425 Steenbock Library
550 Babcock Drive
Madison, WI 53706-1201
Phone: (608) 262-5629
FAX: (608) 262-8899
Email: Records Management
© 1996-2007 by the Regents of the
University of Wisconsin.
Last updated:
April 2007
Originally published:
prior to 2001
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How this policy and records schedule came to be.
This section describes the scope of the Faculty
and Academic Staff Records Retention General Schedule and provides
definitions and instructions for its implementation and administration.
This links you directly with the General Schedule
items and includes a hypertext table of contents, arranged by
functions.
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Note: In 1997
the Wisconsin Department of Employment Relations created a Records
Schedule for Classified Personnel throughout the State service,
including the University. The schedule you are reading governs
only UW-Madison Faculty and Academic Staff. Contact the
UW-Madison Classified Personnel Office for information on classified
personnel files.
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Background
The need for a records retention policy in the area of
personnel has been recognized for some time. In the early 1980's, the
UW-Madison campus participated in a grant project funded by the National
Historical Publications and Records Commission that revealed significant
records issues in this area. Increasing concern on the part of campus
offices about personnel records, the desire to create consistent retention
practices across the campus and the need to satisfy statutory records
scheduling requirements led the University Archives to urge the formation
of the Personnel and Payroll Records Task Group.
This records retention policy is the result of a two-year
effort by the Personnel and Payroll Records Task Group that was completed
in 1992. The group is representative of the campus administrative units
with major responsibilities in these areas.
Members of the task group include:
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Carla Berg
Assistant Director
UWHC-Personnel
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Susan Finman
Secretary of the Faculty
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Amy Pritchard
Adm. Program Specialist
Academic Personnel
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David Brown
Assistant Director
Division of Information Technology
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Lori Hayward
Senior Admin. Program Specialist
Secretary of the Faculty
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Carla Raatz
Director
Human Resources
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J. Frank Cook
Director
University Archives
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Nancy Kunde
Records Officer
University Archives
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Kris Rasmussen
University Legal Counsel
Administrative Legal Services
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Judith S. Craig
Associate Dean
College of Letters & Science
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Jerry Lange
Director
Internal Audit
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In 2002, the retention schedule sunset as per state statute. In 2003,
a task group was formed to update and revise the schedule.
Members of the 2003 revision task group include:
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Emuye Asfawl
Administrative Officer
Office of Human Resources
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Jerry Lange
Director
Internal Audit
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David Null
University Archivist
University Archives
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Nancy Kunde
Records Officer
University Archives
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Steve Lunde
Director
Academic Personnel
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Lisa Rutherford
University Legal Counsel
Legal & Executive Affairs
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Narrative
Table of Contents
This section describes the scope of the Faculty and Academic Staff
Records Retention General Schedule and provides definitions and instructions
for its implementation and administration.
Introduction
Records and information are vital to the effective operation of
any organization. They are a vehicle for communicating ideas; they
provide evidence and accountability; and they document historical
development. In the area of personnel and payroll, records describe
the University work force, document individual employment careers
with the University and insure that employees receive their paychecks
and benefits.
This campus-wide records schedule is designed to provide guidance
to campus offices on the creation, maintenance and disposition of
personnel and payroll records. With proper management of these records,
payroll and personnel functions can be performed effectively and
efficiently, and the University's legal and audit standing is maintained.
This schedule represents the official UW-Madison policy with regard
to retention and disposition of personnel information and has the
approval of the State's Public Records Board (PRB). The PRB is the
statutory body with the responsibility to safeguard the financial,
legal, administrative, and historical interests of the State in
the disposition of records through the review of records schedules
prepared by State agencies. For further information regarding records
retention scheduling, see the Records Management Manual.
Purpose
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To establish uniform retention and disposition of personnel
information
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To insure that records are retained sufficient periods of
time to meet administrative, audit, legal and historical needs
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To promote cost effective and efficient management of records
and information
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To provide campus offices with legal authorization to dispose
of records on a routine basis.
Scope
This schedule pertains to the records arising from currently understood
UW-Madison personnel policies and procedures and which are required
and/or produced by the personnel function including: recruitment,
employee evaluation and promotion, and grievance and dismissal.
It provides information about types of documents as well as specifically
named forms.
While an attempt has been made to describe the records in commonly
used terms, there may be instances in which the schedule does not
reflect the exact title or name used by a given department. If offices
cannot determine by the descriptive information provided on each
record item whether a given departmental record item is covered
or not, they should contact the University Archives or the Office
of Human Resources. An attempt has been made to include all personnel
records commonly required or used within the University. However,
as processes change, forms may be modified and new ones created,
and documentation requirements may also change. This schedule will
be reviewed periodically to insure that it is kept as up-to-date
as possible.
This schedule applies to all organizational units of the University
of Wisconsin-Madison and any attached entities that are required
to follow UW-Madison personnel policies and procedures, and/or to
supply data for the Integrated Appointment Data System, Position
Vacancy listen System or any of the related processing functions.
This schedule applies to all academic, limited employee, and faculty.
For a listing of specific position titles under each of these categories,
consult the UW-Madison Unclassified Title Guideline in the
Personnel Handbook.
This document does not contain information regarding actual personnel
transactions. References to periods of time, documentation and information
requirements relate to records retention issues only.
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Definitions
APPLICANT
An individual who has submitted formal application
for a vacant position.
CANDIDATE
An individual who has expressed interest in a specific
vacancy, either by applying or by accepting a nomination.
CURRICULUM VITAE
A detailed listing of an individual's academic
career including courses taught, articles or books written, professional
activities, grants administered, etc.
DEPARTMENT
The employing unit.
DISPOSITION
The final action taken by the administrative office
or pertinent committee (office of origin) with regard to a record
after it has completed its approved retention period. Generally, disposition
is one of two actions: transfer to the University Archives for permanent
preservation, or destruction.
DUPLICATE RECORDS
Extra copies of an original or set of originals
generated for administrative convenience within the same employing
unit.
EMPLOYMENT INQUIRIES
Letters received by any office within
the UW-Madison from individuals expressing interest in no particular
position opening. Employment inquiries are not considered to be applications
for specific vacancies.
NOMINEE
An individual who is nominated by someone other than
him-or herself for a specific vacancy. (A person who accepts a nomination
becomes a candidate. A person who refuses a nomination shall be called
an "uninterested nominee" and shall be recorded as such.)
RECORDS
The statutory definition of public records applies
to all State agencies. The definition is all-inclusive, excepting
only legislators' records.
"'Public records' means all books, papers, maps, photographs, films,
recordings, or other documentary materials or any copy thereof, regardless
of physical form or characteristics, made or received by any agency
of the State or its officers or employees in connection with the transaction
of public business, except the records and correspondence of any member
of the State Legislature." Sec. 16.61(2)(b), Wis. Stats.
RESUMES
Brief accounts of individuals' careers and qualifications
for employment.
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Using the Schedule
Minimum Retention Established. This schedule establishes
minimum retention periods for each record series or data set. It is
recommended that following the completion of the specified retention
period the item be destroyed unless transfer to the University Archives
is specifically stated. However, if an office has continuing administrative
need for the item, it may be retained longer within that office.
The University Archives and the State Records Center will not provide
off site storage for longer than the specified minimum retention period.
Unless specified differently within this document, the disposition is
assumed to be "destroy."
Creating and Maintaining Adequate Documentation. Those responsible
for maintaining personnel records should use this schedule to create
and organize filing systems, to plan for space and equipment needs and
to ensure that only the necessary documents are created and/or retained.
Conditions Affecting Final Disposition
All recommended dispositions stated within this schedule
may be carried out by the office without further consultation or approval
from the University of Wisconsin-Madison Archives & Records Management
Services, Administrative Legal Services, or Internal Audit with the
following exceptions:
Open Records Request. If an open records request
has been made with an office for any item or items in this schedule,
the Open Records Law (Sec. 19.35(5) Wis. Stats.) forbids the
destruction of any record until the request is granted or until at least
sixty days after the date that the request was denied. Court orders
may extend this time period. The University's legal records custodian
can advise offices on specific requests for access. (Sec. 19.33 and
19.34, Wis. Stats.).
Pending Litigation or Audit. It is the department's
responsibility to determine if an audit or pending litigation will involve
any records listed in this document and to suspend any disposition until
such time as the audit or litigation is completed.
Duplicate records. Duplicates may be destroyed
when their administrative usefulness has ceased. A separate records
schedule is not required to dispose of such duplicates.
Access to Personnel Information
When responding to a request for access to personnel information, University
staff should follow the provisions of the open records law. In general,
records are considered to be open unless a specific statutory provision
makes the requested information confidential such as in the case of
medical information, disciplinary action, social security number, home
address/email/phone, performance evaluations, letters of reference,
recommendations concerning future salary adjustments, employee examination
information (except for the examination score), and records relating
to possible criminal offenses or employment-related misconduct. If you
receive a request for access to individual personnel information and
you are uncertain about the response, contact Legal Services for assistance.
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The University Archives offers training on the use and implementation
of this schedule as well as periodic workshops on records issues generally.
Contact the campus Records Officer for further information; phone
262-3284 or email nkunde@library.wisc.edu.
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Revised Summer 2004
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