UNIVERSITY OF WISCONSIN River Falls

Human Resource, Personnel Systems, and Related Records

University of Wisconsin System and UW-Madison
General Records Schedule for Human Resource and Related Records

Program Description: UW-System and UW-Madison Human Resource and Personnel Systems

Introduction and Purpose:
The University of Wisconsin System comprises fifteen distinct institutions, many of which create and receive records that are similar in purpose and utility. In the interest of efficiency, therefore, this records schedule identifies categories of records that are common to all University of Wisconsin institutions, so as to avoid making each institution secure a distinct retention schedule for the same categories of records. This General Records Schedule (GRS) is being revised and updated due to the changes where the State of Wisconsin authorized and directed the University of Wisconsin System to develop two distinct new personnel systems:

  • One for all UW-Madison employees see UW-Madison's HR Design project page
  • One for all other UW System employees see UWSA Human Resources & Workforce Diversity

These new systems were implemented on July 1, 2015. 

Goal:
The two university personnel systems will be developed by taking the aspects of the unclassified and classified service that work best and creating one system of university employment. The goal is to develop a process to identify personnel policies that have worked well -  and that will continue to work well when more authority is delegated to the UW institutions. The systems will also maintain commitment to, and the integrity of, the UW System's ongoing goal of a diverse and highly qualified workforce. Some specific objectives include:

  • Simplification of titling structures
  • Protection of existing employee rights
  • Establishment of a compensation structure that enables the UW System to recruit and retain the best, most diverse, and most qualified employees 

This GRS covers the retention and disposition of records relating to all UW System employees both Academic and University Staff. This would include all faculty; academic staff; university staff; graduate students; research assistants; project assistants; and teaching assistants, volunteers, and employees in training and limited appointments.

Scope:
This GRS governs the retention and disposition of records associated with the following functional areas:
1. Talent, Recruitment & Engagement Records
2. Affirmative Action & Equal Employment Opportunity & Related Records
3. Grievance or Layoff Records
4. Employee Personnel Records
5. Employee Medical Information & HIPPA Privacy Complaints
6. Employee Assistance Program (EAP) and Related Records
7. International Faculty and Staff Records
8. Evaluation and Promotion Records
9. Human Resource Employee Training Records

HRS and Records Retention:
The provisions of this GRS apply to all institutions and employing units in  the  University of Wisconsin System. HRS, the Human Resource System, holds the official human resource and payroll information received, generated, and maintained on University of Wisconsin System employees, however; UW institutions and employing units will continue to maintain Human Resource records including supplemental systems. This means there is a shared responsibility for records retention. This GRS does not address storage media or implementation strategy for records retention.

Guidelines Applicable to the GRS: 

A. Preservation of Historic Records.
Historic records are those that must be retained indefinitely because of their historical character. Historic records stored only in electronic form must comply with the legal requirements set forth in: Regent Policy Document 3-2: University of Wisconsin System Public Records Management; and Administrative Rule 12: Electronic Records Management-Standards and Requirements. It is expected that some human resources records will be classified as having historical or permanent value to either UW System or the employing UW System institution.
B. Use of the Records Series Approach.
The records schedules included within this document were developed using the "records series" approach defined in  Wis. Stat. §16.61(2)(c).
C. Use of Flexible Scheduling or Big Bucket Approach.
Enterprise Resource Planning-ERP systems, such as PeopleSoft, provide the capability to create a wide variety of reports and queries to the system. The flexible scheduling or 'Big Bucket' approach means that some items within the GRS cover records in multiple series and/or electronic systems that relate to the same subject matter, business function, or work process. All the series/systems covered by a big bucket item have the same ultimate disposition. The records within the bucket are either all permanent or all temporary and, if the bucket is temporary, all the series/systems within it have the same retention period.
D. Schedule does not require the Creation of Records.
It is understood that not all departments have all the types of personnel records discussed in this GRS. Offices are advised not to create additional records beyond those that are required or necessary to document personnel transactions.
E. Duplicate personnel records and shadow filing systems.
While retention periods outlined in this GRS apply to the official record, the maintenance of duplicate records and shadow filing systems is common in the personnel process. If any unique material is present in a file, it is no longer a duplicate but represents another original record. It must be maintained the same period of time as the original record. If it is a duplicate I copy, dispose of in accordance with the official record series.
F. Definitions
a. Applicant- (Definition retrieved from the Dept. of Labor 2-28-2011). An "Applicant" is defined as an individual who satisfies the following four criteria:

  • The individual submits an expression of interest in employment through the Internet or related electronic data technologies;
  • The contractor considers the individual for employment in a particular position;
  • The individual's expression of interest indicates the individual possesses the basic qualifications for the position;
  • The individual at no point in the contractor's selection process prior to receiving an offer of employment from the contractor, removes himself or herself from further consideration or otherwise indicates that he or she is no longer interested in the position.

G. *Supervisors' Files
a. Supervisors may maintain in their own files information they believe is helpful or necessary to manage workload and employees. Supervisors should be aware that if they share this 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 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.

H. *For Student Hourly Workers: see the University of Wisconsin System Administration (UWSA) Financial Aid General Schedule which includes both student hourly and work study students. 

Conditions Affecting Final Disposition

All recommended dispositions provided within this schedule may be carried out by University of Wisconsin administrators except that records may not be destroyed where required to be retained by law or policy including, but not limited to, a pending public records request, lawsuit, audit, or legal hold.

Access Requirements

Records in this schedule are considered confidential and may contain Personally Identifiable Information (Pll). May contain certain personnel records subject to Wis. Stat.§ 19.36(10) and the balancing test. Some 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 Wis. Stats §230.13. 

Laws & Requirements:

  • Wis. Stat. §19.36(10) Employee Personnel Records
  • Wis. Stat. §230.13 Closed Records o 29 U.S. Code §626-Recordkeeping, investigation, and enforcement. o 29 CFR §1627.3-Age Discrimination in Employment Act (ADEA)
  • 29 CF R § 1602. 31-Title VI I of the CiviI Rights Act of 1964
  • 29 CFR §1602.32-Title VII of the Civil Rights Act of 1964
  • 29CFR §1602.14-Preservation of records made or kept
  • 20 CFR §655.760(a)-What records are to be made available to the public, and what records are to be retained?
  • 20 CFR §656.lO(f)-Retention of documents
  • Wis. Stat. §146.81-Wis. Stat. §146.84 -Confidentiality of Health Records
  • Wis. Stat. §51.30 -Mental Health Records
  • HIPAA Privacy Rule at 45 CFR Parts 160 and 164
  • Americans with Disabilities Act (ADA) Amendments Act of 2008 o Genetic Information Nondiscrimination Act (GINA) 2008
  • 8 U.S.C. §13249(a) -Federal Immigration Reform and Control Act of 1988
  • Title VI of the Civil Rights Act of 1964
  • Title IX of the Education Amendments of 1972
  • Age Discrimination Act of 1975
  • Section 503/504 of the Rehabilitation Act of 1973
  • Title II of the Americans with Disabilities Act of 1990, as amended 

Electronic Systems: 

1) Talent Acquisition and Recruitment tools that interact with Human Resource during the recruitment and hiring process.


Below are examples of some of the electronic systems that are used by the UW Services Center, UW-Madison and other UW Institutions. These may change over time: 

  • PeopleSoft HRS (Human Resource System) HRS is an integrated system and incorporates all human resource, benefits, and payroll operations across the UW System. The implementation of HRS represents a major paradigm shift from mixed record keeping environment (paper and electronic) to one in which the official records (data) are mostly electronic, and likely to become fully electronic in  the future. This system became operational in  April 18, 2011. Many of the data elements that HRS maintains are date related to the employee. 
  • PeopleSoft Admin is being used as part of the recruitment process at most campuses and does tie into HRS.
  • Page Up -A seamless, easy-to-use and mobile-optimized Saas platform with powerful analytics capabilities to recruit, onboard, train, develop, manage and retain employees. 
  • JEMS (Job and Employee Management System) -UW Madison Only The purpose is to automate human resource functions and make them consistent across the campus. It is used by supervisors and human resource staff. The primary users of the system are UW - Madison supervisors, department and division Human Resources staff, and Office of Human Resources (OHR) staff. 
  • JEMS Hire (Job and Employee Management System)-UW Madison Only Web-based system to hire all academic, faculty, limited, student assistants, post degree training staff (this does not include student hourly hires) and to request Job-Changes for all employee types. 
  • CHRIS ( Classified Human Resource Information System-UW Madison Only) The Classified Human Resource Information System is a JEMS sub-system and supports UW-Madison and human resource transactions (e.g. vacancies, reclassification requests, and updates to position descriptions, etc.) related to University Staff. It has two components:
  • CHRIS -Web-based system for supervisors and others to create and submit HR Transactions (e.g., vacancies, rate/title, position description development and updates). 
  • CHRIS-HR (other human resource functions) -Web-based system used by human resources staff to review and approve transactions and hire university and temporary staff.
  • TREMS (Talent Recruitment Engagement Management System -UW Madison Only -TREMS is an online applicant tracking system that is used for collecting job applications, managing applicant pools, making offers and tracking on boarding activities for new employees. TREMS is integrated with JEMS. 
  • TAM (Talent Acquisition Management System) -This is an HRS module which manages the application and hiring process used by some UW campuses. The UW-Madison campus does not use the TAM module. 
  • PVL (Position Vacancy Listing) Web-based system used by human resources staff to develop positions and or request Rate/Title Change for faculty, Limited and academic staff.
  • Content Management System: Personnel Records are being managed by the institutional Human Resources Department in this Document Management/Content Management System. (example: lmageNow) 2)

*The International Faculty and Services or similar institutional utilize Glacier Nonresident Alien Tax Compliance System. A foreign national is an individual who is a resident of a country other than the U.S. If a foreign national will be paid by the UW payroll system and will be located in the U.S., then they must have a visa issued by the U.S. All foreign nationals with a visa type and paid position in PeopleSoft HRS should have a Glacier account. Glacier is a third party software program owned by Arctic International. Glacier will house the foreign national's personal data including current and historical U.S. visit and immigration information, tax filing status, and tax treaty eligibility. Glacier will also be used to generate and distribute tax reporting Forms 1042-S. Nonresident aliens required to file a federal income tax return will be able to use Glacier Tax Prep, through their regular Glacier account, to prepare federal tax Form 1040NR or 1040NR-EZ and Form 8843. It is imperative that all foreign nationals paid through UW payroll have a valid email address in HRS, as this is the means by which they will be notified of their Glacier account and corresponding obligations. 

Official Records & Copies: 

This schedule specifies the designated location of the official record for each series listed. It also identifies retention policies for all copies of records, in all locations and in all records media. 

  • Official Record: The official record is the most complete and up-to-date version. 
  • Working Copies: Staff may generally destroy rough draft materials that are subsequently finalized and maintained as part of the official record. However, staff may retain significant drafts when needed to document the decision-making process within the official record. 
  • Reference or Convenience Copies: Staff may maintain duplicate or working copies of records described in  this schedule for convenience and/or reference purposes. Copies may be retained for as long as needed, but they should not be kept longer than the RDA for the official copy of record as specified in this schedule. Do not maintain unnecessary duplicate copies. When retained for "convenience of reference only," copies are considered non-records under Wis. Stat. § 16.61(2). Do not send copies to storage or retain them for longer than the retention periods specified for the official copy.

For additional information and assistance implementing this retention schedule, contact: Your University Records Officer.