USG Records Retention Schedules
CATEGORY: Human Resources
Total: 50 Sorted by title. Showing 25 per page.
Acknowledgement of Rules Records
Number: 0472-04-001
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
Number: 0472-04-002
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
Number: 0472-04-003
Description: This series describes the responsibilities of those persons given the authority to appoint personnel to positions.
Retention: Until superseded.
Bargaining Unit Records
Number: 0472-04-004
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
Number: 0472-04-005
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.
Biographical Records
Number: 0472-04-006
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
Number: 0472-04-007
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
Number: 0472-04-008
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
Number: 0472-04-009
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.
Election Records
Number: 0472-04-010
Description: This series documents elections held by various faculty and staff organizations.
Retention: Until results are verified.
Employee Drug Testing Records
Number: 0472-04-012
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.
Employee Evaluations
Number: 0472-04-014
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
Number: 0472-04-015
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
Number: 0472-04-016
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
Number: 0472-04-011
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
Number: 0472-04-013
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
Number: 0472-04-017
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
Number: 0472-04-018
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
Number: 0472-04-019
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.
Garnishment Records
Number: 0472-04-020
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
Number: 0472-04-050
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
Number: 0472-04-021
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
Number: 0472-04-022
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
Number: 0472-04-023
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
Number: 0472-04-024
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.