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STAFF BENEFITS OFFICE AUTHORIZATION NO. 41-104

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  1. Computer Reports Printouts
  2. Agreements and Contracts with Companies Providing Insurance, Annuities or Services
  3. Payments to Service Providers
  4. Unemployment Compensation Files
  5. Medical and Dental Claim Files
  6. Long Term Disability Claims
  7. Benefits Enrollment File
  8. Retired Personnel File

 

ITEM NUMBER

1. Computer Reports Printouts

These are periodic computer printouts such as Deductions Listing and payroll records obtained from various sources that are used in Staff Benefits for convenience of reference.  Any reports used for editing or that contain information not readily available elsewhere should have separate retention guidelines.

Authorized Retention:   

Retain for period of reference value only, not to exceed two (2) years.

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2. Agreements and Contracts with Companies Providing Insurance, Annuities or Services

These are contracts and agreements with companies providing insurance services or annuities to the University. 

Authorized Retention:

Retain for five (5) years after close of contract and the completion of all contractual payments; then destroy.

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3. Payments to Service Providers

These are records of payments by the University to insurance companies, plan administrators, consultants, etc.  They include worksheets for figuring payments, correspondence and copies of vouchers.  Official financial copies are kept in University Accounting system.

Authorized Retention: 

Retain current and 2 prior calendar year's records in the office.  Destroy older material.

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4. Unemployment Compensation Files

These are records of requests by terminated employees for unemployment compensation and related information and correspondence.

Authorized Retention:

 Retain for five (5) years; then destroy

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5. Medical and Dental Claim Files

These are records of paid medical or dental claims.  They include requests for reimbursement of expenses, provider’s reports, claim data forms, calculation sheets, correspondence, etc.  These files may be kept by the University or the plan Administrator as per agreement and may be kept in micro form or other suitable format.

Authorized Retention:

Retain for eight (8) years after final payment is made and destroy.

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6. Long Term Disability Claims

These are records of claims for long term disability benefits.  They include application, determination of eligibility worksheet, correspondence, etc.

Authorized Retention:

 A. Vested employees:  Transfer records to employee's Retired Personnel File (Item 8).

B. Non-vested employees:  Upon completion of payment of all obligations, check file for completeness, convert to microform, retain permanently.

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7. Benefits Enrollment File

These are records of an employee’s participation in various benefits plans offered by the University.  They include: New Set Ups, Benefits Plan Enrollment Cards, PAF’s; might also include: Evidence of Insurability, Salary Reduction Agreements, and Retirement Computation Record.

Authorized Retention:

 A. Vested employees:  Merge with purged personnel file from personnel office, microfilm and incorporate into Retired Personnel File (Item 8).         

B. Non-vested terminated employees:  Retain file for five (5) years after termination,  and destroy.           

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8. Retired Personnel File

These are the files that contain information about all vested (eligible for retirement benefits) former employees.  They contain microform copies of purged personnel files and benefits enrollment files.  In addition they may contain current paper copies of applications for retirement benefits, address changes, RAF’s, correspondence, etc.  These paper copies are converted to microform as necessary for space reduction and security. 

Authorized Retention:

 Upon completion of payment of all obligations to retiree or residual beneficiary, check file for completeness, convert to microform, retain permanently.

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This authorization supersedes authorization 73-36, Items 16-24; 78-9.

 

 

 

 

 

 

 

 

 


Reviewed 2012-08-08.