Interpreting The Personnel General Records Schedule


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Presentation explicating the UW-System General Records Schedule for Unclassified Staff Records, originally presented at UWM January 14, 2009

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Interpreting The Personnel General Records Schedule

  1. 1. Brad Houston, University Records Officer January 14, 2009
  2. 2. <ul><li>Two years in the making! Drafted by UW Records Officers Council (UWROC) </li></ul><ul><li>Approved November 2008 by Wisconsin Public Records Board </li></ul><ul><li>Applies to ALL UW-System Unclassified Personnel records! </li></ul><ul><ul><ul><li>Specifically for faculty, academic staff </li></ul></ul></ul><ul><li>Does NOT supersede State-wide General Record Schedule for Classified Staff </li></ul>
  3. 3. <ul><li>Explain records management (briefly) and how it applies to official and unofficial personnel records </li></ul><ul><li>Provide guidance on reading and interpreting the general records schedule </li></ul><ul><li>Examine implications of the GRS for both Personnel Representatives and office managers </li></ul>
  4. 5. <ul><li>Records : Recorded information, in any format, that allows an office to conduct business </li></ul><ul><ul><li>This includes emails and IMs! </li></ul></ul><ul><ul><li>Also documents business processes </li></ul></ul><ul><li>Value of Record determined by content, not format </li></ul><ul><li>Ask: “Does this document help me perform my job description?” </li></ul>
  5. 6. <ul><li>Official Record : The copy of record for audit purposes, record requests, etc. </li></ul><ul><li>Usually, your division’s PRep is the official record holder </li></ul><ul><ul><li>Exceptions: unique records (evaluations, etc.) </li></ul></ul><ul><li>Only official records need to be retained for full period </li></ul><ul><ul><li>Convenience copies usually do not have retention periods, but personnel copies do-- confidentiality </li></ul></ul>
  6. 7. Record Type Official record holder Unofficial record holder Faculty Personnel Files Division/School PReps (or designate) Office/Dept. Managers Unsolicited Applications Application recipient Relevant offices (if not official) Tenure/Indef. Review File Secretary of the University Office/Dept. Managers Course Evaluations Office/Dept. Managers NONE Layoff Documentation Hearing Body Office/Dept. Managers Formal Grievance Files Legal Affairs Division/School PReps Search and Screen Files Division/School PReps Office/Dept. Managers Affirmative Action Documentation Equity/Diversity Services Division/School PReps
  7. 8. <ul><li>Is the record unique? </li></ul><ul><ul><li>No other offices on campus maintain a copy of this record </li></ul></ul><ul><li>Is my office responsible for producing this record on demand? </li></ul><ul><ul><li>Open Records Requests, subpoenas, etc. </li></ul></ul><ul><li>Is my office designated the custodian by statute or policy? </li></ul><ul><li>If yes to any of these: It is the official copy </li></ul>
  8. 9. <ul><li>All personnel records are subject to state law (Wis. Stats. 19.36) and UWM policy (S-42) keeping these files private </li></ul><ul><ul><li>NOT just official copies! All copies of all records in this schedule covered by these statutes </li></ul></ul><ul><li>Employees may review portions of their official P-File (with permission) </li></ul><ul><li>Outside entities may ONLY review personnel records following review by Amy Watson, Public Records Custodian (x5188) </li></ul>
  9. 10. <ul><li>These are also covered by the General Records Schedule! </li></ul><ul><li>Section III: IADS records </li></ul><ul><li>GRS will be updated as PeopleSoft is integrated </li></ul><ul><li>Printouts are copies– may be destroyed </li></ul><ul><li>If you aren’t sure, hold on to it! </li></ul>
  10. 12. <ul><li>Organized into 8 categories </li></ul><ul><ul><li>Official P-File, Recruitment, IADS, Evaluation, Staff Development, Termination, Grievances, Other </li></ul></ul><ul><li>Within each category, find the record type you need </li></ul><ul><ul><li>Examples: P-File, I-9 forms, tenure file, student evaluations, sabbatical documentation </li></ul></ul><ul><li>Record series names may not correspond to the names YOU use </li></ul><ul><ul><li>Read the description to determine functional similarity </li></ul></ul>
  11. 13. GRS Category Schedule Examples Official Custodian(s) Official P-File Academic Staff P-Files, Faculty P-Files School/Division PRep (or designate) Recruitment and Hiring Records Position Vacancy Listings, Search and Screen Committee records, Affirmative Action records School/Division PRep (or designate) IADS documentation Personnel Action Forms, IADS data files School/Division PRep (or designate) Evaluation and promotion documentation Tenure File, Indefinite Review File, Student Evaluations, performance reviews School/Division PRep, Office/Department Managers, Secretary of the University, Review Committees
  12. 14. GRS Category Schedule Examples Official Custodian(s) Staff Development sabbatical documentation, awards documentation, emeritus recognition Provost’s Office, School/Division PReps Termination Documentation non-renewal documentation, layoff documentation, letters of resignation School/Division PReps (or designate) Grievances documentation written complaints, formal grievance files Legal Affairs, School/Division PReps Other Volunteer letters, employee medical information School/Division PReps (or designate)
  13. 15. <ul><li>Record Schedules consist of: </li></ul><ul><ul><li>Series Title </li></ul></ul><ul><ul><li>Description of the Series </li></ul></ul><ul><ul><li>Retention period (original) </li></ul></ul><ul><ul><li>Retention period (copies) </li></ul></ul><ul><ul><li>Disposition Instructions (Archive, Destroy, Transfer) </li></ul></ul><ul><li>Retention periods include ‘triggering event’, i.e. when you start counting (creation, end of fiscal year, etc.) </li></ul><ul><li>If disposition is marked “Destroy confidentially”, materials MUST BE SHREDDED or put in records management shred bins </li></ul>
  14. 16. Title Retention Copies Description
  15. 17. <ul><li>GRS provides some flexibility for institutions to set own policies for some records </li></ul><ul><li>Affected Records: </li></ul><ul><ul><li>Faculty P-Files: Retain for 30 years and send to Archives </li></ul></ul><ul><ul><li>Academic Staff P-Files: Retain for 10 years and destroy (Provisional schedule) </li></ul></ul><ul><ul><li>Search and Screen Files (Dean and higher): Retain for 6 years and send to Archives </li></ul></ul>
  16. 19. <ul><li>You are the official record holders for most records in the GRS </li></ul><ul><ul><li>Responsibility to produce records if subpoenaed or requested </li></ul></ul><ul><li>Familiarize self with retention periods, disposition instructions </li></ul><ul><li>Be aware of archiving/confidential destruction procedures </li></ul><ul><ul><li>Temporary Storage needs? </li></ul></ul>
  17. 20. <ul><li>Determine which records series you maintain in your office </li></ul><ul><li>Determine which records, if any, are official records </li></ul><ul><ul><li>Usually, these are limited to evaluations and tenure files; however, your office may vary </li></ul></ul><ul><li>Dispose of unofficial records as soon as possible by schedule </li></ul><ul><ul><li>Limits legal liability! </li></ul></ul>
  18. 21. <ul><li>UWM Archives only accepts files scheduled for PERMANENT retention </li></ul><ul><li>Series specifically included for archives in GRS include: </li></ul><ul><ul><li>Official Personnel File (Faculty) </li></ul></ul><ul><ul><li>Grievance/Appeal Files </li></ul></ul><ul><ul><li>Search and Screen Committee Files (Dean or higher) </li></ul></ul>
  19. 22. <ul><li>Fill out records transfer form (available on Records Management website) </li></ul><ul><li>Contact Archives for records center boxes </li></ul><ul><ul><li>1 file cabinet drawer=1.3 records center boxes </li></ul></ul><ul><li>Put documents in folders; remove binders if possible </li></ul><ul><li>Create inventory of boxes </li></ul><ul><ul><li>Box-level is OK; folder-level is better </li></ul></ul><ul><li>Arrange for pickup/transfer (x6979) </li></ul>
  20. 23. <ul><li>UWM now contracts with Kard Recycling and Shredding for confidential shredding </li></ul><ul><li>Some buildings have own shred bins </li></ul><ul><li>Contact Records Management to have shreddables picked up </li></ul><ul><li>For large orders (15+ boxes), contact Buildings and Grounds for special pickups (x5102) </li></ul><ul><li>Shredding is for confidential material only– NOT an all-purpose garbage pickup! </li></ul><ul><li> </li></ul>
  21. 24. <ul><li>Ideal for records with long-term temporary disposition (e.g. Academic Staff P-Files) </li></ul><ul><li>Currently, UWM uses Iron Mountain for offsite storage </li></ul><ul><ul><li>Contact Purchasing Dept. (x6011) for details </li></ul></ul><ul><li>Wisconsin State Records Center </li></ul><ul><ul><li>Requires folder-level inventory before submission </li></ul></ul>
  22. 25. <ul><ul><li>The Personnel General Records Schedule itself </li></ul></ul><ul><ul><li> </li></ul></ul><ul><ul><li>UWM Record Management, with tips (and this presentation!) </li></ul></ul><ul><ul><li> </li></ul></ul><ul><ul><li>Records Management Guidelines from UWSA </li></ul></ul><ul><ul><li> </li></ul></ul>
  23. 26. <ul><li>Any questions? </li></ul><ul><li>Contact Records Management: </li></ul><ul><ul><li>Phone: 414-229-6979 </li></ul></ul><ul><ul><li>E-mail: [email_address] </li></ul></ul><ul><ul><li>Web: </li></ul></ul><ul><li>This presentation is available online: </li></ul>