Interpreting The Personnel General Records Schedule
-
Upload
brad-houston -
Category
Education
-
view
11 -
download
2
description
Transcript of Interpreting The Personnel General Records Schedule
Brad Houston, University Records OfficerJanuary 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 requestedFamiliarize self with retention
periods, disposition instructionsBe 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 protected] Web: http://records.uwm.edu
This presentation is available online: http://www.uwm.edu/Libraries/arch/recordsmgt/pers-grs011409.ppt