University Archives

Records Retention Schedule: Personnel

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Record Series

A - B - C - D - E - F - G - H - I - J - K - L - M - N - O - P - Q - R - S - T - U - V - W - X - Y - Z - Numbers

A

Applicants Card File - Classified Staff

  • Reference card file that lists name, address, telephone number, date of application, classification of individuals who have applied for classified positions.
  • Retention: 3 years
  • IUC number: PER2000

Application File: Non-Hires - Faculty

  • Description: Contains application, correspondence, resumes, etc. from applicants for positions.
  • Retention: 3 years
  • IUC number: PER2000

Application File - Classified Staff

  • Description: Includes application form, resume, test results, referral and interview data.
  • Retention: 3 years
  • IUC number: PER2000

B

Benefit Plans

  • Description: Related to institution-sponsored benefit plans. Includes insurance, pension, disability, medical survivor programs, ESOP, PAYSOP. Vesting criteria, vacation entitlements, educational assistance, savings plans, correspondence explaining benefit plans.
  • Human Resources
  • Retention: Active + 6 years
  • IUC number: PER1010

Benefits Contributions/Benefits Provided

  • Description: Related to contributions and participation in institution-sponsored benefit plans. Includes insurance, pension, disability, savings, etc.
  • Human Resources
  • Retention: 6 years
  • IUC number: PER1010

Benefits Elections

  • Description: Elections by employees for type and amount of participation in institution benefit plans.
  • Human Resources
  • Retention: Active + 6 years
  • IUC number: PER1030

C

Canceled Position File - Classified Staff

  • Description: Application forms, correspondence sent, and received concerning positions that have been canceled.
  • Retention: 3 years
  • IUC number: PER2000

Certification File - Classified Staff

  • Description: Record of employees who have attained certification in their classification. May include logbook and printouts.
  • Human Resources
  • Retention: Active + 3 years
  • IUC number: PER5010

D

Declinations File - Faculty

  • Description: Contracts, recommendations, letters of people who have declined positions.
  • Retention: 3 years
  • IUC number: PER2000

Disability: Long-term Disability Files

  • Description: For PERS and Workmen's Compensation; includes record of payments, legal decisions, and correspondence and claim documentation
  • Human Resources
  • IUC Number: PER1010
  • Retention: Active + 6 years

Disciplinary Documentation

  • Personnel General Schedule
  • Retention: 5 years
  • IUC Number: PER3010
  • Disposition: destroy in a way that maintains confidentiality

Disciplinary Records

  • General Schedule
  • Retention: destroy on request after 2 years from date of disciplinary action, provided no related reprimands, suspensions, or demotions. May be destroyed in less time if ordered by Arbitrator, SPBR, SERB or court of competent jurisdiction.
  • IUC Number: PER3010
  • Notes: Original kept by Human Resources/Provost

Discipline and Grievance Files

  • Description: Documentation of grievances and discipline proceedings concerning Classified and Administrative Staff; includes correspondence and letters of reprimand.
  • Human Resources
  • Retention: 5 years after last action
  • IUC Number: PER3010
  • Notes: Same documentation in personnel file of employing unit; files also used by Equity, and Diversity Services.

E

Employment Files - Students

  • Description: Active and inactive files. Student authorization forms, state and federal withholdings, PERS, step increases, termination notices, reclassification forms, exemptions.
  • Retention: Active + 6 years
  • IUC number: PER3000

G

General Application Files - Contract Staff

  • Description: Resumes on file.
  • Retention: 3 years
  • IUC number: PER2000

Graduate Student Appointments

  • Graduate College
  • Retention: 5 years
  • IUC number: PER 3000

H

Hazardous Exposure Records

  • Retention: Indefinite
  • IUC number: PER4020

I

Immigration and Naturalization I-9 Forms

  • Description: Federal employment eligibility verification for faculty and student employees
  • Graduate College, Human Resources, Provost
  • Retention: Active + 6 years
  • IUC number: PER3000

Index System - Faculty

  • Description: Cards or other reference list for all active and inactive faculty
  • Retention: Active + 6 years
  • IUC number: PER3000

J

Job Descriptions

  • Retention: 3 years
  • IUC number: PER2000

L

Layoff Files

  • Description: Contains printouts, rosters, and correspondence documenting university layoffs. Pertinent employee data, date of hire, classification, department, and retention points (performance) are included.
  • Human Resources
  • Retention: 5 years
  • IUC number: PER3010

Leave Reporting Form

  • Description: Forms used to document sick leave and vacation leave.
  • Retention: 5 years
  • IUC number: PER3010

Leave Record

  • Vacation and sick leave earned and used.
  • Retention: Active + 6 years
  • IUC number: PER3000

N

Non-Student Letter of Appointment Contracts Records

  • General Schedule
  • Retention: Active + 6 years
  • Notes: original in official personnel file at Human Resources
  • IUC number: PER3000

O

On-the-Job Training Records - Classified Staff

  • Description: Complete training records for individuals seeking classified positions. Includes V. A. approval, progress report, record of trainee-trainer, date started, hours worked, etc.
  • Retention: Active + 3 years
  • IUC number: PER5000

P

Payroll Deduction Authorizations

  • Description: All forms used to authorize deductions for charitable organizations, credit unions, union dues, U.S. Savings Bonds, etc.
  • Payroll
  • Retention: Active + 6 years
  • IUC number: PER1030

Performance Evaluations

  • Description: Includes both supervisor evaluations of employees and employee evaluations of supervisors.
  • Human Resources
  • Retention: 5 years
  • IUC number: PER3010

Personnel Files - Administrative and Classified Staff

  • Description: Files can contain position descriptions, applications, letters of appointment or change, salary rate, copies of birth certificate, annual contracts, performance evaluations, PERS forms, copies of Social Security card, reclassification notices, letters of commendation or reprimand, publications, evidence of continuing education, step increases, longevity, transfers, vacation and sick leave reports, resignations, termination notices.
  • Personnel General Schedule
  • Retention: Active + 5 years
  • IUC number: PER3000
  • Notes: Human Resources retains official record; offices destroy

Personnel Files - Faculty

  • Description: Original faculty contracts and addenda, promotion and tenure documentation, original transcripts, hiring documentation, resumes, letters of recommendation, correspondence, teaching schedules, tax forms, sabbatical information, evaluation forms, STRS forms, promotion and tenure decisions. Includes part-time and adjunct faculty files.
  • Personnel General Schedule
  • Retention: Active + 6 years
  • IUC number: PER3000
  • Notes: Provost retains official record; colleges/departments destroy

Personnel Files - Students

  • Description: Student authorization forms, state and federal withholdings, PERS, step increases, exemptions, reclassification forms, termination notices.
  • Student Employment
  • Retention: Active + 6 years
  • IUC number: PER3000

Personnel Requisition - Classified Staff

  • Description: Departmental request placed whenever a position within the department becomes vacant.
  • Human Resources
  • Retention: 3 years
  • IUC number: PER2000

Personnel Training Records

  • Description: Relates to development and operation of institution training programs and seminars. Includes seminars, education assistance, management and supervision development, job progression, drug and alcohol awareness, course listings, schedules, requests and approvals.
  • Human Resources
  • Retention: Active + 3 years
  • IUC number: PER5000

Position Descriptions

  • Description: Contains description of a position, civil service or administrative and professional, in a particular college, department, or administrative unit; description is filed by the employing unit.
  • General Schedule
  • Retention: Active + 10 years
  • IUC number: PER2000

Position Vacancy Announcements

  • Description: Job descriptions for each position posted
  • Human Resources
  • Retention: 3 years
  • IUC number: PER2000

Promotion and Tenure Files

  • Description: Recommendations, evaluations, materials submitted for promotion or tenure. Approval or denial recommendations and pertinent correspondence maintained in permanent personnel file.
  • Personnel general schedule
  • Retention: 5 years
  • IUC number: PER3010

Public Employees Retirement System Files

  • Description: Copies of retirement applications, documenting pertinent personal, spouse, and beneficiary data. Working papers and correspondence are included.
  • Human Resources/Provost
  • Retention: Active + 6 years
  • IUC number: PER1040

Public Employees Retirement System Log

  • Description: Record of university classified and contract employees, their date of retirement and address
  • Human Resources/Provost
  • Retention: Active + 6 years
  • IUC number: PER1040

R

Radiation Safety Workers

  • Description: Includes training records, exposure records, applications an authorizations, documents of Authorized Users Lab; Specific RW Training/Interview; Emergency Notification, and Declaration of Pregnancy Forms.
  • Retention: Indefinite
  • IUC number: PER4030

Radioactive Materials-Authorized Users Files

  • Description: Includes applications for non-human use of RM; Statement of prior Training and Experience; Authorization for Internal Transfer of Material between Aus; Room Surveys; Application for Clinical Use of RAM; Emergency Notification; Application for Investigational Human Use of RAM.
  • Retention: Indefinite
  • IUC number: PER4030

Radioactive Materials - Exposure Records

  • Description: Files of monthly reports of people's exposure to Radioactive Materials.
  • Retention: Indefinite
  • IUC number: PER4030

Radioactive Materials - Incident Report

  • Description: Report of Radioactive Materials incident.
  • Retention: Indefinite
  • IUC number: PER4030

Reclassification Files

  • Description: Employee reclassification with accompanying job audit reviews, audit appeals, position description questionnaires, correspondence, and final decision documentation.
  • Human Resources
  • Retention: 5 years
  • IUC number: PER3010

Recruitment/Search Files - Contract Staff

  • Description: Contract staff search files. May contain position authorization forms, job descriptions, minutes, applicants' credentials, search chronologies, authorization to hire forms, correspondence.
  • Retention: 3 years
  • IUC number: PER2000

Residence Hall Advisor Files

  • Description: Files on candidates selected for employment as residence hall advisors
  • Retention: Active + 6 years
  • IUC number: PER3000

Residence Hall Advisors-Unselected

  • Description: Files on candidates not selected as residence hall advisors.
  • Retention: 3 years
  • IUC number: PER2000

S

Search Committee Files - Faculty & Staff

  • Description: May contain position authorization forms job descriptions, minutes, applicants' credentials and cover letters, search chronology, authorization to hire forms, and correspondence.
  • Human Resources/Provost
  • Retention: 3 years; files in office of origin considered copies - retain until no longer of administrative value
  • IUC number: PER2000

Selection Criteria Form

  • Description: Form providing explanation as to why an applicant was or was not hired for a university position.
  • Human Resources/Provost
  • Retention: 3 years
  • IUC number: PER2000

Service Reports/ Faculty Activity Reports

  • Description: List of teaching and advisory assignments, research and administrative duties, and public service. Data is included for faculty and graduate assistants and covers the academic year or semester.
  • Retention: Active + 6 years
  • IUC number: PER3000

Student Time Reports

  • Description: Record of hours worked by student employees.
  • Retention: 5 years
  • IUC number: PER6000

Summer Employment Files

  • Description: Record of employees with alternate summer job responsibilities usually in dining halls, union, health center, residence halls and custodial.
  • Student Employment
  • Retention: 5 years
  • IUC number: PER3010

Suspension Files - Classified Staff

  • Description: Record of suspended employees including name, classification, department, reason for suspension, duration of suspension, and pertinent supporting documentation.
  • Human Resources
  • Retention: 5 years
  • IUC number: PER3010

T

Teaching Evaluations

  • Description: Student evaluations of teaching. Used for reappointment, promotion, and tenure. Either the original form filled out by the student or the summary.
  • Retention: Retain either the original form or summary, if one was created, for 5 years
  • IUC number: PER3010

Time Cards and Time Sheets

  • Description: Record of time worked by employees.
  • Retention: 5 years in Payroll; copies in originating departments until no longer of administrative value.
  • IUC number: PER6000

U

Unemployment Compensation Log

  • Description: Record of unemployment compensation cases.
  • Human Resources
  • Retention: until superseded
  • IUC number: MS1010

University Medical Records

  • Description: Files of medical charts for students, university employees and their spouses. Includes medical histories, medical exams, progress sheets, x-rays, lab work, and related correspondence.
  • Retention: 6 years
  • IUC number: PER4010

W

W-4 Forms

  • Description: Forms completed by employee to designate federal tax withholding exemptions.
  • Payroll
  • Retention: Active + 6 years
  • IUC number: PER1030

Wage and Fringe Benefit Surveys

  • Description: Surveys conducted by the university with area organizations in an effort to acquire comparative data regarding wage and fringe benefit programs.
  • Human Resources
  • Retention: 3 years
  • IUC number: PER9900

Workers' Compensation Files

  • Description: Records related to on-the-job accidents; includes record of payments, legal decisions, and correspondence and claim documentation.
  • Human Resources
  • Retention: 6 years
  • IUC number: PER4020