1. Archiving Records Offsite Using the State Records Center (SRC)
Ana S. Aquino-Perez,
WisDOT Records Officer
Tuesday, February 17, 2015
Madison, WI

2. What Is A Record?
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
Be sure to emphasize that records are not format specific, content of the information determines if something is a record.
“ ” is not a record
Records include papers, reports, photographs, electronic transmissions, databases, videos, machine-readable materials, and any other documentary materials, regardless of physical form or characteristics,

3. Records Are: Created in the course of business Received for action
correspondence and memos (paper and electronic), agreements, studies, reports
Received for action
Information requests, controlled correspondence, open records requests
Mandated by statute, regulation, or federal guidelines
statutorily required programs, administrative records, dockets

4. A Record Documents state activities
calendars, meeting minutes, project reports
Supports financial obligations or legal claims
grants, contracts, litigation case files, or audits
Communicates agency requirements
guidance documents, policies, procedures

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

6. 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
Design and construction files
Correspondence
Contracts
Surveys
HazMats
Project diaries
Workers comp. claims
Purchase orders
Property loss documents
Policy & procedures
Databases
Policy directives
Timesheets
Property loss information
COOP plans
Property damage claims
Insurance information
Easements
Invoices
Drawings
AsBuilts

7. What Is Not A Business Record?
Reference materials and stock copies
vendor catalogs, phone books, “how to” documents, agency publications, blank forms
Duplicate copies
copies of records (paper or ) used for convenience or reference purposes only
Drafts or working papers
draft documents without substantive comments, rough notes, calculations
General announcements and unsolicited (internal or external)
reminders received by all staff, listserv messages, spam
Best way to know what is a records is by recognizing what is not a record first, then everything else is a record
Might want to discuss personal
Personal is a record under Chapter 19 – records access. However, it can be considered transitory and deleted. – see rda adm Transitory Correspondence and Other Related Records
Records & correspondence – State Legislators
State document depository library documents
Duplicate copies – if originals are in the agency’s custody and if kept only for convenience of reference and for no other substantive purpose.
Library or museum materials - for reference/exhibition purposes.
Notices or invitations not solicited by the agency and not related to any agency action taken, proposed or considered.
Drafts, notes, preliminary computations and like materials
Routing slips and envelopes
Materials which are purely personal property and have no relation to individual’s office.

8. What are your records responsibilities?
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

9. Lifecycle of a Record Distribution – (active stage of a record)
Retention – semi active records
Storage and maintenance – inactive stage – records are usually sent to an offsite facility like the SRC for the remainder of their retention period
Disposal – records without long term or permanent value are destroyed – some confidentially depending on the nature of the record.
Historic preservation – records that are deem to have historic value are transferred to an archival institution such as WHS
May want to mention:
State Record Center
State Historical Society/University Archives
Confidential vs. Non-confidential destruction
Records held by vendors and/or in the cloud
Records stored by private companies (i.e. Iron Mountain)

10. 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)
RDA = Key to Records Management
Records Retention/Disposition Authorization (RDA) Policy
Describes a group of records and mandates how long they need to be kept (retention) and their ultimate disposition (destruction or transfer).
Approved by the Public Records Board
Required by law – must be in place within a year of records creation or receipt.
RDA IS THE KEY TO MANAGE YOUR RECORDS
Approved Policy: retain and dispose of records
Basis: develop/revise systems, files, datasets
Identifies most important records – long-term
Rationale: cost justify resource investments
Assigns responsibility for official copy
RDA = Key records data field – include in ALL records Indexes, lists, file plans
Applies to paper & electronic
Applies to active, inactive & archived records.

12. RDA IS THE KEY TO MANAGE YOUR RECORDS
Approved Policy: retain and dispose of records
Basis: develop/revise systems, files, datasets
Identifies most important records – long-term
Rationale: cost justify resource investments
Assigns responsibility for official copy
RDA = Key records data field – include in ALL records Indexes, lists, file plans
Applies to paper & electronic
Applies to active, inactive & archived records.

13. Managing 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.
Records that are accessed occasionally 4 reference or to meet legal, audit or other obligations.
RDA specifies how long they need to be kept
Short period
permanently

14. 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.
Business area must ensured records are: safe, confidential information is safeguarded, disaster recovery issues,

15. Offsite Storage RDA required Continued access & retrieval needed
Maintain detailed indexing – box and folder contents
Records originator – continued responsibility and accountability
Access authorization required

16. State Records Center (SRC)
Provides a safe and environmental controlled environment for inactive records.
Provides confidential disposal at the end of retention.

17. Packing Records for Storage
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
Only include files that are covered under the same RDA
• Check that folders contain the material that the folder label indicates.
• Do not include non-records such as publications, catalogs, etc
• Boxes are sorted by retention period and marked in clear legible handwriting with type of
documents.
• Complete the front of the State Records box fields as shown in the box label sample below:

19. 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

21. Contacts and resources
Sandra ;
Dave
Paul
WisDOT’s Records Officer, Ana Aquino-Pérez; @ (608) ;
WisDOT’s Division Records Coordinators

22. Questions ?????