PERSONNEL - Record Retention Schedule: Sub-Department

PERSONNEL - Record Retention Schedule
NOTE: The retention requirements stated in this schedule apply to all records described in the series,
regardless of format. This includes paper, electronic, images, microfilm, microfiche, etc.
Sub-Department
/PER/AS/AS/
Administrative Services
Series ID
Description
PE-AS(continued from previous page)
PERSONNEL - ADMINISTRATIVE SERVICES DIVISION - ADMINISTRATIVE

SERVICES
PE-AS-0001-
EMPLOYEE SUMMARY RECORD - CONFIDENTIAL
(continued from previous page)
Confidential
Vital
Total Retention
Requirement
PRM
Summary record of employee service including demographic information, positions held and grade
levels
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination
CITY OF PHILADELPHIA / DEPT. OF RECORDS

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
SEP=Separation (Employee)
Page 1

Sub-Department
/PER/AS/TP/
Transaction Processing
Series ID
Description
PE-TP(continued from previous page)
PERSONNEL - ADMINISTRATIVE SERVICES DIVISION - TRANSACTION

PROCESSING
PE-TP-0001-
EMPLOYEE HISTORY - CONFIDENTIAL - EVENT DATE REQUIRED
Confidential
Vital
Total Retention
Requirement
SEP+7
EVENT IS EMPLOYEE SEPARATION

Records related to individual's employment with the City. Includes appointment letters, evaluations,
disciplinary actions, veteran status certification, resumes, memoranda and correspondence related to
employee and health insurance information
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 2

Sub-Department
/PER/EA/CE/
Certification
Series ID
Description
Confidential
PE-CE-
PERSONNEL - EXECUTIVE ASSISTANT - CERTIFICATION
Vital
Total Retention
Requirement
PE-CE-0001(continued from previous page)
CY+1
CERTIFICATION CONTROL
Control records of requests for certification from City agencies, departments and commissions
including a copy of the Personnel action data sheet
ACT+8
ELIGIBLE LISTS - EVENT DATE REQUIRED

EVENT IS EXPIRATION OF LIST
Records listing the names of eligible applicants along with related information
REJECTED ELIGIBLE MATERIALS - CONFIDENTIAL - EVENT DATE

REQUIRED
ACT+3

Records include rejection letters and correspondence with applicants, medical / psychiatric reports and
tests, state and federal arrest records, change of address notifications, results of investigations and
related documents
ACT+1
CERTIFICATION REFERRALS - EVENT DATE REQUIRED

Records include requests for certifications, referrals of eligible candidates and statements of
employment reference
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 3

Sub-Department
/PER/ES/EX/
Examinations
Series ID
Description
Confidential
PE-EX-
PERSONNEL - EMPLOYMENT SERVICES - EXAMINATIONS
Vital
Total Retention
Requirement
PE-EX-0001(continued from previous page)
PE-EX-0002(continued from previous page)
EXAMINATION HISTORY - EVENT DATE IS REQUIRED
ACT+3
ACT
EVENT IS EXPIRATION OF ELIGIBLE LIST

Includes records pertaining to the examining and testing of applicants for employment used to
maintain lists of eligibles and failures
PROVISIONAL APPOINTMENTS - EVENT DATE REQUIRED

EVENT IS CHANGE OF PROVISIONAL STATUS
Records of provisional appointments, including approvals and applications
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 4

Sub-Department
/PER/ES/RE/
Recruitment
Series ID
Description
Confidential
PE-RE-
PERSONNEL - EMPLOYMENT SERVICES - RECRUITMENT
Vital
Total Retention
Requirement
PE-RE-0001(continued from previous page)
ACT+1
PROSPECTIVE APPLICANTS - EVENT DATE REQUIRED

EVENT IS EXPIRATION OF POSITION ELIGIBILITY
Resumes, applications, requests for job information and Personnel response to these, arranged by job
title and alphabetically by individual name within the file.
ACT+1
ADVERTISING COPY - EVENT DATE REQUIRED

EVENT IS EXPIRATION OF POSITION ELIGIBILITY
Recruitment advertising records arranged by job position, showing how and where advertising was
placed
CY+1
ADVERTISEMENT LOG
Log of all advertisements submitted by Personnel Department to various publications
CY+1
RECRUITING HISTORY
Records of each job title and the publications where advertising was submitted to recruit applicants
CR+2
INTEREST CARDS
Response cards where prospective applicants express interest in a specific job including address so
Personnel can contact them when employment examinations take place or other events occur relevant
to the job
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 5

Sub-Department
/PER/MS/BA/
Benefits Administration
Series ID
Description
Confidential
PE-BA-
PERSONNEL - MANAGEMENT SERVICES - BENEFITS ADMINISTRATION
Vital
Total Retention
Requirement
PE-BA-0001(continued from previous page)
ACT
REGULATION 32 CASE HISTORY - EVENT DATE REQUIRED

EVENT IS DATE EMPLOYEE LEAVES CITY SERVICE
Basic summary of individual Regulation 32 cases including personal information about employees who
have been reassiged to accommodate a disability
CR+2
TRANSMITTALS TO HEALTH CARRIERS

Lists of changes in employee health insurance plan enrollment and related correspondence sent
weekly to health carriers
EMPLOYEE BENEFITS FILE - SEE DESCRIPTION FOR RETENTION

INFORMATION
Health insurance enrollment for employees in both flex and non-flex plans which may include annual
enrollment form, student verifications and related correspondence. May also include documents
related to adjustments of insurance to reflect added/deleted dependents
RETAIN ANNUAL ENROLLMENT INFORMATION 3 YEARS FROM SUBMISSION. BENEFITS WILL
PURGE THE FILE AS EACH YEAR'S ENROLLMENTS ARE FILED. BENEFITS WILL RETAIN
HEALTH PLAN ADJUSTMENTS DUE TO ADDING/DELETING OF DEPENDENTS FOR SIX YEARS.
CY+1
SICK LEAVE REDUCTION INCENTIVE PROGRAM RETURNS

Attendance reports and worksheets used to calculate and record trading in of sick leave by employees
in the flex program, arranged by department and by year
CY+1
ANNUAL CERTIFICATION OF EMPLOYEE SICK LEAVE TRADE

Record of employee decision to trade vacation days for money or long-term disability time, verified by
agency Personnel Officer, Administrative Services Director or appointing authority
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 6

Sub-Department
/PER/MS/BA/
Series ID
Description
PE-BA-0006-
BENEFIT TERMINATION REPORTS - SEE DESCRIPTION FOR RETENTION

INFORMATION
Confidential
Vital
Total Retention
Requirement
Reports from payroll of employees in "out of pay" status, received every pay period, broken down by
insurance carrier and indicating whether person is flex, non-flex, union or exempt from benefit
program.
RETAIN FOR ONE MONTH AFTER EMPLOYEE ENTERS "OUT OF PAY" STATUS
CR+5
FLEXIBLE SPENDING ACCOUNTS - FSA

Records of employee flex spending accounts, including reports of bi-weekly deposits made to
individual accounts, account adjustments sent to third party administrator of the program and the end
of the year FSA utilization / balance reports
ACT
RETIREE BENEFICIARY DESIGNATIONS - EVENT DATE REQUIRED

EVENT IS DATE CLAIM IS MADE
Form completed at retirement by employees indicating the beneficiary of their life insurance. Also may
include revisions of beneficiary designations.
RETAIN UNTIL CLAIM IS MADE, FORWARD TO INSURANCE COMPANY
VOLUNTARY ACCIDENTAL DEATH / DISMEMBERMENT ENROLLMENT SEE DESCRIPTION FOR RETENTION INFORMATION
Accidental death / dismemberment insurance enrollment information. RETAIN ONE MONTH AFTER
EMPLOYEE ENTERS "OUT OF PAY" STATUS
CLO+3
LIFE INSURANCE CLAIMS

Copies of employee claim reports sent to insurance carrier as a result of death, dismemberment or
disability. Records include a copy of the proof of loss report and, in case of death, a cover sheet
recapping the claim. Records are arranged by calendar year
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 7

Sub-Department
/PER/MS/BA/
Series ID
Description
PE-BA-0011-
ACTIVE LIFE INSURANCE CLAIM RECAPS
Confidential
Vital
Total Retention
Requirement
CR+25
Summary list of life insurance claims made by active employees, including social security number,
payroll number, date claim was submitted, amount of claim and date claim was paid. Lists are
arranged by fiscal year.
CR+25
RETIREE LIFE INSURANCE CLAIMS RECAPS

Summary list of life insurance claims made by retired employees, including social security number,
payroll number, date claim was submitted, amount of claim and date claim was paid. Lists are
arranged by fiscal year.
CR+3
PREMIUM REMITTANCE
Documentation from payroll of how many employees belong to each kind of life insurance coverage
plan and how much is paid to each carrier by the City. Used as a record of monthly payments.
CY
EMPLOYEE WAGE REPORTS - FIRST AND THIRD QUARTERS

Quarterly list submitted to State of all City employees and their wages
CR+3
EMPLOYEE WAGE REPORTS - FOURTH QUARTER

List submitted to State of all City employees and their wages in the fourth quarter of the year.
CR+3
COBRA PLAN SPONSOR LISTS

Lists of employees leaving City employment who become eligible for Consolidated Omnibus Budget
Reconciliation Act (COBRA) plans, sent to insurance carriers who offer continuing medical coverage.
CR+3
COBRA NOTIFICATION LETTERS

Letters notifying those leaving City employment that they are eligible to receive continuing benefits
under the Consolidated Omnibus Budget Reconciliation Act (COBRA)
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 8

Sub-Department
/PER/MS/BA/
Series ID
Description
PE-BA-0018-
COBRA BENEFIT FILES - EVENT DATE REQUIRED
Confidential
Vital
Total Retention
Requirement
ACT+2
EVENT IS TERMINATION OF COVERAGE

Records of those enrolled in Consolidated Omnibus Budget Reconciliation Act (COBRA) programs,
including copies of premium checks, beneficiary information and the program termination letter.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 9

Sub-Department
/PER/MS/CL/
Classification
Series ID
Description
Confidential
PE-CL-
PERSONNEL - MANAGEMENT SERVICES - CLASSIFICATION
Vital
Total Retention
Requirement
PE-CL-0001(continued from previous page)
PRM
AGENDAS OF CIVIL SERVICE COMMISSION / ADMINISTRATIVE BOARD ARCHIVE

Agendas that summarize proposed changes in job specifications and pay raises and the establishment
of new classifications submitted to the Civil Service Commission and / or the Administrative Board for
approval
ACT+2
JOB SPECIFICATIONS - EVENT DATE REQUIRED

EVENT IS ABOLISHMENT OF CLASSIFICATION
Records of job specifications, copies of desk audit changes in specifications and related
correspondence going back to the establishment of the class
CY+4
AUDIT HISTORY
Job audits performed by Personnel Department including reports sent to classification changes
arranged by departments and by year
PRM
CLASSIFICATION HISTORY
History logging all changes in class specifications and pay
PRM
SPECIFICATION BOOKS
One copy of the current job specifications for every class
CR+2
POSITION ACTION DATABASE

Position action requests entered into PC-based database for tracking
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 10

Sub-Department
/PER/MS/CL/
Classification
Series ID
Description
PE-CL-0007-
NOTICE OF PAY CHANGES
Confidential
Vital
Total Retention
Requirement
CY+1
Notices of changes in classification and / or pay rates for employees - copies of which are sent to City
departments
CY+10
QUESTIONNAIRE FOLDERS
Copies of job position audits and questionnaires completed by employees describing job
responsibilities and time spent performing specific duties including supervisor comments
ACT+2
PAY EVALUATION FOLDERS - EVENT DATE REQUIRED

EVENT IS DATE POSITION IS ABOLISHED
Evaluations of job positions and their pay rates. Include report of Hay evaluation which judges the
relative worth of the job, the pay report which accounts for other factors affecting pay rates and the
final recommendation
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 11

Sub-Department
/PER/MS/EEO/
Equal Employment Opportunity/Affirmative Action
Series ID
Description
PE-EE(continued from previous page)
PERSONNEL - MANAGEMENT SERVICES - EQUAL EMPLOYMENT

OPPORTUNITY / AFFIRMATIVE ACTION
PE-EE-0001-
EEO DATA SHEETS
PE-EE-0002(continued from previous page)
Confidential
Vital
Total Retention
Requirement
CR+2
Statistical profile of the City workforce, broken down by job title / category, race, sex and other
determinations. Reports are generated every six months for the Equal Employment Opportunity
Commission
CR+2
EEO-4 REPORTS
Yearly report submitted to EEOC with information about City pay rates and employment broken down
by department and by race, sex and ethnic group
CR+2
MAYOR EEO REPORTS

A less detailed version of EEO data report submitted to the Mayor twice a year as a summary of City
employment
CY+2
EEO DISCRIMINATION COMPLAINTS

Miscellaneous EEO complaints that never become formal investigations, including letters and reports
arranged by year
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 12

Sub-Department
/PER/MS/TR/
Training and Development
Series ID
Description
Confidential
PE-TR-
PERSONNEL - MANAGEMENT SERVICES - TRAINING AND DEVELOPMENT
Vital
Total Retention
Requirement
PE-TR-0001(continued from previous page)
CY+1
EMPLOYEE EDUCATION - TRAINING LEAVE REQUEST

Requests for leave to pursue training or continuing education, including type of training, institution,
course information, justification of leave and cost.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

April 30, 2012
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 13

PERSONNEL - Record Retention Schedule: Sub-Department

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PERSONNEL - Record Retention Schedule: Sub-Department

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PERSONNEL - Record Retention Schedule

PE-AS(continued from previous page)

PERSONNEL - ADMINISTRATIVE SERVICES DIVISION - ADMINISTRATIVE

EMPLOYEE SUMMARY RECORD - CONFIDENTIAL

(continued from previous page)

CITY OF PHILADELPHIA / DEPT. OF RECORDS