Interpreting the Personnel General Records Schedule

1
Interpreting the Personnel General Records
Schedule

• Brad Houston, University Records Officer
• January 14, 2009

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Unclassified Staff Personnel GRS

• 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

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Goals of this Presentation

• 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

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Part I A (Brief) Records Management Primer
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What Is a Record?

• 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?

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Official vs. Unofficial Records

• Official Record The copy of record for audit
  purposes, record requests, etc.
• Usually, your divisions 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

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Official or Unofficial? Some examples
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Is It an Official Record?

• 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

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Privacy and Confidentiality

• 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 Legal Affairs

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Electronic Personnel Records

• 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 arent sure, hold on to it!

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Part II Reading the Personnel General Records
Schedule
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Using the GRS Finding Schedules

• 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

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Personnel GRS Categories
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Personnel GRS Categories, Cont.
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Using the GRS Reading Schedules

• 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

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Example I-9 Form schedule
Title
Description
Retention
Copies
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Special cases P-Files and SS

• 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

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Part III Implications of the General Records
Schedule
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For PReps keep informed!

• 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?

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For non-PReps Take Stock!

• 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!

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Sending Files to the Archives

• 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)

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Sending to the Archives, cont.

• Fill out records transfer form (available on
  Records Management website)
• Contact Archives for records center boxes
• 1 file cabinet drawer1.3 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)

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Confidential Destruction

• 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
• Shredding is for confidential material only NOT
  an all-purpose garbage pickup!
• http//www.uwm.edu/Libraries/arch/recordsmgt/confi
  den.htm

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Off-site temporary storage

• 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

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When in Doubt, Look it Up!

• The Personnel General Records Schedule itself
• http//www.uwsa.edu/gc-off/records/schedules/UWSys
  temUnclassifiedGRS9-30-08.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/

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Thank you

• Any questions?
• Contact Records Management
• Phone [phone]
• E-mail houstobn_at_uwm.edu
• Web http//records.uwm.edu
• This presentation is available online
  http//www.uwm.edu/Libraries/arch/recordsmgt/pers-
  grs011409.ppt