University of Oregon

EFFECTIVE FEBRUARY 3, 2016: The UO is transferring responsibility for records management oversight, policy, and training from the Libraries to the Office of the Vice President/General Counsel. While the transition is underway, UO offices may continue to submit records management questions though this form or via e-mail to spcarref@uoregon.edu. Library staff will consult with the Office of the General Counsel as needed to address your inquiry. We anticipate the transition to be completed by Summer 2016.

University Archives: Records Retention Schedule

Functional Sections: Personnel Records

166-475-0095

This General Schedule is applicable to Personnel records of the Oregon University System. Retention periods apply to the record copy of all public records, regardless of medium or physical format, created or stored by the above specified agencies. Please note the exceptions to this General Schedule listed in OAR 166-030-0026 before disposing of records.

List of Series

1. Academic and Unclassified Employees Personnel Records

Personnel Records-Graduate Teaching Fellows, Personnel Records-Faculty, Personnel Records-Unclassified Employees Records document the academic employee’s work history at the Institution and includes routine, non-evaluative information such as job title, rank, full-time equivalency (FTE) or appointment percentage, dates of employment, salary, employing department, education and employment background. Some of the documents comprising this series include confidential information such as social security number, birth date, and marital status. Records may include but are not limited to copies of Affirmative Action Compliance Data Forms; Applications for Admission to Graduate School; Applications and Contracts for Sabbatical Leave; Applications for Academic Employment; 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, including Salary Adjustments and Summer Session Appointments; Proposals for Academic Appointment; Requests for Approval for Outside Employment; resumes or curriculum vitae; Retirement Agreements; Leave Accrual Forms; Technology Transfer Agreements; Tenure Relinquishment Forms; employee Social Security number disclosure forms; and related documentation and correspondence, such as letters of resignation and memos confirming appointments.

Record Copy: Academic Affairs, Graduate School (for GTF records)
Retention: 75 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

2. Academic and Unclassified Employees Personnel Records (Supervisor's Copy)

Faculty Personnel Records, Graduate Teaching Fellow Personnel Records Records document the academic employee’s work history maintained in the office of the dean, director, department head, or vice provost. It includes evaluative materials and non-evaluative information such as job title, rank, full-time equivalency (FTE) or appointment percentage, dates of employment, salary, employing department, education and employment background. Some of the documents comprising this series include confidential information such as social security number, birth date, and marital status. These records may be for full-time, part-time, and/or courtesy academic employees. Records may include but are not limited to Activity Reports; copies of Affirmative Action Compliance Data Forms; Applications for Admission to Graduate School; applications, contracts, and other records for sabbatical leave; emeritus faculty status letters; Employee Emergency Medical Information Forms; Applications for Academic Employment; Athletic Contracts/Overseas Agreements; Awards; Conditions of Employment Forms; Notices of Appointment; Overload Compensation Requests; Patent Rights Waivers; Pay/Budget Action Forms; Periodic Reviews of Faculty letters and records; forms documenting personnel actions, including Salary Adjustments and Summer Session Appointments; professional development records; Proposals for Academic Appointment; recommendations; reports of conferences attended; Staff Reports of Service to the Institution; Periodic Reviews of Administrators Summaries; reprimands; Requests for Approval for Outside Employment; resumes or curriculum vitae; Retirement Agreements; Sick Leave Accrual Forms; Teaching Evaluations; Student Evaluations of Faculty Summary Reports; Technology Transfer Agreements; Tenure Relinquishment Agreements; Employment Eligibility Verifications (Form I-9); Vacation Leave Report Forms; home address/telephone disclosures; and other relevant documents and correspondence, including commendations, letters from the chair or the dean concerning the nature of the faculty member’s appointment and the expectations of the faculty member, letters granting fellowship, letter of position offer, letter of resignation, memoranda of agreement, Notices of Disciplinary Action, Notices of Layoff, and unsolicited letters praising teaching or participation in a conference.

Record Copy: Units
Retention: 5 years after employee separation, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

3. Affirmative Action and Equal Opportunity Records

Equal Opportunity Records Records document agency compliance with the statutes and regulations of the U.S. Equal Employment Opportunity Commission regarding affirmative action. Records include affirmative action plans and/or policies, and their revisions and updates, which are required to be submitted to the Governor's Affirmative Action Office. Records may also include but are not limited to reports, supporting documentation, and correspondence.

Record Copy: Affirmative Action
Retention: (a) Permanent for narrative reports, policy, mission and goal statements, Equal Opportunity and Affirmative Action plans, and audit reports; (b) 20 years for EEO-6/Vets 100/Ways and Means reports and Executive Department printouts, destroy; (c) 10 years for statistical and status reports, case histories, correspondence, and related documentation; (d) 3 years for all other records, destroy.

Transfer the record copy of all permanent records to the University Archives after 10 years.

Other Copies: Units
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

4. Affirmative Action and/or Human Resources Recruitment Review Records

Equal Opportunity Records Records document view 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; certificates of eligible’s or applicant lists; and related documentation and correspondence.

Record Copy: Affirmative Action for Unclassified Staff; Human Resources for Classified Staff
Retention: 3 years, destroy.

Other Copies: Units
Retention: 2 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

5. Appointing Authority Administrative Records

Records document persons given the authority to appoint personnel to positions (as required by special circumstances). Records include policy documentation and correspondence.

Record Copy: Human Resources, Academic Affairs
Retention: Until superseded or obsolete, destroy.

6. Bargaining Unit Records

Records document negotiations and contractual agreements between the institution and the bargaining unit; it is also used for 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; and related documentation and correspondence.

Record Copy: Human Resources, Graduate School (for GTFF records)
Retention: (a) 75 years for final contracts, amendments, and negotiation minutes, destroy; (b) 6 years after contract expires for all other records, destroy.

Other Copies: Units
Retention: Until superseded or obsolete.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

7. Benefits Policies and Procedures Records

Records document policy and procedure decisions and important events in the operations history of the office and includes contracts and formal documents which state or form the basis for policy or set precedents. Records may include but are not limited to records concerning the Academic 12-month Pay Option for Payroll; American Football Coaches Retirement Trust; dependent care flexible spending account program records; early retirement programs; employee orientation program; Employee Assistance Program; injured worker benefits; Continuing Benefits to Injured Workers (CBIW) records; insurance continuation coverage known as COBRA (Consolidated Omnibus Budget Reconciliation Act); medical, dental, life/disability insurance program records; open enrollment records; the institution Staff Handbook; Life Insurance; post doctorate fellow insurance program; Public Employee Retirement System (PERS); Retirees; tax deferred investment programs; Teachers Insurance Annuity Association and College Retirement Equities Fund (TIAA/CREF); Unionflex program; (US Savings Bonds;) Volunteer Insurance; and related documentation and correspondence.

Record Copy: Human Resources
Retention: 6 years after expiration of program or contract, destroy.

8. Certificates of Eligibles

Records document the names of applicants currently eligible for hire for specific classified positions. The list is supplied by the personnel office to departments seeking to fill vacancies. Data elements on this list may include but are not limited to name; address; telephone number; and rank or exam results. Copies of Employment Applications and Skill Code Sheets may be included with this record series.

Record Copy: Human Resources
Retention: (a) 3 years after end of search if part of recruitment, destroy; (b) 1 year if not part of a search, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

9. Classified Employees Layoff Records

Layoff Records Records document layoff procedures followed for affected employees. Records may include but are not limited to employees names; position titles; classification numbers; hire dates; layoff dates; seniority status; and related documentation and correspondence.

Record Copy: Human Resources
Retention: 3 years after employee separation, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

10. Classified Employees Non-Routine Evaluations

Records document the non-routine evaluation of the classified employee’s work performance. Records may include commendations; recommendations; disciplinary actions; reprimands; explanations or opinions filed in response to critical material; and related correspondence.

Record Copy: Human Resources
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

11. Classified Employees Personnel Records

Personnel Records-Classified Employees Records document the classified employee’s work history at the institution and includes routine evaluative materials and non-evaluative information such as job title, full-time equivalency (FTE) or appointment percentage, dates of employment, salary, employing department, education and employment background. Some documents in this series contain confidential information such as social security number, birth date, and marital status. Records may include but are not limited to employment applications which may include skill code sheets; resumes; selected memos such as agreement or request for position change, merit increase requests and notices, request for re-employment (letter of hire), resignation letters from employees, and termination letters from employer; commendations; recommendations; reprimands; work plans; forms documenting personnel actions; (personnel) performance evaluations; pay/budget action forms; leave records; time and attendance records; (designation of beneficiary forms;) union dues information; resumes; layoff notices; awards; licenses and certificates; college credit information; employee Social Security number disclosure forms; home address/telephone disclosure authorizations and related correspondence.

Record Copy: Human Resources
Retention: (a) 75 years for employment applications, agreements or requests for position change, merit increase requests and notices, request for re-employment, resignation letters, employer termination letters, personnel action forms, layoff notices, designation of beneficiary forms, personnel evaluations, and resumes, destroy; (b) 3 years for letters of reprimand, destroyl (c) 3 years after employee separation for all other records, destroy.

Other Copies: Units
Retention: 1 year for records of employees promoted, transferred or demoted within the institution, destroy; destroy upon termination for all other records.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

12. Classified Employment Testing Records

Testing Records-Classified Employees Records document the testing process for classified positions administered by human resources staff. Records may include but are not limited to test forms completed by qualified applicants; summary lists with scores; testing materials; and related documentation and correspondence.

Record Copy: Human Resources
Retention: 3 years, destroy.

Other Copies: Units
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

13. Classified Rejected Applications

Applications (Rejected)-Classified Positions Records document employment applications that were submitted for jobs with the institution and for reasons of incompleteness or inadequate qualifying experience/training are rejected. Records may include but are not limited to institutional employment applications and state forms PD 100 and PD 229R.

Record Copy: Human Resources
Retention: 3 years after position filled or recruitment canceled, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

14. Classified Unsolicited Applications

Applications (Unsolicited)-Classified Positions Records document unsolicited requests for consideration for employment possibilities in institution units. Records may include but are not limited to curriculum vitae and resumes; transcripts; letters of application; and related materials and correspondence.

Record Copy: Units
Retention: 3 months, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

15. Continuation of Insurance Benefits (COBRA) Records

Insurance Benefits Records, COBRA Records Records Records document 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 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.

Record Copy: Human Resources Benefits Office
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

16. Continuing Education Instructor's Records

Records document competency of persons applying to teach continuing education courses. Records, which are filed by course with term and instructor name, may include but are not limited to resumes; curriculum vitae; personnel actions; time sheets; course proposals; request for undergraduate and graduate course and instructor approval forms; tentative course outlines; letters of nomination; letters of appointment and/or rejection; and related documentation and correspondence.

Record Copy: Continuation Center
Retention: (a) 75 years for appointment information, destroy; (b) 5 years after separation from Continuing Education faculty for all other records, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

17. Criminal Background Check Records

Records document the pre-employment or periodic criminal record check performed on prospective or current staff, faculty, and volunteers by the agency. Records may include but are not limited to a Fingerprint-Based Criminal History Verification form documenting the result of a criminal history background check coordinated by the Oregon Law Enforcement Data System (LEDS). The form includes name and other personal identifying information, indication of the existence or absence of criminal record, and related documentation.

Record Copy:
Retention: (a) Retain background check log: until superseded or obsolete, destroy; (b) Retain all other criminal background check records: 90 days, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

18. Drug Testing Records

Records document the testing of current and prospective employees for controlled substances prohibited by policy, procedure, or statute. Records may include but are not limited to the documentation of test results, the collection process, the random sample process, and those documenting the decision to administer reasonable suspicion drug testing.

Record Copy:
Retention: (a) Retain negative drug test results, 1 year, destroy; (b) Retain positive drug test results, 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

19. Employee Medical Records

Records document an individual employee’s work related medical history. These records are not personnel records and must be kept physically separate from employee personnel records--in a separate location, as required by the Americans with Disabilities Act. Records may include but are not limited to medical examination records (pre-employment, pre-assignment, periodic, or episodic), X-rays, records of significant health or disability limitations related to job assignments, documentation of work related injuries or illnesses, hearing test records, hazard exposure records, first-aid incident records, physician statements, release consent forms, and related correspondence. These records are not personnel records and must be kept physically separate from employee personnel records--in a separate location, as required by the Americans with Disabilities Act.SEE ALSO Medical Surveillance Records in the Safety and Security section.

Record Copy:
Retention: (a) Retain hazard exposure records: 30 years after employee separation (29 CFR 1910.1020), destroy; (b) Retain audiometric (hearing) test records: Until employee’s termination date (29 CFR 1910.95(m)); (c) Retain other employee medical records: 3 years after employee separation, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

20. Employees Benefits Records

Benefits Records Records document an individual employee’s benefit information such as selection of insurance plans, retirement, pension, and disability plans, deferred compensation plans, and other benefit program information. Records may include but are not limited to plan selection and application forms, enrollment records, contribution and deduction summaries, personal data records, authorizations, beneficiary information, and related documentation. Records may be filed with the individual Employee Personnel Records. SEE ALSO Employee Payroll Records in the Payroll section.

Record Copy: Human Resources Benefits Office, Graduate School (for GTF records)
Retention: (a) Retain PERS enrollment records: 75 years, destroy; (b) Retain optional plan enrollment records 75 years, destroy; (c) Retain all other benefits records: 3 years after employee separation or eligibility expired, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

21. Employees Training Records

Records document employee participation in training courses or programs for development purposes. Records may include but are not limited to staff fee requests to take classes; course agendas, descriptions, and syllabi; course outlines and materials; enrollment and attendance records; training requests and authorizations; certificates of completion; and related documentation and correspondence.

Record Copy: Human Resources, Units
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

22. Employees Employment Verification Records

Records document 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; statistical summaries; and related documentation and correspondence.

Record Copy: Units
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

23. Employment Eligibility Verification Forms

I-9 Forms Records document information used to establish the identity and to verify the employment eligibility of employees to preclude the unlawful hiring of persons not authorized to work in the United States. Records include completed I-9 forms and copies of documents that establish the identity and the employment eligibility of the employee.

Record Copy: Human Resources for staff; Payroll for students
Retention: 3 years after date of hire or 1 year after separation, whichever is longer, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

24. Employment Policies and Procedures Records

Records document employment policies and procedures administered by institution personnel offices. Records may include but are not limited to information on academic year appointments; employment of disabled persons; family employment program; interviewing; job sharing; overseas employment; student employment; temporary appointments; transfers; and related documentation and correspondence.

Record Copy: Human Resources; Academic Affairs
Retention: Permanent

Transfer the record copy to the University Archives when superseded.

Other Copies:
Retention: Until superseded or obsolete, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

25. Executive Evaluations Administration Records

Records documents the administration of routine performance evaluations of OUS chancellors and individual college and university presidents. Records may include appointment schedules; letters of follow- up and thank you; press releases and announcements; hotel and travel arrangements; and related correspondence.

Record Copy: President's Office, Oregon University System
Retention: 3 years, destroy.

26. Family and Medical Leave Case Files

Records document requests for leave and granted leaves by employees under provisions of the Federal Family and Medical Leave Act and the Oregon Family 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; Continuation of Health and Dental Insurance Benefits Memorandum; and related documentation and correspondence.

Record Copy: Human Resources
Retention: 3 years after case closed, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

27. Graduate Assistantship Applications Records

Graduate Teaching Fellow (GTF) Applications Records document applications of graduate students for Graduate Teaching Assistantships and Graduate Research Assistantships in academic programs. Records include applications developed by individual units; resumes and vitae; and related documentation and correspondence.

Record Copy: Units
Retention: (a) 5 years after application or termination of employment, whichever is longer for successful applicants, destroy; (b) 3 years for denied applicants, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

28. H-1 Visa Scholars Records

Immigration Forms-temporary employment, Petitions for Non-Immigrant Workers Records document 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 (Form I-797); Labor Conditions Applications for H-1B Non-immigrant; Prevailing Wage Information Request; Application to Immigrant and Naturalization Service (INS); documentation of requests for visa extensions; details of work assignments; and related documentation and correspondence including the letter of support.

Record Copy: International Affairs
Retention: 6 years after expiration of visa and extensions granted, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

29. Health Emergency Information Records

Records document the health identification information of students, faculty or staff. Health information may be collected for sponsored field trips, participation in physical education classes, and other activities. Information may include but is not limited to personal identification and physician’s name and contact information, and emergency contact and health insurance information. Note: These records are not the same as the Emergency Notification Forms found in the Personnel File.

Record Copy: Units
Retention: 1 year after the end of the event or activity for which this information was collected, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

30. Immigrant Visa Scholars Records

Immigration Forms-Permanent status Records document 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 for an advertised position; forms indicating the institution’s efforts to employ comparably qualified U.S. citizens (ETA750); interviewers’ notes and memoranda; and related correspondence.

Record Copy: International Affairs
Retention: 75 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

31. J-1 Visa Scholars Records

Immigration Forms-Visiting Scholars Records document 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 (IAP-66); descriptions of work to be performed; methods of financial support; copies of passports; check-in forms with personal data such as addresses, telephone numbers, and information concerning dependents; related correspondence, most often concerning eligibility of spouses and children to accompany or join the scholar; log sheets noting the nature of telephone calls concerning each scholar’s status; and related documentation.

Record Copy: International Affairs
Retention: 3 years after visa expiration, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

32. Layoff Administration Records

Records document policies and procedures administered by institution personnel offices with regard to layoffs. Records may include but are not limited to position elimination information; employee assistance information; layoff lists; management service layoff policy; news publications; salary funding requests; vacancy lists; and related documentation and correspondence.

Record Copy: Human Resources
Retention: 75 years, destroy.

33. Merit Increase and Trial Service Performance Appraisal Lists

Trial Service Performance Appraisal Lists Records document 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 (merit increase only); and trial service completion date (trial service only).

Record Copy: Human Resources
Retention: 6 months, destroy.

Other Copies: Units
Retention: Until end of list month, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

34. National Faculty Exchange Program Records

Records document an exchange program which allows university faculty members to exchange teaching positions with other institutions’ faculty members within the United States. Records include contracts; summaries; and related correspondence.

Record Copy: Academic Affairs
Retention: (a) Permanent for summaries; (b) 5 years for all other records, destroy.

Transfer the permanent records to the University Archives after 5 years.

35. Personnel Research Data Records

Records document the comparative salaries, benefits, collective bargaining agreements, staffing requirements, minimum qualifications, recruitment, and training of an institution’s employees. Records include but are not limited to published and unpublished data; statistical reports; and related documentation and correspondence.

Record Copy: Human Resources, Graduate School (for GTF and GTFF records)
Retention: Until superseded or obsolete, destroy.

Other Copies: Units
Retention: Until superseded or obsolete, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

36. Position Descriptions

Records document job descriptions for classified and faculty positions and is used for employee recruiting, Fair Labor Standards Act eligibility analysis, position review, and reclassification purposes. Information fields in the 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; Positions Listings; and related documentation and correspondence.

Record Copy: Human Resources
Retention: (a) 5 years after superseded, destroy; (b) 5 years for position reclassification records, destroy.

Other Copies: Units
Retention: Until superseded or obsolete, destroy.

37. Promotion, Tenure, and Salary Increase Records

Records document the periodic consideration of faculty who are eligible for changes in rank, tenure status, and/or pay. Records may include but are not limited to promotion and tenure dossiers compiled and presented by the faculty member as per instructions from Academic Affairs as well as other materials which are compiled and maintained for inclusion, analysis, and summarization into the dossier folders. The dossiers may include but are not limited to candidate dossier cover form or checklist; prior service agreement; Confidential Waiver for letters of evaluation; current position description; letters of evaluation; current curriculum vitae or resume; activity summary and evaluations of teaching, curriculum development and advising from students, participants/clients, and peers; candidate acknowledgment of dossier review; student evaluations of faculty summary reports; committee signature sheets; committee findings; recommendations of administrative superiors; and related documentation and correspondence. These files should always be maintained physically separate from departmental and college personnel files, but are considered to be a part of the academic personnel record.

Record Copy: Academic Affairs
Retention: 10 years, destroy

Other Copies: Units
Retention: 6 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

38. Recruiting Pool Records

Records document prospective applicants for faculty and staff positions drawn from either previous recruitments or unsolicited applications. Records may include but are not limited to curriculum vitae or resumes; cover letters; Applications for Employment; interview materials; position announcements; evaluations of prospective employees; and related correspondence.

Record Copy: Units
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

39. Residential Advisor (RA) Employees Records

Records document the selection process, requirements, and work history of residential advisors. RAs apply in the Winter Term for the following school year. After preliminary screening and approval applicants are required to enroll in a course designed for potential RAs taught by student housing staff. Records may include but are not limited to application forms; transcripts; recommendations; interviewers’ notes; notification letters; contracts which give duties and responsibilities, enrollment hours limitations, and signatures; papers or projects completed in the required RA course; staff evaluations of applicants and term-by-term evaluations of appointees; and related documentation and correspondence.

Record Copy: University Housing
Retention: 5 years after employee separation, destroy.

Other Copies:
Retention: 5 years after employee separation, destroy.

 

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

40. Retirement Incentive Program Records

Records document the cost of incentive programs providing benefits for university employees who choose early retirement. Records include agreements between the university and employees for lump sum, monthly, or annual payments; records of actual payments; and related correspondence.

Record Copy: Human Resources Benefits Office
Retention: 6 years after final payment, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

41. Sabbatical Leave Records

Records document sabbatical leave activities of institution faculty. Records may include but are not limited to reports; applications; contracts; and related documentation and correspondence.

Record Copy: Units
Retention: (a) Permanent for reports; (b) all other records 75 years, destroy.

Transfer the record copy to the University Archives after 5 years.

Other Copies: Units
Retention: 8 years, destroy.

42. Search Records

Records document the selection process for academic, classified and student 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; Certificate of Eligible’s; copies of Affirmative Action Compliance Data Forms; Requests to Fill Academic Position Forms; interview materials such as schedules, rating sheets, tallies, screening and interview notes, review committee notes and memoranda; telephone conversation notes; and related correspondence such as cover letters and reference letters. NOTE: Application materials of successful academic and classified candidates become part of the employee's personnel file.

Record Copy: Units
Retention: (a) 3 years after search completed for academic and classified search records, destroy; (b) 1 year for student search records, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

43. Staffing Policies Records

Records document the adoption and implementation of personnel and staffing policies at the college and/or unit level pertaining to topics such as faculty evaluations; faculty Retention; merit increases; performance evaluations; promotion and tenure, both instructions and guidelines; sabbatical leave, both policies and reports; salary adjustments, both guidelines and statistics; and support staff information. Records may include but are not limited to notations on priority staffing decisions; position descriptions; requests for approval of new staff positions; justification statements; descriptions of teaching responsibilities for positions requested; funding information; job announcements; memoranda; and related documentation and correspondence.

Record Copy: Units
Retention: 2 years after superseded or obsolete, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

44. Social Security Number Records

Records document 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 (CO-204); photocopies of social security cards; Controllers Division reports; and related documentation and correspondence.

Record Copy: Units
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

45. Student and Classified Employees Compensation Records

Compensation Records Records document and defines pay rates for classified and student employees. Records may include but are not limited to compensation plans; conversion tables for annual, monthly, hourly, and overtime rates; records concerning extra merit increase, merit pay system, overtime pay, shift differential, student pay, variable rate pay, and working out of class; and related documentation and correspondence.

Record Copy: Human Resources
Retention: Until superseded or obsolete, destroy.

Other Copies: Payroll, Units
Retention: Until superseded or obsolete, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

46. Student Employees Personnel Records

Records document the student employee’s work history from the supervisor’s perspective. This series may contain records for work-study and/or regular departmental budgeted student employees. This series may include resumes; interview questionnaires and notes; work referral forms; Student Schedule Slips; Financial Aid Employment Reference Forms; Student Employment Registration Forms; Personnel Actions Forms; Pay/Budget Action Forms; Work-Study Time Certificates; Performance Evaluations; Employee Withholding Allowance Certificate (W-4) forms; Payroll Check Delivery Authorizations; Requests for Emergency Payroll Draw Forms; commendations; recommendations; reprimands or notices of disciplinary action; notices of layoff; letters of resignation; work permits; copies of visas and related immigration status information; Student Driver Authorization Forms; Employment Eligibility Forms (I-9); home address/telephone disclosure authorizations; and related correspondence and documents. The series may also include photocopies of each employee’s drivers license; birth certificate; or Certificate of Student Employment Registration.

Record Copy: Units
Retention: (a) 5 years after employee separation for work-study student records, destroy; (b) 3 years after date of hire or one year after separation, whatever is longer for Employment Eligibility Forms (I-9), destroy; (c) 3 years after employee separation for other student employee records, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

47. Student Faculty/Course Evaluation Records

Instructor Evaluations, Teaching Evaluations, Course Evaluations Records document students’ evaluations of teaching personnel and is used to help determine faculty tenure, promotion, merit increases and/or to review instructional courses and programs. These records provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. Records include bubble forms (input documents); course reaction inventory printouts; statistical tabulations; summary reports; and related documentation and correspondence.

Record Copy: Units
Retention: (a) Until tabulated and verified for bubble forms, destroy; (b) 5 years for all other records, destroy.

Other Copies: Individual faculty dossier
Retention: 10 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

48. Tuition Reduction Records

Records document employee and/or dependents participation in courses or programs offered by OUS institutions at reduced tuition rates. Records may include but are not limited to staff fee requests to take classes, course agendas, descriptions and syllabi, course outlines and materials, enrollment and attendance records, training requests and authorizations, certificates of completion, related documentation and correspondence.

Record Copy:
Retention: 4 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

49. Volunteer Program Records

Records document the activities and administration of volunteer programs in the agency and institutions. Records may include but are not limited to volunteer applications, emergency notification forms, volunteer hour statistics, volunteer program publicity records, insurance requirement information, and related documentation. SEE ALSO Criminal Background Check Records in this section.

Record Copy: Human Resources, Units
Retention:(a) Retain individual volunteer records 5 years after volunteer separation, destroy; (b) Retain all other volunteer program records 5 years, destroy

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

50. Unemployment Compensation Claim Records

Records document claims submitted by former institution employees for unemployment compensation. Records may include but are not limited to claim records; notices; reports; records generated by the appeal of claim determinations; and related documentation and correspondence.

Record Copy: Human Resources
Retention: 2 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

51. Work Time Adjustment Agreements

Records document agreements between the employer and the employee regarding a change in the employee’s work hours. Records may include but are not limited to the official signed agreement; related documentation and correspondence.

Record Copy: Human Resources
Retention: Until superseded or obsolete, destroy.

Other Copies: Units
Retention: Until superseded or obsolete, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

 

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