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HUMAN RESOURCES (CAMPUS HUMAN RESOURCES DEPTS. ONLY) AUTHORIZATION NO. 77-104

These are the records retention requirements for the records maintained in the Campus Human Resources Offices.

All other departments should refer to the Personnel section of the Records Retention Guide.

  1. Official Personnel File
  2. Application/Recruitment Records
  3. Student Employee Personnel File
  4. Benefit Files
  5. Family Medical Leave Act (FMLA)/Medical Leave Records
  6. CDL Drug Testing Records
  7. Position History Files
  8. Salary Surveys
  9. Department/Project Files
  10. Training and Development
  11. Grievances
  12. External Complaints
  13. Human Resources Policy Records
  14. Campus Human Resources Policy Interpretation Files
  15. Union Records



ITEM NUMBER

 

1. Official Personnel File

An Official Personnel (copy of record) File is maintained by Human Resource Services for each employee until the employee terminates/retires or any employment-related litigation is resolved. This file documents the positions held, compensation, promotions, raises, job performance, disciplinary actions, transfers, separation or retirement request and other job related activities.

Authorized Retention:

  1. Personal Data Form, Personal Information Review Sheet, Change of Address Form.
    Destroy after data entry has been verified.
  2. Appointment Notification/Official Offer of Employment, Personnel Action Forms and related documents, Request for Leave of Absence, Letter of Resignation, Letter of Intent to Retire, Request for President's Approval for New Appointment.
    (1) Vested/retirement eligible. After separation, transfer to UM Faculty and Staff Benefits Office. Retain for six (6) years after death or payment of last benefit, then destroy as a confidential record.
    2) Not vested. Retain for twenty (20) years, then destroy as a confidential record.
  3. Performance appraisals, discipline records, education and training/development participation records, and any other records pertaining to employment.
    Retain for five (5) years after separation, then destroy as a confidential record.
  4. Immigration and Naturalization Service Form I-9 and supporting documentation.
    Retain for three (3) years after date of hire or one (1) year after date of termination, whichever is later, then destroy as a confidential record.
  5. H1B Visa and supporting documentation including recruitment records.
    Retain for five (5) years from date the petition is granted, then destroy as a confidential record.

 

2. Application/Recruitment Records

These files contain all records dealing with the recruiting and hiring of qualified persons to fill vacant positions in the University. Included in this functional category are requisitions, position information sheets, advertising tear sheets, bid sheets, applications, resumes, curriculum vitae, letters of reference, correspondence, letters of offer or rejection, post-offer screening (e.g. Physical exam), post-hire confirmation, Affirmative Action documentation, and other documents.

Official (copy of record) applications of non-hire applicants are maintained in Human Resource Services or other designated offices for non-academic positions and in the Human Resource Services office or department or division administrative office responsible for hiring for academic positions.

Authorized Retention:

  1. Non-hired applicants: Retain applications/recruitment records for three (3) years from date position is filled, then destroy as a confidential record.
  2. Successful applicant: Transfer applications, resumes, curriculum vitae, letters of reference, and letters of offer to his/her Personnel File
    (Item 1). Remaining documents retain for five (5) years, then destroy as a confidential record.

 

3. Student Employee Personnel File

These files contain the employment records for students working in positions with Student Title Codes (see HR-204 for list of titles). These files include employment applications, resumes, offer letters, Personnel Action Forms (PAFs) and related documents, and termination documents.

Authorized Retention:

Retain for five (5) years, then destroy as a confidential record.

 

4. Benefit Files

The Official (copy of record) Benefit File is maintained by Human Resource Services for each employee. These files contain documents that relate to the employee’s entitlement to and usage of various employment benefits, such as, insurance, flexible spending plan, premium records and salary reduction agreements.

Authorized Retention:

The following records may be purged from the Benefits file at anytime, if the documents are older than the retention shown:

  1. Premium-related records. Retain for three (3) years, then destroy as a confidential record.
  2. Flexible Spending Plan records. Retain for five (5) years after superseded, then destroy as a confidential record.
  3. Salary Reduction Agreements. Retained permanently by UM Faculty and Staff Benefits Office.
  4. Retain the following for six (6) years after employee separation, plan superseded, date of last payment, or benefit coverage ends, then destroy as a confidential record.
    • Enrollment cards or forms
    • Evidence of Insurability
    • Beneficiary Designation
    • Family Status Change forms
    • Certificate of Disabled Dependent Child
    • C.O.B.R.A. documents
    • Other enrollment related correspondence
    • Unemployment Compensation Claims

 

5. Family Medical Leave Act (FMLA) / Medical Leave Records

These are documents required to administer the Family Medical Leave Act of 1993 and may include request for leave, medical certification/recertification, report of absence, hours worked, correspondence, and fitness for duty report or doctor’s release.

Authorized Retention:

Maintain FMLA records in a separate, secure file for three (3) years after the end of the calendar year the leave began, then destroy as a confidential record.

 

6. CDL Drug Testing Records

These records are kept to satisfy Department of Transportation requirements pertaining to employees who hold a commercial driver's license. May include records pertaining to the collection, testing and results of testing for the presence of alcohol and/or controlled substances. May also contain records of employee training and prevention programs offered.

Authorized Retention:

  1. Maintain records not related to any disciplinary action in a separate, secure file for five (5) years after date of test, then destroy as a confidential record.
  2. Any test records which result in disciplinary action shall be maintained in a separate, secure file. Retain for five (5) years after separation, then destroy as a confidential record.

 

7. Position History Files

These records provide a history of each employment position documenting when and how it was classified. Includes Requests for Classification Action, Position Classification Questionnaires, Notice of Approval of Classification Action, Personnel Requisitions and pertinent correspondence.

Authorized Retention:

Retain for administrative value not to exceed three (3) years after position becomes inactive, then destroy.

 

8. Salary Surveys

These are records that document studies of compensation, comparing University salaries with those of other organizations and businesses. They are used to support classification actions.

Authorized Retention:

Retain for five (5) years after completion of survey, then transfer to Campus Archives.

 

9. Department/Project Files

These are files maintained as a source of reference information relating to a particular department or project. These files do not document Human Resources transactions, but may contain information that supports various transactions.

Authorized Retention:

Retain for five (5) years after obsolete or superseded, then transfer to Campus Archives.

 

10.Training and Development

These records document the Training and Development programs offered to University employees. Included are training needs analyses, planning documents, attendance rosters, and course materials.

Authorized Retention:

  1. Attendance rosters are to be retained until the employee participation information is input into and verified in the University computerized employee database, then destroy.
  2. Retain needs analyses, planning documents, and course materials until obsolete or superseded, then destroy.

 

11. Grievances

These records document employee (does not include faculty) grievances and University responses. Includes official grievance forms, responses and documentation of actions taken. These files are NOT part of the Official Personnel File. The official copy of all Grievance Files is maintained permanently in the office of the University Grievance Officer.

Authorized Retention:

  1. Campus Grievance Officer. Retain for administrative value not to exceed two (2) years after the grievance is resolved, then destroy as a confidential record.
  2. University Grievance Officer. Retain permanently.

 

12. External Complaints

These files contain inquiries and complaints from entities outside the University such as the Missouri Commission on Human Rights and the Equal Employment Opportunity Commission on behalf of an employee/former employee. Any such inquiry or complaint received must be reported immediately to University Legal Counsel.

Authorized Retention:

Retained permanently by the appropriate Affirmative Action Officer.

 

13. Human Resources Policy Records

These records consist of approved Human Resources policies and documentation relating to the development of and modifications to these policies. Vice President of Human Resources has the “official copy” of all Human Resources policies.

Authorized Retention:

  1. Official Copy: Retain for five (5) years after superseded, then transfer to Campus Archives.
  2. Campus Human Resources Office: Retain until superseded, then destroy.

 

14. Campus Human Resources Policy Interpretation Files

These records are Human Resources policy interpretations made by campus Human Resource Offices.

Authorized Retention:

Retain for five (5) years after superseded, then transfer to Campus Archives.

 

15. Union Records

This series documents negotiations and contractual agreements between the University and the bargaining unit; it is also used for labor relations planning. Records may include but are not limited to: union memorandum of understanding and amendments, tentative agreements, arbitrator’s recommendations, negotiation work notes, strike contingency plans, management counter proposals, negotiation updates, newspaper clippings, press releases, research background material, employee classification printouts, Fair Share records, minutes, sound recordings, exhibits and reports of meetings, and related documentation and correspondence.

Authorized Retention:

Retain for seven (7) years after contract expires, then transfer to Campus Archives.

Authorization Supersedes 77-104 dated November 21, 1997

 

Citations:

29 CFR 1602.14 5 CFR 293(e)
29 CFR 1602.21 8 CFR 274(a)
29 CFR 1602.48 29 USC 1113
29 CFR 1620.32(b) 29 USC 1027
29 CFR 1627.3(b)(1)
29 CFR 516.5
29 CFR 516.6

Reviewed 2012-06-18.