Public Records Management Best Practices

 
Managers & Supervisors
 
Approved 3/22/2021
 
1
 
Introduction to Records Management
 
Where Are Public Records Defined?
 
2
 
Wis. Stat. 
§
 16.61(2)(b) defines “public records” for the
purposes of records retention and disposition
 
 
Wis. Stat. 
§
 19.32(2) defines “records” for purposes of the
records access and disclosure provisions of Wis. Stat. 
§§
19.31-19.39 (known as the public records law or the open
records law)
 
What is Records Management?
 
3
 
The practice of maintaining records throughout their lifecycle
 
Records management programs manage organizational
information to ensure it is useable, cost-effective, timely,
accurate, complete and easily accessible
Disposing of unneeded and outdated content after the
appropriate retention period allows for easier retrieval of
records
 
Life Cycle of a Record
 
4
 
Why Public Records Management?
 
5
 
Ensure statutory and regulatory compliance
 
Preserve the rights of citizens to have access to public records
 
Support better decision making
 
Safeguard vital information
 
Preserve organizational memory
 
Reduce operating costs
 
Minimize legal risks
 
What Are Your Public Records Responsibilities?
 
6
 
Ensure staff has basic knowledge about records
management
 
Document program area business activities and decisions
 
Know program area business records and ensure they
managed according to an approved records disposition
authorization (RDA)
 
Ensure public records are disposed in accordance with an
approved RDA
 
 
What Are Your Public Records Responsibilities?
 
7
 
Safeguard confidential, sensitive, and personally
identifiable information (PII) such as personnel records
 
Communicate records roles and responsibilities to your
employees
 
Ensure records are filed for safe storage and efficient
retrieval
 
Identify and transfer records prior to employee departures
 
Have a method to identify legal holds that halt records
disposition
 
Continued …
 
What Are Your Staff’s Public Records Responsibilities?
 
8
 
Recognize and manage public records created as part of their
job duties
 
Protect and save public records they create and use
 
File paper and electronic documents so they can be readily
accessed (use agency file plan if applicable)
 
Safeguard confidential and sensitive information
 
Dispose of information that is not defined as a public record
 
Retain public records for the appropriate length of time
 
Dispose of public records in accordance with an approved
Retention Disposition Authorization (RDA)
 
Know where to go for help
 
What is a Public Record?
 
9
 
Recorded information, in any format
(including paper, electronic, audio/visual,
calendars, maps) created or received by
a state employee and/or agency in the
transaction of business
 
 
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10
 
Created in the course of public business
 
Examples: correspondence and memos (paper and
 
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Received for action
 
Examples: Information or public records requests,
 
tracked correspondence
Mandated by statute or regulation
 
Examples: statutorily required programs,
 
administrative records, dockets, equal rights
 
complaints
 
What is a Public Record?
 
Where Might Public Records Occur?
 
11
 
Information content determines what constitutes a public record and not
the format in which the information is generated.
 
Email and voicemail
Text, instant messages and chats
Social media and Websites
Audio, video and online meeting
    platform recordings
Calendars
Documents
Spreadsheets and databases
Personal devices if used for government unit business
Maps and blueprints
 
What Public Records Might You Have?
 
12
 
Records pertaining to Boards, Councils, and
Committees
 
Policy and procedure documentation
 
Program area activity, production and employee
reports and files
 
Project reports and files
 
Business related memos or correspondence
 
Open records requests and responses
 
Reports to senior management
 
Calendars, schedules and logs of daily activities
 
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13
 
Reference materials and stock copies
 
Examples: vendor catalogs, blank forms
 
Copies
 
Examples: copies of records (paper or electronic) for
 
convenience or reference purposes only
 
Draft or working papers
 
Examples: draft documents without substantive comments,
 
rough notes for personal use (It should be noted that some
 
drafts are needed to support a decision trail or are otherwise
 
required by an RDA)
 
Unsolicited email (internal or external)
 
Examples: reminders received by all staff, listserv
 
How Do I Manage Public Records?
 
14
 
Policies
 
Learn your government unit’s records management
 
policies
 
 
Know which records disposition authorization (RDA)
 
relates to your program records
 
Filing
 
File public records to allow for easy access over time
 
 
File records in accordance with your government unit’s
 
approved filing system to simplify retrieval
 
How Do I Manage Public Records?
 
15
 
People
 
Contact your Records Officer or designated
 
Records Custodian with questions
 
Disposition
 
Dispose of records according to the
 
approved RDA
 
 
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Continued …
 
What Is A Retention / Disposition Schedule?
 
16
 
Records Disposition Authorizations (RDAs):
 
 
Mandate how long public records are kept (retention)
 
 
Group and describe related public records
 
 
Mandate what happens to public records at the end
 
of that time period (disposition)
 
 
Are promulgated as policy via a General Records
 
Schedule (GRS) or agency specific RDA
 
Records Disposition Authorizations
 
17
 
Valid for ten years
 
Updated, amended and revised as needed
 
Changes are approved by the Public Records Board
 
RDAs may be extended beyond their sunset day for an
additional 18 months in accordance with PRB Extension
policy (approved May 2010)
 
PRB General Records Schedules
 
18
 
Administrative Related Records
Budget and Related Records
County Records
Facilities Management and Related Records
Fiscal and Accounting Related Records
Fleet and Aircraft Management Related Records
Human Resources and Related Records
Information Technology and Related Records
Municipal Records
Payroll and Related Records
Public Library and Public Library Systems
Public School District Records
Purchasing and Procurement and Related Records
Risk Management and Related Records
 
Summary
 
19
 
Protect and save the public records your unit creates and uses
 
Safeguard confidential and sensitive information appropriately
 
Know that public records consist of all forms of media
 
Be familiar with the RDAs which relate to your programs
 
Do not dispose of any public record unless you are following an RDA
 
File all public records according to a consistent filing plan
 
Learn to manage public records as part of your job duties
 
Ask records staff for assistance
Records Officer
 
Records Coordinators
Legal counsel 
 
Records Custodians
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3-22-2021

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Learn about public records management, including the definition of public records, the importance of records management, the life cycle of a record, why public records management is essential, and your responsibilities in managing public records effectively.


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  1. Introduction to Records Management 1 Managers & Supervisors Approved 3/22/2021

  2. Where Are Public Records Defined? 2 Wis. Stat. 16.61(2)(b) defines public records for the purposes of records retention and disposition Wis. Stat. 19.32(2) defines records for purposes of the records access and disclosure provisions of Wis. Stat. 19.31-19.39 (known as the public records law or the open records law)

  3. What is Records Management? 3 The practice of maintaining records throughout their lifecycle Records management programs manage organizational information to ensure it is useable, cost-effective, timely, accurate, complete and easily accessible Disposing of unneeded and outdated content after the appropriate retention period allows for easier retrieval of records

  4. Life Cycle of a Record 4

  5. Why Public Records Management? 5 Ensure statutory and regulatory compliance Preserve the rights of citizens to have access to public records Support better decision making Safeguard vital information Preserve organizational memory Reduce operating costs Minimize legal risks

  6. What Are Your Public Records Responsibilities? 6 Ensure staff has basic knowledge about records management Document program area business activities and decisions Know program area business records and ensure they managed according to an approved records disposition authorization (RDA) Ensure public records are disposed in accordance with an approved RDA

  7. What Are Your Public Records Responsibilities? 7 Continued Safeguard confidential, sensitive, and personally identifiable information (PII) such as personnel records Communicate records roles and responsibilities to your employees Ensure records are filed for safe storage and efficient retrieval Identify and transfer records prior to employee departures Have a method to identify legal holds that halt records disposition

  8. What Are Your Staffs Public Records Responsibilities? 8 Recognize and manage public records created as part of their job duties Protect and save public records they create and use File paper and electronic documents so they can be readily accessed (use agency file plan if applicable) Safeguard confidential and sensitive information Dispose of information that is not defined as a public record Retain public records for the appropriate length of time Dispose of public records in accordance with an approved Retention Disposition Authorization (RDA) Know where to go for help

  9. What is a Public Record? 9 Recorded information, in any format (including paper, electronic, audio/visual, calendars, maps) created or received by a state employee and/or agency in the transaction of business Information content determines what is a record and not the format in which the information is generated. Records may be textual, pictorial, paper, electronic, audio, video, etc.

  10. What is a Public Record? 10 Created in the course of public business Examples: correspondence and memos (paper and electronic), agreements, studies, reports Received for action Examples: Information or public records requests, tracked correspondence Mandated by statute or regulation Examples: statutorily required programs, administrative records, dockets, equal rights complaints

  11. Where Might Public Records Occur? 11 Information content determines what constitutes a public record and not the format in which the information is generated. Email and voicemail Text, instant messages and chats Social media and Websites Audio, video and online meeting platform recordings Calendars Documents Spreadsheets and databases Personal devices if used for government unit business Maps and blueprints

  12. What Public Records Might You Have? 12 Records pertaining to Boards, Councils, and Committees Policy and procedure documentation Program area activity, production and employee reports and files Project reports and files Business related memos or correspondence Open records requests and responses Reports to senior management Calendars, schedules and logs of daily activities

  13. What Is Not a Public Record under Wis. Stat. 16.61(2)(b) for retention purposes? 13 Reference materials and stock copies Examples: vendor catalogs, blank forms Copies Examples: copies of records (paper or electronic) for convenience or reference purposes only Draft or working papers Examples: draft documents without substantive comments, rough notes for personal use (It should be noted that some drafts are needed to support a decision trail or are otherwise required by an RDA) Unsolicited email (internal or external) Examples: reminders received by all staff, listserv

  14. How Do I Manage Public Records? 14 Policies Learn your government unit s records management policies Know which records disposition authorization (RDA) relates to your program records Filing File public records to allow for easy access over time File records in accordance with your government unit s approved filing system to simplify retrieval

  15. How Do I Manage Public Records? 15 Continued People Contact your Records Officer or designated Records Custodian with questions Disposition Dispose of records according to the approved RDA Note: Your government unit may only legally dispose of records as approved by an authorized records schedule

  16. What Is A Retention / Disposition Schedule? 16 Records Disposition Authorizations (RDAs): Mandate how long public records are kept (retention) Group and describe related public records Mandate what happens to public records at the end of that time period (disposition) Are promulgated as policy via a General Records Schedule (GRS) or agency specific RDA

  17. Records Disposition Authorizations 17 Valid for ten years Updated, amended and revised as needed Changes are approved by the Public Records Board RDAs may be extended beyond their sunset day for an additional 18 months in accordance with PRB Extension policy (approved May 2010)

  18. PRB General Records Schedules 18 Administrative Related Records Budget and Related Records County Records Facilities Management and Related Records Fiscal and Accounting Related Records Fleet and Aircraft Management Related Records Human Resources and Related Records Information Technology and Related Records Municipal Records Payroll and Related Records Public Library and Public Library Systems Public School District Records Purchasing and Procurement and Related Records Risk Management and Related Records

  19. Summary 19 Protect and save the public records your unit creates and uses Safeguard confidential and sensitive information appropriately Know that public records consist of all forms of media Be familiar with the RDAs which relate to your programs Do not dispose of any public record unless you are following an RDA File all public records according to a consistent filing plan Learn to manage public records as part of your job duties Ask records staff for assistance Records Officer Legal counsel Records Coordinators Records Custodians

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