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Interpreting The Personnel General Records Schedule

Interpreting The Personnel General Records Schedule



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

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 Interpreting The Personnel General Records Schedule Presentation Transcript

    • Brad Houston, University Records Officer January 14, 2009
      • Two years in the making! Drafted by UW Records Officers Council (UWROC)
      • Approved November 2008 by Wisconsin Public Records Board
      • Applies to ALL UW-System Unclassified Personnel records!
          • Specifically for faculty, academic staff
      • Does NOT supersede State-wide General Record Schedule for Classified Staff
      • Explain records management (briefly) and how it applies to official and unofficial personnel records
      • Provide guidance on reading and interpreting the general records schedule
      • Examine implications of the GRS for both Personnel Representatives and office managers
      • Records : Recorded information, in any format, that allows an office to conduct business
        • This includes emails and IMs!
        • Also documents business processes
      • Value of Record determined by content, not format
      • Ask: “Does this document help me perform my job description?”
      • Official Record : The copy of record for audit purposes, record requests, etc.
      • Usually, your division’s PRep is the official record holder
        • Exceptions: unique records (evaluations, etc.)
      • Only official records need to be retained for full period
        • Convenience copies usually do not have retention periods, but personnel copies do-- confidentiality
    • 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
      • Is the record unique?
        • No other offices on campus maintain a copy of this record
      • Is my office responsible for producing this record on demand?
        • Open Records Requests, subpoenas, etc.
      • Is my office designated the custodian by statute or policy?
      • If yes to any of these: It is the official copy
      • All personnel records are subject to state law (Wis. Stats. 19.36) and UWM policy (S-42) keeping these files private
        • NOT just official copies! All copies of all records in this schedule covered by these statutes
      • Employees may review portions of their official P-File (with permission)
      • Outside entities may ONLY review personnel records following review by Amy Watson, Public Records Custodian (x5188)
      • These are also covered by the General Records Schedule!
      • Section III: IADS records
      • GRS will be updated as PeopleSoft is integrated
      • Printouts are copies– may be destroyed
      • If you aren’t sure, hold on to it!
      • Organized into 8 categories
        • Official P-File, Recruitment, IADS, Evaluation, Staff Development, Termination, Grievances, Other
      • Within each category, find the record type you need
        • Examples: P-File, I-9 forms, tenure file, student evaluations, sabbatical documentation
      • Record series names may not correspond to the names YOU use
        • Read the description to determine functional similarity
    • 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
    • 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)
      • Record Schedules consist of:
        • Series Title
        • Description of the Series
        • Retention period (original)
        • Retention period (copies)
        • Disposition Instructions (Archive, Destroy, Transfer)
      • Retention periods include ‘triggering event’, i.e. when you start counting (creation, end of fiscal year, etc.)
      • If disposition is marked “Destroy confidentially”, materials MUST BE SHREDDED or put in records management shred bins
    • Title Retention Copies Description
      • GRS provides some flexibility for institutions to set own policies for some records
      • Affected Records:
        • Faculty P-Files: Retain for 30 years and send to Archives
        • Academic Staff P-Files: Retain for 10 years and destroy (Provisional schedule)
        • Search and Screen Files (Dean and higher): Retain for 6 years and send to Archives
      • You are the official record holders for most records in the GRS
        • Responsibility to produce records if subpoenaed or requested
      • Familiarize self with retention periods, disposition instructions
      • Be aware of archiving/confidential destruction procedures
        • Temporary Storage needs?
      • Determine which records series you maintain in your office
      • Determine which records, if any, are official records
        • Usually, these are limited to evaluations and tenure files; however, your office may vary
      • Dispose of unofficial records as soon as possible by schedule
        • Limits legal liability!
      • UWM Archives only accepts files scheduled for PERMANENT retention
      • Series specifically included for archives in GRS include:
        • Official Personnel File (Faculty)
        • Grievance/Appeal Files
        • Search and Screen Committee Files (Dean or higher)
      • Fill out records transfer form (available on Records Management website)
      • Contact Archives for records center boxes
        • 1 file cabinet drawer=1.3 records center boxes
      • Put documents in folders; remove binders if possible
      • Create inventory of boxes
        • Box-level is OK; folder-level is better
      • Arrange for pickup/transfer (x6979)
      • UWM now contracts with Kard Recycling and Shredding for confidential shredding
      • Some buildings have own shred bins
      • Contact Records Management to have shreddables picked up
      • For large orders (15+ boxes), contact Buildings and Grounds for special pickups (x5102)
      • Shredding is for confidential material only– NOT an all-purpose garbage pickup!
      • http://www.uwm.edu/Libraries/arch/recordsmgt/confiden.htm
      • Ideal for records with long-term temporary disposition (e.g. Academic Staff P-Files)
      • Currently, UWM uses Iron Mountain for offsite storage
        • Contact Purchasing Dept. (x6011) for details
      • Wisconsin State Records Center
        • Requires folder-level inventory before submission
        • The Personnel General Records Schedule itself
        • http://www.uwsa.edu/gc-off/records/schedules/UWSystemUnclassifiedGRS9-30-08.pdf
        • UWM Record Management, with tips (and this presentation!)
        • http://records.uwm.edu
        • Records Management Guidelines from UWSA
        • http://www.uwsa.edu/gc-off/records/guidelines/
      • Any questions?
      • Contact Records Management:
        • Phone: 414-229-6979
        • E-mail: [email_address]
        • Web: http://records.uwm.edu
      • This presentation is available online: http://www.uwm.edu/Libraries/arch/recordsmgt/pers-grs011409.ppt