Campus colleagues –
The Finance and Administration Division continues to share policy updates and reminders with the campus community on a monthly basis. The information is intended to serve as a quick refresh for departments as they navigate various fiscal and human resource policies. For a complete list of policies, please visit the UT Policy webpage. Should you have any questions navigating policies or need help with something else, please do not hesitate to reach out to any Finance and Administration Division team member for assistance.
Human Resources
Records Retention Requirements for Faculty and Staff
Recruitment and Hiring Documentation
UT System Policy FI0120 – Records Management provides guidance on records retention requirements for faculty and exempt staff recruitment and hiring. Below are a few key points for search committees and hiring managers to remember:
- All faculty and exempt staff search documentation must be maintained for a period of five (5) years.
- UTC utilizes the Taleo applicant tracking system to recruit for most faculty and staff job vacancies. Taleo maintains job posting information, candidate application materials, and documentation of candidate selection/non-selection. Other associated search committee documentation (i.e., interview questions, scoring rubrics and/or candidate evaluations, candidate itineraries, etc.) should be maintained in the hiring department. It is recommended that these materials be scanned/saved on a departmental shared drive to ensure continued departmental access to these records.
- Unsolicited candidate resumes received outside of the Taleo system by the hiring department must be maintained by the hiring department for a period of five (5) years. It is recommended that these materials be scanned/saved on a departmental shared drive to ensure continued departmental access to these records.
Documentation for searches conducted outside of the Taleo system must be maintained in the hiring department for a period of five (5) years. This documentation should include candidate resumes/CVs, interview questions, scoring rubrics and/or candidate evaluations, candidate itineraries, and any other search-related documentation. It is recommended that these materials be scanned/saved on a departmental shared drive to ensure continued departmental access to these records.
- Although not formally required by UT System policy, it is the recommendation of Human Resources that all non-exempt search materials and applications be maintained in the same manner as outlined above.
Questions regarding recruitment processes or retention of faculty and staff search documentation may be directed to Angela Wharton, Director of Employment Services and HR Operations, at angela-wharton@utc.edu or (423) 425-4753.
Conducting Reference Checks
Per UT System Policy HR0143, reference checks must be completed for all successful candidates. Reference checks should be completed after the interview phase, prior to extending an offer of employment. Reference checks serve as a valuable tool in achieving the following:
- Verifying information the candidate has provided;
- Offering additional information on a candidate’s skills, performance, knowledge, and work history from a source other than the candidate themselves;
- Assessing the candidate’s potential for success in the position. Past performance is the best predictor of future success;
- Ranking candidates and moving forward with final selection; and
- Protecting the University from claims of negligent hiring.
UTC Reference Check Guidelines
Please consult an Employment Specialist in the Office of Human Resources or the Office of Equity and Inclusion should you have questions or need additional guidance regarding reference checks.
I-9 and E-Verify Requirements for All New Hires
Employment at UTC is contingent upon documentation of citizenship and/or work authorization, as required by the Immigration Reform and Control Act of 1986. Additionally, Tennessee state law requires that the University verify the work authorization status of all newly hired employees through the Federal E-Verify program. UTC utilizes an electronic I-9 and E-Verify process through Equifax.
As a university, we must ensure completion of the electronic I-9 and E-Verify process within three (3) business days of hire. Failure to comply with these regulations can result in substantial penalties to the University, with fines in excess of $2,500 per violation, and $2,500 per person not properly verified.
- Electronic I-9 and E-Verify is completed by Human Resources for new regular faculty and staff hires.
- Electronic I-9 and E-Verify is completed by the hiring department for new adjunct faculty, temporary and student/graduate assistant hires.
- Section 1 of the electronic I-9 must be completed by the new employee on or before the first day of employment.
- Section 2 of the electronic I-9 must be completed by the hiring department within 3 business days of first day of employment. Completion of the electronic process may not be back-dated, even if completed late.
- Within 3 business days of starting work, the new employee must present original, unexpired documentation that establishes identity and employment authorization. List of Acceptable Documents: Hiring departments may not specify which documents the employee may present and must physically inspect and attach copies of the documents in the Equifax system.
To ensure compliance with the Federal requirements above, no new employee may be placed on university payroll prior to I-9 and E-Verify completion. This applies to all new hires, including regular staff and faculty, part-time faculty adjuncts, temporary employees, and graduate assistants and student workers.
Please visit Equifax Electronic I-9 Implementation for additional information regarding the electronic I-9 process. Questions may be directed to Angela Wharton, Director of Employment Services and HR Operations, at angela-wharton@utc.edu or (423) 425-4753.
Staff Probationary Performance Reviews
UT Policy HRO135 requires that “all newly hired regular staff employees, including those converting from term or student to regular appointments, shall serve one probationary period of six calendar months in an active pay status with the university beginning with the first day of regular employment. Each regular staff employee shall have his or her work performance evaluated during this period….”
The Probationary Period Performance Review should be reviewed and discussed with the employee prior to returning to Human Resources for inclusion in the employee’s personnel file. Please complete the performance review by the probation end date, and scan back to UTCHumanResources@utc.edu for updating the employee record and attaching in IRIS.
If you have any questions regarding the overall performance management process and completion of probationary staff performance reviews, please contact Julie Brown, Director of Employee Relations, at 425-4638 or Julie-g-Brown@utc.edu.
Sensitive Information Reminder
Sensitive information such as social security numbers, banking or credit card numbers, etc., may not be sent through regular UTC email. Please ensure the protection of sensitive information by utilizing the UT Vaultfor sending secure messages. UT Vault instructions are provided below.
Directions for Sending Secure Messages with the UT Vault for UT/UTC Employees:
- Log into UT Vault using your UT alias and UTC password
Note: Every UTC employee has a UT alias. Example: John-Doe@utc.edu would enter his email address as ABC123@tennessee.edu. If you are unsure of your UT alias, this information may be found in the UT Directory
- Address the message to the appropriate recipient
- Establish an appropriate subject line for the message
- Compose your message and attach any necessary documents
- Check the box “Send me verification when the message is received”
- Click “Send Message” to complete the action
Non-UT/UTC Users:
- Non-UT employees must first register an email address
- Enter your email address and click “Register” to submit
A verification email will be sent to the address that you provide with the subject line “UT Vault – Secure Courier Account”
- Click on the link provided in the verification email to establish a password
- Follow steps 2-6 listed above to create and send your message
Directions for Receiving Secure Messages with the UT Vault:
A notification email from vault@vault.utk.edu will be received in your email inbox. You must do the following to receive and view the message:
- Click the vault link provided in the email message
- Enter your Login credentials
- Once logged in, the message will be displayed for viewing.
Note: You may view other messages in your vault account by clicking the “View Messages” tab
Time Keeping Record Requirements
Pursuant to UT policy FI0930- Payroll, with the exception of nine-month faculty, employees are required to promptly report hours worked and/or leave used. This information must be recorded on formal leave reports -timesheets, timecards, time records in the Kronos timekeeping system or another appropriate form. If a time card machine is used, it must be placed in a location where it can be monitored for abuse.
The following information must be recorded:
- Non-exempt employees: Non-exempt employees must not complete the timesheet based on their planned work schedule. They should record the actual time worked and actual time absent.
- Exempt employees: Exempt employees should record the actual time absent.
As detailed in UT policy FI0120 – Records Management, all time records (hard copy or electronic) should be maintained within the department for 3 years.
Time Keeping Record Approvals:
The employee must sign and date their attendance record at the end of each pay period. The departmental approver must also approve and date this record at the end of each pay period. Electronic approvals are permissible. This approver should have knowledge of the actual time worked and absences taken by the employee.
If a change is made to a physical attendance record after it has been approved, the employee and approver must initial the change. After approval, the attendance record should be routed to the “timekeeper” for entry into IRIS and they should not be returned to the employee. Once IRIS time entries have been released by the timekeeper, the workflow system will create a notification to be sent to the approver letting him or her know that there are time entries requiring approval. All time approval requests can be reviewed and executed within the IRIS inbox of approvers.
It is critical that all approvers execute IRIS time approvals when prompted for each bi-weekly and monthly payroll deadline. In addition, all final time records for separating employees should be processed promptly to ensure accurate time/leave records upon termination.
Overtime Compensation:
Pursuant to UT policy HR0445 – Overtime Compensation, any work by a non-exempt student or staff employee that exceeds 40 hours in a work week is considered “overtime.” The university’s workweek begins at 12:00 a.m. Monday and concludes at 11:59 p.m. Sunday. Supervisors may require employees to work overtime. An employee who wishes to work overtime voluntarily must first receive approval from an appropriate supervisor. No employee is authorized to work overtime without first receiving either instruction or approval from an appropriate supervisor.
However, in rare instances in which prior approval of overtime is not feasible to meet service/operational needs, all overtime hours worked by an employee must be reported and recorded accordingly for the workweek in which it occurred.
When an eligible employee works overtime, the university will provide compensatory time in accordance with this policy, unless campus procedure or department practice provides for the payment of monetary compensation.
Related UT Policies
HR0305 – Annual Leave (Vacation)
HR0320 – Administrative Closings
HR0338 – Family and Medical Leave
HR0340 – Funeral and Bereavement Leave
Required Procedures for Employee Terminations
In accordance with UT System Policy HR0160-Termination of Employment, “Termination from the University of Tennessee shall be officially documented in such a manner as to establish a clear record of action, both as a service to the terminating employee and to the university.”
UT System audits have identified inconsistent compliance with proper and timely termination notifications across campus, which could put the responsible campus department and the University at great risk. Effective immediately, campus department heads must ensure that all terminations are (1) fully processed in the IRIS system, (2) critical off-boarding notifications are completed and (3) final time records are processed in a timely manner for all employees separating from the University.
1. Timely Notice of Terminations in IRIS (All Employees)
Submission of Form ZPTERM000 – Termination Request in IRIS is required for all employees separating from the University without continued employment in another campus work unit. This includes all regular or temporary faculty and staff, as well as student employees.
- Involuntary terminations must be fully processed in IRIS with Banner access discontinued ON OR BEFORE the employee’s last date paid/worked. This requires all IRIS e-termination workflows are fully processed ON OR BEFORE the employee’s last date paid/worked. It is recommended that department heads, or their designee, initiate the IRIS e-termination form no less than 5 business days prior to the employee’s last date paid/worked to ensure compliance.
- Voluntary terminations must be finalized in IRIS with banner access discontinued NO LATER THAN 3 business days following the employees last date paid/worked. This requires all IRIS e-termination workflows are fully processed NO LATER THAN 3 business days following the employee’s last date paid/worked. It is recommended that department heads, or their designee, initiate the IRIS e-termination form no less than 5 business days prior to the employee’s last date paid/worked to ensure compliance.
The campus department of the separating employee is responsible for ensuring compliance with the termination deadlines outlined above by submitting IRIS e-termination forms in a timely manner and monitoring workflow progress via ZWF_HISTORY – Workflow History by Object.
Temporary or Student Employees Employed in Multiple Departments: If a temporary or student employee separating from your campus department will continue employment with the University in another campus department, IRIS e-terminations should not be submitted and fully processed. Instead, a Personnel Change e-form should be initiated in IRIS to remove the employee from the separating department. The campus department of the separating employee is responsible for processing the personnel change e-form.
2. Timely Off-Boarding Notifications (Regular Faculty and Staff ONLY)
Completion of the electronic Employee Off-Boarding Formis also required for regular faculty and staff terminationsto ensure all off-boarding items have been addressed ON OR BEFORE the employee’s last date paid/worked. It is recommended that department heads, or their designee, initiate the off-boarding notification no less than 5 business days prior to a regular employee’s last day paid/worked.
The Employee Off-Boarding Form triggers notification to critical off-boarding units to ensure University debts are resolved, UTC Library property is returned, and access to University systems, software and programs is discontinued in a timely manner to protect the legal and fiscal interests of the University.
The campus department of the separating employee is responsible for ensuring compliance with the off-boarding deadlines outlined above and responding to all off-boarding notifications to address outstanding issues.
In addition to University-wide off-boarding procedures, campus departments must ensure all departmental property is returned by the employee’s last date paid/worked (e.g., laptops, equipment, uniforms, keys, etc.). Timely discontinuation of other sensitive access is also critical and may be necessary prior to the last date paid/worked in some instances (e.g., shared drive, website editing, listservs, etc.).
Employee Off-Boarding Form – Instructions
Questions regarding the employee off-boarding process may be directed to terminations@utc.edu.
3. Timely Processing of Final Time Records (All Employees)
All time keeping and reporting requirements outlined in UT System Policy FI0930 – Payroll must be processed in a timely manner for separating employees. Final time sheets/records (either hard copy or electronic) should be finalized for separating employees on their last day paid/worked and then submitted promptly in the IRIS system to ensure accurate time/leave records upon termination.
In addition, it is critical that all approvers execute IRIS time approvals when prompted for each bi-weekly and monthly payroll deadline.
Sent on behalf of Ms. Vicki Farnsworth, Vice Chancellor and Chief Information Officer and Interim Vice Chancellor for Finance and Administration