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Payroll and Personnel Records Management
Brad Houstonon 27 June 2011
Transcript of Payroll and Personnel Records Management
Records Management: A (brief) primer
Working with General Records Schedules
HRS: Its effect on Records Management
This presentation available at: http://prezi.com/frpcsjvsspfl/payroll-and-personnel-records-management/
What is a record?
What is the 'Official' record?
What are my responsibilities?
Payroll and Personnel GRS: an overview*
Reading and using schedules
Options for Disposition
HRS and Electronic Records
HRS records vs. Local Records
Reports and records management
Recorded information, in any format, that allows an office to conduct business.
These are records*
So are files stored on these*
So are your files kept here*
*Not every document is necessarily a record!
Duplicates or Convenience Copies
Drafts meant for your own use
Personal Notes or Records
The copy of the record that is needed for records requests, audits, etc.
For Payroll/Personnel records, your PRep/UBR usually* has the official record.
*They CAN delegate this responsibility to individual departments, so check before you destroy these.
Only the Official Record needs to be kept for the full period!
(However, copies of Personnel/Payroll records have retention periods as well-- just shorter.)
Record Type Official Holder Unofficial Holder
Division/School PRep (or designate)
Tenure/Indef. Review Files
Secretary of the University
Formal Grievance Files
Division/School PRep (or designate)
UWM Benefits Office (or designate)
You must be prepared to produce records for public records requests.
Required by Wis. Stat. 19.31 (Open Records Law)
You must maintain the security of personnel/payroll records.
ALL copies of these records should be considered private and restricted.
The subject may review his own P-file (minus confidential portions), on-site or at UWM Archives.
All outside requests for review must come through Amy Watson, UWM Public Records Custodian
Be mindful of digital security, too!
Avoid working with these records off-site, if possible
Do not share passwords or other access information
You must follow appropriate retention and disposition rules.
Do not keep records beyond their retention periods.
If a record exists, it may be discovered and released, even if it is 'expired'!
All personnel/payroll records should be disposed of securely.
You can shred small quantities of records in your office.
For larger shredding jobs, call the Archives for pickup.
Make sure you are able to store your records for the full length of retention.
Some retention periods are 30 years after retirement or more!
Consult the Archives for advice re: Long-term storage.
*The HRS-specific schedules discussed here have not yet been released (Anticipated for August 2011). However, the general tips still apply.
Both documents are available at the UWSA Records page:
Each document has several categories of schedules.
This is to help you navigate and find your particular schedule.
Records series are named by function.
This makes them more general, but it also means that you may not be able to find retention periods by looking up a particular form.
1. Find the right category.
Recruitment and Hiring
Time and Labor
2. Know your schedule components.
Identifies the records series.
Includes information on what types of records are included, statutory requirements, etc.
Identifies the holder of the 'official' record. Not always included
Indicates how long to keep the records, and when to start counting (the "event")
3. Know the UWM-specific changes.
A number of retention periods are flexible to allow for campus differences.
Official P-File: 30 years and send to Archives (tenured faculty); 10 years and destroy (acad. staff); 7 years and destroy (classified staff)
Search and Screen Files: 6 years and send to Archives (Dean's Level or higher only) or destroy (others)
Faculty Tenure File: Transfer report of the tenure committee to the P-File; Secretary of the University keeps entire file for 6 years, then destroys
The full list of exceptions is available at http://records.uwm.edu
Option 1: Confidential Shredding
Option 2: Off-Site Storage
Option 3: Transfer to Archives
Most Personnel/Payroll records will be shredded, since they contain confidential information.
A few shreddables: Kard bins in your building
6-20 boxes of shreddable: call Records Management for pickup
20+ boxes: Call Facilities to arrange for special pickup
UWM contracts with Hansen Storage for non-permanent records with long retention periods.
Call Purchasing to set up your department's account.
For records with long-term value ONLY.
(Mostly, this means Official P-Files and Search and Screen files.)
Prepare your personnel records for storage:
Plain Manila Folders (if possible)
State Records Center cartons
Inventory of box contents
Yes, you can get your files back for reference!
A record is a record, regardless of format!
HRS shifts some of the "recordskeeping" burden from you to central administration.
Once information from a form is in the system, it becomes HRS's record!*
*HRS does not EXEMPT you from records management, just streamlines it in some cases.
HRS-Affected Records will have indication of who "owns" the record for audit purposes.
For these records, HRS "owns" the information once you've entered it.
Input forms (e.g. Leave Reports) become copies and can be discarded earlier!
An opportunity to get rid of paper records altogether?
Not just yet. Paper copies still have retention periods, for auditing/verification reasons.
HRS centralization of personnel/payroll info DOES mean that you don't have to keep records in your office (or on your computer) for as long.
The major exception to HRS central "ownership" of records.
When you create a report, it becomes your record!
Even if the information CONTAINED in the report belongs to HRS, WI law considers the report itself to be a new record.
Be aware of report-specific records schedules in the two General Schedule documents.
If no schedule exists for your report, tell us about it!
To sum up:
All records, including Personnel and Payroll Records, are subject to Retention/Disposition Authorities (records schedules).
Some payroll/personnel records, such as the Official P-File and Search and Screen files, are unaffected by HRS from a records standpoint.
HRS changes rules of "ownership" for certain types of records. If you input information into HRS, your responsibility for managing that information is lessened.
If you take information OUT of HRS for reporting or verification, you are responsible for that information as a new record.
UWSA Personnel Schedule:
UWSA Payroll Schedule:
UWM Records schedules:http://www.uwm.edu/Libraries/arch/recmgmt/common.cfm
Additional UWM HRS Help: http://www4.uwm.edu/hr/hrs/index.cfm
Most records created/accessed via "Self-Service" are HRS's responsibility, for example.