>More likely than not, you create records as a part of your daily work.&nbsp;Crucial to your work and to the work of the campus is the appropriate management&nbsp;of records that you create and are related to your job responsibilities. We all&nbsp;have a stake in making sure our work-related records, which are the property of the state of Wisconsin, are efficiently and securely managed in order to maintain the public trust.&nbsp;<\/p>\n\n\n\n<p>Records provide:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Evidence&nbsp;of business transactions<\/li>\n\n\n\n<li>Support\u00a0for the decision-making process<\/li>\n\n\n\n<li>Documentation&nbsp;of 51ÁÔÆæ programs, activities and events<\/li>\n\n\n\n<li>Resources&nbsp;for future historical research.<\/li>\n<\/ul>\n\n\n\n<p>Technology has effectively made all of us records managers. It is our\u00a0responsibility to abide by university policies and procedures relating to\u00a0records and information.<\/p>\n\n\n\n<p>The information below is intended to provide 51ÁÔÆæ staff with help in managing&nbsp;their work-related records.<\/p>\n\n\n\n<h2 class=\"wp-block-heading size-h4\" id=\"h-records-responsibilities\">Records Responsibilities<\/h2>\n\n\n\n<ol class=\"wp-block-list\">\n<li>51ÁÔÆæ employees must manage business records and information in accordance with state\u00a0and federal regulations. All university records, for example, are public records belonging to the state of Wisconsin and thus subject to\u00a0provisions of Wisconsin statutes relating to records retention scheduling.<\/li>\n\n\n\n<li>51ÁÔÆæ\u2019s records must be properly managed regardless of their format. There&nbsp;is no legal distinction between paper, electronic, and any other format of&nbsp;records.<\/li>\n\n\n\n<li>You should know which records are your responsibility to manage, and you&nbsp;should know where in your office environment they are. Be able to identify and&nbsp;locate your records if they need to be examined. The Archives Department recommends each unit on campus create and maintain a <a href=\"https:\/\/uwm.edu\/libraries\/wp-content\/uploads\/sites\/572\/2024\/11\/Unit-Records-Management-Plan_v3_simple.xlsx\">unit records management plan<\/a> to identify which retention schedules pertain to their records and facilitate periodic disposition of records.<\/li>\n\n\n\n<li>You should&nbsp;establish consistent filing practices, and stick to them. Make sure that you&nbsp;separately identify and segregate private or personal information in both paper&nbsp;and electronic files.<\/li>\n\n\n\n<li>Be aware of any records you maintain that should be managed confidentially, as defined by federal or state law or UW System or 51ÁÔÆæ policy. Take appropriate precautions to secure these records from improper disclosure and be prepared to identify all such records that will become part of an archival transfer.<\/li>\n\n\n\n<li>Destroy&nbsp;information on a regular basis in accordance with established retention<br>policies. Be familiar with the records schedules that apply to records that you&nbsp;or your department create. Check the 51ÁÔÆæ Records Management homepage for&nbsp;retention information or call the campus records officer if you are uncertain&nbsp;whether your records are covered by a retention policy.<\/li>\n\n\n\n<li>If you or your office maintain any records long-term, be prepared to maintain any such records for the duration of their retention including migrating them to new file versions or file types, storage media, and other things as they deteriorate or obsolesce.<\/li>\n<\/ol>\n\n\n\n<p><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/records-responsibilities-of-uwm-staff\/#Top\">Top of Page<\/a><\/p>\n\n\n\n<h2 class=\"wp-block-heading size-h4\" id=\"h-how-to-approach-your-office-s-records\">How to Approach Your Office\u2019s Records<\/h2>\n\n\n\n<p>Apply this strategy <strong>regardless of&nbsp;record format or storage medium used<\/strong>.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><strong>Determine if the document is a record.<\/strong>\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/docs.legis.wisconsin.gov\/statutes\/statutes\/16\/III\/61\">Wisconsin Statutes 16.61<\/a> defines public records as any \u201cbooks, papers, maps, photographs, films, recordings,&nbsp;optical disks, electronically formatted documents or other documentary&nbsp;materials, regardless of physical form or characteristics, made, or received by&nbsp;any state agency or its officers or employees in connection with the transaction&nbsp;of public business, and documents of any insurer that is liquidated or in the&nbsp;process of liquidation under <a href=\"https:\/\/docs.legis.wisconsin.gov\/statutes\/statutes\/645\">ch. 645<\/a>.\u201d<\/li>\n\n\n\n<li>The statute also identifies certain broad categories of materials as&nbsp;non-records. Such materials may be destroyed without seeking guidance from the&nbsp;Records Officer or authorization from the Wisconsin Public Records Board.&nbsp;Identifying non-records narrows the focus of records appraisal and facilitates&nbsp;disposal\/deletion of a vast quantity of records and information.<\/li>\n<\/ul>\n<\/li>\n\n\n\n<li><strong>Identify the official record copy.<\/strong>\n<ul class=\"wp-block-list\">\n<li>The &#8220;official record&#8221; is the copy that will be managed for the prescribed&nbsp;retention period. Identification of the individual responsible for managing the&nbsp;official copy enables all other staff members to destroy\/delete their copies as&nbsp;needed, thus freeing up valuable disk and file cabinet space.<\/li>\n\n\n\n<li>E-mail and other electronic information systems have encouraged the&nbsp;proliferation of copies. Determine which e-mail is the official copy (usually the copy created by the sender or received by a department secretary or shared account). If the&nbsp;official record resides on a network share (S drive) or SharePoint site, determine who will be&nbsp;responsible for shared directories and which directories will hold the record&nbsp;copy.<\/li>\n<\/ul>\n<\/li>\n\n\n\n<li><strong>Implement existing retention policies.<\/strong>\n<ul class=\"wp-block-list\">\n<li>For many categories of University records, retention policies, known as&nbsp;retention schedules or RDAs (Records Retention\/Disposal Authorizations) already exist.&nbsp;Apply those retention schedules not only to records in file cabinets but also to&nbsp;the folders and directories that you have established within your PC directory, cloud directories,&nbsp;and e-mail systems.<\/li>\n<\/ul>\n<\/li>\n\n\n\n<li><strong>Understand the records-related capabilities of your PC\u2019s office product software. Familiarize yourself with storage technologies used by your office.<\/strong>\n<ul class=\"wp-block-list\">\n<li>Develop consistent filing structures and practices using&nbsp;that capability. Talk with others in your department, and develop consistent&nbsp;practices department-wide. This can aid access and retrieval and be a valuable&nbsp;time saver. Use a <a href=\"https:\/\/uwm.edu\/libraries\/wp-content\/uploads\/sites\/572\/2024\/11\/Unit-Records-Management-Plan_v3_simple.xlsx\">unit records management plan<\/a> to log records retention schedules that pertain to your records.<\/li>\n\n\n\n<li>Similarly, use the capabilities of your e-mail system to establish folders,&nbsp;directories, and sub-directories for the daily management of your e-mail.&nbsp;Establish folders and directories that correspond to established filing&nbsp;structures within your office as well as approved retention schedules. Ideally,&nbsp;e-mail messages that pertain to a particular topic or subject should be&nbsp;transferred to the particular filing systems containing that topic or subject.<\/li>\n\n\n\n<li>Alternatively, consider storing record copies of e-mails in the same&nbsp;directories as record copies of other e-documents (text files, spreadsheets,&nbsp;databases, e.g.).<\/li>\n<\/ul>\n<\/li>\n\n\n\n<li><strong>Dispose of records appropriately.<\/strong>\n<ul class=\"wp-block-list\">\n<li>Records disposition requires an approved records retention schedule. Records\u00a0disposition can take several forms. It may mean transferring the records to the\u00a0archives for permanent preservation. More often, it means physical\u00a0destruction of the records.<\/li>\n\n\n\n<li>Destruction of non-confidential paper records can be accomplished by merely placing&nbsp;them in recycling containers after the approved retention time has been&nbsp;satisfied. Greater care should be taken with confidential paper records; these records&nbsp;must be destroyed separately from non-confidential records. 51ÁÔÆæ has a contract with an outside vendor for shredding confidential paper records. Information about this service is available on the <a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/confidential-shredding\/\">Confidential Shredding<\/a> page of the records management website.<\/li>\n\n\n\n<li>Destruction\/deletion of electronic records, like that of paper records, can&nbsp;only occur under the authority of an approved records retention schedule. An&nbsp;additional important consideration with regard to electronic records is that&nbsp;deletion must be applied to all backup copies as well. If the backup copies are&nbsp;not destroyed, they remain subject to legal and audit actions. Also, be aware&nbsp;that during legal or audit actions, relevant retention schedules are suspended&nbsp;and the records covered under those schedules cannot be destroyed.<\/li>\n\n\n\n<li>It is recommended that you document disposition of records, identifying the record types\/series, date extent, disposition (destruction, confidential destruction, etc.), date of disposition, and retention schedule. If those records are ever requested, this documentation will save you from having to scour your office for non-existent records.<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n\n\n\n<p><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/records-responsibilities-of-uwm-staff\/#Top\">Top of Page<\/a><\/p>\n\n\n\n<h2 class=\"wp-block-heading size-h4\" id=\"h-upon-receiving-notice-of-an-employee-leaving-the-institution\">Upon Receiving Notice of an Employee Leaving the Institution<\/h2>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Check with your employee regarding any official university records that fall within the scope of their responsibilities and confirm their proper disposition. <strong>Note that <a href=\"https:\/\/uwm.edu\/technology\/digital-id\/\">their digital files will not be preserved after they leave<\/a> if you do not take active steps to preserve them, whether stored on their work computer, email storage, network share, or OneDrive!<\/strong> Transfer any records that still need to be retained by your office or the university to your department\u2019s SharePoint or some other storage.<\/li>\n\n\n\n<li>Identify active records with directory locations for their successor.<\/li>\n\n\n\n<li>Consider Continuity of Operations documentation. In other words, indicate what records they need to perform their job duties and any retention schedules associated with them.<\/li>\n\n\n\n<li>Seek guidance from the Archives Department on the disposition of faculty\/academic\u00a0staff personal papers. The archives is particularly interested in documenting\u00a0major programmatic and research developments on campus, as well as other\u00a0significant events relating to the history of the university.<\/li>\n<\/ul>\n\n\n\n<p><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/records-responsibilities-of-uwm-staff\/#Top\">Top of Page<\/a><\/p>\n<\/div>\n\n\n\n<div class=\"uwm-l-col uwm-l-col--4 uwm-l-offset--1\"><div class=\"content_block\" id=\"custom_post_widget-32529\"><nav aria-label=\"Sidebar\" class=\"uwm-p-navigation-list uwm-p-navigation-list--gold-border \"><div class=\"uwm-p-navigation-list--title\"><a href=\"https:\/\/uwm.edu\/libraries\/archives\/\">Archives Department<\/a><\/div><ul><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/about-the-archives\/\">About the Archives<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/events-and-exhibitions\/\">Events and Exhibitions<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/research\/\">Research<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/services\/\">Services<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/instruction\/\">Instruction<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/genealogy-2\/\">Genealogy<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/\">Records Management<\/a><ul><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/records-schedules\/\">Records Schedules<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/records-management-forms\/\">Records Management Forms<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/records-management-education\/\">Records Management Education<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/\">Guidelines, Laws, and Policies<\/a><ul><li><a class=\"current\" href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/records-responsibilities-of-uwm-staff\/\"><span aria-current=\"page\">Records Responsibilities of 51ÁÔÆæ Staff<\/span><\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/boxing-and-labeling-physical-records\/\">Boxing and Labeling Physical Records<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/off-site-records-storage\/\">Off-Site Records Storage<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/confidential-shredding\/\">Confidential Shredding<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/electronic-records\/\">Electronic Records<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/e-mail-management\/\">E-mail Management<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/guidelines-laws-and-policies\/vital-records\/\">Vital Records<\/a><\/li><\/ul><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/records-management\/archives-transfers\/\">Archives Transfers<\/a><\/li><\/ul><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/giving\/\">Giving<\/a><\/li><li><a href=\"https:\/\/uwm.edu\/libraries\/archives\/ask-an-archivist\/\">Ask an Archivist<\/a><\/li><\/ul><\/nav><\/div>\n<\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":29,"featured_media":34223,"parent":32859,"menu_order":180,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"footnotes":"","uwm_wg_additional_authors":[23500]},"class_list":["post-32875","page","type-page","status-publish","has-post-thumbnail","hentry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.3 (Yoast SEO v27.3) - 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