USG Records Retention Schedules
CATEGORY: Human Resources Total: 50
Acknowledgement of Rules Records
Description: This series documents that a new institutional employee has been provided copies of rules and has discussed applicable rules with the supervisor. This series includes but is not limited to acknowledgment forms.
Retention: 5 years.
Affirmative Action and/or Human Resources Recruitment Review Records
Description: This series documents the review of all stages of academic hiring by the institution's affirmative action office and/or human resources office. Records may include but are not limited to: position descriptions; notifications of academic position opening; Affirmative Action compliance data sheets; Affirmative Action compliance statements; applicant pool and appointment reports; utilization reports; payroll-budget requests or action forms; contract requests to offer appointments; and certificates of eligible or applicant lists.
Retention: 2 years.
Appointing Authority Administrative Records
Description: This series describes the responsibilities of those persons given the authority to appoint personnel to positions.
Retention: Until superseded.
Bargaining Unit Records
Description: This series documents negotiations and contractual agreements between the institution and the bargaining unit, and labor relations planning. Records may include but are not limited to: union contracts and amendments; tentative agreements; arbitrator's recommendations; negotiation work notes; strike contingency plans; management counter proposals; negotiation updates; newspaper clippings; press releases; research background material; employee classification printouts; Fair Share records; minutes; sound recordings; exhibits; and reports of meetings.
Retention: Final contracts, amendments, and negotiation minutes: 7 years after expiration of contract; All other records: 7 years.
Benefits Policies and Procedures Records
Description: This series documents policy and procedure decisions and important events in the operations history of the office and includes contracts and formal documents.
Retention: 7 years after expiration of program or contract.
Description: This series contains biographical data for institutional faculty and staff. This series may include but is not limited to: biographical sketches; vitae; photographs; personal history data sheets; newspaper clippings; retirement notices; funeral programs; and obituaries.
Retention: Historical information: PERMANENT: Other records: 3 years after separation from institution.
Continuation of Insurance Benefits (COBRA) Records
Description: This series documents the institution's compliance with the Consolidated Omnibus Reconciliation Act of 1986 (COBRA). Records may include notices given to insurance administrators when employees leave the institution, information in the notices includes employee and dependent names and Social Security numbers, insurance package currently carried, dates of termination, coverage end date, and dates of notice to the contractor.
Retention: 6 years.
Deduction Authorization Records
Description: This series documents deductions from salary checks authorized by employees. These records include lists with notation of authorized deductions as well as actual deduction forms.
Retention: 4 years after the end of the fiscal year.
Defense Base Act (DBA) Records
Description: This series documents insurance coverage for institutional employees in foreign countries who are not covered by the State Accident Insurance Fund (SAIF). These records include one-year contracts with a mandated insurance carrier. This series may include but is not limited to: liability claims against the institution that are both open and completed; legal files with affidavits; accident reports; estimates for repairs; police reports; suit status reports; disbursement records; and settlements.
Retention: 10 years after all claims are settled.
Description: This series documents elections held by various faculty and staff organizations.
Retention: Until results are verified.
Employee Drug Testing Records
Description: This series documents the drug testing of employees.
Retention: Positive drug test results: 5 years; Negative drug test results and drug testing collection records: 2 years.
Description: This series includes routine and non-routine evaluations of an employee's work performance, including executive-level employees and student evaluations of faculty.
Retention: 7 years.
Employee Grievance Records
Description: This series documents grievance brought forward by faculty and staff against the institution that are resolved without litigation. (Records of grievances that are litigated become part of the legal case file.) Records may include but are not limited to notices of grievance; informal discussion notes; grievance responses; formal hearing notes (including audio tapes); final summary statements; and appeals documentation.
Retention: 3 years after resolution.
Employee Personnel Records
Description: This series documents an employee's work history at the institution. Records may include but are not limited to: personnel file close out form (includes salary at time of separation, final leave totals, and rehire eligibility); copies of Affirmative Action Compliance data forms; applications for admission to graduate school; sabbatical leave records; applications for academic employment; background surveys; employee contracts; athletic contracts/overseas agreements; conditions of employment; memoranda of agreement; notices of appointment; overload compensation requests; patent rights waivers; pay/budget action forms; forms documenting personnel actions; proposals for academic appointment; requests for approval for outside employment; resumes or curriculum vitae; retirement agreements; technology transfer agreements; tenure relinquishment forms; promotion, tenure, and salary increase records; and employee Social Security number disclosure forms.
Retention: Personnel File Closeout Form: 50 years; Supervisor's Copy: 3 years after separation of employee; Employment Eligibility Verification Forms: 3 years; All other records: 7 years following separation of employee from institution.
Employees Benefits Records
Description: This series documents employees' participation in benefits programs at the institution. Records may include but are not limited to: Applications for Life Insurance; Authorizations for Electronic Deposit; Health and Dental Enrollment Forms; Benefits Worksheets for Payroll Corrections; Cancellations of Payroll Deduction Authorizations; Insurance Data Change Forms; Employee Status Sheets; Enrollment Status Sheets; Letters of Approval for Coverage from insurance companies; Notices of Declination of Coverage from insurance companies; Notices of Approval of Group Insurance Coverage; Employee Union Membership Applications; Authorization for Payroll Deductions forms; insurance forms; Tax Deferred Investment information; designation of beneficiary forms; and US Savings Bond Payroll Authorizations.
Retention: 7 years after discontinuation or change in benefits.
Employees Employment Verification Records
Description: This series documents the responses to inquiries for evidence of employment from offices within the institution, banks and credit agencies, government agents, businesses, and current and former personnel. Records may include but are not limited to: copies of written requests; release of information authorization forms; telephone request forms; office control documents; and statistical summaries.
Retention: 3 years.
Employees Training Records
Description: This series documents employee participation in training courses or programs for development purposes. Records may include but are not limited to: course summaries and certificates of completion.
Retention: 5 years.
Employment Division Summary Reports
Description: This series documents the number of the institutional employees and payroll costs on a monthly basis and yearly basis. This series includes monthly reports by employee category and annual fiscal year reports, which summarize the monthly data.
Retention: Annual reports: 10 years; Monthly reports: 3 years.
Family and Medical Leave Case Files
Description: This series documents requests for leave and granted leaves by employees under provisions of the Federal Family and Medical Leave Act. Records may include but are not limited to: employee leave request forms; notices to employees of leaves granted or rejected; certification of health care providers for the employee or a family member; employee backup information and leave history records; employee time records; and Continuation of Health and Dental Insurance Benefits Memorandum.
Retention: 3 years after the separation of the employee.
Description: This series documents requests and court orders to withhold wages from employee earnings for garnishments, tax levies, support payments, or other reasons. This series usually includes original writs of garnishment and recapitulations of amounts withheld.
Retention: 5 years.
Long Distance Authorization Code and Calling Card Ordering and Assignment Forms
Description: This series documents the assignment and use of long distance authorization codes and calling cards to institution employees.
Retention: 2 years after superseded or revoked.
Medical Surveillance Records
Description: This series documents the medical history of employees working in positions with exposure to high risk hazardous conditions such as Class B and C carcinogenic compounds, asbestos, lead, or excessive noise. Medical examinations of workers are made at the beginning and termination of institution employment and periodically throughout the career course as well as immediately following an accident or potential exposure incident.
Retention: 30 years after employee separation.
Merit Increase and Trial Service Performance Appraisal Lists
Description: This series documents classified employees who are expected to receive merit pay increases or successfully complete their six-month trial service period. The lists, organized by academic department or administrative office, include: employee's name; class; social security number; position number; employee status and type; FTE; pay rate qualifier; current step and pay rate; new pay rate and step; and trial service completion date.
Retention: 6 months.
National Faculty Exchange Program Records
Description: This series documents an exchange program, which allows university faculty members to exchange teaching positions with other institutions' faculty members within the United States. Records include contracts and summaries.
Retention: Summaries: PERMANENT; All other records: 7 years.
Pay Administration Records
Description: This series is used to substantiate payroll overhead costs. Information in this series may include but is not limited to: employee names; social security numbers; institutions; classifications of positions; units of employment; pay periods; gross pay amounts; various withholdings; overhead amounts; and the accounts used to pay employees.
Retention: 4 years.
Description: This series includes payroll registers, annual payroll earnings logs, pay authorization records, payroll adjustment records, payroll check registers, payroll deduction reimbursement records, payroll data entry summary reports, salary and wage records, paycheck delivery records, payroll draws records, and payroll input detail reports.
Retention: Payroll Register and Annual Payroll Earnings Reports: 50 years; Payroll Data Entry Summary Reports: Until superseded by the Payroll Register; Paycheck Delivery Logs: 3 years; Other paycheck delivery records: 1 year after separation of employee; salary and wage records: 4 years after the end of the fiscal year; All other records: 5 years.
Personnel Activity Report Forms
Description: The PAR is used to request changes of employees' activities, funding, or pay.
Retention: 8 years.
Description: This series documents job descriptions for positions and is used for employee recruiting, Fair Labor Standards Act eligibility analysis, position review, and reclassification purposes. Information in position descriptions may include position names, position numbers, qualifications, functions and responsibilities, duties, hierarchical data, job classification numbers, description of duties, and pay rates. Records may include but are not limited to: position description forms; reclassification position descriptions and documentation; classification listings; and positions listings.
Retention: 5 years after position is reclassified or redescribed.
Position Inventory Control System (PICS) Reports
Description: This series documents job classification control and distribution code tracking, and is used to set budgets, to verify control numbers, and to regulate the total authorized FTE.
Retention: 4 years.
Retirement Incentive Program Records
Description: This series documents the incentive programs providing benefits for university employees who choose early retirement.
Retention: 6 years after final payment.
Safety Training Records
Description: This series documents employee training and certification such as for equipment operation, hazardous material handling and emergency procedures, driver training, CPR and first aid training, and asbestos awareness training for removal, abatement, or transportation.
Retention: 30 years after separation of employee.
Description: This series documents the selection process for positions within the institution. Records may include but are not limited to: applications; curriculum vitae or resumes; academic transcripts; samples of writing or publications; approvals of recruitment proposals; candidate lists; position announcements; position advertisements; position descriptions; certificates of eligibility; copies of Affirmative Action compliance data forms; requests to fill academic position forms; testing records; background surveys; evaluations; and interview materials.
Retention: Academic and classified search records: 4 years after search completed; Student search records: 1 year; Not hired applications: 3 years after position is filled or recruitment canceled; Unsolicited applications: 3 months.
Shift Summary Sheets
Description: This series documents the time worked by employees on various jobs on a daily basis. This series is used to provide: a record of time worked by employees for payroll purposes; a record of customer charges incurred for billing purposes; and cost accounting information on a real-time basis. The series may also be used as a back-up source of information for wage related grievance cases brought forth by employees. Information may include: employees' names; descriptions of duties performed; wages paid for each duty; time worked at each duty; outputs connected with each duty; and totals.
Retention: 2 years.
Social Security Number Records
Description: This series documents international students' and scholars' acquisition of social security numbers. This series may include but is not limited to: social security number applications; Statement of Information - Social Security Account Number forms; photocopies of social security cards; and Controllers Division reports.
Retention: Retain until approved; if not approved retain for useful life.
Description: This series may include but is not limited to: notations on priority staffing decisions; requests for approval of new staff positions; justification statements; descriptions of teaching responsibilities for positions requested; funding information; job announcements; and memoranda.
Retention: 2 years after superseded.
Student Employee Time and Attendance Forms, Restricted Funds
Description: This series documents hours worked by student employees including those on work-study who are paid from restricted fund accounts. This series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. This series only includes departmental time and attendance forms.
Retention: Records of students paid from U.S. Department of Education awards: 5 years after issuance of final financial report to the awarding agency; Records of work-study students: 3 years after issuance of final financial report to awarding agency or 5 years, whichever is longer; Records of students paid from other restricted funds: 3 years after issuance of final report to the awarding agency.
Student Social Security/Medicare Tax Review Reports
Description: This series is used to determine proper FICA coding for student employees. The reports may include but are not limited to: student name and ID number; credit hours carried; budget classification code; FICA quarters earned; year-to-date FICA withheld; and last FICA contribution date.
Retention: 5 years.
Study Abroad Foreign Nationals Payroll Records
Description: This series documents payments to foreign nationals employed both full-time and part-time by the institution as support staff for its study abroad programs. This series may include but is not limited to agreements concerning pay rates and accounting information for payments to employees.
Retention: 3 years after end of enrollment.
Tax Withholding Authorization Records
Description: This series documents amounts withheld by Payroll from employees' checks for taxing authorities. This series may include but is not limited to: the Statement for Claiming Benefits Provided by Section 911 of the Internal Revenue Code; Withholding Allowance Certificates (W-4s); Earned Income Credit Advance Payment Certificates (W-5s); Non-resident Alien Request for Exemption from Tax Withholding (IRS Form 8233); Alien Information Request Form; and Request for Exemption from State Income Tax Withholding.
Retention: 4 years after superseded or employee separates.
Description: This series documents institutional employees whose records have been deleted from the personnel data base. This series contains annual lists of former employees and includes: employees names; People Soft ID number; department; employment state and end dates; and part/full time status.
Retention: 3 years.
Time, Attendance, and Leave Records
Description: This series documents time and attendance and leave for faculty, classified, and student employees. Records include: monthly time entry forms which may include hours worked, leave used, employee's name, supervisor's authorization, earnings information, and time distribution information; leave request forms; overtime authorization or certification; leave summary reports; leave without pay records; and work-study time certificates and referrals.
Retention: Individual Leave Notifications: 5 years; Leave Record: 50 years; Work Time Adjustment Agreements: Until superseded or obsolete; Leave Donation Records: 1 year after leave is used.
Description: This series documents all employee database data entry transactions. This series includes daily and quarterly registers for deduction, employee, and budget transactions.
Retention: Quarterly registers: 4 years; Daily registers: Until superseded.
Unemployment Compensation Claim Records
Description: This series documents claims submitted by former institution employees for unemployment compensation. Records may include but are not limited to: claim records; notices; reports; and records generated by the appeal of claim determinations.
Retention: 5 years after the end of the fiscal year in which the transaction occurred.
Visa Scholars Records, H-1
Description: This series documents the temporary employment of internationals by the institution and is used to monitor compliance with Immigration and Naturalization Service regulations. Records may include but are not limited to: Petition for a Non-immigrant Worker; Labor Conditions Applications for H-1B Non-immigrant; Prevailing Wage Information Request; Application to Immigrant and Naturalization Service; documentation of requests for visa extensions; and details of work assignments.
Retention: 6 years after expiration of visa and extensions granted.
Visa Scholars Records, Immigrant
Description: This series documents the application and approval of international scholars for permanent immigrant status. Records may include but are not limited to: Applications for Alien Employment Certifications issued by the Department of Labor, Employment, and Training Administration; advertisements for positions; curriculum vitae; transcripts; letters of recommendation; notes on all applicants for positions demonstrating that a petitioner was the best qualified candidate for an advertised position; forms indicating the institution's efforts to employ comparably qualified U.S. citizens; and interviewers' notes and memoranda.
Retention: 10 years following approval of permanent resident status.
Visa Scholars Records, J-1
Description: This series documents the short-term appointment of non-immigrant international scholars as visiting faculty, specialists, researchers, and trainees. Records may include but are not limited to: United States Information Service Certificates of Eligibility for Exchange Visitors Forms; descriptions of work to be performed; methods of financial support; copies of passports; check-in forms; and log sheets noting the nature of telephone calls concerning each scholar's status.
Retention: 3 years after visa expiration.
Visiting Scholar Program Records
Description: This series documents programs that allow one or more visiting scholars to assume residence on campus. This series may include but is not limited to: advertisements; applicant data; arrangements and schedules; publicity and news clippings; presentation transcripts or published works; scholars' vitae; and scholars' activities documentation including audio recordings.
Retention: 7 years.
Volunteer Program Records
Description: This series documents the activities and administration of an institution's department or office's volunteer program. Records may include: volunteer hour statistics; volunteer program publicity records; insurance requirement information; and inactive volunteer files containing applications and conditions of volunteer service forms.
Retention: Individual volunteer files: 3 years after separation; All other record: 3 years.
Wage and Tax Statements (W-2 Forms)
Description: This series provides a summary record of data reported on the annual Wage and Tax Statements (W-2) for the institutional employees.
Retention: 5 years.
Workers’ Compensation Claims, Closed
Description: This series documents employee accidents, injuries, and medical claims.
Retention: 5 years and settlement of all claims due.
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