Employment Retention Schedule by yhm76485

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									           University of Nebraska Employment Records Retention and Disposition Schedule - Draft 1/10/07
           Legend: C = Current; S = Separation
                                                                                                                                                 Repository
                                                                                                                                               Outside HR/SAP
Count of                                                                                                                                                COLLEGE/
Documents     Doc. #    Grouping        Category   Sub-Category                  Document                    RETENTION       HR   SAP       VCAA      BUSINESS UNIT       DEPT   OTHER
                                                                  Background Check Information -
                                     Application
1             1        Recruitment                 Individuals    Mandatory (may or may not include           6 years    X
                                     Records
                                                                  Child & adult Registry Checks)
                                                                  Background Check Information -
                                     Application
2             1.1      Recruitment                 Individuals    Optional (may or may not include Child &    6 years    X
                                     Records
                                                                  adult Registry Checks)
                                     Application                  Background Check Information -
3             1.2      Recruitment                 Individuals                                                6 years    X
                                     Records                      Credit Reports
                                     Application                  Employment Application (where
4             2        Recruitment                 Individuals                                                4 years    X
                                     Records                      applicable)                                                                                         X
                                     Application                  Employment Application
5             2.1      Recruitment                 Individuals                                                4 years    X
                                     Records                      Information - Not Hired                                                                             X
                                     Application
6             3        Recruitment                 Individuals    Non-Selection Notification                  4 years    X
                                     Records                                                                                                                          X
                                     Application
7             4        Recruitment                 Individuals    References / Reference Letters              4 years
                                     Records                                                                                                                          X
                                     Application
8             5        Recruitment                 Individuals    Resume / Vita / Cover Letters               4 years
                                     Records                                                                                                                          X
                                     Recruitment
9             6        Recruitment                 Process        Advertisements                              4 years    X
                                     Material                                                                                                                         X
                                     Application
10            7        Recruitment                 Individuals    Application Summary Log                     4 years    X
                                     Records
                                     Application
11            8        Recruitment                 Individuals    Faculty Recruiting Files                    4 years
                                     Records                                                                                            X            X                X
                                     Application                  Search Committee Notes (interview
12            8.1      Recruitment                 Individuals                                                4 years
                                     Records                      questions, screening criteria, etc.)
                                                                                                                                                     X                X
                                   Application                    Affirmative Action Reports /
13            8.2      Recruitment                 Individuals                                                4 years    X
                                   Records                        Records
                                                                  Certification Statement-Equity,
                                     Recruitment                  Access & Diversity (UNMC-
14            9        Recruitment                 Process                                                    4 years    X
                                     Material                     Certification EEOC, AA including
                                                                  harassment)
                                                                  Memos of Record (files for past
                                     Application
15            10       Recruitment                 Individuals    employees, applications/resumes             4 years    X              X            X
                                     Records
                                                                  of unsuccessful candidates)
                               Recruitment
16            11       Recruitment                 Process        Job Description for Recruitment             4 years    X
                               Material                                                                                                                               X
                               Recruitment
17            12   Recruitment                     Process        Reclassification Requests                   4 years    X
                               Material                                                                                                                               X
                               Recruitment                        Salary Analysis - Internal/External
18            12.1 Recruitment                     Process                                                    4 years    X
                               Material                           Competitive                                                                                         X


           Last revised on 5/9/2010                                                                                                                                                 Page # 1
           University of Nebraska Employment Records Retention and Disposition Schedule - Draft 1/10/07
           Legend: C = Current; S = Separation
                                                                                                                                               Repository
                                                                                                                                             Outside HR/SAP
Count of                                                                                                                                              COLLEGE/
Documents     Doc. #    Grouping       Category     Sub-Category               Document                  RETENTION         HR   SAP       VCAA      BUSINESS UNIT       DEPT        OTHER
                                   Recruitment
19            13       Recruitment                  Process        Work Study Authorization               4 years
                                   Material                                                                                                                         X          X - Financial Aid
20            14       Recruitment Pre-employment   Individuals    Letter of Offer / Contracts            4 years                                                   X
21            15       Recruitment Pre-employment   Individuals    Pre-employment physical                4 years      X                                            X
                                                                   Physician's certification - ADA
                                                                   UNMC-Physician 's certification-
22            16       Recruitment Pre-employment Individuals                                             4 years      X
                                                                   ADA- Current Employees (WC or
                                                                   FMLA or Medical)

                                     Recruitment                   Personnel Requisition/Justification
23            17       Recruitment                  Process                                               4 years      X
                                     Material                      Forms                                                                                            X
                                     Application                   Employment Application
24            18       Active                       Employee                                             S + 7 years   X              X            X                X
                                     Records                       Information - Hired
                                     Application
25            19       Active                       Employee       Resume / Vita / Cover Letters         S + 7 years
                                     Records                                                                                          X            X                X
                                     Application                   Certification Statement-Equity,
26            20       Active                       Employee                                             S + 7 years
                                     Records                       Access & Diversity                                                                                          N/A - UNL
                                                                   Memos of Record (files for past
                                     Application
27            21       Active                       Employee       employees, applications/resumes       S + 7 years   X              X            X                X
                                     Records
                                                                   of unsuccessful candidates)
                                                                   Benefits Enrollment Form (inc.
28*           22       Active        Benefits       Employee       NUFLEX & Health Information for       S + 7 years   X
                                                                   life insurance app)
                                                                   Crisis leave donation / request /
29*           23       Active        Benefits       Hours/ Time                                          C + 7 years   X
                                                                   reports                                                                                          X
                                                                   FMLA documentation (with or
30            24       Active        Benefits       Physician info without Physician's certification     C + 7 years   X
                                                                   included)                                                                                        X
                                                                   Phased Retirement Contracts
31*           25       Active        Benefits       Employee                                             S + 7 years   X              X
                                                                   (Benefits)                                                                                       X
                                                                   Reimbursement Account -
32*           26       Active        Benefits       Employee                                             C + 7 years   X
                                                                   enrollment and claims
33            27       Active        Benefits       Employee       Retirement and Pension Records        S + 7 years   X
                                                                   Vacation / Sick Leave Requests
34            28       Active        Benefits       Hours/ Time                                          C + 7 years
                                                                   Paper                                                                                            X
                                     Employment -                  Appointment letters and ongoing
35            29       Active                       Employee                                             S + 7 years
                                     Ongoing                       employment                                                         X            X                X
                                     Employment -   Employee
36            30       Active                                      Corrective Action Form                S + 7 years   X              X
                                     Ongoing        Evaluation                                                                                                      X
                                     Employment -
37*           31       Active                       Employee       Employee Expense Reports              C + 7 years
                                     Ongoing                                                                                                                                   X - A/P
                                     Employment -                  Job Description
38            32       Active                       Employee                                             C + 7 years   X
                                     Ongoing                       (since last change)                                                                              X
           Last revised on 5/9/2010                                                                                                                                                        Page # 2
           University of Nebraska Employment Records Retention and Disposition Schedule - Draft 1/10/07
           Legend: C = Current; S = Separation
                                                                                                                                                        Repository
                                                                                                                                                      Outside HR/SAP
Count of                                                                                                                                                       COLLEGE/
Documents     Doc. #    Grouping      Category    Sub-Category                 Document                      RETENTION         HR       SAP        VCAA      BUSINESS UNIT       DEPT         OTHER
                                   Employment -
39            32.1 Active                         Employee       Reclassification Requests                   C + 7 years   X
                                   Ongoing                                                                                                                                   X
                                   Employment -                  Salary Analysis - Internal/External
40            32.2 Active                         Employee                                                   C + 7 years   X
                                   Ongoing                       Competitive                                                                                                 X
                                                                 Memos For the Record - MFR:
                                                                 (appointment, budgets, letter of
                                   Employment -                  commendation, corrective action,
41            33       Active                     Employee                                                   S + 7 years   X                  X             X                X
                                   Ongoing                       termination, service awards docs, emails,
                                                                 memos, notes on promotion, tenure, notes/
                                                                 emails to self regarding an employee)
                                   Employment -
42            34       Active                     Employee       N-card, Photo ID, NU ID Number              S + 7 years
                                   Ongoing                                                                                                                                              X - ID Office
                                   Employment -                  PAF (Personnel Action Form)
43*           35       Active                     Employee                                                   S + 7 years   X        X
                                   Ongoing                       [Faculty appointment data] etc.                                                                             X
                                   Employment -                  Recurring Payments (temp
44*           35.1 Active                         Employee                                                   S + 7 years   X        X
                                   Ongoing                       overloads, etc.)                                                                                            X
                                                                 Personal Data Form -PDF: (address
                                   Employment -                  changes, credentialing, supervisory
45            36       Active                     Employee                                                   S + 7 years   X        X
                                   Ongoing                       training, safety training, CDL driver's
                                                                 license, etc)                                                                                               X
                                   Employment -   Employee
46            37       Active                                    Performance Appraisals                      S + 7 years
                                   Ongoing        Evaluation                                                                                                                 X
                                   Employment -   Employee
47            37.1 Active                                        Evaluations on Faculty                      S + 7 years
                                   Ongoing        Evaluation                                                                                  X?            X                X
                                                                 CIEQ Form eARFA - faculty eval.
                                   Employment -   Employee       Questionnaire and
48            37.2 Active                                                                                    S + 7 years
                                   Ongoing        Evaluation     Accomplishments (Business
                                                                 Center)                                                                                                                N/A - UNL
                                   Employment -                  Purchasing card - Ownership &
49            38       Active                     Employee                                                   C + 7 years
                                   Ongoing                       Number                                                                                                                 X - Purchasing
                                   Employment -                  Electronic Annual Salary
50            39.1 Active                         Employee                                                   C + 7 years
                                   Ongoing                       Notification - Including Faculty                                                                                       X - Budget
                                   Employment -                  Salary Notification Letters -
51            39.2 Active                         Employee                                                   S + 7 years
                                   Ongoing                       Including Faculty                                                            X?            X                X
                                   Employment -
52            40       Active                     Grievance      Grievance Forms                             C + 7 years   X                  ?
                                   Ongoing
                                   Employment -                  Grievance Hearing Documents &
53            40.1 Active                         Grievance                                                  C + 7 years   X
                                   Ongoing                       Notes - EEO                                                                  ?
                                   Employment -                  Grievance Hearing Documents &
54            40.2 Active                         Grievance                                                  C + 7 years   X                  ?
                                   Ongoing                       Notes - Employment
                                   Employment -
55*           41       Active                     Employee       I-9                                         S + 7 years   X
                                   Ongoing                                                                                                                                   X

           Last revised on 5/9/2010                                                                                                                                                                  Page # 3
           University of Nebraska Employment Records Retention and Disposition Schedule - Draft 1/10/07
           Legend: C = Current; S = Separation
                                                                                                                                                             Repository
                                                                                                                                                           Outside HR/SAP
Count of                                                                                                                                                            COLLEGE/
Documents     Doc. #    Grouping       Category    Sub-Category                   Document                        RETENTION          HR       SAP       VCAA      BUSINESS UNIT         DEPT          OTHER
                                    Employment -
56*           41.1 Active                          Employee        Visa Forms & Work Permits                      S + 7 years    X
                                    Ongoing                                                                                                                                       X
                                    Employment -
57            42       Active                      Employee        Physician's certification - ADA                S + 7 years    X
                                    Ongoing
                                    Employment -                   SAP Confidentiality Statement /                                                                                              X - Compliance
58            43       Active                      Employee                                                       C + 7 years
                                    Ongoing                        Security Agreements                                                                                            X             Coordinator
                                    Employment -
59*           44       Active                      Physician info CDL drug & alcohol test                         S + 30 years
                                    Ongoing                                                                                                                                                     N/A
60*           45       Active       Payroll        Pay Related     Garnishments / Letters                         C + 7 years    X
                                                                   Remuneration Statement
61            46       Active       Payroll Data   Pay Related                                                    S + 7 years             X
                                                                   (access to pay advice)
                                                                   1042-S tax form
62*           47       Active       Payroll Data   Tax Reporting                                                  C + 7 years             X
                                                                   (nonresident aliens)
                                                                   8233 Forms
63*           47.1 Active           Payroll        Tax Reporting                                                  S + 7 years    X
                                                                   (claim tax treaty benefit)
                                                                   Exempt From Withholding
64*           47.2 Active           Payroll        Tax Reporting                                                  S + 7 years    X
                                                                   (nonresident alien)
65*           47.3 Active           Payroll        Tax Reporting   Tax Treaty Affidavit                           S + 7 years    X
66*           47.4 Active           Payroll Data   Tax Reporting   W-2                                            C + 7 years             X
67*           47.5 Active           Payroll Data   Tax Reporting   W-4                                            S + 7 years    X        X                                       X
                                                                   W-9 for nonresident alien meeting
68            47.6 Active           Payroll Data   Tax Reporting                                                  S + 7 years    X
                                                                   SPT
                                                                   Biweekly Time Sheets (inc. work
69*           48       Active       Payroll        Hours/ Time                                                    C + 7 years
                                                                   study)                                                                                                         X
                                                                   Off campus & other timesheets
70*           48.1 Active           Payroll        Hours/ Time                                                    C + 7 years
                                                                   input by Payroll                                                                                               X
                                                                   Direct Deposit- ACH: (initial enrollment
71            49       Active       Payroll Data   Pay Related     or not to enroll, amount adjustment request,   S + 7 years    X        X
                                                                   changes)                                                                                                       X
                                    Employment -                   Overtime / Compensatory
72            50       Active                      Employee                                                       S + 7 years
                                    Ongoing                        Agreement Form                                                                                                 X (If used)
                                    Employment -                   Interruption in Tenure - Faculty
73            51       Active                      Employee                                                       S + 7 years
                                    Ongoing                        Agreements                                                                       X            X                X?
                                    Employment -
74            52       Active                      Employee        Outside Activity Forms                         S + 7 years
                                    Ongoing                                                                                                         X            X                X
                                    Worker's                       First Report of Alleged
75            53       Active                      Employee                                                       S + 30 years   X
                                    Compensation                   Occupational Injury
                                    Worker's       Insurance       Worker's Compensation -
76            53.1 Active                                                                                         S + 30 years   X
                                    Compensation   Claims          Insurance Claims / Forms
77            52       Separation   Separation                     Checkout Forms                                 S + 7 years                                                     X




           Last revised on 5/9/2010                                                                                                                                                                       Page # 4
           University of Nebraska Employment Records Retention and Disposition Schedule - Draft 1/10/07
           Legend: C = Current; S = Separation
                                                                                                                                                  Repository
                                                                                                                                                Outside HR/SAP
Count of                                                                                                                                                 COLLEGE/
Documents     Doc. #    Grouping        Category   Sub-Category               Document                  RETENTION         HR       SAP       VCAA      BUSINESS UNIT       DEPT        OTHER

                                                                                                                                                                                  X - 3rd Party
78            52.1 Separation       Separation                    Exit Interviews                       S + 7 years   X
                                                                                                                                                                                  Admin. M/P & O/S
                                                                                                                                                                                  & Faculty Senate
79            53       Separation   Separation                    RIF notification                      S + 7 years   X                                                X
80*           54       Separation   Separation                    Vacation Payout E-mail                S + 7 years   X                                                X
81*           55       Separation   Separation                    Letter of Resignation                 S + 7 years   X                  ?                             X
82*           56       Separation   Separation                    Letter of termination                 S + 7 years   X                  ?            X                X
                                                                  Federal Benefits ACH Reports
83            57       Report       Benefits                                                            C + 7 years
                                                                  (IANR)                                                                                                          N/A - IANR
                                                                  Federal notification & Medicare
84            58       Report       Benefits                                                            S + 7 years
                                                                  Eligibility Form (IANR)                                                                                         N/A - IANR
85            59       Report       Benefits                      TIAA-CREF Separation Report           S + 7 years   X
86            60       Report       Benefits                      Tuition Remission Data                C + 7 years            X
                                                                  Vacation / Sick Leave / Comp Time
87*           61       Report       Benefits                                                            C + 7 years            X
                                                                  Reports                                                                                              X
                                                                  Vacation / Sick Leave Requests
88            62       Report       Benefits                      Reports (Monthly exception            C + 7 years
                                                                  reports)                                                                                             X
                                    Compliance
89            63       Report                                     AAUP Faculty Rosters                  C + 7 years
                                    Reporting                                                                                                                                     N/A (UNO & UNK)
                                    Compliance
90            64       Report                                     EEO-6 Report (IPEDS)                  C + 7 years   X                  X
                                    Reporting
                                    Compliance
91            65       Report                                     VETS 100 Report                       C + 7 years   X
                                    Reporting
                                    Application                   Affirmative Action Reports /
92            66       Report                                                                           C + 7 years   X
                                    Records                       Records
93*           67       Report       Payroll                       Formulated Payment Logs               C + 7 years                                                               N/A UNL only
94*           68       Report       Payroll                       Foundation Payments Log               C + 7 years                                                               N/A UNL only
                                                                  LOA Report / Negative /P00 report
95*           69       Report       Payroll                                                             C + 7 years   X
                                                                  / Negative /5PY report
                                                                  Manual Check Log / emergency
96*           70       Report       Payroll                                                             C + 7 years   X
                                                                  check requests
                                                                  Payroll closing docs (edits, time
97*           71       Report       Payroll                                                             C + 7 years   X
                                                                  errors etc…audit trail)
                                                                  Warrant voids (reverse / delete
98*           72       Report       Payroll                                                             C + 7 years   X
                                                                  documentation)
                                                                  Retirement Register of Separation
99            73       Report       Separation                    & Transfer of Federal Employees       C + 7 years
                                                                  (IANR)                                                                                                          N/A IANR
                                                                  Unemployment
100           74       Report       Separation                                                          C + 7 years   X
                                                                  claim/notification/response/billing


           Last revised on 5/9/2010                                                                                                                                                            Page # 5
           University of Nebraska Employment Records Retention and Disposition Schedule - Draft 1/10/07
           Legend: C = Current; S = Separation
                                                                                                                                                         Repository
                                                                                                                                                       Outside HR/SAP
Count of                                                                                                                                                        COLLEGE/
Documents     Doc. #    Grouping    Category             Sub-Category            Document                             RETENTION          HR   SAP   VCAA      BUSINESS UNIT   DEPT         OTHER
101           75       Misc      Labor Contract          Union        Labor Contracts / Negotiations                  Permanently                                                    N/A
                                 Compliance
102           76       Misc                              Employee          NEOC Files                                 C + 7 years    X
                                 Reporting
                                 Compliance                                Radiation Dosimetry records &
103           77       Misc                              Employee                                                     S + 30 years
                                 Reporting                                 exposure records                                                                                          Radiation Safety?
                                                                                                                      90 days after
                                                                           Employment verifications (for
104           78       Misc       Payroll                Employee                                                       response    X
                                                                           loans, etc.)
                                                                                                                        provided
                                      Records marked with * are records that may be disposed of after the required
                                      retention period, provided the audit has been completed with the audit report
                                                    released and all related audit comments resolved.




           Last revised on 5/9/2010                                                                                                                                                            Page # 6

								
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