University of Wisconsin-Parkside
Archives Policy
Policy #7

The University Archives is charged by the Regents, "to preserve the historical records of the University, to facilitate efficient records management, and to serve historical research and scholarship." To accomplish this objective the Regents require that no department or other office may destroy any records without prior consultation with the archives (Chapter 16.80 (4) of Wisconsin Statutes). The policy is designed to coordinate and consolidate the collection of the University's records. The importance of maintaining a complete and accurate collection of University records both for continuing administrative reference and subsequent research should not be underestimated.

University records may be defined as: papers, books, photographs, tapes (including computer tapes), films, recordings, or other documentary materials, or any copies thereof, regardless of physical form or characteristics, made, produced, executed or received by any department or office of the University or by any academic or any administrative staff member in connection with the transaction of university business and retained by that agency or its successor as evidence of its activities or functions because of the information contained therein.

The Archives, like so many other campus units, has encountered funding, space and staff shortages. As a result, more selectivity will be utilized with regard to those types of records accepted for permanent preservation in the Archives. At the same time, it must be realized that departmental offices are facing a growing burden of paperwork. This burden has placed increasing pressure on all resources devoted to the creation, management, maintenance, disposal and preservation of records.

The solution of these problems is to be found in a discipline known as records management. Records management entails following a simple set of procedures which allows one to address records problems in an orderly and systematic fashion, improve the capacity to use existing records, and identify and dispose of unneeded records logically and legally.

This guide describes archival and records management policies which are currently practiced in the University. While this is not intended to be a comprehensive solution to all records problems, this document provides guidelines for handling most routine records. It contains procedures and practices to assist departments in meeting records problems while greatly helping the Archives to accomplish its objectives.

I. Goals and Procedures

To aid in the understanding of the purposes and objectives of records management, goals and procedures of an effective records management program are listed below.

A. Goals:

Promote economy and efficiency in the creation, maintenance, distribution, and disposition of information.

Provide assistance to units of the University in the development of records management practices to meet their individual records needs and problems.

Promote systematic review of all types of records regardless of form or method of generation and provide for their disposition.

Preserve records and information which are of permanent historical, legal, administrative, or research value.

Provide a system of cooperation and communication between the Archives and other campus departments in order to respond to records issues as they arise.

Educate department personnel in the appropriate records management practices to employ in the disposition of University records.

Promote understanding of records issues and problems and the archival and records management practices designed to address them.

B. Procedures:

Establish records schedules for each University department or office.

Promote uniform and efficient filing systems.

Provide assistance to departments and offices in the training of personnel in archival and records management practices.

Inventory and evaluate records periodically to ensure the proper disposition of inactive records and the preservation of historical records.

Advise departments on records handling and management to ensure the use of the most efficient and economical systems.

Establish procedures for the transfer of records to the University Archives.

Establish procedures for the review of records schedules and records policies developed by departments and offices.

II. Transfer of Records to the University Archives

A. Overview of Procedures for Transferring Records:

1. Appoint an office staff member to serve as a Records Management Representative (RMR) to organize and prepare the records for transfer. It is strongly recommended that the person be a permanent staff member and/or someone who is thoroughly familiar with department operations and who will be available for questions should a problem arise.

2. Refer to the department's applicable records retention schedule to determine retention periods and final disposition for each record item. This is also known as a records disposition authorization (RDA) schedule. If departmental RDA's can not be located, contact the Archives for copies.

3. Arrange for the transfer by contacting the Archives at 2411. The approximate total volume of records to be transferred, special conditions which may apply to the records (odd size, unusual arrangements, etc.), and the anticipated date of transfer will be needed.

4. Pack records in record storage cartons (RC's).

5. Complete transmittal/inventory forms prior to transfer. These forms are available from the Archives.

6. The Archives will return a copy of the form with accession data added. Retain this copy along with the inventory for future reference/retrieval needs.

B. Steps for Preparing and Packing Records:

1. Order cartons from stores. Records are to be boxed in record storage cartons only. If material to be stored is such that it requires odd size containers, contact the Archives to obtain approval prior to packing the records. Record storage cartons are available through the University Stores Catalog. The Archives cannot accept material packed in any other type of carton.

2. Review files systematically, using the RDA schedule as a guideline. Remove those items for which the retention period has expired or the file activity is low enough that in-office retention is not required.

a. Weed the following from files:

1) Stocks of printed or reproduced documents kept for supply purposes where file copies have been retained for records purposes; for example, requisition slips.
2) Any duplicates. The Archives needs only one copy of each item.
3) Preliminary drafts of letters, memoranda, reports, work sheets, and informal notes which do not represent significant basic steps in the preparation of a record document.
4) Convenience copies of publications, reports, memoranda, etc. for which the office was not the originator or office of record and which have not been annotated.
5) Materials not filed as evidence of department operations that have no informational value, such as telephone call slips, letters of transmittal, route slips, etc.
6) Remove photos from folders but do not discard them. Put them in a separate carton for transfer. Label them, using pencil only, lightly on the backs as to person, place, event and date whenever possible.
7) Photocopy newspaper clippings, saving only the photocopy (unless the article(s) is too long or unwieldy to permit photocopying.

When there is any doubt as to whether or not documents (paper or other format) should be retained, they should be considered official records until determined otherwise; any questions regarding the records should be directed to the Archives. The Archives will carefully analyze the records in question and make the final determination of whether they are official records.

b. All records should come to the Archives in file folders unless size or shape irregularities prevent that, in which case the Archives should be consulted for proper procedures. Aside from this, the following conditions must be met:

1) Subject files must be arranged in alphabetical order with each file dated as to the approximate dates enclosed; for example, Minority Students 1977-1979 or Minority Students, n.d. (where no date is available.)
2) Correspondence should be in chronological order, and where applicable, prevalent correspondents should be listed (that is when correspondence with one person, firm, institution etc. take sup a whole file or more); for example, Smith, John W. 1979-1983.
3) All paper clips and rubber bands must be removed. If material should be kept together, replace these with staples.
4) If legal and letter size materials must be combined, place all materials in a legal size file folder.
5) Remove all materials from ringed binders, being careful to maintain the original order of records while placing them into file folders. Information that appears on the binder itself should be written on the file folders. Because these materials will rarely fit into only one file folder, labelling should be done as follows: ABC Convention, 197 I; ABC Convention II; etc.

3. Pack and label cartons.

a. Pack records upright in cartons in the same arrangement as they appeared in the filed drawer with file labels facing the same direction as record carton labels. Records must not be moved from their original file folders and/or jackets, nor should any portion of the records be discarded unless so stipulated by the schedule. Note that letter-size folders fit in the cartons front to back and legal size fit side to side. Do not switch directions of files in a carton; if there is one legal size file, place all files side to side to avoid damaging records.

b. Label the carton using the form printed on one end. Each carton must be clearly marked as to office of origin, contents, and dates. Place only one record series in a carton if at all possible. If two record series are placed in the same carton, the carton label must indicate that fact clearly. For efficient records management the two records series must have the same retention period and the same final disposition. For example, if one series is designated for destruction after 5 years, the other series must also be designated for the same retention and disposition.

c. Number cartons consecutively, noting the total number of cartons in the series on each carton. For example, carton number one of a ten carton series would be labelled 1 of 10; etc.

d. Do not overpack cartons. Enough space should remain inside the carton so that records can easily be retrieved and the handles of the carton may be utilized properly. Over-packing causes cartons to split and collapse. When the record storage cartons are packed properly, they are easy to handle and contents can easily be removed for reference. Offices should be mindful of health and safety regulations regarding weight. If the material to be transferred is of a nature that a full carton could weigh 50 pounds or more, the cartons should not be packed full. Alternative containers may be advisable; contact the Archives.

4. Complete Records Transmittal/Inventory forms. One form is to be completed for each records series being transferred to the Archives. Both pages of the transmittal form along with a copy of any continuation pages must accompany the records to the Archives. A copy of the form will be returned to the office with accession information noted. This copy of the form and a copy of the inventory must be retained by the office for future reference requests.

C. Acceptance/Rejection

Materials received where the outlined guidelines have not been followed will be rejected and returned to the office of origin along with a pink "non-acceptance" form detailing the rationale for rejecting those materials.

NOTE: For a complete copy of the "GUIDE TO RECORDS MANAGEMENT" contact the Archives office.