Archiving Records OffsiteUsing the State Records Center (SRC)

Ana S. Aquino-Perez, WisDOT Records Officer

Tuesday, February 17, 2015 Madison, WI

Recorded information, in any format (paper, electronic, audio/visual, calendars, maps) created or received by a state employee and/or agency in the transaction of business*

Serve as evidence of the agency’s functions, policies, decisions, procedures, obligations and/or operations.

*full definition of a record found in Wis. Stats. 16.61

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What Is A Record?

Records Are: Created in the course of business

correspondence and memos (paper and electronic), agreements, studies, reports

Received for actionInformation requests, controlled correspondence, open records requests

Mandated by statute, regulation, or federal guidelinesstatutorily required programs, administrative records, dockets

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A Record

Documents state activitiescalendars, meeting minutes, project reports

Supports financial obligations or legal claimsgrants, contracts, litigation case files, or audits

Communicates agency requirementsguidance documents, policies, procedures

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Where Might Records Occur? Email Social media such as Facebook and Twitter Websites Videotapes/DVDs Webcasts/Webinars Calendars Documents, spreadsheets, databases Voicemail Personal devices if used for agency business Audio recordings

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What Records Do You Have?Examples are: Project/business related correspondence Program-related documentation Teams, projects, committees, or workgroup

documentation Activity and project reports Contracts Invoices AsBuilts Project diaries

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What Is Not A Business Record?

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Reference materials and stock copies vendor catalogs, phone books, “how to” documents, agency

publications, blank forms

Duplicate copies copies of records (paper or email) used for convenience or reference

purposes only

Drafts or working papers draft documents without substantive comments, rough notes,

calculations

General announcements and unsolicited email (internal or external) reminders received by all staff, listserv messages, spam

Recognize and manage records created as part of your job duties

Protect and save state records you create and use File hard copy and electronic documents (use agency file plan if

applicable) Maintain confidential and sensitive information appropriately Retain records the appropriate length of time Dispose of information that is not a record Dispose (or transfer) records which have met their retention time Know where to go for help

What are your records responsibilities?

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Lifecycle of a Record

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What Is A Retention Schedule?A records management policy that groups and describes related records and mandates how long records are kept (retention) and what happens to records at the end of that time period (disposition)

Retention schedules may be statewide General Records Schedules (GRS) or agency specific Retention Disposition Authorizations (RDAs)

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Managing Inactive Records Inactive Records

Have not reached the end of their life/retention.

Are accessed infrequently. Must be kept for period authorized in the

RDA. Could be stored in-house or offsite until

disposal.

Managing Inactive Records In-House Storage

Business area responsible for managing records.

Must ensure records are protected for remaining retention period.

Confidentiality must be safeguarded. Must follow RDA still. Disposal must be done according to

RDA.

Offsite Storage

RDA required Continued access & retrieval needed Maintain detailed indexing – box and folder

contents Records originator – continued responsibility

and accountability Access authorization required

State Records Center (SRC)

Provides a safe and environmental controlled environment for inactive records.

Provides confidential disposal at the end of retention.

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Determine the appropriate contents RDA required Records with same retention dates Label box appropriately List contents accurately Don’t pack junk, duplicates, etc Pack files tightly, but leave wiggle

room

Packing Records for Storage

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Projects Archival Submittal Process Box your records and label appropriately Use provided local program templates to list records Enter box information in template under appropriate

RDA Do not include information from past submittals Send list as a spreadsheet to David Stertz and Hill

Farms Central Office Files for SRC archiving Keep copy of submittal for your files Schedule delivery of boxes to the regions with LPPM Schedule delivery of boxes to Hill Farms

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Sandra Villiesse @ 262-548-8649; Email: sandra.villiesse@dot.wi.gov

Dave Stertz @ 608-267-9641 Email: davidl2.stertz@dot.wi.gov

Paul Miller @ 608-266-3630 Email: pauld.miller@dot.wi.gov WisDOT’s Records Officer, Ana Aquino-Pérez;

@ (608) 266-5290; Email: ana.aquinoperez@dot.wi.gov

WisDOT’s Division Records Coordinators

http://dotnet/bmsrecords/reccoor.htm

Contacts and resources

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Questions ?????

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