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: houstobn@uwm.edu Web: http://records.uwm.edu

This presentation is available online: http://www.uwm.edu/Libraries/arch/recordsmgt/pers-grs011409.ppt