Records Retention Schedules
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Personnel
9-1 Institutional Personnel Files File is subject to 51 O.S., §24
Description:
Individual personnel file for faculty and staff. Each file may include application, resume recommendations, personnel actions, job descriptions, correspondence, awards, disciplinary actions, retirement enrollment cards, insurance enrollment cards, yearly goals and objectives, performance evaluations, professional information such as publications, grants, and tenure information, and other records relating to an individuals employment history.
Disposition:
Retain in office until faculty or staff terminates, then transfer to Inactive Institutional Personnel File (Series 9-2). Amended January 12, 2000
9-2 Inactive Institutional Personnel File Confidential Record 51 O.S., §24A.7
Description:
Same information as in Series 9-1.
Disposition:
For permanent faculty and staff who did not become members of the Oklahoma Teachers Retirement System or another state agency retirement system, transfer files to the Institutional Archives for permanent preservation. For temporary, part time and permanent faculty and staff who did become members of the Oklahoma Teachers Retirement System or another state agency retirement system, destroy files after five (5) years. Amended April 12, 2000
9-3 Disciplinary Records File File is subject to 51 O.S., §24
Description:
Records concerning disciplinary actions brought against university employees for violations of university rules and regulations.
Disposition:
Retain in office. If not contested, transfer to individual personnel file (Series 9-1). If contested, transfer to individual personnel file (Series 9-1) after exhaustion of all legal remedies.
9-4 Grievance File
Description:
Records concerning employee grievances.
Disposition:
Retain in office until two (2) years after exhaustion of all legal remedies, then destroy.
9-5 Position Description File
Description:
Description of university positions.
Disposition:
Retain in office until superseded, then destroy provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies.
Amended April 13, 1988
9-6 Applications for Employment File File is subject to 51 O.S., §24A.7
Description:
Applications for employment. File may also include resumes, recommendations, correspondence, and related records.
Disposition:
(1) For applicants who are hired file in records applicable Personnel File (Series 9-1). (2) For applicants who are not hired, retain all applicable records in agency for two (2) years after making of the records or the personnel action involved, whichever occurred later, then destroy provided no legal actions involving hiring or promotion are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements. [29 CFR, §1602.49]
Language Correction April 15, 1987
Amended April 15, 1992
9-7 Affirmative Action/Equal Opportunity File
Description:
Records concerning university affirmative action equal opportunity programs. File may include regulations and guidelines, policies, reports, correspondence, studies, and related records.
Disposition:
Retain in office five (5) years after superseded or obsolete, then destroy provided no legal actions are pending. If legal actions are pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Language Correction April 15, 1987
9-8 Worker's Compensation Administrative File
Description:
Records concerning the administration of worker's compensation programs or policies. File may include regulations and guidelines, policies, reports, correspondence, reference material, and related records.
Disposition:
Retain in office five (5) years after superseded or obsolete, then destroy provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Language Correction April 15, 1987
9-9 Worker's Compensation Medical and Claim File File is subject to 51 O.S., §24
Description:
Records concerning worker's compensation claims against university. File may include legal opinions and briefs, court documents, transcripts, affidavits, correspondence, photographs, findings, and recommendations, and related records. CompSource Oklahoma (Schedule 88-12, Series 9-3 through 9-8 is the office of record for unlitigated claims). Worker's Compensation Court is the office of record for litigated claims (Schedule 79-09, Series 1-1).
Disposition:
Retain in office until two (2) years after exhaustion of all legal remedies, then destroy.
Amended July 18, 2001
9-10 W-2 Forms File is subject to 51 O.S., §24
Description:
Agency copies of summaries of employee earnings used for filing federal and state income tax returns. Compiled by Office of State Finance for each agency.
Disposition:
Retain in office five (5) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after the exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Language Correction April 15, 1987
9-11 FICA Quarterly Reports File is subject to 51 O.S., §24A3
Description:
Quarterly computer printouts from the Office of State Finance listing employee wages and tax deductions. Agency copy is state office of record copy.
Disposition:
Retain in office until one (1) year after all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending, then destroy. If legal action is pending, destroy two (2) years after the exhaustion of all legal remedies.
Amended January 13, 1999
9-12 Employee Health Insurance File
Description:
Copies of claims for reimbursement under contracted employee group, life, health, and accident insurance policy, as well as supporting documents.
Disposition:
Retain in office five (5) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after the exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Language Correction April 15, 1987
9-13 Unemployment Compensation Claims
Description:
Correspondence and documentation concerning claims, appeals and decisions concerning claims for unemployment compensation.
Disposition:
Retain in office five (5) years, then destroy provided no legal actions are
9-14 Payroll Information Files File is subject to 51 O.S., §24
Description:
Deduction forms, requests for changes in deductions for insurance, credit union, bonds, tax withholdings, and other documents pertaining to payroll calculations and preparations.
Disposition:
Retain in office until one (1) year after all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending, then destroy. If legal action is pending, destroy two (2) years after the exhaustion of all legal remedies.
9-15 Daily Attendance Records (Record Copy)
Description:
Records used to compile attendance and leave statistics for payroll preparations. File may include sign/sign out sheets or their equivalent.
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Amended April 28, 2005
9-16 Employee Leave Requests (Record Copy)
Description:
Leave forms completed by employees who have taken leave.
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are
9-17 Recruitment and Search Committee Files File is subject to 51 O.S., §24A.7
Description:
Search and recruiting records concerning searches for new or replacement university personnel. File may include correspondence, resumes, vita, applications and related documents.
Disposition:
Retain in office and transfer records of successful candidates to applicable Personnel Files (Series 9-1). Retain all other records for two (2) years after making of the records or the personnel action involved, whichever occurred later, then destroy provided no charge of discrimination has been filed. If a charge of discrimination has been filed destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements. [29 CFR, §1602.49]
Amended April 15, 1992
9-18 Recruitment File--Policies and Procedures
Description:
Records concerning the policies and procedures for recruitment of Presidents, Deans, Faculty, and Administrative personnel.
Disposition:
Retain in office for two (2) years after superseded or obsolete, then transfer to the Institutional Archives for permanent preservation.
9-19 Personnel Awards and Honors File
Description:
Records concerning College awards and honors received by faculty and staff members. File may include recommendations, approvals, personal reference information and relate records.
Disposition:
Transfer one (1) copy to Personnel File (Series 9-1) and retain one (1) copy in office for two (2) years, then transfer to Institutional Archives for permanent preservation.
Amended April 12, 2000
9-20 Adjunct Faculty File
Description:
Personnel file for Adjunct Faculty in department. File may contain vita, resumes, list of publications, and grants.
Disposition:
Retain in office until five (5) years after expiration of contract, then destroy provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Amended April 13, 1988
9-21 Faculty Roster File
Description:
Listings of departmental faculty.
Disposition:
Retain in office until two (2) years after superseded, then destroy.
9-22 Tenure and Promotion File File is subject to 51 O.S., §24
Description:
Records concerning faculty tenure and promotion.
Disposition:
Transfer substantive material to faculty personnel file (Series 9-1). Retain remainder in office five (5) years, then destroy provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Amended July 14, 1993
9-23 Sabbatical Leave File
Description:
Requests and Authorizations and Board actions.
Disposition:
File one (1) copy in personnel file (Series 9-1). Retain one (1) copy in office until two (2) years after termination of employment, then destroy.
9-24 Faculty and Staff Handbook
Description:
Description of employee benefits and policies and procedures of the institution.
Disposition:
Retain in office until superseded, then transfer one (1) copy to the Institutional Archives for permanent preservation. Amended April 13, 1988
9-25 Salary Schedule/Programs
Description:
Wage grades, placement information, and related information.
Disposition:
Retain in office three (3) years, then destroy.
9-26 Faculty Contracts
Description:
Contract for the hiring of all faculty.
Disposition:
Retain in office until five (5) years after expiration of contract, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added April 12, 1989
9-27 Employees Health Insurance Files (Colleges and Universities)
Description:
Copies of claims for reimbursement under existing group, life, health and accident insurance policy, as well as supporting documents.
Disposition:
Retain in office five (5) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending destroy two (2) years after the exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added October 14, 1992
9-28 Current Employee Rosters
Description:
Lists of employees by classes, grades, steps, and substitutions in budgeted classes.
Disposition:
Retain in office until superseded, then destroy .
Added July 13, 1994
9-29 Emergency Contact List File
Description:
Lists of staff to contact in case of an after hours emergency.
Disposition:
Retain in office until superseded, then destroy.
Added July 13, 1994
9-30 Personnel Transaction Freeze Exception Request [OPM Form 92]
Description:
Document submitted with a Request for Personnel Action form to the Office of Personnel Management by an agency requesting that a job be filled despite a mandated freeze on jobs.
Disposition:
Retain in office until one (1) year after all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending, then destroy. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 11, 1999
9-31 Faculty and Staff Incident Reports
Description:
Copies of reports of incidents and/or occurrences involving employees which do not result in risk management or worker's compensation claims.
Disposition:
Retain in office five (5) years, then destroy provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-32 Contractual Employment Records
Description:
Record copies of contracts, payment information, and other records pertaining to contractual employment. [For publications "that may or may not be financed by state funds but are released by private entities pursuant to a contract with or subject to the supervision of any agency," see 65 O.S. §3-113.2 (2) or other applicable statutes.]
Disposition:
Retain in office and destroy records pertaining to individual contract employees five (5) years after final payment, provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after the exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Amended April 28, 2005
9-33 Reduction in Force Plans
Description:
Copies of plans filed with the institution’s personnel office outlining how the agencies will proceed in the event of an ordered reduction in force. The institution’s copy is the state office of record copy.
Disposition:
Retain permanently in office.
Added January 12, 2000
9-34 Faculty and Staff Service Evaluation Records (Active)
Description:
Forms used to evaluate faculty and staff work performance. The institution’s copy is the state office of record copy.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-35 Acknowledgement of Receipt
Description:
Forms signed by faculty and staff acknowledging receipt of Institution’s Policies and Procedures Manuals, Retirement System Benefit Information, and other employment related materials and publications.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-36 Longevity Records
Description:
Copies of OPM Form 52 (Longevity Certification Forms) completed by employees under provisions of pay plan passed by Legislature. Forms list employee names, social security numbers, and data relating to length of time in state service.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-37 Retirement Enrollment Application
Description:
Form used to enroll faculty and staff in the Teachers’ Retirement System. Teachers Retirement System (Schedule 82-23, Series 6-1A and 6-1B) is the state office of record.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-38 Job Announcements (Record Copy)
Description:
Record copies of internal recruitment announcements of job openings. For records pertaining to actions taken to fill vacancies, see Recruitment and Search Committee Files (Series 9-17).
Disposition:
Retain in office until two (2) years after making of the record or the personnel action involved, whichever occurred later, then destroy provided no legal actions pertaining to hiring or promotion are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements (29
CFR §1620.31). Amended April 28, 2005
9-39 Financial Disclosure Statements
Description:
Copies of financial disclosure statements filed with the Ethics Commission. The Ethics Commission is the state office of record. (Schedule 93-01, Series 1-3 A&B)
Disposition:
Retain in office two (2) years, then destroy.
Added January 12, 2000
9-40 Benefits Information (Record Copy)
Description:
Files pertain to benefits available to University faculty, staff and students. Information includes material from the various medical and dental providers, investment, deferred compensation and retirement options, rate plans, beneficiary designation forms, etc. Institution’s office responsible for benefits administration maintains the state office of record copy.
Disposition:
Retain in office until one (1) year after superseded, then destroy.
Amended April 28, 2005
9-41 Request for Personnel Action Records
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Description: |
Copies of OPM Form 14 (Request for Personnel Action) used to document changes in an employee's status, such as appointments, separations, promotions, demotions, and leave taken. The Office of Personnel Records (continued) Personnel Management is state office of record (Schedule 82-13, Series 1-1). |
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A. |
Disposition: |
File in applicable Institutional Personnel File (Series 9-1). Added January 12, 2000 |
B. Disposition:
For temporary faculty and staff, retain in office until five (5) years after he/she leaves the institution, then destroy.
Added January 12, 2000
9-42 Chemical Information Lists (CIL)
Description:
Records used to document faculty and staff exposure to hazardous substances in the work place. Information includes faculty and staff names and all hazardous substances present in their work areas.
Disposition:
Retain in office until faculty or staff member terminates employment, then transfer to the State Records Center. Destroy records when they become forty (40) years old provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements
[29 CFR §1910.1020]. Added January 12, 2000
9-43 Garnishment Records
Description:
Copies of garnishment of salary records filed with county clerks.
Disposition:
Retain in office and destroy one (1) year after notification by court of payment of obligation or release of payment of obligation.
Added January 12, 2000
9-44 IRS Levies Records
Description:
Orders issued by the Internal Revenue Service requiring deductions from faculty and staff salaries for the payment of taxes owed to the federal government.
Disposition:
Retain in office and destroy one (1) year after notification of payment of obligation or final release of payment of obligation.
Added January 12, 2000
9-45 Immigration Reform and Control Act Records (Confidential Record 74 O.S. §3113)
Description:
Department of Justice Immigration and Naturalization Service Form I-9 (Employment Eligibility Verification) and supporting documentation.
Disposition:
Retain in office. Destroy one (1) year after person is no longer employed provided the records are at least three (3) years old and no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Amended January 27, 2005
9-46 Fair Labor Standards Act Time Sheets (Record Copy)
Description:
Weekly time sheets, time cards, or equivalent which may be signed by the staff and their immediate supervisors indicating actual hours worked, leave status hours and total hours for the week. These records are maintained to comply with the Fair Labor Standards Act, 29 CFR, §516, et. seq.
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Amended April 28, 2005
9-47 Request for Employee Evaluation
Description:
Institution copies of OPM Form-9 and OPM Form 4-B used to request evaluation of qualifications for proposed change to individual status. The Office of Personnel Management is the state office of record (Schedule 82-13, Series 1-1).
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-48 Application for Refund (Active)
Description:
Form used to refund monies to applicants who were ineligible for enrollment in the Teachers’ Retirement System, but who had submitted applications and payments. Records include enrollment and refund applications and correspondence. The Teachers’ Retirement System (Schedule 82-23, Series 6-1A and 6-1B, and Series 3-3A) is the state office of record.
Disposition:
Retain in office until faculty or staff member terminates, then transfer to Inactive Institutional Personnel File, (Series 9-2) or retain in office and file in Application for Refund (Inactive) files, (Series 9-49).
Added January 12, 2000
9-49 Application for Refund (Inactive)
Description:
Same type of records and information as Series 9-48, Application for Refund (Active).
Disposition:
Retain in office until five (5) years after termination of employment, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-50 Employee File Review Log
Description:
Record of individuals who have requested to review specific Institutional Personnel Files (Series 9-1 through 9-2). Data includes names and social security numbers of persons making requests, request dates, names of faculty or staff whose files have been requested, and initials of staff assisting with the file reviews.
Disposition:
Retain in office five (5) years, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-51 Notice of Right to Continued Coverage Records (Active)
Description:
Institution copies of a form completed by faculty and staff to allow them to continue insurance coverage under the Consolidated Omnibus Budget Reconciliation Act (COBRA) of July 1, 1986. The institution’s copy is the state office of record.
Disposition:
Retain in office until faculty or staff member terminates, then transfer to Notice of Right to Continued Coverage Records (Inactive), [Series 9-52]. Added January 12, 2000
9-52 Notice of Right to Continued Coverage Records (Inactive)
Description:
Same type of records and information as Series 9-51.
Disposition:
Retain in office until five (5) years after termination of employment, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-53 Change or Designation of Beneficiary Record
Description:
Form completed by faculty and staff to change or designate a beneficiary. The Teachers’ Retirement System (Schedule 82-23, Series 6-1A and 6-1B, and 6-2) is the state office of record.
Disposition:
Retain in office until faculty or staff member terminates, then transfer to Inactive Institutional Personnel File (Series 9-2). Added January 12, 2000
9-54 Application for Disability Benefits Records (Active)
Description:
Form completed by faculty and staff to apply for disability benefits. The Teachers’ Retirement System (Schedule 82-23, Series 6-1A and 6-1B) is the state office of record.
Disposition:
Retain in office and file in applicable Institutional Personnel Files (Series 9-1) or in Application for Disability Benefit Records (Inactive), (Series 9-55).
Added January 12, 2000
9-55 Application for Disability Benefits Records (Inactive)
Description:
Same type of records and information as Series 9-54.
Disposition:
Retain in office until five (5) years after termination of employment, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-56 IRS Form 1099
Description:
Institution copies of summaries of contract employee earnings used for filing federal and state income tax returns.
Disposition:
Retain in office five (5) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-57 Health Insurance Remittance Advice Forms
Description:
Record of staff and faculty payments for health insurance premiums for persons who are on leave without pay.
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-58 Health Plan Change Request Records (Active)
Description:
Form completed by faculty or staff when a change in health care coverage is desired.
Disposition:
Retain in office and file in applicable Institutional Personnel Files (Series 9-1) or retain in office until person terminates employment, then transfer to
Health Plan Change Request Record (Inactive), (Series 9-59). Added January 12, 2000
9-59 Health Plan Change Request Records (Inactive)
Description:
Copies of records in Series 9-58, Health Plan Change Request Records (Active), used solely for reference purposes.
Disposition:
Retain in office until five (5) years after termination of employment, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-60 Individual Leave Record for Year
Description:
Official individual leave record of faculty and staff posted on a yearly basis [OPM Form 1 or equivalent].
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-61 Compensatory Time Requests
Description:
Original requests for approved compensatory time completed by the staff and their supervisors.
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
Personnel Continued
9-62 Overtime Payment Authorization
Description:
Completed overtime payment authorizations and copies of Fair Labor Standards time report for personnel as required by the Fair Labor Standards Act.
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-63 Optional Insurance Coverage Cancellation (Record Copy)
Description:
Forms submitted to agency personnel office requesting cancellation of extra insurance coverage (other than state plan). The Institution’s personnel office is state office of record.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-64 U.S. Savings Bond Cancellation (Record Copy)
Description:
Forms submitted to Institution’s personnel office requesting cancellation of U.S. Savings Bonds. The Institution’s personnel office is state office of record.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-65 Staff Mediation Records
Description:
Forms, incoming memoranda, copies of outgoing memoranda, and other records pertaining to the resolution of staff mediation disputes.
Disposition:
Retain in office five (5) years, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-66 Staff Pre-termination Records
Description:
Notice of Proposed Adverse Personnel Action, Certificate of Prior Disciplinary Action, staff member’s response, affidavits, investigative reports, evidence and exhibits, tape recording of pre-termination hearing, pre-termination hearing decision, legal review, Notice of Final Adverse Action, Notice of Hearing.
Disposition:
Retain in office and destroy five (5) years after resolution provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added January 12, 2000
9-67 Automatic Deposit Transmittal Form (Confidential Record 51 O.S. §24A.7(A)(2))
Description:
File includes Automatic Deposit Transmittal Forms, such as OPM 73 or equivalent, containing faculty and staff’s completed personal banking information allowing participation in the State Employees Direct Deposit Program. Data includes employee name and address, Social Security Number, financial institution name and address and employing institution’s name.
Disposition:
Retain in office until two (2) years after termination of participation, then destroy, provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirement.
Amended July 31, 2008
9-68 Employee Assistance Program Records (Record Copy) Records are subject to 51 O.S., §24A.7(A)(2)
Description:
Pertains to employee participation in institutional sponsored Employee Assistance Programs, including the Department of Mental Health Employee Assistance Program (MHEAP) and contains background data, policy statements, information relative to confidentiality of information, and other records.
Disposition:
Retain in office and review on an annual basis. After completing the review, destroy duplicate and ancillary materials as well as substantive records three (3) or more years old no longer required for administrative purposes pertaining to participants who have not had contact with the program for at least six (6) months provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements. Added January 12, 2000
9-69 OSHA Log and Summary of Occupational Injuries and Illnesses
Description:
United States Department of Labor OSHA Form No. 200 or equivalent maintained as a log and summary record of "recordable" injuries and illnesses as defined in 29 CFR, §1904.1, et. seq.
Disposition:
Retain in office and destroy individual Log and Summary five (5) years "following the end of the year to which they relate." 29 CFR, §1904.6. Added January 12, 2000
9-70 OSHA Supplementary Record
Description:
United States Department of Labor OSHA Form No. 101 or equivalent maintained to record supplementary information about "recordable" injuries and illnesses as defined in 29 CFR, §1904.1, et. seq.
Disposition:
Retain in office and destroy Supplementary Records five (5) years "following the end of the of the year to which they relate."29 CFR, §1904.6.
Added January 2, 2000
9-71 Oklahoma Log and Summary of Occupational Injuries and Illnesses
Description:
Oklahoma Department of Labor Form OK No. 200 or equivalent maintained as a log and summary record of occupational injuries and illnesses as required by the Rules and Regulations of the Oklahoma Department of Labor.
Disposition:
Retain in office and destroy individual Log and Summary five (5) years following the end of the of the year to which they relate.
Added January 12, 2000
9-72 Employment History Cards
Description:
Card file used to summarize faculty and staff employment history from appointment through termination or separation.
Disposition:
Retain in office until faculty or staff member terminates, then transfer to applicable Inactive Institutional Personnel File (Series 9-2).
9-73 Retirement Notice and Application
Description:
Form completed by faculty and staff at least 60 days prior to selected retirement date. Data includes employee name, mailing address, social security number, and birthdate; requested retirement date; type of retirement; type of benefit; spouse consent, if applicable; and designated agent verification. The Teachers’ Retirement System (Schedule 82-23, Series 6-1A and 6-1B) is the state office of record.
Disposition:
Retain in office until faculty or staff member terminates, then transfer to Inactive Institutional Personnel File (Series 9-2). Added January 12, 2000
9-74 Application for Felony Offense Records Record is subject to 51 O. S., § 24A.7
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Description: |
Forms sent by institutions to the Oklahoma State Bureau of Investigation [OSBI] to initiate felony background checks of employees and prospective employees. [Records may be filed in applicable Institutional Personnel Files, (Series 9-1 or 9-2).] |
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A. |
Disposition: |
For employees who were not seeking promotions or applying for other positions within the institution at the time background investigations were initiated and whose background investigations indicated felony convictions, retain in office and destroy five (5) years after termination of employment provided no legal actions are pending. If legal action is pending, destroy two years after exhaustion of all legal remedies provided records meet all stipulated retention periods. Added January 12, 2000 |
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B. |
Disposition: |
For employees who were not seeking promotions or applying for positions within the institution at the time background investigations were initiated and whose background investigations did not indicate felony convictions, retain in office two (2) years, then destroy provided no legal actions are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention periods. Added January 12, 2000 |
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C. |
Disposition: |
For employees who were seeking promotions or applying for other positions within the institution at the time background investigations were initiated and whose background investigations do not indicate felony convictions, retain in office and destroy two (2) years after the making of the records or the personnel action involved, whichever occurred later provided no legal actions involving hiring or promotion are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements (29 CFR, §1620.31). Added January 12, 2000 |
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D. |
Disposition: |
For employees who were seeking promotions or applying for other positions within the institution at the time background investigations were initiated and whose background investigations indicated felony convictions, retain in office and destroy records five (5) years after termination of employment provided no legal actions are pending. If legal action is pending, destroy two years after exhaustion of all legal remedies provided records meet all stipulated retention periods. |
9-74 Application for Felony Offense Records Record is subject to 51 O. S., § 24A.7 (continued)
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|
Description: |
Forms sent by agencies to the Oklahoma State Bureau of Investigation [OSBI] to initiate felony background checks of employees and prospective employees. [Records may be filed in applicable Institutional Personnel Files, (Series 9-1 or 9-2).] |
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E. |
Disposition: |
For applicants for employment who are not hired, retain in agency two (2) years after making of the records or the personnel action involved, whichever occurred later, then destroy provided no legal actions involving hiring or promotion are pending. If legal action is pending, destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements (29 CFR, §1620.31). Added January 12, 2000 |
9-75 Family and Medical Leave Records 29 CFR §825.500
Description:
Agency records relevant to compliance and implementation of the Family and Medical Leave Act of 1993, including basic payroll information, FMLA leave taken, and medical histories (a complete list of records required to be kept to comply with the Family and Medical Leave Act is enumerated in 29 CFR §825.500).
Disposition:
Retain in office three (3) years, then destroy provided all audits have been completed and all applicable audit reports have been accepted and resolved by all applicable federal and state agencies and provided no legal actions are pending. If legal action is pending destroy two (2) years after exhaustion of all legal remedies provided records meet stipulated retention requirements.
Amended April 28, 2005
9-76 Annuity and Retirement Savings Plan Record
Description:
Institution copies of records pertaining to payroll deductions and institution contributions to faculty and staff supplemental retirement annuities and similar tax deferred annuity plans transacted with private firms and organizations. Information typically includes designation of, or change in designation of, the name(s) of companies to which contributions are to be sent and the amount to be withheld from the faculty or staff paycheck.
Disposition:
File in applicable Institutional Personnel File (Series 9-1).
Added January 12, 2000
9-77 Equal Employment Opportunity Commission (EEOC) Claims and Complaints
Description:
Record of EEOC claims and complaints filed by faculty or staff against their employing institution. Information includes reports; exhibits; withdrawal notices; copies of decisions; records of hearings and meetings; correspondence; copies of records related to hiring, promotion, demotion, transfer, layoff or termination, rates of pay or other terms of compensation, selection for training or apprenticeship; and all other “personnel records relevant to the charge or action.” [29 CFR §1602.49]
Disposition:
Retain in office until two (2) years after date of personnel action involved in complaint or claim, or, in the case of involuntary termination, until two (2) years after the date of termination then destroy provided no legal actions are pending. If legal actions are pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements. For cases involving charges of discrimination, or, if an action is brought by the Attorney General under title VII, or the American Disabilities Act (ADA), retain all personnel records relevant to the charge or action until final disposition of the charge or action then destroy provided no legal actions are pending. If legal actions are pending destroy two (2) years after exhaustion of all legal remedies provided records meet all stipulated retention requirements.
Added July 12, 2000
9-78 Visa Related Forms for Students, Staff and Faculty (Confidential Record 54 O.S. § 24A)
Description:
Files include information pertaining to J-1 visa holders who wish to transfer to another college/university or H-1B visa holders who wish to be employed by another college/university and require a new visa from U.S. Immigration or obtained a green card. Information includes copies of the U.S. Citizenship and Immigration Services forms DS 2019 (Certificate of Eligibility) or I-129 (Petition for a Non-Immigrant Worker) along with supporting documentation used to transfer the J-1 visa holder or the request for a new visa from U.S. Immigration on an H-1B visa holder to the new college/university.
Disposition:
Retain in office five (5) years after faculty, staff or student terminates employment, then destroy, provided no legal actions are pending. If legal action is pending, destroy two (2) years after the exhaustion of all legal remedies, provided records meet all stipulated retention requirements. Added October 30, 2008
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