Human Resources Records Retention Schedule
NOTICE
The information contained on this schedule is the minimum State-required retention period for each specific category. This does NOT authorize disposal action. State approval is expressly required prior to each disposal of records, regardless of format or volume, unless the documents are specifically categorized as non-records. Contact the RIMS office to initiate a records disposal or for the State approved retention period of any items not listed below.
No record should be held for more than one (1) year beyond its listed mandatory minimum retention period. If further retention is needed and there is a documented business need, please contact RIMS for a variance. However, if your records are subject to a legal hold or pending legal action, you will need to follow the retention recommended by legal counsel. RIMS should be notified of any decisions to keep records past their minimum retention.
Upon completion of the retention period for human resource records they will either be deleted, destroyed, or transferred to the University Archives. Before the retention period expires, please follow the records storage guidelines. For questions or more clarification about the correct process for these actions, please contact the RIMS office.
The categories of Human Resource Records are:
Employment Applicant Records
Employment Applicant Records consists of documents that support individuals applying for employment opportunities.
Examples of Employment Applicant records include but are not limited to: letters of recommendation, vitae, resumes, and transcripts.
Retain and transfer to successful applicant employment files:
- Letters of recommendation
- Vitae
- Resumes.
Retain for 3 years past close of search, then obtain state approval to dispose:
- Unsuccessful applicants’ letters of recommendation
- Unsuccessful applicants’ vitae
- Unsuccessful applicants’ resumes.
Retain for 3 years past close of search, then obtain state approval to dispose:
- All other supporting documentation for all applicants.
Administrative Records for Employment Searches
Administrative Records for Employment Searches are the documents that detail the search process and decision-making process for filling open employment positions.
Examples of Administrative Records for Employment searches include but are not limited to: confirmation with Affirmative Action requirements, lists of search committee members, job announcements, and procedural documents generated by the search committee.
Retain for 3 years past close of search, then transfer to the University Archives:
- All administrative records for employment searches for senior administrative positions.*
Retain for 3 years past close of search, then obtain state approval to dispose:
- All other administrative records for employment searches.
*Senior administrative positions are: President, Chief of Staff of the President, Secretary of the Board of Trustees, Vice Presidents, Chancellors, Vice Chancellors for Academic Affairs and Provosts, Associate Vice Presidents, Assistant Vice Presidents, Executive Directors, Vice Chancellors, Vice Provosts, and Deans.
Employment Eligibility Files
Employment Eligibility Files are documents indicating a person's eligibility for hire by the University.
Examples of Employment Eligibility files include but are not limited to: Authorization Reports, I-9 documents such as drivers license, passport, social security card, or other proof of identity documents, Visa documents, labor certifications, and background check documentation.
Retain for 6 years after separation from employment, then obtain state approval to dispose:
- All Background check documentation.
Retain for 5 years from date of filing the application for permanent employment certification, then obtain state approval to dispose:
Retain for 3 years after date of hire, or 1 year following separation from employment, whichever is later, then obtain state approval to dispose:
- Work authorization reports
- I-9 Documents.
Retain for 3 years after the date the visa is no longer current or the date of separation from employment, whichever comes first, then obtain state approval to dispose:
- All Visa related documents.
Affirmative Action and Equal Employment Opportunity Administrative Files
Affirmative Action and Equal Employment Opportunity Administrative Files outline the University's efforts toward meeting internal workforce diversity goals, and documentation verifying the University's compliance with procedures that ensure fair hiring and employment practices.
Examples of Affirmative Action and Equal Employment Opportunity files include but are not limited to: reports and plans associated with Affirmative Action, Agency Workforce State initiatives, VETS, and Illinois Board of Higher Education Employment Plan, as well as documentation related to search waivers.
Retain for 3 years after report or plan date, then transfer to the University Archives:
Retain for 2 years after close of search (completed, failed, or offer declined), then obtain state approval to dispose:
- Documents related to search waivers.
Civil Service Discipline and Grievance Case Files
Civil Service Discipline and Grievance Case Files consist of documents in case files associated with employment discipline actions or warnings, and dispute resolutions.
Examples of Civil Service Discipline and Grievance Case Files documents include but are not limited to: meeting notes, investigation data collected, investigation results and final reports.
Retain for 3 years after separation from employment, then obtain state approval to dispose:
- All Civil Service Discipline and Grievance Files.
Labor Management Relations Files
Labor Management and Relations Files consist of documents associated with union contract negotiations and the labor arbitration processes.
Examples of Labor Management Relations Files include but are not limited to: labor union and management meeting notes, correspondence related to contract proposals and counter proposals, planning documents, cost analyses, tentative agreements, and final contracts.
Retain for 10 years after the contract expires or is fulfilled or after the completion of the arbitration process, then transfer to the University Archives.
- All Labor Management Relations Files.
Tuition Waiver Records
Tuition Waiver Records consists of records related to tuition waivers for eligible employees and dependents of employees.
Examples of Tuition Waiver Records include but are not limited to: applications, verification of relationships, verification of employment, and verification of credit hours used.
Retain for 3 years after separation from employment, then obtain state approval to dispose.
- All tuition waiver records.
Leave Reports
Leave Reports consist of documents relating to time off taken by employees.
Examples of Leave Reports include but are not limited to documents related to the Family and Medical Leave Act (FMLA) and Victims’ Economic Security and Safety Act (VESSA) leave, use of standard benefits such as vacation or sick leave, and military leave.
Retain 3 years after date of creation, then obtain state approval to dispose:
- All documents relating to leave absences for medical leave such as FMLA, or leave under VESSA.
Retain 3 years after separation from employment, then obtain state approval to dispose:
- All documents relating to certified military leave under the Uniformed Services, Employment and Reemployment Rights Act (USERRA).
Retain 3 years after separation from employment, then obtain state approval to dispose:
- All documents relating to use of standard benefits.
Employment Files consist of documents providing a record of employee actions and general background information for each employee over the course of their employment history.
Examples of Employment Files include but are not limited to: letters of recommendation, professional histories, sabbatical reports, resumes, dossiers, and evaluations.
Retain for tenure system faculty and senior administrators for 3 years after separation from employment, then transfer to the University Archives:
- Letters of recommendation
- Professional histories
- Sabbatical reports
- Resumes
- Dossiers
- 5 year evaluation results.
Retain for all other employees for 3 years after separation from employment, then obtain state approval to dispose:
- Letters of recommendation
- Professional histories
- Resumes.
Retain for medical staff and advance practice professionals for 30 years after separation from employment, then obtain state approval to dispose:
- Credentialing and privileging files.
Retain for all employees for 3 years after separation from employment, then obtain state approval to dispose:
- All other documents included in employment files.
Promotion and Tenure Files are documents gathered for the process of considering faculty for promotion to associate professor or full professor with tenure.
Examples of Promotion and Tenure Files include but are not limited to: evaluations, course evaluations, and letters of recommendation from other staff.
Retain for 6 years after separation from employment, then obtain state approval to dispose:
- All promotion and tenure files documents.
Employment History Reports are an annual synopsis of employment data generated for each employee who has separated from employment.
Examples of Employment History Reports include but are not limited to: names, titles, positions held, effective date of positions, pay grade or salary per position, percent time of each position, and university, college, and departmental affiliation per position.
Retain 3 years after date of creation, then transfer to the University Archives:
- All Employment History Reports.
Unemployment Insurance Case Files
Unemployment Insurance Case Files consist of documents relating to unemployment compensation claims filed by terminated employees.
Examples of Unemployment Insurance Case Files include but are not limited to: statements by terminated employees, reports, and supporting documents.
Retain for 6 years after claim has been settled, then obtain state approval to dispose:
- All unemployment insurance case files.
Employee Conflict of Interest Files consist of documents relating to the verification of employee compliance with routine conflict of interest reporting.
Examples of Employee Conflict of Interest Files documents include but are not limited to: Reports of Non-University Activities (RNUAs), supporting documentation relating to verification of employee compliance with conflict of interest reporting, conflict management plans, and meeting minutes and agendas relating to conflicts of interest.
Retain 6 years after the end of the academic year for which they were submitted, then obtain state approval to dispose:
- Reports of Non-University Activities (RNUAs)
- All supporting documentation relating to employee compliance with conflict of interest reporting.
Retain for 6 years after close of the plan, then obtain state approval to dispose:
- Conflict management plans.
Retain for 10 years after creation, then transfer to the University Archives:
- Meeting and agenda minutes related to conflicts of interest.
Employee Ethics and Compliance Files
Employee Ethics and Compliance Files are reports and forms documenting the completion of an employee’s mandated ethics training and/or other employment-related compliance requirements.
Examples of Employee Ethics and Compliance Files include but are not limited to: complaint case files related to investigations of non-compliance, ethics test development, review, and analysis documentation.
Retain 3 years after the date of submission, then obtain state approval to dispose:
- Reports and forms documenting the completion of mandated training.
Retain for 3 years after the close of the case, then obtain state approval to dispose:
- Complaint case files not involving outside counsel and litigation.
Retain for 10 years after the close of the case, then obtain state approval to dispose:
- Complaint case files involving outside counsel and litigation.
Retain for 3 years after completion of documentation, then transfer to the University Archives:
- Documents related to test development
- Documents related to test review
- Documents related to test analysis.
Human Resources Policy Administration Files consist of documents providing a record of the development of human resources policies and procedures.
Examples of Human Resources Policy Administration files include but are not limited to: minutes of committees, task forces related to HR operations or programs, program statements, annual reports, budgets, long-range plans.
Retain for 10 years from the calendar year in which they were created, then transfer to the University Archives:
- All human resources policy administration files.
Workers' Compensation Claims
Workers Compensation Claims are listed on the Business and Financial Records Retention Schedule under the Insurance Records category.
Primary Audience
This Schedule will specifically help those with federal and state compliance requirements such as staff from the following areas:
- Academic Human Resources
- Staff Human Resources
- Unit/Department Human Resources