E-212.1 Record Retention and Destruction

Employees shall review and destroy the College's records based on the College Records Retention Schedule. It is essential to review all records under the control of a specific area.

RECORD RETENTION AND PRESERVATION

The College will establish a Records Retention Schedule that will include, among other information, the following: document authority/owner, Retention Disposition Authorization (RDA) number, record series, legal citation, document location, length of time each public record must be kept, and preservation or disposition. In addition, the College will plan for the storage, retrieval, and disposition of its records.

Records retention schedules must be submitted to the Public Records Board (PRB) every ten (10) years.

RECORDS COORDINATOR RESPONSIBILITIES

The College Records Coordinator oversees the records retention system, schedules, processes, and procedures. The Record’s Coordinator oversees the retention and disposal of College records and is responsible for the following:

• Publishing a Records Retention Schedule that complies with local, state, and federal laws.

• Monitor local, state, and federal laws affecting record retention.

• In conjunction with Division/Department Record Coordinators, annually review and modify the Records Retention Schedule as necessary.

• Obtain approval of all modifications to the Records Retention Schedule from the Wisconsin Public Records Board and the Wisconsin State Historical Society, as required by state statute. 

• Develop a training manual for Employees responsible for record storage and maintenance.

• Monitor all Divisions/Departments for compliance with the Records Retention Schedule. 
  

DIVISION/DEPARTMENT RECORDS COORDINATORS' RESPONSIBILITIES

The Division/Department Records Coordinators are responsible for following the appropriate records retention process and schedules for their division/departments.

The Division/Department Record Coordinators oversee the retention and disposal of the College’s records in their area and are responsible for the following:

• Ensure the division/department adheres to the policy and procedures published for Records Retention and Destruction.

• Provides records management assistance to other Employees within the division/department.

• Meets with the College Records Coordinator annually to review and modify the Record Retention Schedule as necessary.

• Advises the College Records Coordinator whenever it is necessary to hold records beyond the scheduled disposal date.

• Ensures that all records under the Division/Department Records Coordinator jurisdiction are screened at least once a year for duplicate and useless copies and ensures disposal of those office records whose retention period has been met.

• Review records periodically to ensure they are appropriately protected, and all vital records are classified.

• Before destruction, Division/Department Records Coordinators shall determine if the records seeking destruction have been suspended (see Suspension of Records Destruction below). The record series is eligible for destruction if it is waived from archival review and no legal hold exists.

PERSONALLY IDENTIFIABLE INFORMATION (PII)

Some records in the Records Retention Schedule contain personally identifiable information as defined by Wisconsin law. Wis. Stats. § 19.62(5). The law often restricts public access to and security of personally identifiable information. Therefore, agencies should know Wisconsin Statutes, Chapter 19 requirements, and all applicable program-specific laws or regulations. Such records should also be destroyed as confidential. If you doubt whether a document contains personally identifiable information, it is a good idea to check with the College Records Coordinator, who will confirm with legal counsel.

DESTRUCTION OF RECORDS

Before disposing of any public record, the Division/Department Record Coordinators must review the Records Retention Schedule to determine/confirm the record's preservation and disposition and whether the Wisconsin State Historical Society needs to be notified.

• Shred confidential paper copy records. If shredding cannot be accomplished internally, an authorized service provider may be used for shredding.

• Recycle non-confidential paper copy records.

• Delete or erase electronic records.

• Document destruction will be suspended immediately upon any indication of an official investigation or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon the conclusion of the investigation.

RECORDS REVIEW DUE TO EMPLOYMENT STATUS

1. Employees shall return all business records at their homes, other campuses, or off-campus locations to the division/department of record.

2. Before transfer, retirement, voluntary departure, or other termination, an Employee shall meet with the individual's supervisor to review all records in all formats and media, including email and department-assigned computer drives.

3. The supervisor shall reassign the records to another Employee, transfer them to inactive storage, or destroy them based on procedures and records retention schedules.

4. If the Employee requires assistance reviewing records, the Employee and supervisor shall contact the College Records Coordinator.

ELECTRONIC DOCUMENTS AND RECORDS

Electronic documents will be retained as if they were paper documents. Therefore, any electronic files that fall into one of the document types (emails, database files, PowerPoint presentations, audio and video, web-based documents, social media) will be maintained for the appropriate amount of time. For example, if an Employee has sufficient reason to keep an email message, the message should be printed in hard copy and kept in the appropriate file or moved to an "archive" computer file folder.

SUSPENSION OF RECORDS DESTRUCTION

The authorized destruction of certain records, regardless of media or characteristics, may be suspended when the College Records Coordinator is deemed relevant to pending, threatened, or imminent litigation or government investigations or for other legally permissible reasons when the suspension is warranted.

College Employees shall not destroy, dispose of, conceal, or alter any record or document while knowing that it is or may be relevant to an anticipated or ongoing investigation or legal proceeding conducted by or before a federal, state, or local government agency. The suspension also includes an ongoing internal investigation, audit, or review conducted by the College.

During an anticipated or ongoing investigation or legal proceeding as set forth above, the College Records Coordinator shall suspend any further disposal of documents until the College Records Coordinator, with the advice of counsel, determines otherwise. The College Records Coordinator shall take such steps as necessary to promptly inform all Employees of any suspension in the further disposal of documents.

There are other possible limited situations beyond potential litigation or government investigation in which it may be appropriate to suspend the destruction of certain records or documents. If an Employee believes suspension may be suitable for specific reasons, the Employee shall notify the College Records Coordinator. Legal counsel shall review the situation, and if it deems the suspension of certain records or documents appropriate, the procedure outlined above will be followed.

DEFINITIONS

Record – "Any material on which written, drawn, printed, spoken, visual or electromagnetic information or electronically generated or stored data is recorded or preserved, regardless of physical form or characteristics, which has been created or is being kept by an authority." — Wis. Stat. § 19.32(2).

Records Retention Schedule – A Records Retention Schedule is a tool that guarantees that records are kept as long as legally and operationally required. Further, those obsolete records are disposed of systematically and controlled. The series of records are listed in the schedule, along with the approved retention period for each record group. The Records Retention Schedule is intended to ensure that Employees adhere to approved record-keeping requirements and do so consistently.

Retention Period – The retention period is the duration each record type must be retained. Records that have fulfilled their official retention period must be reviewed for destruction. A retention period may be stated in terms of months or years or expressed as contingent upon an event such as a contract's termination or a project's conclusion.

For most records, the retention period begins when the record is created. The retention period is added to the creation date to produce a date for maintaining the record. Some records begin their retention with a particular event to which the retention period is added.