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Personnel Records

Institutional Records Management

This Schedule applies to records in all media, unless otherwise specified.

  • Items - a sample listing of items found within a series. Other related records not listed may also be part of a series.
  • Disposition - all dispositions are minimum requirements and include, where applicable, transfer to the custody of the University Archives for appraisal and final disposition.
  • Destruction - takes place in the office. Any record with confidential or sensitive information shall be properly destroyed by shredding or by means to ensure that the records cannot be physically recreated.
  • Original and Reference Copy -original copy (also known as a record copy) is the official authorized copy kept by the office charged with creating or maintaining the record copy. Reference copies (also known as convenience copies) are preserved for the convenience of reference or ease of access.

No destruction of records may take place if litigation or audits are pending or reasonably anticipated or foreseeable.

Refer to prefatory material for additional instructions or contact your university's records officer for clarification.


  • GU174 Alcohol and Drug Abuse Program
  • GU175 Affirmative Action and Equal Opportunity (EEO)
  • GU176 Aggregate Service History
  • GU177 Applications for Employment (See also: Search Committees)
  • GU178 Conflict of Interest
  • GU179 Death Claims
  • GU180 Disability Salary Continuation Claim
  • GU181 Disciplinary Actions
  • GU182 Dual Employment (See also: Secondary Employment)
  • GU183 Educational Leave and Reimbursement
  • GU184 Employee Assistance Programs
  • GU185 Employee Surveys
  • GU186 Family Medical Leave Act (FMLA)
  • GU187 Garnishments
  • GU188 Grievances
  • GU189 Insurance Enrollment
  • * * * * Internships / Assistantships / Fellowships (See: Internships / Assistantships / Fellowships in Administrative Section)
  • GU190 I-9 Forms
  • GU191 Leave
  • GU192 Medical Records (Employee) See also: Employee Medical in Safety Section
  • GU193 Performance Evaluation and Management
  • GU194 Personnel File (Active) - EPA
  • GU195 Personnel File (Inactive) - EPA
  • GU196 Personnel File (EPA) One Time Payments
  • GU197 Personnel File (Active) - SPA
  • GU198 Personnel File (Inactive) - SPA
  • GU199 Position Classifications
  • GU200 Reappointment, Promotion and Tenure
  • GU201 Reduction-in-Force
  • GU202 Retirement Benefits
  • GU203 Search Committees
  • GU204 Secondary Employment (See also: Dual Employment)
  • GU205 Student Assistants / Work-Study Students
  • GU206 Time Sheets
  • GU207 Training Programs (See also: Conferences, Training Programs and Workshops - Attended in Administrative Section)
  • GU208 Voluntary Shared Leave
  • * * * * Workers' Compensation (See: Workers' Compensation in Administrative Section)

Personnel Records

Series # Series Title Series Description Items Disposition
GU174 Alcohol and Drug Abuse Program Records concerning alcohol and drug abuse rehabilitation program for university employees. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality.   Destroy in office after 3 years.
GU175 Affirmative Action and Equal Opportunity (EEO) Agency participation in federal and state affirmative action / equal opportunity programs. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality. correspondence, regulations, guidelines, reports, directives, recruitment plans, equal opportunity statements, full-time and EPA non-faculty actions, faculty employment reviews, procedures Original: Transfer policies, guidelines, correspondence, affirmative action plans and compliance reviews to University Archives after 5 years. Destroy in office remaining records after 5 years.
Reference: Destroy in office after 5 years.
GU176 Aggregate Service History Complete history of employee's service. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality. forms, reports, correspondence Transfer to appropriate individual personnel file when completed.
GU177 Applications for Employment
(See also: Search Committees)
Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality. applications, resumes, vitae, recommendations, correspondence, other related records Original: Transfer applications and other records for individuals hired to appropriate personnel file when individual accepts position. Destroy in office applications and other records that are not solicited and for individuals not hired 3 years after date of receipt, if no charge of discrimination has been filed. If charge has been filed, destroy 1 year after resolution of charge.
Reference: Destroy in office when employment decision is made.
GU178 Conflict of Interest Possible conflicts of interest between university employees and outside agencies. forms, correspondence Original: No conflict - destroy after 3 years. Potential / actual conflict - destroy 6 years after resolution of conflict.
Reference: Destroy in office after 3 years.
GU179 Death Claims Death claims on all retired and active employees. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality.   Destroy in office 5 years after claim is paid.
GU180 Disability Salary Continuation Claim Claims completed by disabled employees to apply for salary continuation benefits. Comply with G.S. 126-22 regarding confidentiality. applications for salary continuation, claim forms Original: Transfer to agency handling disability claim.
Reference: Transfer to appropriate individual personnel file.
GU181 Disciplinary Actions Disciplinary actions brought against university employees for violations of university rules and regulations. Comply with applicable provisions of G.S. 125-22, G.S. 126-22/20, G.S. 126-23, G.S. 126-24 and G.S.132-1.1 regarding confidentiality of records. correspondence, forms Original: Destroy in office 5 years after final resolution. Destruction after final resolution may occur earlier if permitted by state law.
Reference: Destroy in office when reference value ends.
GU182 Dual Employment
(See also: Secondary Employment)
Employees requesting and engaging in dual employment within state government or universities. correspondence, forms Destroy in office approved requests and related records 1 year after employee terminates outside employment. Destroy in office disapproved requests and related records after 6 months. Destroy in office remaining records when reference value ends.
GU183 Educational Leave and Reimbursement Requests for educational leave and tuition reimbursement. Comply with 20 U.S.C. 1232g.   Destroy in office after 3 years.
GU184 Employee Assistance Programs Programs related to assistance and counseling opportunities. Comply with applicable provisions of G.S. 126-22 / 29, G.S. 132-1.1 regarding confidentiality. requests for information, referrals, correspondence, forms, releases Destroy in office after 3 years.
GU185 Employee Surveys Completed faculty or staff surveys. summary reports, conclusions Transfer results and conclusions to University Archives after 5 years. Destroy in office surveys and working papers when administrative value ends.
GU186 Family Medical Leave Act (FMLA) Leave issued under the Family Medical Leave Act (FMLA), 29 U.S.C. 2601 et seq. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 and medical records G.S. 130A-374 and FMLA regarding confidentiality.   Original: Destroy in office 5 years after date of last activity.
Reference: Destroy in office when reference value ends.
GU187 Garnishments Garnishments of employees' wages. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality. statements, forms, correspondence Original: Destroy in office 3 years after termination of deduction.
Reference: Destroy in office when reference value ends.
GU188 Grievances Employee grievances. Comply with applicable provisions of G.S. 126-22/29 and G.S.132-1.1 regarding confidentiality.   Original: Destroy in office 3 years after resolution of grievance.
Reference: Destroy in office upon resolution of grievance.
GU189 Insurance Enrollment Health, life and related insurance plans available to employees. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S 126-24 regarding confidentiality. applications, medical histories, fee schedules Destroy in office 2 years after account is closed.
* * * * Internships / Assistantships / Fellowships
(See: Internships / Assistantships / Fellowships in Administrative Section)
    (See GU29)
GU190 I-9 Forms Employment verification. 8 C.F.R. 274a.2(b)(2)(i)   Destroy in office 3 years after date of hire or 3 years after termination of employment whichever is longer.
GU191 Leave Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality of records. leave requests, monthly leave reports, yearly leave recapitulations, correspondence, military leave Original: Destroy in office after 5 years.
Reference: Destroy in office when reference value ends.
GU192 Medical Records (Employee)
See also: Employee Medical in Safety Section
Records concerning medical and health status of university employees, other than medical records referred to in GU209 (Employee Medical) relating to exposure of hazardous materials. Comply with applicable provisions of HIPAA, G.S. 126-22, G.S. 126-23, G.S. 126-24 and G.S. 130A-374 regarding confidentiality of records. medical leave permit forms, workers compensation injury reports, treatment reports Destroy in office 6 years after employee terminates service.
For medical records that relate to exposure of hazardous materials refer to GU209.
GU193 Performance Evaluation and Management Records concerning employees' goals and primary tasks. work plan, development plan, performance evaluations Original: Destroy in office after 3 years.
Reference: Destroy in office when superseded or obsolete.
GU194 Personnel File (Active) - EPA All employees exempt from the State Personnel Act. Comply with applicable provisions of G.S. 126-22, G.S. 126-23, G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality of records. applications, correspondence, resumes, vitae, promotions, demotions, transfers, personnel action forms, salary, termination of employment, social security numbers verification, driver's license Transfer to Personnel File (Inactive) - EPA (GU195) after separation or termination of service.
GU195 Personnel File (Inactive) - EPA All employees exempt from the State Personnel Act. Comply with G.S. 126-22, G.S. 126-23, G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality of records. applications, correspondence, resume, vitae, promotions, demotions, transfers, personnel action forms, salary, termination of employment, social security numbers verification, driver's license
Transfer to University Archives 30 years after separation or termination of services.

Procedures for UNCG
Departments and offices will send personnel files of departed EPA employees to the appropriate director, dean, and/or vice chancellor one year after employee separates from UNCG.

The director, dean, and/or vice chancellor, upon receipt of department or office files, will merge all files into one file for each separated employee, and then transfer the file into the custody of the Office of the Provost.

The Office of the Provost will merge the departmental personnel file with the official EPA personnel file. This file then becomes the official inactive file and is maintained according to state and university retention requirements.
GU196 Personnel File (EPA) One Time Payments Employees hired to fulfill temporary, short-term duties. "One-Time Payments (OTPs)" apply to honoraria paid to visiting lecturers and consultants as well as to university staff and students who undertake duties outside and not in conflict with their regular work. Comply with applicable provisions of G.S. 126-22, G.S. 126-23, G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality of records. personnel action forms, correspondence Destroy in office 1 year after payment date.
GU197 Personnel File (Active) - SPA All employees subject to the State Personnel Act. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality of records. applications, correspondence, resumes, vitae, promotions, demotions, transfers, suspensions, disciplinary actions, personnel action forms, salary, termination of employment, social security verification, drivers license Transfer to Personnel File (Inactive) - SPA (GU198) after separation or termination of service.
GU198 Personnel File (Inactive) - SPA All employees subject to the State Personnel Act. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality of records. applications, correspondence, resumes, vitae, promotions, demotions, transfers, suspensions, disciplinary actions, personnel action forms, salary, termination of employment, social security verification, drivers license
Destroy in office 30 years after separation or termination.

Procedures for UNCG
All SPA personnel records are to be transferred to the Human Resource Services (HRS) to be incorporated into the official SPA personnel file one year after an SPA employee separates from UNCG. The resulting file then becomes the official inactive personnel file, and is maintained according to state and university approved retention requirements

GU199 Position Classifications Position classifications approved by the Office of State Personnel. position classification forms, lists of titles and position numbers, correspondence Destroy in office when administrative value ends.
GU200 Reappointment, Promotion and Tenure Comply with applicable provisions of G.S. 126-22, G.S. 126-23, G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality of records. correspondence, recommendations, reports, articles, curriculum, vitae, resume, list of publications, evaluations, research activities Original: Transfer records concerning award of reappointment, promotion or tenure to individual's Personnel File (Active) - EPA when granted. Destroy in office remaining records after 2 years.
Reference: Destroy in office when reappointment, promotion or tenure decision is made.
GU201 Reduction-in-Force Compilation of data regarding reduction-in-force situations. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality of records. reports, forms, correspondence, list of employees Transfer forms and correspondence to official personnel file 1 year after employee terminates service.
Destroy in office remaining records when administrative value ends.
GU202 Retirement Benefits Retirement beneficiaries for death benefits, personal data of employees who plan to retire or have retired, descriptive information about retirement system and other related topics. Comply with applicable provisions of G.S. 126-22, G.S. 126-23 and G.S. 126-24 regarding confidentiality.   Transfer forms concerning beneficiaries to the Department of State Treasurer, Retirement Systems Division or other retirement plan, when received. Destroy in office remaining records when reference value ends.
GU203 Search Committees Comply with applicable provisions of G.S. 126-22, G.S. 126-23, G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality of records. correspondence, resumes, applications, forms, interview notes, policies, reports, charge, roster Original: Transfer application materials of successful candidates immediately after official offer of employment is accepted to Personnel file. Destroy in office application materials of unsuccessful candidates 3 years after date position is filled if no charge of discrimination has been filed. If charge has been filed, destroy 1 year after resolution of charge.
Reference: Destroy in office upon completion of committee's charge.
GU204 Secondary Employment
(See also: Dual Employment)
Employees' requests regarding engaging in secondary non-state employment.   Destroy in office approved requests and related records 1 year after employee terminates outside employment. Destroy in office disapproved requests and related records after 6 months. Destroy in office remaining records when reference value ends.
GU205 Student Assistants / Work-Study Students Comply with applicable provisions of G.S. 126-22, G.S. 126-23, G.S. 126-24, G.S. 126-29 and G.S. 132-1.1 regarding confidentiality of records. time sheets, correspondence, schedules, evaluations, job descriptions, payroll Destroy in office 5 years after student terminates employment.
GU206 Time Sheets See Series Title   Destroy in office after 5 years and when posted to applicable retirement plan.
GU207 Training Programs
(See also: Conferences, Training Programs and Workshops - Attended in Administrative Section)
Certification of completion of a training program. Registration forms, certificates Original: Transfer certification of completion to individual's personnel file. Destroy in office remaining records when administrative value ends.
Reference: Destroy in office when administrative value ends.
GU208 Voluntary Shared Leave Participation in the voluntary shared leave program. applications, forms, leave reports, correspondence, requests Destroy in office after 5 years.
* * * * Workers' Compensation
(See: Workers' Compensation in Administrative Section)
    See GU49

**** Indicates duplicate listing