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PERSONNEL RECORDS ALL DEPARTMENTS AUTHORIZATION 00-016

This authorization applies to all schools/colleges/divisions/departments/subdepartments or any other office entity of the University. This authorization does not apply to employee records retained by Human Resource Offices.

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  1. Payroll Records
  2. Employee File
  3. Prohibited Employee Records (originals or copies)
  4. Salary Increase/Justification Records

 

ITEM NUMBER

1. Payroll Records

Payroll records include: Time Sheets, Reports of Absence, Bi-Weekly Time Rosters, Monthly Salary Roster (exception reporting), Expense Distribution Reports and Additional Earnings Reports are all used to document employee pay. These records are kept by departments in a number of ways: by employee, account, month, pay cycle, etc.

Authorized Retention:

A. Time Sheets and Reports of Absence are original records and are to be kept for five (5) years, then destroyed as confidential records. For staff paid from grant funds, the five (5) year retention period starts at the end of the grant. (Time sheets and Reports of Absence at UMSL are kept in Human Resources Office.)

B. Time Rosters, Monthly Salary Rosters, Expense Distribution Reports, and Additional Earnings Reports are copies (Copy of Record retained in Payroll Departments) and are to be retained for reference value not to exceed two (2) years, then destroyed as confidential records.

NOTE: If Time Rosters, Monthly Salary Rosters, Expense Distribution and Additional Earnings Reports are kept in same file with Time Sheets and Reports of Absence, retain all for five (5) years per 1A above.

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2. Employee File

The employee file contains records used to monitor the employee’s work career in the department. The file may include, but not limited to, the following:

  • Personnel Action Forms, Supplemental Personnel Action Forms
  • Vacation, Sick Leave & Personal Leave Notices
  • Record of Vacation, Personal Days, and Sick Leave Reports
  • Staff Benefit Forms
  • Performance Appraisals
  • Education Assistance Program Questionnaire and Authorizations
  • Training/Development participation materials
  • Letters related to job performance or other similar correspondence
  • Emergency Contact Information (not Personnel Data Form/Personal Info Review Sheet)
  • Job application, Resumé
  • Disciplinary materials
  • Vitae, updates, reprints of articles written*
  • Tenure recommendations and correspondence regarding award or denial of tenure/promotion*
  • Service reports indicating proportion of time devoted to teaching, research administration, etc.*
  • Progress reports and evaluations*

Authorized Retention:

A. Support Staff files are to be retained for a period of reference value, not to exceed one (1) year after the employee’s termination, then destroy, EXCEPT all originals of disciplinary materials, performance appraisals, and letters related to job performance or other similar correspondence are to be forwarded to Campus Human Resource Services.

B. Academic Staff files are to be retained for a period of reference value, not to exceed one (1) year after the employee’s termination, then transferred to University Archives. 

If an employee transfers to a different department (any campus), this file must be forwarded to the employee’s new department.

* Most academic departments keep promotion and tenure records in separate files. If they are kept in the employee file, see Promotion and Tenure Retention Authorization 00-014 for retention requirements.

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3. Prohibited Employee Records (originals or copies)

Due to confidential issues, the following records/documents ARE NOT to be retained in departments at anytime.

A. Personnel Related

  • I-9 and related attachments
  • FMLA related documentation
  • Personal Data Forms (PDF)
  • Personal Information Review Sheets (PIRS)
  • Grievance information except that pertaining to a current or ongoing grievance procedure; should be maintained separately from departmental personnel files
  • Writ, garnishment, court order, tax levee or other legal documents
  • W-4 Form or any other tax documents
  • Any documents that provide information about the employee’s gender, race, ethnic origin, disability, veteran status, age

B. Medical Related:

  • Medical information of any kind, including Worker’s Compensation Claims, Reports of Injury, and Return to Work.  The only exception is as required under the accommodation provision of ADA.

Authorized Retention:

A. All original records in group A are to be sent to Campus Human Resource Services.  Copies of group A records CANNOT be made or kept in department offices. Any copies that departments have are to be destroyed as confidential records.

B. Employee medical records created or maintained as part of the monitoring and surveillance activities of the campus offices of Environmental Health and Safety, Risk Management, or other named offices responsible for such activities as hazardous waste, worker's compensation, industrial hygiene, radiation safety, etc., are to be retained by those offices.

Any original medical records that may be in other University offices that relate to the above activities are to be sent to the appropriate campus office. Copies of medical records CANNOT be made or kept in department offices. Any copies that departments may have are to be destroyed as confidential records.

If there are any questions regarding where such records are to be sent, contact Human Resource Services for guidance.

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4. Salary Increase/Justification Records

Salary increase/justification records include, but not limited to, letter of instructions for salary increases, listing of department staff and amount of salaries, salary evaluations and letters requesting or justifying salary increases for University staff.

Authorized Retention:

Retain for five (5) years after year documents are created and then destroy.

This authorization supersedes authorizations: 74-01-01, 82-13-01B, 82-13-02B, 78-10-01, 73-11-11C

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Reviewed 2011-12-22.