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Classified Personnel Records General Schedule - Statewide |
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Implementation Guide contents
Contents of statewide general schedule excerptsExcerpts from the statewide general schedule (opens new page)Complete schedule (opens new page)IMPLEMENTATION GUIDE FOR THE STATE OF WISCONSIN GENERAL RECORDS SCHEDULE FOR PERSONNEL AND RELATED RECORDSIn 1996, the Public Records and Forms Board approved a Statewide retention policy for classified personnel records. The retention policy addresses some 145 records series (groups of records that share a common function, record keeping need, file structure, and retention requirement). The policy was developed around personnel functions--the recruitment process, hiring, classification and evaluation etc. Because the classified personnel records schedule is substantial and many of the items do not have direct relevance to UW Madison departmental offices, the Archives and Records Management Service (ARMS) and the Classified Personnel Office (CPO) have prepared this Guide to the General Records Schedule for Personnel and Related Records. It is similarly organized to the records schedule in that it also follows a functional approach except that this Guide contains a discussion of the classified personnel file. There is also a campus-wide retention schedule for Faculty and Academic Staff Personnel Records. This document is available online at http://archives.library.wisc.edu/RM/rechome.htm or by contacting the ARMS office. For further general guidance on the management of personnel records, see the FAQ for personnel records also available at the above web site. Note: The FAQ is coming soon. SCHEDULE DOES NOT REQUIRE CREATION OF RECORDSIt is understood that not all departments have all the types of personnel records discussed in this Guide. This Guide and the State of Wisconsin's General Records Schedule for Personnel and Related Records it is based upon do not require additional records to be created. In fact, offices are advised not to create additional records beyond those that are required or necessary to document personnel transactions. RETAINING RECORDSCampus departments are required to follow this schedule for applicable records. Retention periods established and disposition directions are state policy requirements for Classified Personnel records. Records may be delayed from destruction only under the following conditions:
It is the responsibility of the office holding the record to determine if an audit, litigation, or an open records request is pending before disposing of that record. CONFIDENTIALITY OF CLASSIFIED PERSONNEL RECORDSSome personnel-related records are confidential, such as employee medical records, examination scores and rankings and other evaluation of applicants, dismissals, demotions, and other disciplinary actions, and certain pay survey data identified as confidential in s.230.13, Wis. Stats. In general, the records in this schedule that relate to program operations and administration and do not contain information on individuals are likely to be open. Those records that relate to individuals are more likely to contain confidential information. If in doubt as to whether or not a specific record is confidential, it is always a good idea to check with the UW-Madison Office of Administrative Legal Services. The term "destroy confidential" is used throughout the document. It is prudent to destroy all personnel related records that contain information on individuals in a confidential manner. ARMS Bulletin # 7 discusses options for records disposal. EMPLOYEE RESPONSIBILITIESWhile the State of Wisconsin, as an employer, will retain the identified personnel-related records to fulfill operational and legal requirements, employees are also encouraged to retain a file, preferably at home, that contains important personnel-related documents. Some items that employees may wish to retain include: the initial offer of employment, formal evaluations, important credentials, such as: licenses and continuing education credits, performance evaluations, reclassifications, promotions and reallocations, the most recent version of a position description, and other important information that document the individual's civil service career. Item PERS 124 in this document indicates that civil service personnel files will be kept for a period of 8 years after the person leaves State service. After this time, the files are destroyed. University departments should encourage employees to maintain a personal file with copies of important personnel related information such as those noted in the paragraph above. RETENTION AND DISPOSITION OF RECORDSCampus offices are urged to implement the recommendations in this Guide. It is NOT necessary to contact or formally notify the CPO or ARMS to carry out the recommendations. Offices are encouraged to contact the State Records Center for disposal of personnel record items. While many items are not confidential in nature, personnel records do represent an area of sensitivity and should not be left in hallway containers or recycle bins for public perusal while awaiting disposal. In those instances in which records destruction is noted as part of the retention instructions, departments are advised that it is prudent to destroy confidentially all personnel-related records that contain confidential or personally identifiable information. The University Archives and Records Management, ARMS, can advise your office on the best method for the destruction of personnel records. DELEGATED AUTHORITY FOR THE MANAGEMENT OF ORIGINAL PERSONNEL RECORDSAll appointing authorities on campus have delegated authority from the UW System President. Each employing unit on campus has at least one appointing authority, and each authority has responsibility to keep classified personnel records. However, the official P-file is kept in the Classified Personnel Office. If you are uncertain who in your unit is the appointing authority, please first consult your employing unit's personnel representative, and if necessary, the Office of Human Resources. FOR ADDITIONAL INFORMATION AND ASSISTANCEThe UW-Madison Classified Personnel Office and the University Archives and Records Management Service can provide information on the General Records Schedule for Personnel and Related Records. Inquiries should be directed to the Classified Personnel Director's office. TERMS AND PHRASESPERS followed by a number is a reference to the specific retention authorization number in the Statewide General Records Schedule for Personnel and Related Records. RETENTION is the period of time that the records must be retained to satisfy all state requirements. These are the types of retention:
DISPOSITION is what happens to the records after the retention period is satisfied. Most record series in the schedule have a disposition of destroy confidential. This means that the records should be destroyed with some attention to the records' actual or perceived confidentiality. Other records that are summaries and do not contain specific names can be destroyed without concern for the confidentiality of the materials. The other disposition is transfer to either the State Archives or a designated UW institution archive for identified university records. Record series with secondary historical value are preserved for researchers and to provide a history of state government operations. Permanent retention precludes a disposition, as there is no disposition if an agency is retaining records permanently. Therefore, not applicable designated by "N/A" is used in these situations. Note: Refer to individual RDAs to determine where the official record is held and which disposition applies to each copy. THE OFFICIAL PERSONNEL FILEFor the UW-Madison campus, the CPO maintains the official classified personnel file. It is this file that is transferred to the State Records Center to be retained for a period of 8 years from the date of termination of employment with the University. The purpose of the personnel file is to document personnel transactions for a particular individual employee. The official personnel file contains a variety of documents divided into three categories: Essential, Transitory, and Local. The information provided below is taken from the DER Manual, dated May 24, 1982. Essential Documents. The items noted below when generated must be maintained in the official classified personnel file.
Transitory Documents. The item below must be filed in the official classified personnel file whenever an employee transfers or terminates.
Local Documents. These documents are to be filed in the official classified personnel file for the period of actual employment. They may be removed from the file at the time an employee transfers to another State agency or terminates employment with the State, but only if the document is determined to be of no use to the losing agency.
Filing Recommendations: Supervisors may maintain in their own files information they believe is helpful or necessary to manage workload and employees. Supervisors should be aware that is they share this written information with any other person, the material may become subject to Open Records Law requests. While subunits within an employing unit may wish to retain files of duplicates of CPO personnel file material for ease of access, this is not encouraged. Do not keep such material longer than needed. If convenience copies are retained, appropriate access to these copies must be provided in response to audit or legal request and per Open Records Law. RETENTION:
DISPOSITION: Destroy confidential for all copies. CONTENTS FOR EXCERPTS FROM THE STATEWIDE SCHEDULEThe following links will open a new page containing location, retention, and disposition information for each RDA. For detailed descriptions of each RDA, please search the general schedules on the Wisconsin Department of Administration site. A. Recruitment and Selection Records
return to top of page l return to top of contents l open schedule excerpts B. Compensation and Labor Relations Related Records
return to top of page l return to top of contents l open schedule excerpts C. Operations and Agency Personnel Office General Records
return to top of page l return to top of contents l open schedule excerpts D. Collection Bargaining and Related Records
return to top of page l return to top of contents l open schedule excerpts E. Affirmative Action and Equal Employment Opportunity Related Records
return to top of page l return to top of contents l open schedule excerpts F. State Employee Suggestion Board Meeting Recordsreturn to top of page l return to top of contents l open schedule excerpts G. Training Related Records
return to top of page l return to top of contents l open schedule excerpts H. Employee Assistance Program Related Records
return to top of page l return to top of contents l open schedule excerpts I. General Personnel Administration
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