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Division of Administration and FinanceUniversity of CincinnatiDivision of Administration and Finance

Division of Administration and Finance

FAQ for Centralizing Personnel Records

Why are we doing this?

By the University (Board) Rules, personnel records must be kept in Human Resources. At this time records are not in compliance, as they are being kept in multiple locations.

Our unit has a lot of (historical) records that still meet document retention parameters, but are not electronic. Does this guide apply to those documents?

Currently, this guide covers only documents created on or after July 1, 2012. However, we anticipate that the process for handling historical documents to be similar.

FAQ

How do I know who is responsible for preparing documents for scanning?

If prepared by unit in any paper form

If electronically prepared by unit in a software application (such as Microsoft Office)

If prepared by unit in any central system (such as PeopleAdmin or UC Flex)

If prepared or initiated by HR or other central source in any central system or in paper form

Must be prepped by unit for scanning and sent to HR

No scanning required. Upload document into HR Records Portal

No scanning required

Unit not responsible for scanning

What is the process for getting documents ready for scanning?

  1. Business unit generates and prints the separator/bar code sheets, following steps in the HR Records Portal.
  2. Prepare documents (remove staples, place in envelope/box) and send to HR.  HR will confirm the documents are accurately prepared for the scanning process.
  3. Drop off or deliver documents at/to HR.   

Note:   Our vendor will have the imaged documents available in the HR Records Portal  within a few days.  If a business unit has an urgent need for a paper document to be sent to vendor, boxes will be appropriately labeled and vendor can retrieve the document for the business unit.  All paper documents sent to vendor will be stored at vendor for 90 days after scanning is completed. 

If I have questions regarding how to prepare documents to deliver to HR, who should I contact?

Contact HR at 556-6381 or hronestop@uc.edu.

I have a lot of Time Off from Work Forms (A1328) for the same employee. Why do I need to create a barcode cover sheet for each one?

There are two considerations for making a barcode sheet for each form.

  1. If you must go back to look up a particular request, and scanned six forms with the same date, you may end up searching through several entries to find the one form you need.
  2. Consider that you are not the one who will have to search for the form. How would another administrator know how to search for a particular form if it was among several groups of forms?

What date do I use for the barcode cover sheet for a Time Off from Work Form (A1328): the request date, the approval date, the time off date?

To ensure consistency, it is best to use the first date requested off. For instance, if the employee requested six days off, 7/9/12 through 7/16/12, you would date the barcode cover sheet for 7/9/12.

I have never created a scanning cover sheet. What is it for and what is it supposed to look like?

The scanning cover sheet or barcode sheet (see sample at right; click to enlarge) is a sheet of paper that must be inserted between documents being sent to our vendor to scan. The barcodes are created by a Web application in our HR Records Portal, which tell the imaging software how to file the document into the HR Records database. The information the barcodes provide include:

  • Employee name and M #
  • Type of document
  • Date with which you want the record associated (date created, date of action, date finalized, etc.)

I am wary of letting the paper documents out of my sight. Shouldn’t I keep a copy until I know that the image has been filed in the system?

No. Keeping paper copies of documents sent for scanning is unnecessary and inefficient and out of compliance with AF Administrative Memo 103. The vendor is our trusted business partner. Making copies not only creates waste, but additional work as it will require shredding and tracking. Your time is better spent verifying the accuracy of your cover sheets. The vendor will have the imaged documents in the HR Records Portal within a few days and will store the original documents in their warehouse for ninety (90) days.

What if I have a document type that is not included on the list?

Contact HR at 556-6381 or hronestop@uc.edu.

What belongs in a Personnel File?

Examples of items that belong in a personnel file include (but not limited to) documents related to pre-employment or onboarding, data updates, performance management, court orders, compensation or separation. See the [Personnel Records Policy] and the [comprehensive list].

What DOES NOT belong in a Personnel File?

Examples of items that do not belong in a personnel file include medical records of any kind, FMLA paperwork and investigatory files. See the [Personnel Records Policy] for more information.

How should search committee files be stored (emails, discussions, notes, interview questions, minutes of meetings, etc.)?

The chair of the search committee should maintain a file of the committee’s activities for three years following the conclusion of the search. After three years the contents of the file should be shredded.

As a manager, I maintain information for each of my employees during the year. This information is useful in acknowledging an employee’s accomplishments and provides updates on their performance. Should this information be scanned?

No, but please contact HR at 556-6381 or hronestop@uc.edu with questions.

Who do I contact for assistance with the HR Records Portal?

Contact AFIT at 556-1477 or afit@uc.edu.

Who do I contact if I cannot view a document in the HR Records Portal?

Contact HR at 556-6381 to research the problem.

Will an employee’s entire personnel file be stored in the HR Records Portal?

No. Employees who have worked at UC for many years may not have all of the personnel records in the HR Records Portal. Comprehensive records of those employees with hire dates 2009 or after should be filed in the HR Records Portal.