GeorgiaCOE: COE Business Office: Human Resources

Record Retention - Human Resources

Title of Document	Retains Record Copy and Type	Dean’s Office Copy and Type	Department Copy and Type	Retention Time	Description of Document
G1 — Academic and Unclassified Employees Personnel Records	Human Resources	Dean;s Office (Business Office and Faculty Affairs) We’ll keep them for 50 yrs	YES PAPER	7 years following separation of employee from institution	This series documents 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; 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.
G2 — Academic & Unclassified Employees Personnel Records (Supervisor’s Copy)	Institutional executive offices, Colleges, Units	Deans Office	YES PAPER	3 years after employee separation	This series documents 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. Records may be exempt from public disclosure.
G3 — Affirmative Action & Equal Opportunity Records	Affirmative Action	Deans Office	YES PAPER	Permanent for narrative reports, policy, mission & goal statements, & EEOC Affirmative Action Plans; 2 years for all other records	Series documents agency or institution compliance with regulations of the U.S. Equal Employment Opportunity Commission including affirmative action. Records may include but are not limited to mission, goal, and policy statements, plans showing how compliance will be accomplished and updates, reports including EEO-6 and Vets 100 Employment Reports and statistics, executive department printouts, Ways and Means reports, AA compliance data sheets, case histories, and related documentation and correspondence.
G10 — Classified Employees Non-Routine Evaluations	Human Resources	Deans Office (we’ll keep them 50 yrs)	YES PAPER	3 years	This series documents 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.
G11 — Classified Employees Personnel Records	Human Resources	No	YES PAPER	7 years for employment applications, agreements or requests for position change, merit increase requests & notices, request for re-employment, resignation letters, employer termination letters, personnel action forms, layoff notices, designation of beneficiary forms, personnel evaluations, & resumes; 7 years for letters of reprimand; 7 years after employee separation for all other records	This series documents 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. Records may be exempt from public disclosure.
G14 — Classified Unsolicited Applications	Units	No	YES PAPER	3 months	This series documents 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.
G25 — Graduate Assistantship Applications Records	Units	No	YES PAPER	5 years after application or termination of employment, whichever is longer for successful applicants; 3 years for denied applicants	This series documents 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.
G35 — Promotion, Tenure, and Salary Increase Records	Colleges	Dean;s Office (Business Office and Faculty Affairs) paper & digital-50 yrs	YES PAPER	7 years after end of employment	This series documents 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.
G40 — Search Records	Units	Dean’s Office (Business Office and Faculty Affairs) paper	YES PAPER	2 years after search completed for academic & classified search records; 1 year for student search records	This series documents 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 Eligibles; 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. Portions may be exempt from public disclosure.
G41 — Staffing Policies Records	Human Resources	Dean’s Office paper and web	YES PAPER	2 years after superseded	This series documents 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.
G42 — Student & Classified Employees Compensation Records	Human Resources	Dean’s Office (Business Office) Paper and Digital	YES PAPER	2 years	This series documents 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.
G43 — Student Employees Personnel Records	Units	Dean’s Office (Business Office)	YES PAPER	5 years after employee suparation for work-study student records & 3 years after employee separation for other student employee records	This series documents 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.
G44 — Student Faculty/Course Evaluation Records	Units	Dean’s Office Academic Programs & OIT paper and digital	YES PAPER	7 years	This series documents 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.
G45 — Time, Attendance & Leave Records	Administering unit	Dean’s Office (Business Office) digital & paper	YES PAPER	Individual Leave Notifications: 4 years; Employee Cumulative Leave Record: 50 years	This series documents time and attendance and leave for faculty, classified and student employees. Records include: monthly time entry forms which may include hours worked, leave used, employee’s name, supervisor’s authorization, earnings information, and time distribution information; leave request forms; overtime authorization or certification; leave summary reports; leave without pay records; Work-Study time certificates and referrals; and related documentation.
G48 — Work Time Adjustment Agreements	Human Resources	Dean’s Office	YES PAPER	Until superseded or obsolete	This series documents 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.
G50 — Employment Division Summary Reports	Payroll	Dean’s Office (Business Office)	YES PAPER	10 years for annual reports & 3 years for monthly reports	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.
G66 — Student Time & Attendance Forms, Restricted Funds	Units	Dean’s Office (Business Office) Paper and Digital	YES PAPER	5 years after issuance of final financial report to awarding agency by the research accounting unit for records of all students paid from U.S. Dept. of Education awards; 3 years after issuance of final financial report to awarding agency by Research Accounting for records of regular student workers paid from other restricted funds; 3 years after issuance of final financial report to awarding agency by research accounting or 5 years, whichever is longer for records of work-study students paid from other restricted funds.	This series documents hours worked by student employees including those on work-study who are paid from restricted fund accounts. This series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. This series only includes departmental time and attendance forms.
G67 — Student Time Records	Payroll, Units	Dean’s Office (Business Office) Paper	YES PAPER	5 years	This series documents hours worked by student employees including those on work-study. The series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. This series may include but is not limited to: Work-Study Time Certificates and referrals; photocopies of payroll time cards; automatic time card program printouts; and departmental time and attendance forms.
G73 — Faculty and Staff Reports	Budgets and Planning	Dean’s Office (Business Office)	YES PAPER	Permanent, if preferred, for summaries; 5 years for all other records	This series documents the number of full time equivalent (FTE) positions in instruction, research, administration, public service, fellowships, and classified staff. This series consists of forms from departments showing FTE positions (including social security numbers) and office space required. The summaries include department total FTE for each of the principal activity categories listed above.
G74 — Personnel File Closeout Form	Human Resources	Dean’s Office (Business Office)	YES PAPER	50 years following employee separation	This series documents the number of full time equivalent (FTE) positions in instruction, research, administration, public service, fellowships, and classified staff. This series consists of forms from departments showing FTE positions (including social security numbers) and office space required. The summaries include department total FTE for each of the principal activity categories listed above.