Excerpts From the Wisconsin State General Records Schedule for Personnel & Related Records
RDA #s: PERS001 - PERS145
For complete descriptions of the RDAs, please search the general schedules on the Wisconsin Department of Administration site.
A. Recruitment and Selection Records
(PERS001-PERS020)
B. Compensation and Labor Relations Related Records
(PERS021-PERS067)
C. Operations and Agency Personnel Office
General Records (PERS068-PERS077)
D. Collection Bargaining and Related Records
(PERS078-PERS091)
E. Affirmative Action and Equal Employment Opportunity
Related Records (PERS092-PERS104)
F. State Employee Suggestion Board Meeting Records
(PERS105-PERS107)
G. Training Related Records (PERS108-PERS115)
H. Employee Assistance Program Related Records
(PERS116-PERS123)
I. General Personnel Administration (PERS124-PERS145)
A. RECRUITMENT AND SELECTION RECORDS
PERS002.Request to Staff Positions
LOCATION: DER DMRS and/or agency personnel office
RETENTION: See PERS005
DISPOSITION: See PERS005
PERS003.Job Announcements and Related Records
LOCATION:
DER DMRS for camera-ready copy for paper and electronic version of COBs.
A. Agency personnel office for agency specific solicitations.
RETENTION:
DER-In exam file
A. In recruitment register file
DISPOSITION: See appropriate PERS005 or PERS006
PERS004.Employment Applications
LOCATION: DER DMRS and/or agency personnel office
RETENTION:
EVT+1 year
Event=end of the calendar year of the application deadline
DISPOSITION: Destroy confidential
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PERS005.Register Folder
LOCATION: All state personnel offices and/or DER DMRS
RETENTION:
DER DMRS and/or agency personnel office (official agency file): EVT+4
years)
Event=close of recruitment for the specific register
A. Other agency and supervisor copies: Destroy when not needed
DISPOSITION: Destroy confidential
PERS006.Examination Folders
LOCATION: All state personnel offices and/or DER DMRS
RETENTION:
DER DMRS and/or agency personnel office (official agency file): EVT+4
years
Event=close of last recruitment using related exams.
A. Other agency and supervisor copies: Destroy when not needed.
DISPOSITION: Destroy confidential
PERS007.Certification Requests, Lists of Candidates,
and Group Referrals
LOCATION:
DER DMRS and/or agency personnel office
A. Agency personnel office for agency specific solicitations.
RETENTION:
EVT+4 years
Event=close of last recruitment using related exams
A. Other agency and supervisor copies: Destroy when not needed.
DISPOSITION: Destroy confidential
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PERS008.Interview Documentation
LOCATION: Agency personnel office and/or supervisor
RETENTION:
EVT+4 years
Event=date of hire
DISPOSITION: Destroy confidential
PERS009.Documentation to DMRS after a Hire
LOCATION: DER DMRS and/or agency personnel office
RETENTION:
EVT+4 years
Event = date of hire
DISPOSITION: Destroy confidential
PERS010.Annual Summary Report to DMRS on Hires
LOCATION:
DER DMRS
A. Agency personnel office
RETENTION:
CR+10 years
A. CR+5 years
DISPOSITION: Destroy confidential
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PERS011.LTE Request/Reports
LOCATION: DER DMRS and/or agency personnel office
RETENTION:
EVT+1 year
Event=last day on payroll
DISPOSITION: Destroy confidential
PERS012.Requests Responses for Permissive Reinstatement,
Transfer, or Voluntary Demotion
LOCATION: Agency personnel office
RETENTION:
EVT+1 year
Event=date of response
DISPOSITION: Destroy confidential
PERS013.Unsolicited Resumes and General Expressions
of Interest in Employment
LOCATION: Agency personnel offices and/or managers
RETENTION: CR+6 months
DISPOSITION: Destroy confidential
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PERS015.Offers of Employment
LOCATION: Agency personnel office and/or supervisors
RETENTION: See PERS124 for official P-file and PERS125 for supervisors'
P-file
DISPOSITION: See PERS124 for official P-file and PERS125 for supervisors'
P-file
PERS016.Non-Select Letters
LOCATION: Supervisors' recruitment file and/or agency personnel
office
RETENTION:
EVT+1 year
Event=end of recruitment
DISPOSITION: Destroy confidential
PERS017.Federal I-9 Forms
LOCATION: Agency personnel offices
RETENTION:
EVT+3 years, or 1 year after termination, whichever is longer, per USC
13248
Event=date of hire
DISPOSITION: Destroy confidential
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PERS018.Test Administration Related Records
LOCATION: DER and/or agency personnel offices
RETENTION:
EVT+1 year
Event=date of test administration
DISPOSITION: Destroy confidential
PERS019.Delegation Agreements-Staffing
LOCATION:
DER DMRS
A. Agency personnel office
RETENTION:
EVT + 3 years
Event=supersede of old agreements with new agreements
DISPOSITION: Destroy
PERS020.Delegation Performance Audits-Staffing
LOCATION:
DER DMRS
A. Agency personnel office
RETENTION:
EVT+3 years
A. EVT
Event=the date of the final audit report
DISPOSITION: Destroy
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B. COMPENSATION AND LABOR RELATIONS RELATED RECORDS
PERS021.Request for Reclassification of a Civil Service
Position-Non Delegated
LOCATION:
DER Division of Compensation and Labor Relations (DCLR)
A. Agency personnel office
RETENTION:
EVT+3 years
A. EVT+1 year
Event=date of final decision, not the effective date of the transaction
DISPOSITION: Destroy confidential
PERS022.Request for Reclassification of a Civil Service
Position--Non Delegated Unofficial Copy
LOCATION: Supervisors, bureau directors, and division administrators
RETENTION:
EVT
Event=date of final decision, not effective date of the transaction
DISPOSITION: Destroy confidential
PERS023.Request for Reclassification of a Civil Service
Position-Delegated Agencies
LOCATION:
DER DCLR (Receives a copy)
A. Agency personnel office
RETENTION:
EVT+1 year
A. EVT+3 years
Event=the date of final decision, not the effective date of the transaction
DISPOSITION: Destroy confidential
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PERS024.Request for Reclassification of a Civil Service
Position-Delegated Unofficial Copies
LOCATION: Supervisors, bureau directors, and division administrators
RETENTION:
EVT
Event=date of final decision, not effective date of the transaction
DISPOSITION: Destroy
PERS025.Reallocations of Civil Service Positions-Delegation
Classifications
LOCATION:
DER DCLR for delegated agencies. DER receives a copy.
A. Agency personnel office
RETENTION:
EVT+2 years
A. EVT+1 year
Event=the effective date of the transaction
DISPOSITION: Destroy confidential
PERS026.Reallocations of Civil Service Positions-Non
Delegated Classifications
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+3 years
A. EVT+1 year
Event=the effective date of the transaction
DISPOSITION: Destroy confidential
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PERS027.Supervisor, Bureau Director, and Division Administrator
Approval Files for All Reallocations
LOCATION: All agencies impacted by reallocation of positions
RETENTION:
EVT
Event=the effective date of the transaction
DISPOSITION: Destroy confidential
PERS028.Agency Reorganization Requests and DER Approval
of Classification Levels after DOA Approval of the Reorganization
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+1 year
Event=date reorganization is officially implemented
A. EVT+1 year
Event is same as DER or until all appeals of classification appeals
have been resolved, whichever is longer
DISPOSITION: Destroy confidential
PERS029.Position Description/Supervisor Analysis Form
(Form DER-DCC-10/DER-DCC-84 or equivalents) DER Approval
LOCATION:
DER DCLR
A. Agency personnel offices
RETENTION:
Permanent for Benchmark, Objective Level and PDs with an official class
transaction
A. Other PDs Received by DER DCLR: EVT
Event=destroy or return to agency
B. Part of recruitment files. See PERS005-PERS007
Event=date of approved position by DER DCLR
DISPOSITION: Destroy confidential
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PERS030.Position Descriptions/Supervisor Analysis Form
(Form DER-DCC-10/DER-DCC-84 or equivalents)-Supervisor's File
LOCATION: Supervisors-at all levels
RETENTION:
EVT
Event=superseded
DISPOSITION: Destroy confidential
PERS031.Position Classification Specifications
LOCATION:
DER DCLR maintains the master official classification specifications and
any documentation associated with adding, deleting, or changing these
specifications. Agencies have reference copies.
NOTE: Personnel offices usually keep a set of classification specifications
for those classes commonly used in their agencies.
RETENTION:
DER DCLR: Permanent
A. Agency personnel office: EVT
Event=supersede obsolete position classification specifications maintaining
a master set of current class specifications relevant for positions in
the agency
B. Supervisor copies: Non-records. Destroy when no longer needed
DISPOSITION:
Not applicable for DER DCC
A. Destroy after event
B. Destroy when no longer needed
PERS032.Classification Surveys-Reports and Results
LOCATION:
DER DCLR and/or agency-delegated personnel office
A. Non-delegated agency personnel office
RETENTION:
Permanent (DER retains master files including recommendations and draft
specifications. For delegated agency survey the agency retains master
files.)
A. Non-delegated studies-agency personnel office copy: EVT+2 years
Event=implementation date of survey
DISPOSITION:
Not applicable for DER DCLR and delegated personnel offices
A. Destroy
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PERS033.Classification Surveys-Working Papers
LOCATION: DER DCLR and/or delegated-agency personnel offices
RETENTION:
EVT+2 years
Event=implementation date of classification survey
DISPOSITION: Destroy confidential
PERS034.Appeals-Reclassification, Reallocation, Classification
Survey and Status of Positions as A Protective Occupation
LOCATION:
DER Office of Legal Counsel
A. Agency legal counsel and/or personnel office
RETENTION:
EVT+7 years
A. EVT+4 years
Event=close of appeal by settlement or end of court case
DISPOSITION: Destroy confidential
PERS035.Approval of Employee as a Protective Occupation
Participant (POP) under the Wisconsin Retirement System
LOCATION:
Agency personnel office (requests and internal reviews prior to submittal
to DER DCLR)
A. DER DCLR Class and Comp analysts
B. DER DCLR policy coordinator
RETENTION:
EVT+7 years (due to ability to request retroactive application of protective
occupational status for up to 7 years)
A. EVT+1 year
Event=date when decision is final
B. Permanent (Provides historical, comparative files to judge against
new requests)
DISPOSITION:
Destroy confidential
A. Destroy confidential
B. Not applicable for DER DCLR policy coordinator
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PERS036.Fair Labor Standards Act (FLSA) Formal and
Informal Complaint Files-Summary Documents
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
Permanent (Needed to provide ongoing advice to agencies on investigations
based on experience with USDOL.)
A. EVT+3 years
Event=close of the case involving the complaint. Cases are not formally
closed by USDOL.
DISPOSITION:
Not applicable for DER DCLR
A. Destroy confidential
PERS037.Fair Labor Standards Act (FLSA) Formal and
Informal Complaint Files-Working Documents
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT+3 years
Event=the close of the case involving the complaint
DISPOSITION: Destroy confidential
PERS038.FLSA Status Requests
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT+3 years
Event=date of determination
DISPOSITION: Destroy confidential
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PERS039.Review of Positions for Placement in Executive
Salary Groups (ESG)
LOCATION: DER DCLR and/or agency personnel office
RETENTION: Permanent
DISPOSITION: Not applicable
PERS040.Delegation Agreements-Class and Comp
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+2 years
A. EVT
Event=date old agreement is superseded with new agreement
DISPOSITION: Destroy
PERS041.Delegation Performance Audits-Class and Comp
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+2 years
A. EVT
Event=the date of the final audit report
DISPOSITION: Destroy
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PERS042.Agency Requests to Raise the Minimum Rate for
a Classification
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+3 years
A. EVT
Event=last effective date of contract or comp plan, whichever applies
DISPOSITION: Destroy
PERS043.Agency Requests to Hire Above the Minimum (HAM)
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+3 years
A. EVT
Event=last effective date of contract or comp plan, whichever applies
DISPOSITION: Destroy
PERS044.Accretions and Conversions
LOCATION: DER DCLR and/or UW Institution Personnel Office
RETENTION: CR+3 years
DISPOSITION: Destroy confidential
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PERS045.Memorandum of Understanding between UW and
Division of Class and Comp
LOCATION:
DER DCLR and/or UW System Administration
A. UW Institution Personnel Office
RETENTION:
Permanent
A. EVT
Event=supersede old agreements with new ones
DISPOSITION:
Not applicable for DER DCLR and UW System Administration
A. Destroy
PERS048.Biennial Compensation Plan for Non-Represented
Employees
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
Permanent
A. FIS+6 years (current fiscal year)
DISPOSITION:
Not applicable for DER DCLR
A. Destroy
PERS049.Moving and Lodging Expense Reimbursement
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT+3 years
Event=date of approval or denial
DISPOSITION: Destroy confidential
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PERS050.Family and Medical Leave Act (FMLA) State Guidelines
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
Permanent (Used as a resource document for administering FMLA.)
A. EVT
Event=supersede to retain complete set of current guidelines
DISPOSITION:
Not applicable for DER
A. Destroy
PERS051.Employee FMLA Requests and Employer Responses
LOCATION: DER DCLR and/or agency personnel office
RETENTION: CR+3 years
DISPOSITION: Destroy confidential
PERS052.Alphabetical Listing of Classifications-Publication
LOCATION:
DER DCLR
A. Agency personnel offices and manager
RETENTION:
Permanent
A. EVT
Event=superseded by new addition
DISPOSITION:
Not applicable for DER
A. Destroy
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PERS054.Exceptional Performance Award (EPA) and Interim
Award Reports
LOCATION: DER DCLR and/or agency personnel office
RETENTION: CR+3 years
DISPOSITION: Destroy confidential
PERS055.Senior Managers Program
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
Permanent
A. CR+5 years
DISPOSITION:
Not applicable for DER
A. Destroy confidential
PERS056.Labor Market Survey-Results and Reports
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
Permanent
A. CR+5 years
DISPOSITION:
Not applicable for DER
A. Destroy confidential
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PERS057.Labor Market Surveys-Working Papers
LOCATION: DER DCLR and/or agency personnel office
RETENTION: CR+4 years
DISPOSITION: Destroy confidential
PERS058.Labor Market Surveys-Survey Responses
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT+1 year
Event=conclusion of survey
DISPOSITION: Destroy confidential
PERS059.Proprietary Wage and Benefit Surveys
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT+6 years
Event=conclusion of survey
DISPOSITION: Destroy confidential
PERS061.Compensation Tables and Special Reports
LOCATION: DER DCLR
RETENTION: CR+15 years
DISPOSITION: Destroy confidential
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C. OPERATIONS AND AGENCY PERSONNEL OFFICE GENERAL RECORDS
PERS068.DER Formal Documentation with the Joint Committee
on Employment Relations (JCOER)
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
Permanent
A. FIS+6 years (current fiscal year)
DISPOSITION:
Not applicable for DER
A. Destroy
PERS070.Policy Related Correspondence
LOCATION: Appropriate DER division and/or agency personnel office
RETENTION: CR+7 years
DISPOSITION: Destroy
PERS071.Routine Correspondence
LOCATION: Appropriate DER division and/or agency personnel office
RETENTION: CR+3 years
DISPOSITION: Destroy
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PERS072.DER Bulletins
LOCATION:
Appropriate DER division
A. Agency personnel office
B. Managers and supervisors
RETENTION:
DER retains master set permanently. Changes to existing bulletins must
be documented in appropriate areas.
A. Keep one complete set of bulletins (EVT)
Event=superseded
B. Retain current bulletins as reference material. Non-records. Destroy
when no longer needed.
DISPOSITION:
Not applicable for DER
A and B. Destroy
PERS073.Employee Interchange Agreements
LOCATION:
DER DCLR
A. Agency personnel office
B. Managers and supervisors
RETENTION:
CR+2 years
A. EVT+2 years
B. EVT
Event=the date of the end of the agreement
DISPOSITION: Destroy confidential
PERS074.Career Executive Program-Opt in or Out
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT+8 years
A. Opt in or out letters should be retained in the employee's official
P-file.
Event=date of termination or separation from state employment
DISPOSITION: Destroy confidential
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PERS075.Career Executive Program-Reports
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT
Event=supersede old report with the newest report
DISPOSITION: Destroy
PERS076.Personnel Employee History Roster
LOCATION:
DER DCLR
A. Agency personnel office
RETENTION:
EVT
A. EVT
Event=superseded
DISPOSITION:
DER records-Transfer to SHSW
A. Destroy confidential
PERS077.Agency Payroll Register
LOCATION:
DOA Central Payroll
A. DER DCLR and agency personnel and/or payroll offices
B. Working copies
RETENTION:
90209 Master Fiche CR+50 years
A. 90209A. Agency Payroll Fiche CR+10 years
B. EVT
Event=destroy when not needed
DISPOSITION: Destroy confidential
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D. COLLECTIVE BARGAINING AND RELATED RECORDS
PERS081.Agency Collective Bargaining and Labor Contract
Administration Case File
LOCATION: Agency personnel office at headquarters or district/institution,
or in both
RETENTION:
EVT+5 years
Event=date signed contract enacted into law or date of contract implementation,
whichever is later
DISPOSITION: Transfer to SHSW
PERS082.Local Union Agreements
LOCATION:
Not kept by DER DCLR
Agency personnel offices (official copy)
A. Field personnel offices (working copy)
RETENTION:
Permanent
A. EVT+2 years
Event=date signed contract enacted into law or date of contract implementation,
whichever is later
DISPOSITION:
Not applicable
A. Destroy confidential
PERS086.Union Member of Group Grievances
LOCATION:
First Level-First-line supervisor
Second Level-Senior Manager
Third Level-agency personnel office
RETENTION:
EVT+5 years
Event=the date grievance is resolved. Significant grievances that set
a precedent should be placed in the agency Collective Bargaining and Labor
Contract Administration Case file. (See PERS081.)
DISPOSITION: Destroy confidential
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PERS087.Arbitration Appeals-Non-precedential
LOCATION: DER DCLR and/or agency personnel office
RETENTION:
EVT+5 years
Event=the date the grievance is resolved
DISPOSITION: Destroy confidential
PERS088.Arbitration Appeals-Precedential
LOCATION: DER DCLR and/or agency personnel office (Keep copy of
what is sent to DER. Place in Agency Collective Bargaining and Labor Administration
case file.)
RETENTION: Permanent
DISPOSITION: Not applicable
PERS089.Personnel Related Litigation Case Files
LOCATION:
DER Office of Legal Counsel
A. Agency personnel offices
B. Agency working copies
C. Department of Justice
RETENTION:
EVT+7 years
A. EVT+5 years
B. EVT
Event=date is closed
C. See applicable DOJ RDA's
DISPOSITION:
Destroy confidential
A. Destroy confidential
B. Destroy confidential
C. See applicable DOJ RDA's
PERS091.Union Management Meetings
LOCATION: DER (for statewide meetings) and/or agency personnel
offices (for all others)
RETENTION: CR+5 years
DISPOSITION: Destroy confidential
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E. AFFIRMATIVE ACTION AND EQUAL EMPLOYMENT OPPORTUNITY
RELATED RECORDS
PERS095.State Agency and UW System Equal Opportunity/Affirmative
Action Plans EEO/AA
LOCATION:
DER DAA
A. Agency personnel office and/or separate EEO/AA Office
RETENTION: CR+3 years
DISPOSITION:
Transfer to SHSW Government Publication Library
NOTE: Copies for UW Institutions will be in each UW institution
archives
A. Destroy
PERS096.Compliance Reviews of State Agency and UW Institution
AA Plans
LOCATION: DER DAA and/or agency personnel office, and/or separate
EEO/AA Office
RETENTION: CR+3 years
DISPOSITION: Destroy confidential
PERS097.DER Policy and Guidance File for Doing AA Plans
LOCATION:
DER DAA
A. Agency personnel office and/or separate EEO/AA Office
RETENTION: CR+3 years for both
DISPOSITION:
Transfer to SHSW (DER records)
A. Destroy (agency records)
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PERS099.Underutilization Reports
LOCATION:
DER DAA
A. Agency personnel office and/or separate EEO/AA office (reference copies)
RETENTION: CR+6 years for both
DISPOSITION:
Transfer DER records to SHSW (Government Publication Library)
A. Destroy agency records
PERS100.Veterans Employment Report
LOCATION:
DER DAA
A. Agency personnel office and/or separate EEO/AA Office (reference copies)
RETENTION: CR+3 years for both
DISPOSITION:
Transfer DER records to SHSW (Government Publications Library)
A. Destroy agency records confidentially
PERS102.Agency AFDC Hiring Plan
LOCATION: DER DAA and/or agency personnel office, and/or separate
EEO/AA Office
RETENTION: CR+5 years
DISPOSITION: Destroy
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PERS103.AFDC Hiring Report
LOCATION: DER DAA and/or agency personnel office, and/or separate
EEO/AA office
RETENTION: CR+2 years
DISPOSITION: Destroy confidential
PERS104.Summer Affirmative Action Intern Program Annual
Report
LOCATION:
DER DAA
A. Agency personnel office and/or separate EEO/AA Office (reference copies)
RETENTION: CR+3 years for both
DISPOSITION:
Transfer DER records to SHSW (Government Publication Library)
A. Destroy agency records
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F. STATE EMPLOYEE SUGGESTION BOARD MEETING RECORDS
PERS106.Implemented Suggestions and Cash Awards
LOCATION:
DER program coordinator
A. Agency personnel office and/or agency program coordinator
RETENTION:
DER CR+4 years
A. Place letter in suggestor's P-file
DISPOSITION: Destroy confidential for both
PERS107.Evaluation of Suggestions and Responses
LOCATION: Agency program coordinator and/or agency personnel office
RETENTION: CR+2 years
DISPOSITION: Destroy confidential
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G. TRAINING RELATED RECORDS
PERS108.Catalog of State Offered Training Courses
LOCATION: DER OEDT for its offerings and/or agency personnel office
(if applicable)
RETENTION: CR+2 years
DISPOSITION: Destroy
PERS109.Training Related Documentation
LOCATION: DER OEDT for its offerings and/or agency personnel offices
(if applicable)
RETENTION: CR+1 year
DISPOSITION: Destroy confidential
PERS110.Course Evaluations
LOCATION: DER OEDT for its offerings and/or agency personnel offices
(if applicable)
RETENTION: CR+6 months
DISPOSITION: Destroy confidential
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PERS111.Training Vendors Hired
LOCATION: DER OEDT for its offerings and/or agency personnel offices
(if applicable)
RETENTION:
EVT+1 year
Event=date the vendor last provided a class
DISPOSITION: Destroy
PERS112.Training Vendors-Not Hired
LOCATION: DER OEDT for its offerings and/or agency personnel offices
(if applicable)
RETENTION: CR+1 year
DISPOSITION: Destroy
PERS113.Course Materials for Basic Supervisory Training
LOCATION: DER OEDT for its offerings and/or agency personnel offices
(if delegated)
RETENTION:
EVT
Event=superseded. Maintain master set of materials.
DISPOSITION: Destroy
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PERS114.Delegation Agreements for Training
Related Activities
LOCATION: DER OEDT and/or agency personnel offices requesting
delegation
RETENTION:
EVT+1 year
Event=the termination of the delegation agreement
DISPOSITION: Destroy
PERS115.Tracking Systems for Managing
Training Activities
LOCATION: DER OEDT and/or agency personnel offices
RETENTION:
Course Offerings: EVT+1 year
Event=date course no longer offered
A. Courses by employee and organization: EVT+1 year
Event=date employee leaves organization
DISPOSITION: Destroy confidential for both
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H. EMPLOYEE ASSISTANCE PROGRAM RELATED RECORDS
The DER EAP State Coordinator position was eliminated and although the
program is in operation currently DER oversight is minimal. If the EAP
position is reinstituted in DER, some of the retention periods in this
section of the schedule may need to be revised.
The State of Wisconsin Employee Assistance Program (EAP) is a confidential
work-site program designed to assist in the prevention, early identification
and resolution of behavioral, medical and productivity problems associated
with employees affected by personal concerns. DER's responsibility for
coordinating the program was established by Executive Order 94, issued
by Governor Thompson on June 12, 1990.
PERS116.Employee Assistance Coordinator(s) Case Files
LOCATION: Agency EAP director/service provider office
RETENTION:
EVT+5 years
Event=termination of EAP coordinator duties
DISPOSITION: Destroy confidential
PERS117.Denied Application Files for EAP Coordinator
Positions
LOCATION: Agency EAP director/service provider office
RETENTION:
EVT+5 years
Event=date of denial
DISPOSITION: Destroy confidential
PERS118.EAP Program Policy and Standards
LOCATION: Agency EAP director/service provider office
RETENTION:
EVT+5 years
Event=superseded by revised and approved updated policies and standards
DISPOSITION: Transfer to SHSW
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PERS119.EAP Statistical Reports and Program Accomplishments
LOCATION: Agency EAP director/service provider office
RETENTION: CR+5 years
DISPOSITION: Destroy confidential
PERS120.EAP Contact Report Form
LOCATION: Agency EAP director/service provider office
RETENTION:
EVT
Event=completion of statewide year end report for each agency
DISPOSITION: Destroy confidential
PERS122.EAP Case Files at UW Madison, Extension, and
UW Center System
LOCATION: Agency EAP director/service provider office
RETENTION:
EVT+7 years
Event=date of last contact
DISPOSITION: Destroy confidential
PERS123.EAP Satisfaction Surveys
LOCATION: Agency EAP director/service provider office
RETENTION:
EVT
Event=the survey analysis has been completed
DISPOSITION: Destroy confidential
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I. GENERAL PERSONNEL ADMINISTRATION
PERS124.Official Personnel File
LOCATION: Agency personnel office at headquarters and/or field
locations
RETENTION:
EVT + 8 years
Event=termination date of state service
DISPOSITION: Destroy confidential
PERS125.Supervisors Working Copy--Personnel File
LOCATION: Supervisor
RETENTION:
EVT
Event=the date of separation from supervision
DISPOSITION: Destroy confidential
PERS126.Employee Medical Case Files
LOCATION: Agency personnel office and/or Occupational Health Office
RETENTION:
EVT+8 years
Event=date of separation from employment in job that requires medical
exams or maintenance of medical records
DISPOSITION: Destroy confidential
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PERS127.Medical Records involving Employee Exposure
to Hazardous Substances
LOCATION: Agency personnel office and/or Occupational Health Office
RETENTION:
EVT+30 years
Event=termination of employment
A. CR+1 year
B. CR+30 years
DISPOSITION: Destroy confidential for all categories
PERS128.Employee Handbook, including Agency Work Rules
LOCATION: Agency personnel offices are usually responsible for
maintaining the official materials for the handbook
RETENTION:
EVT
Event=reissuance
DISPOSITION: Transfer one copy as being reissued to SHSW Archives
(Government Publications Library)
PERS129.Drug and Alcohol Test Records
LOCATION: Agency coordinators from Testing Facility
RETENTION:
CR+1
A. CR+2
B. CR+5
DISPOSITION: Destroy confidential in all cases
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PERS130.Apprenticeship Case Files
LOCATION: Official and/or supervisor's P-file
RETENTION:
EVT+8 years
Event=separation from state service
DISPOSITION: See PERS124 and PERS125
PERS131.Seniority Lists
LOCATION: Agency personnel office and/or supervisors
RETENTION:
EVT
Event=superseded
DISPOSITION: Destroy
PERS132.Letters of Recommendation or
Endorsement
LOCATION: Person providing recommendation or endorsement
RETENTION: CR+6 months
DISPOSITION: Destroy confidential
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PERS133.Unit, Section, Bureau, Division, or Department
Lists of Employees and Emergency Contact Information
LOCATION: Designated coordinator has master. All others have copies.
RETENTION:
EVT
Event=superseded
DISPOSITION: Destroy confidential
PERS134.Agreements to Provide a Work Site for Employment
LOCATION:
Agency personnel office and/or the agency manager responsible for the
program
A. Supervisor of program participants
RETENTION:
EVT+1 year
Event=termination of program
A. EVT
Event=end of participation in program
DISPOSITION: Destroy
PERS135.Assignment and Release of State Owned Property
LOCATION:
Agency personnel office (Place in official P-file when received.)
A. Supervisor
RETENTION:
EVT+8 years
A. EVT
DISPOSITION:
See PERS124
A. See PERS125
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PERS136.Supervisor Nomination for EPA
and Equity Pay Awards
LOCATION:
Agency Personnel and/or Payroll Office (Place in official P-file.)
A. Supervisor
RETENTION:
EVT+8 years
A. EVT
DISPOSITION:
See PERS124
A. See PERS125
PERS137.Non Represented Grievances and Appeals (See
PERS086 for Union Member Grievances.)
LOCATION:
First Step-First-line supervisor
Second Step-Section chief or bureau director
Third Step-Division administrator, after consolation with agency personnel
office
Fourth Step-Personnel Commission, if the grievant alleges a violation
of statute or administrative code
RETENTION:
EVT+5 years
Event=the date grievance is resolved. Significant grievances that set
a precedent should be placed in an agency grievance case file.
DISPOSITION: Destroy confidential
PERS138.Agency Grievance Case File
LOCATION: Agency personnel office
RETENTION: Permanent
DISPOSITION: Not applicable
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PERS139.Employee Discipline Related Records
(Represented and Non represented)
LOCATION: Supervisor and/or agency personnel office
RETENTION:
Investigatory meeting minutes and notes and verbal reprimands: CR+1 year
A. Written reprimand, Suspension With Or Without Pay, and Termination:
CR+5 years
DISPOSITION: Destroy confidential
PERS140.Employee Layoff Records
LOCATION:
Agency personnel office
A. Supervisor copy
RETENTION:
Layoff related materials from an organizational perspective should be
filed in "Policy-Related Correspondence" case file. See PERS070.
Layoff related materials from the employee perspective should be filed
in the official P-file.
1. If the individual is restored/recalled/reinstated: EVT+discretion
of appointing authority to remove upon permanent status in class being
achieved.
Event=date of restoration/recall/reinstatement
2. If the individual is not restored/recalled/reinstated see PERS124.
A. File in supervisor's working P-file. See PERS125.
DISPOSITION: Destroy confidential
PERS141.Requests and Responses for Alternative Work
Schedules
LOCATION:
Agency Personnel and/or Payroll Office
A. Supervisor
RETENTION:
Agency personnel office: Place in official P-file.
A. See retention for supervisor's P-file
DISPOSITION:
See PERS124
A. See PERS125
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PERS142.Reasonable Accommodation Requests and Evaluations
LOCATION:
Agency personnel office
A. Supervisor
RETENTION:
EVT+8 years. See PERS124.
A. EVT. See PERS125.
DISPOSITION: Destroy confidential
PERS143.Employee Performance Plans and Periodic Evaluations
LOCATION:
Agency personnel office
A. Supervisor
RETENTION:
EVT+8 years. See PERS124.
A. EVT. See PERS125.
DISPOSITION: Destroy confidential
PERS144.Exit Interview Records
LOCATION: Agency personnel office
RETENTION:
EVT+3 years
Event=date of final interview
DISPOSITION: Destroy confidential
PERS145.Discrimination Case Files
LOCATION: Agency personnel office
RETENTION:
EVT+5 years
Event=date of case closure
DISPOSITION: Destroy confidential
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The full general records schedule can be found on the Department of Administration
web site. (http://www.doa.state.wi.us/docs_view2.asp?docid=190)
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