Record Number | Record Group | Record Description | Responsible Department | Retention Period | Retention Event | Retention Authority | Action | 1.1 | Institutional Records | Articles of Incorporation, revisions and amendments | Office of the Secretary | Permanent | N/A | | Send to University Archives |
1.2 | Institutional Records | Charter, revisions and amendments | Office of the Secretary | Permanent | N/A | | Send to University Archives |
1.3 | Institutional Records | By-laws, revisions and amendments | Office of the Secretary | Permanent | N/A | | Send to University Archives |
1.4 | Institutional Records | Meeting minutes of Board of Trustees | Office of the Secretary | Permanent | N/A | | Send to University Archives |
1.5 | Institutional Records | Meeting minutes of the Members of the Corporation | Office of the Secretary | Permanent | N/A | | Send to University Archives |
1.6 | Institutional Records | Meeting minutes | Staff Council | Permanent | N/A | | Send to University Archives |
1.7 | Institutional Records | Meeting minutes | Faculty Council | Permanent | N/A | | Send to University Archives |
1.8 | Institutional Records | Meeting minutes | Student Government Association | Permanent | N/A | | Send to University Archives |
1.9 | Institutional Records | Meeting minutes | Official academic and administrative councils and committees | Permanent | N/A | | Send to University Archives |
1.10 | Institutional Records | Records of development of new centers, colleges or programs including program proposals and documentation of the history of various offices, departments, centers and programs at DePaul. | All Departments | Permanent | N/A | | Send to University Archives |
1.11 | Institutional Records | State of Illinois Annual Reports | Office of the General Counsel | Permanent | N/A | | Permanently Retained |
1.12 | Institutional Records | Course Catalogs | University Registrar | Permanent | N/A | AACRAO Guidelines | Send to University Archives |
1.13 | Institutional Records | Course Schedules | University Registrar | Permanent | N/A | AACRAO Guidelines | Send to University Archives |
1.14 | Institutional Records | Academic Bulletins | University Registrar | Permanent | N/A | AACRAO Guidelines | Send to University Archives |
1.15 | Institutional Records | Master Planning Documents | Facility and Project Management | Permanent | N/A | | Send to University Archives |
1.16 | Institutional Records | University Policies, amendments and revisions | Office of the Secretary | Permanent | N/A | | Permanently Retained |
1.17 | Institutional Records | NCA accreditation records | Academic Affairs | Permanent | N/A | | Send to University Archives |
1.18 | Institutional Records | Programmatic and Specialized accreditation records including, but not limited to, those for AACSB, ABA, ACS, APA, AALS, NASM, NCATE, NLN, and NASPAA | Colleges and Professional Schools | Permanent | N/A | | Send to University Archives |
1.20 | Institutional Records | Commencement Programs | University Registrar/Academic Affairs | Permanent | N/A | | Send to University Archives |
1.21 | Institutional Records | Official correspondence of Executive Officers, Deans, Vice Presidents and official academic and administrative councils | All Departments | Permanent | N/A | | Send to University Archives |
1.22 | Institutional Records | Annual Reports (non-budget) | All Departments | Permanent | N/A | | Send to University Archives |
1.23 | Institutional Records | Faculty Handbook | Academic Affairs | Permanent | | | Send to University Archives |
1.24 | Institutional Records | Strategic Planning Documents | Academic Affairs & EVP | Permanent | | | Send to University Archives |
1.25 | Institutional Records | Fact File | Institutional Research and Market Analytics | Permanent | | | Send to University Archives |
1.26 | Institutional Records | Undergraduate & Graduate Student Handbooks | Academic Affairs/University Registrar | Permanent | N/A | | Send to University Archives |
1.27 | Institutional Records | Neighborhood Advisory Committee (NAC) and Transportation Subcommittee Meeting Minutes | Community & Government Relations | Permanent | N/A | | Send to University Archives |
1.28 | Institutional Records | University Committee on International Programs (UCIP) Meeting Minutes | Community & Government Relations | Permanent | N/A | | Send to University Archives |
1.29 | Institutional Records | Management Standards Handbook | Compliance & Risk Management | Permanent | N/A | | Send to University Archives |
1.30 | Institutional Records | Code of Conduct | Compliance & Risk Management | Permanent | N/A | | Send to University Archives |
1.31 | Institutional Records | Records documenting community partnerships and special initiatives | Various | Permanent | N/A | | Send to University Archives |
1.32 | Institutional Records | Common Data Set (CDS) | Institutional Research and Market Analytics | Permanent | N/A | | Send to University Archives |
1.33 | Institutional Records | Records Disposal Certificates | Records Management | Permanent | Creation of Record | | Permanently Retained |
1.34 | Institutional Records | University Advisory Board Establishing Documents | Sponsoring Units | Permanent | N/A | | Send to University Archives |
1.35 | Institutional Records | University Advisory Board Membership Lists | Sponsoring Units | Permanent | N/A | | Send to University Archives |
1.36 | Institutional Records | University Advisory Board Conflict of Interest statements | Sponsoring Units | 4 Years | Creation of Record | | Shred or Destroy |
11.55 | Miscellaneous | Security Access Requests | Enrollment Management | 5 Years | Creation of Record | | Shred or Destroy |
2.1 | Student Records | Academic Action Authorizations (Dismissal, etc.) | University Registrar | 7 Years | Creation of record | University Registrar | Shred or Destroy |
2.2 | Student Records | Academic Records (including narrative evaluations, competency assessments, etc.) | University Registrar | Permanent | | AACRAO Guidelines | Permanently Retained |
2.3 | Student Records | Advanced Placement and Other Placement Tests Records/Scores (e.g. ASSET, Compass) | University Registrar | 5 Years | Graduation or date of last attendance | AACRAO Guidelines | Shred or Destroy |
2.4 | Student Records | Audit Authorizations | College Offices | 1 Year | Creation of record | AACRAO Guidelines | Shred or Destroy |
2.5 | Student Records | Changes of Course (add/drop) | University Registrar | 2 Years | Creation of record | AACRAO Guidelines/University Registrar | Shred or Destroy |
2.6 | Student Records | Change of grade forms (update documents) | University Registrar | 1 Year | Creation of Records | AACRAO Guidelines | Shred or Destroy |
2.7 | Student Records | Class lists (original grade sheets) | University Registrar | Permanent | N/A | AACRAO Guidelines | Permanently Retained |
2.8 | Student Records | Class schedules (students) | University Registrar | 1 Year | Graduation or date of last attendance | AACRAO Guidelines | Shred or Destroy |
2.9 | Student Records | Credit by examination report/scores (e.g. AP, CLEP, PEP) | Admission | 1 Year | Graduation or date of last attendance | AACRAO Guidelines | Shred or Destroy |
2.10 | Student Records | Credit/no credit approvals (audit, pass/fair, etc.) | College Offices | 1 Year | Creation of record | AACRAO Guidelines | Shred or Destroy |
2.11 | Student Records | Graduation Lists | University Registrar | Permanent | N/A | AACRAO Guidelines | Send to University Archives |
2.12 | Student Records | Paper Record of Student Name, SSN, DOB, Marital Status, Gender or Race Change Authorizations (also known as Personal Date Information Forms) | University Registrar | 7 Years | Creation of record | University Registrar | Shred or Destroy |
2.13 | Student Records | Electronic Record of Name, SSN, DOB, Marital Status, Gender or Race Change Authorizations (also known as Personal Date Information Forms) | University Registrar | Permanent | N/A | University Registrar | Permanently Retained |
2.14 | Student Records | Enrollment Change Form without Change of Grade | University Registrar | 2 Years | Creation of Record | AACRAO Guidelines/University Registrar | Shred or Destroy |
2.15 | Student Records | Pass/Fail Requests | College Offices | 1 Year | Creation of record | AACRAO Guidelines | Shred or Destroy |
2.16 | Student Records | Enrollment Change Form with Change of Grade | University Registrar | Permanent | N/A | AACRAO Guidelines | Permanently Retained |
2.17 | Student Records | Withdrawal Authorizations | University Registrar | Permanent | N/A | University Registrar | Permanently Retained |
2.18 | Student Records | Diploma Requests | University Registrar | Permanent | N/A | University Registrar | Permanently Retained |
2.19 | Student Records | Death Certificate Request for Records | University Registrar | Permanent | N/A | University Registrar | Permanently Retained |
2.20 | Student Records | Special Verification Requests | University Registrar | Permanent | N/A | University Registrar | Permanently Retained |
2.21 | Student Records | Registration Forms | University Registrar | 1 Year | Creation of record | AACRAO Guidelines | Shred or Destroy |
2.22 | Student Records | Transcript Requests | University Registrar | 1 Year | Creation of Record | | Shred or Destroy |
2.23 | Student Records | Official DePaul Transcripts | University Registrar | Permanent | N/A | AACRAO Guidelines | Permanently Retained |
2.24 | Student Records | Enrollment Verifications | University Registrar | 1 Year | Creation of record | AACRAO Guidelines | Shred or Destroy |
2.25 | Student Records | Electronic Record of Student Requests for Nondisclosure of Directory Information | University Registrar | 1 Year | Creation of record | AACRAO Guidelines | Shred or Destroy |
2.26 | Student Records | Student Requests for Nondisclosure of Directory Information | University Registrar | Permanent, or until rescinded by student | Action by student | | Permanently Retained |
2.27 | Student Records | Student Immunization Records | University Registrar | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.28 | Student Records | Student files including curriculum sheets, evaluations, insurance documents, petitions, declarations of major, graduation audits, approvals of transfer work and any other final decision paperwork (or the appropriate equivalent of any of these documents) | College Offices | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.29 | Student Records | Placement test records/scores (enrolled students only) | Admission | 5 Year | Graduation or date of last attendance | | Shred or Destroy |
2.30 | Student Records | Placement test records/scores (enrolled students only) | Admission Office of Each Graduate or Professional School | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.31 | Student Records | Applications and submitted supporting documentation (incomplete, non-accepted or non-enrolled undergraduate applicants) | Admission | 1 Year | Admissions decision | | Shred or Destroy |
2.32 | Student Records | Applications and submitted supporting documentation (incomplete, non-accepted or non-enrolled graduate/professional applicants) | Admission Office of Each Graduate or Professional School | 1 Year | Admissions decision | | Shred or Destroy |
2.33 | Student Records | Applications and submitted supporting documentation (enrolled undergraduate students) | Admission | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.34 | Student Records | Applications and submitted supporting documentation(enrolled graduate/professional students) | Admission Office of Each Graduate or Professional School | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.35 | Student Records | Student Disciplinary Records not resulting in suspension/dismissal from the university | Dean of Students | 10 Years | Graduation or date of last attendance | | Shred or Destroy |
2.36 | Student Records | Foreign student visas and supporting documentation (F-1, J-1) | International Student and Scholar Services | 5 Years | I-20/DS-2019 end date | 8 C.F.R. S 214.3(g), 22 C.F.R. S 62.10(g) | Shred or Destroy |
2.37 | Student Records | Theses or dissertations produced as part of the degree requirement for a master's or doctoral program | College Offices/Academic Units | Permanent | N/A | | Send to University Archives |
2.38 | Student Records | Academic Integrity Violation Records | Academic Affairs | 10 Years | Graduation or Date of Last Attendance | Academic Affairs | Shred or Destroy |
2.39 | Student Records | Applications for Graduate Assistantships and supporting documentation | Graduate and Professional Schools | 3 Years | Decision not to award or termination of assistantship | | Shred or Destroy |
2.40 | Student Records | Applications and submitted supporting documentation (excluding visas and other records maintained by the International Student Office) for enrolled international students | Various Admitting Units | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.41 | Student Records | Applications and submitted supporting documentation (incomplete, non-accepted, or non-enrolled international applicants) | International Admissions | 1 Year | Admissions decision | | Shred or Destroy |
2.42 | Student Records | Applications and submitted supporting documentation (excluding visas and other records maintained by the International Student Office) for enrolled students | English Language Academy | 5 Years | Graduation or date of last attendance | | Shred or Destroy |
2.43 | Student Records | Applications and submitted supporting documentation (incomplete, non-accepted, or non-enrolled) | English Language Academy | 1 Year | Admissions decision | | Shred or Destroy |
2.44 | Student Records | End of Term Final Grade Reports | English Language Academy | Permanent | N/A | | Permanently Retained |
2.45 | Student Records | TOEFL scores for tests administered at ELA | English Language Academy | Permanent | N/A | | Permanently Retained |
2.46 | Student Records | Pre-Registration forms and accompanying documentation | English Language Academy | 5 Years | Date of creation | | Shred or Destroy |
2.47 | Student Records | Grant applications and supporting documentation | TRiO - Student Support Services & McNair/Mitchem Scholars | 7 years | Start of project year | N/A | Shred or Destroy |
2.48 | Student Records | Student travel and activity waivers | Sponsoring Department | 2 Years | End of event/course | Office of the General Counsel | Shred or Destroy |
2.49 | Student Records | Non-Disclosure Agreements signed by students as part of course participation | College Offices/Academic Units/Faculty Members | 2 Years | End of course | Office of the General Counsel | Shred or Destroy |
2.50 | Student Records | Intake forms | Career Center | 2 Years | End of academic year | N/A | Shred or Destroy |
2.51 | Student Records | Student files, including, but not limited to: Confirmation of Participation, Applications and references, Releases, Course Registration, Emergency Contact Information, Withdrawal documents and Transcripts from program institution | Study Abroad | 7 Years | End of academic year in which the file was created | Office of the General Counsel | Shred or Destroy |
2.52 | Student Records | Scholarship Applications and Award Records | Various | 1 Year | Student no longer receiving scholarship | | Shred or Destroy |
2.53 | Student Records | Scholarship Applications - Not Awarded | Various | 1 Year | Decision not to award | | Shred or Destroy |
2.54 | Student Records | Late withdrawal appeal requests and supporting documentation | Dean of Students | 10 Years | Graduation or date of last attendance | | Shred or Destroy |
2.55 | Student Records | Residential Education Judicial Records and Incident Reports | Residential Education | 10 years | Graduation or date of last attendance | | Shred or Destroy |
2.56 | Student Records | First Year Academic Success Student Files | First Year Academic Success | 5 Years | Student leaves the program | | Shred or Destroy |
2.57 | Student Records | Student files | Center for Students with Disabilities | 10 years | Creation of record | | Shred or Destroy |
2.58 | Student Records | Nursing student files | School of Nursing | 10 years | Graduation or date of last attendance | N/A | Shred or Destroy |
2.59 | Student Records | Student disciplinary records resulting in suspension/dismissal from the university | Dean of Students | N/A | - | - | Permanently Retained |
2.60 | Student Records | Student Cohort Records | TRiO - Student Support Services & Mitchem/McNair Scholars | 6 Years | Beginning of Cohort Year | 34 CFR 74.53 | Shred or Destroy |
2.61 | Student Records | International Vincentian Scholarship Student Progress Files | Mission & Values | 5 Years | Graduation or Date of Last Attendance | Best Practices | Shred or Destroy |
2.62 | Student Records | Student Organization Registrations | Office of Student Involvement | Permanent | N/A | OGC/Best Practices | Send to University Archives |
2.63 | Student Records | Absence Notifications | Dean of Students | 10 Years | Graduation or Date of Last Attendance | | Shred or Destroy |
2.64 | Student Records | Advising notes for accepted applicants who did not enroll in classes | Advising Units | 1 Year | Creation of Record | Best Practices/OGC | Shred or Destroy |
2.65 | Student Records | FERPA Waiver Forms | Dean of Students | 5 Years | Expiration Date on Record | | Shred or Destroy |
2.66 | Student Records | BASICS program records | Health Promotion & Wellness | 5 Years | Graduation Date or Last Date of Attendance | | Shred or Destroy |
2.67 | Student Records | Sexual relationship violence reports and related documentation | Health Promotion & Wellness | 5 Years | Graduation Date or Last Date of Attendance | | Shred or Destroy |
2.68 | Student Records | Investigation Records | Dean of Students | 10 Years | Graduation Date or Last Date of Attendance | | Shred or Destroy |
2.69 | Student Records | Student Care Team Records | Dean of Students Office | 10 Years | Graduation or Last Date of Attendance | | Shred or Destroy |
3.1 | Personnel Records | Applications for staff employment and accompanying materials (resume, employment inquiries made in response to advertising or posting, selection criteria, and documents relating to the failure/refusal to hire any individual) | Human Resources - Staffing | 6 Years | Decision not to hire or termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.2 | Personnel Records | Staff and student employee files, including documents relating to hiring, performance, promotion, demotion, discipline, commendation, transfer, requests for accommodation, change of status, selection for training, layoff, recall or discharge | Human Resources - Operations | 6 Years | Termination of employment | Family Medical Leave Act, 29 U.S.C. 2616; 29 USC 211(c); 29 C.F.R. 825.500 | Shred or Destroy |
3.3 | Personnel Records | Job orders submitted to employment agency | Human Resources - Staffing | 3 Years | | | Shred or Destroy |
3.4 | Personnel Records | Advertisements and/or notices relating to staff job openings, promotions, training programs, or overtime opportunities | Human Resources - Staffing | 3 Years | Publication | 42 U.S.C. 2000e; 29 CFR Part 1602 | Shred or Destroy |
3.5 | Personnel Records | Employment tests administered in connection with any personnel action | Human Resources - Staffing | 6 Years | Decision not to hire or termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.6 | Personnel Records | Results of physical examination administered in connection with any personnel action | Human Resources - Staffing | 6 Years | Decision not to hire or termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.7 | Personnel Records | Affirmative action plan and supporting documents and data, including applicant flow data, applicant selection criteria, and applicant rejection ratios indicating minority and sex status | Office of Institutional Diversity and Equity | 2 Years | Creation of record | 42 U.S.C. 2000e; 29 CFR Part 1602 | Dispose |
3.8 | Personnel Records | Equal Employment Opportunity (EEO)-1 Report | Office of Institutional Diversity and Equity | 2 Years | Creation of record | | Shred or Destroy |
3.9 | Personnel Records | Part time & adjunct faculty personnel files, including documents related to hiring | Human Resources - Operations | 6 Years | Termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.10 | Personnel Records | Criminal Background checks for hired full, part time faculty/staff | Human Resources-Staffing | 3 years | Decision to hire | University Policy | Shred or Destroy |
3.11 | Personnel Records | Criminal background checks for non-hired faculty/staff | Human Resources/ Academic Affairs | N/A; Shred once decision not to hire has been made | | | Shred or Destroy |
3.12 | Personnel Records | Full-time faculty personnel files including application form, CV at time of hire, transcripts, letters of recommendation, description of search, requests for contract, original employment contracts, non-medical leave paperwork, and tenure status paperwork | Academic Affairs | 6 Years | Termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.13 | Personnel Records | Tenure packet including college criteria, up-to-date CV, personal statement, recommendations, student representative report, student evaluation graphs, selection of student evaluation comments | Academic Affairs | 6 Years | Termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.14 | Personnel Records | Applications for faculty employment and accompanying materials (including CVs, inquiries in response to posting/advertisement, selection criteria, and documents relating to the failure/refusal to hire any individual) | Academic Units | 6 Years | Decision not to hire or termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.15 | Personnel Records | Annual reviews and Peer reviews | College Offices/Academic Units | 6 Years | Termination of employment or date of last active teaching quarter/semester | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.16 | Personnel Records | Course/professor evaluations done by students that have not been returned to professor | College Offices/Academic Units | 6 Years | Termination of employment | | Shred or Destroy |
3.17 | Personnel Records | Employee benefts records - records indicating the benefits due or available for a particular employee | Human Resources - Compensation and Benefits | 6 Years | Termination of employment and benefits | | Shred or Destroy |
3.18 | Personnel Records | Records relating to ERISA plan descriptions, annual reports and summary annual reports | Human Resources - Compensation and Benefits | 6 Years | Filing date | Employee Retirement Income Security Act, 29 U.S.C., 1027 | Dispose |
3.19 | Personnel Records | Benefits plan documents and plan descriptions | Human Resources - Compensation and Benefits | Permanent | N/A | Employee Retirement Income Security Act, 29 U.S.C. S 1059 | Permanently Retained |
3.20 | Personnel Records | Employee leave of absence records, including leave dates, employee notices, premium payments, and disputes | Human Resources - Compensation and Benefits | 6 Years | Termination of employment and benefits | Family Medical Leave Act, 29 U.S.C., 2616; 29 C.F.R. S 825.500 | Shred or Destroy |
3.21 | Personnel Records | Occupation, rate of pay, earnings records, wage rate tables, methods of compensation, etc. | Payroll Department | 6 Years | Termination of employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.22 | Personnel Records | Timesheets (hours worked, including work schedules, identification of employee's workweek, amount of straight time, amount of overtime, etc.) | Payroll Department | 6 Years | Termination of employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.23 | Personnel Records | Vacation days earned and taken | Payroll Department | 6 Years | Termination of employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.24 | Personnel Records | Additions to and deductions from employee wages (including explanation) | Payroll Department | 6 Years | Termination of employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.25 | Personnel Records | Payroll calendar (dates of payment of each pay period) | Payroll Department | 6 Years | Termination of employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.26 | Personnel Records | Security access requests | Payroll Department | 3 years | Termination of employment | | Dispose |
3.27 | Personnel Records | Federal 941, Employer's Quarterly Federal Tax Return | Payroll Department | 4 years | Creation of record | 26 CFR 31.6001-1, see also IRS publication 15 and IRS publication 583 | Dispose |
3.28 | Personnel Records | State 941 | Payroll Department | 4 years | due date or payment of the tax (whichever is later) | 26 CFR 31.6001-1, See also IRS Publication 583 and IRS Publication 15 | Dispose |
3.29 | Personnel Records | Forms W-2, W-2C | Payroll Department | 6 years | Creation of record | 29 CFR 404.7 | Shred or Destroy |
3.30 | Personnel Records | Form 1042S, Foreign Person's U.S. Source Income Subject to Withholding | Payroll Department | 5 years | Filing date | 29 CFR 404.7 | Dispose |
3.31 | Personnel Records | Federal W-4 Forms | Payroll Department | 6 Years | Document is superseded or relationship is terminated | 26 CFR 31.6001-1, IRS Publication 583, IRS Publication 15, 820 ILCS 112/20 | Dispose |
3.32 | Personnel Records | State W-4 Forms | Payroll Department | 6 Years | Document is superseded or relationship is terminated | 26 CFR 31.6001-1, See also IRS Publication 583 and IRS Publication 15, 820 ILCS 112/20 | Dispose |
3.33 | Personnel Records | International 8233, Exemption From Withholding on Compensation for Independent Personal Services of a Nonresident Alien Individual | Payroll Department | 4 years | Document is superseded or relationship is terminated | 26 CFR 31.6001-1, see also IRS publication 15 and IRS publication 583 | Dispose |
3.34 | Personnel Records | Employee wage garnishment files | Payroll Department | 6 Years | Termination of employment | 26 CFR 31.6001-1, 820 ILCS 112/20 | Shred or Destroy |
3.35 | Personnel Records | Records documenting the university's drug prevention program, biennial review, and associated materials | Human Resources - Employee Relations | 3 years | End of the fiscal year in which the record was created | Drug-Free Schools and Communities Act, 20 U.S.C. 1145g; EDGAR Part 86, Subpart B, Sec. 86.103 | Shred or Destroy |
3.36 | Personnel Records | Employee I-9 verifications | Human Resources | 3 years after date of hire or 1 year after termination, whichever is greater | | Immigration and Nationality Act, 8 U.S.C., 1324a(b)(B); 8 C.F.R., 274a.2(b)(2)(i) | Shred or Destroy |
3.37 | Personnel Records | Foreign faculty and staff permanent residency (green card) applications and supporting documentation | Office of the General Counsel | 5 Years | Filing of PERM application | 20 CFR 656.10(f) | Shred or Destroy |
3.38 | Personnel Records | Foreign faculty and staff H-1B visas and supporting documentation | Office of the General Counsel | 1 year after H-1B expires or is withdrawn | Approval of H-1B visa | 20 CFR 655.760(c) | Shred or Destroy |
3.39 | Personnel Records | Employee name change authorizations | Human Resources | 6 Years | Termination of Employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.40 | Personnel Records | Employee Conflict of Interest Certificate of Compliance Form | Controller's Office | 4 Years | Termination of employment | IRS publication 1220 | Shred or Destroy |
3.41 | Personnel Records | Staff, faculty, and student employee personnel files unique from records sent to Human Resources/Academic Affairs | Various | 6 Years | Termination of employment | 42 U.S.C. 2000e; 29 CFR Part 1602, 820 ILCS 112/20 | Shred or Destroy |
3.42 | Personnel Records | Union member records not including union time cards | Facility Operations | 6 Years | Termination of employment | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.43 | Personnel Records | Investigation records | Office of Institutional Diversity and Equity | 6 Years | Separation from employment of respondent(s) or complainant(s) , whichever is longer | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.45 | Personnel Records | Union member time cards | Facility Operations | 6 Years | Creation of record | 29 CFR 516.5(a), 29 USC 211(c), 29 CFR 1620.32(b), 29 CFR 1627.3(a), 29 USC 626, 29 CFR 825.500, 820 ILCS 105/8, 820 ILCS 112/20 | Shred or Destroy |
3.46 | Personnel Records | Position creation records | Human Resources - Compensation and Benefits | 5 years | Position no longer filled | Office of General Counsel | Shred or Destroy |
3.47 | Personnel Records | Private Club Membership Documentation | Accounts Payable | 6 years | Termination of employment | | Shred or Destroy |
4.1 | Financial Records | Audited financial statements | Financial Accounting | Permanent | N/A | | Permanently Retained |
4.2 | Financial Records | General Ledger (including Accounts Payable subledger) | Financial Accounting | Permanent | N/A | | Permanently Retained |
4.3 | Financial Records | Records General Ledger (including Accounts Payable subledger) | Financial Accounting | 10 Years | Creation of records | | Shred or Destroy |
4.4 | Financial Records | Audit schedules, including trial balances | Financial Accounting | 7 Years | Completion of audit | Sarbanes-Oxley, 17 CFR Part 210.2-06 | Dispose |
4.5 | Financial Records | Journal entries (other than those related to taxes or grants - see respective record groups below) | Financial Accounting | 3 Years | Creation of record | | Dispose |
4.6 | Financial Records | Financial Reports, including Financial Activity, Labor Cost, Scholarship, and Gift Reports | Financial Accounting | Permanent | N/A | | Permanently Retained |
4.7 | Financial Records | Account reconciliations (general) | Financial Accounting | 3 Years | Creation of record | 805 ILCS 410/2 | Dispose |
4.8 | Financial Records | Account reconciliations for Federal Direct Loans (FDL) | Financial Accounting | 3 Years | Close of award year | 805 ILCS 410/2 | Dispose |
4.9 | Financial Records | Account reconciliations for Federal Perkins Loans (FPL) | Financial Accounting | 3 Years | Close of award year | 805 ILCS 410/2 | Dispose |
4.10 | Financial Records | Bank Statements - Cash | Treasurer's Office | 3 years | Creation of record | 805 ILCS 410/2 | Shred or Destroy |
4.11 | Financial Records | Bank Statements - Federal Direct Loans (FDL) | Treasurer's Office | 3 years | Creation of record | 805 ILCS 410/2 | Shred or Destroy |
4.12 | Financial Records | Bank Statements - School as Lender program (SAL) | Treasurer's Office | 3 years | Creation of record | 805 ILCS 410/2 | Shred or Destroy |
4.13 | Financial Records | Bank Statements - Investments | Treasurer's Office | 3 years | End of the fiscal year | 805 ILCS 410/2 | Shred or Destroy |
4.14 | Financial Records | Bank Statements - Outstanding check listings | Treasurer's Office | 6 years | End of the fiscal year | 765 ILCS 1025/11 | Shred or Destroy |
4.16 | Financial Records | Expense reports | Financial Accounting | 3 Years | Creation of record | 805 ILCS 410/2 | Dispose |
4.18 | Financial Records | Annual Budget Reports | Operational Reporting | Permanent | N/A | Retention sufficient to meet operational need may approach 15 years. Thereafter, reports may be archived to provide historical benefit to University. | Permanently Retained |
4.19 | Financial Records | Quarterly / Year End Books | Operational Reporting | Permanent | N/A | Retention sufficient to meet operational need may approach 15 years. Thereafter, reports may be archived to provide historical benefit to University. | Permanently Retained |
4.20 | Financial Records | Budget entries | Operational Reporting | 3 Years | Creation of record | Sufficient to meet operational needs | Dispose |
4.21 | Financial Records | Payment packages, including voucher requests, ACH requests, vendor invoice, vendor updates (if applicable) | Accounts Payable | 7 Years | Beginning of calendar year in which record was created | | Shred or Destroy |
4.22 | Financial Records | Wire requests | Accounts Payable | 7 Years | Creation of record | 805 ILCS 410/2 | Shred or Destroy |
4.23 | Financial Records | Check registers | Accounts Payable | 10 Years | Creation of record | 805 ILCS 410/2 | Shred or Destroy |
4.24 | Financial Records | Vendor Information Form | Accounts Payable | 4 Years | Termination of vendor relationship | IRS publication 1220 | Shred or Destroy |
4.25 | Financial Records | Form W-9 | Accounts Payable | 4 Years | Creation of record | IRS publication 1220 | Shred or Destroy |
4.26 | Financial Records | Form W-8 BEN | Accounts Payable | 4 Years | Creation of record | IRS publication 1220 | Shred or Destroy |
4.27 | Financial Records | Forms 1099, 1099-C | Accounts Payable | 4 Years | Creation of record | IRS publication 1220 | Shred or Destroy |
4.28 | Financial Records | Employee Expense Reimbursement forms, Travel Reimbursement forms, and related receipts | Accounts Payable | 7 Years | Beginning of calendar year in which record was created | University policy | Shred or Destroy |
4.29 | Financial Records | Fiscal Operations Report (FISAP) | Financial Aid | Permanent | N/A | Financial Aid Department Policy | Permanently Retained |
4.30 | Financial Records | FISAP worksheets and Source Documents | Financial Aid | 3 Years | End of the award year in which the FISAP is submitted | 34 CFR 668.24 | Shred or Destroy |
4.31 | Financial Records | Federal Student Financial Aid Records (general) | Financial Aid | 3 Years | End of the award year in which aid was awarded and disbursed, subject to retention of the FISAP | 34 CFR 668.24 (e) | Shred or Destroy |
4.32 | Financial Records | FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS (FSEOG) | Financial Aid | 3 Years | End of the award year in which the aid was awarded and disbursed | 34 CFR 668.24 (e) | Shred or Destroy |
4.33 | Financial Records | FEDERAL WORK-STUDY PROGRAM (FWS) | Financial Aid | 3 Years | End of the award year in which the aid was awarded and used | 34 CFR 668.24 (e) | Shred or Destroy |
4.34 | Financial Records | FEDERAL PERKINS LOANS (FPL)-FEDERAL CAPITAL CONTRIBUTIONS | Financial Aid | 3 Years | End of the award year in which the aid was awarded and disbursed | 34 CFR 668.24 (e) | Shred or Destroy |
4.35 | Financial Records | FEDERAL PELL GRANT PROGRAM (PELL) | Financial Aid | 3 Years | End of the award year in which the aid was awarded and disbursed | 34 CFR 668.24 (e) | Shred or Destroy |
4.36 | Financial Records | FEDERAL DIRECT STUDENT LOANS (DIRECT LOAN) | Financial Aid | 3 Years | End of the award year in which the aid was awarded and disbursed | 34 CFR 668.24 (e) | Shred or Destroy |
4.37 | Financial Records | ACADEMIC COMPETITIVENESS GRANT (ACG) | Financial Aid | 3 Years | End of the award year in which the aid was awarded and disbursed | 34 CFR 668.24 (e) | Shred or Destroy |
4.38 | Financial Records | NATIONAL SCIENCE AND MATHEMATICS ACCESS TO RETAIN TALENT GRANT (National SMART Grant) | Financial Aid | 3 Years | End of the award year in which the aid was awarded and disbursed | 34 CFR 668.24 (e) | Shred or Destroy |
4.39 | Financial Records | Federal Perkins Loans (FPL) - Repayment Records, Cancellation requests, Deferment requests | Student Accounts | 3 years | Assignment, cancellation, or repayment of the loan | 34 CFR 674.19 | Shred or Destroy |
4.40 | Financial Records | Perkins Loan Promissory Notes | Student Accounts | 3 Years | Loan paid in full or assigned to Department of Education | 34 CFR 674.19 | Shred or Destroy |
4.41 | Financial Records | Federal Direct Loans (FDL) - Borrower eligibility and participation | Financial Aid | 3 Years | End of award year in which the student last attended | 34 CFR 668.24 (e) | Shred or Destroy |
4.42 | Financial Records | Monthly UAS report | Student Accounts | 3 Years | Assignment, cancellation, or repayment of the loan | 34 CFR 674.19 | Shred or Destroy |
4.43 | Financial Records | Purchase Orders | Procurement Services | 7 Years | Creation of Record | Procurement Services | Shred or Destroy |
4.44 | Financial Records | ProCard Receipts | Procurement Services | 7 Years | Creation of Record | Procurement Services | Shred or Destroy |
4.45 | Financial Records | Payment Processing and/or Payment Reconciliation Paperwork (including receipts, credit card slips, etc) | Any department that directly processes payments | 3 Years | Creation of Record | University Policy (Payment Card Acceptance) | Shred or Destroy |
4.46 | Financial Records | Financial Assistance Voucher agreements issued from organizations to prove student tuition assistance payments. | Student Financial Accounts - Third Party Billing | 7 years | Creation of Record | N/A | Dispose |
4.47 | Financial Records | Financial Assistance Invoices issued to organizations, showing account balances and payment transactions relating to student tuition assistance payments. | Student Financial Accounts - Third Party Billing | 7 Years | Creation of Record | N/A | Dispose |
4.48 | Financial Records | Real Estate tenant invoices and correspondences | Treasurer | 3 years | Termination of lease | N/A | Dispose |
4.49 | Financial Records | Quarterly Investment Performance Reports | Treasurer | Permanent | N/A | | Permanently Retained |
4.50 | Financial Records | 403(B) reports | Treasurer | Permanent | N/A | N/A | Permanently Retained |
4.51 | Financial Records | Investment manager due diligence records | Treasurer | 7 years | End of fiscal year in which record was created | N/A | Dispose |
4.52 | Financial Records | Communications with fund managers | Treasurer | 7 years | End of fiscal year in which record was created | N/A | Dispose |
4.53 | Financial Records | SAS70 Reports | Treasurer | 7 years | End of fiscal year in which record was created | N/A | Dispose |
4.54 | Financial Records | Rebalancing decisions | Treasurer | 7 years | End of fiscal year in which record was created | N/A | Dispose |
4.55 | Financial Records | Revenue Information Reports | Document Services | 3 Years | End of fiscal year in which record was created | Internal Audit/Best Practices | Shred or Destroy |
4.56 | Financial Records | Manual Payroll Requests & Documentation | Payroll | 6 Years | Termination of Employment | OGC/Best Payroll Practices | Shred or Destroy |
4.57 | Financial Records | Prize Authorization Requests & Reporting | Accounts Payable | 3 Years | Creation of Record | | Shred or Destroy |
4.58 | Financial Records | Gift Reporting Documentation | Accounts Payable | 3 Years | Creation of Record | | Shred or Destroy |
4.59 | Financial Records | Capital Budget Request Documentation | Financial Accounting | 3 years | Creation of Record | 805 ILCS 410/2 | Shred or Destroy |
4.60 | Financial Records | Asset Transfer Documentation | Financial Accounting | 3 years | Creation of Record | 805 ILCS 410/2 | Shred or Destroy |
4.61 | Financial Records | Fixed Asset Inventories & Documentation | Financial Accounting | 3 years | Creation of Record | 805 ILCS 410/2 | Shred or Destroy |
4.62 | Financial Records | Cash Logs | All Departments | 3 years | End of the Fiscal Year | 805 ILCS 410/2 | Shred or Destroy |
5.1 | Tax Records | Federal Income Tax Exemption Letter | Office of Financial Affairs - Tax | Permanent | N/A | 26 U.S.C. 501(c)(3) | Permanently Retained |
5.2 | Tax Records | IRS Form 990 - Return of Organization Exempt from Income Tax | Office of Financial Affairs - Tax | Permanent | N/A | IRC Code Section 6501(a) | Permanently Retained |
5.3 | Tax Records | Underlying records used to prepare Form 990 | Office of Financial Affairs - Tax | 3 Years | Filing date or due date, whichever is later | IRC Code Section 6501(a) | Dispose |
5.4 | Tax Records | IRS Form 990T - Exempt Organization Business Income Tax Return | Office of Financial Affairs - Tax | Permanent | N/A | IRC Code Section 6501(a) | Permanently Retained |
5.5 | Tax Records | Underlying records used to prepare Form 990T (for tax years not generating a Net Operating Loss (NOL) | Office of Financial Affairs - Tax | 3 Years | Filing date or due date, whichever is later | IRC Code Section 6501(a), IRS Publication 536 | Dispose |
5.6 | Tax Records | Underlying records used to prepare Form 990T (for tax years generating a Net Operating Loss (NOL) | Office of Financial Affairs - Tax | 3 Years | Use or expiration of NOL carryforward | | Dispose |
5.7 | Tax Records | Illinois Form IL-990-T - Illinois Exempt Organization Income and Replacement Tax Return | Office of Financial Affairs - Tax | Permanent | N/A | ILCS 5/905(a)(1), (2) | Permanently Retained |
5.8 | Tax Records | Underlying records used to prepare Form IL-990-T | Office of Financial Affairs - Tax | 3 Years | Filing date | ILCS 5/905(a)(1), (2); Illinois regulations section 100.2330(b)(1) | Dispose |
5.9 | Tax Records | Records necessary to prepare Illinois sale and use tax returns | Office of Financial Affairs - Tax | 3.5 Years | End of period covered by the filed return | Illinois Department of Revenue Regulations, Title 86 Part 150 Sections 150.1301, 150.1305 | Dispose |
5.10 | Tax Records | Journal entries related to tax accounts | Office of Financial Affairs - Tax | 7 Years | | | Dispose |
5.11 | Tax Records | Form CA-199: State of California Fundraising Informational Return | Office of Financial Affairs - Tax | 3 Years | Filing date | | Dispose |
5.12 | Tax Records | Tax-exempt bond financing records, including bond transcripts, documents evidencing expenditures of bond proceeds, documents related to public vs. private use (e.g. management and research agreements), documents related to sources of payments or security | Treasurer's Office | 3 Years | End of the bond issue | IRS Code Section 6001;regulations section 1.148-5(d)(6)(iii)(E) | Dispose |
6.1 | Grant and Award Records | OMB Circular A-133 audit reports | Restricted Accounting | Permanent | N/A | Permanent benefit to University | Permanently Retained |
6.2 | Grant and Award Records | OMB Circular A-133 data collection form | Restricted Accounting | Permanent | N/A | Permanent benefit to University | Permanently Retained |
6.3 | Grant and Award Records | State/Local/Private audit reports including, but not limited to, Nursing Program and Family and Community Services Center audits | Restricted Accounting | Permanent | N/A | Permanent benefit to University | Permanently Retained |
6.4 | Grant and Award Records | Federal grant agreements, contracts, submitted reports, and other supporting documentation (except grants involving real property (see 6.8 below) or any agreements or contracts that fall under Record Group 9.2 or 9.42) | Restricted Accounting | 3 Years | Close of grant | OMB Circular A-133.320(g), OMB A-133.515, and OMB A-110 | Dispose |
6.5 | Grant and Award Records | State grant agreements, contracts, submitted reports, and other supporting documentation (except any agreements or contracts that fall under Record Group 9.2 or 9.42) | Restricted Accounting | 5 Years | Close of grant | 30 ILCS 500/20-65 | Dispose |
6.6 | Grant and Award Records | Local grant agreements, contracts, submitted reports, and other supporting documentation (except any agreements or contracts that fall under Record Group 9.2 or 9.42) | Restricted Accounting | 5 Years | Close of grant | | Dispose |
6.7 | Grant and Award Records | Private grant agreements, contracts, submitted reports, and other supporting documentation (except any agreements or contracts that fall under Record Group 9.2 or 9.42) | Restricted Accounting | 5 Years | Close of grant | | Dispose |
6.8 | Grant and Award Records | Agreements, contracts, submitted reports, and other supporting documentation for grants involving real property | Restricted Accounting | 3 Years | Disposal of asset | OMB Circular A-110 | Dispose |
6.9 | Grant and Award Records | FNA rate proposals and agreements | Restricted Accounting | 3 Years | Submission of proposal | OMB Circular A-110 .53 (g) | Dispose |
6.10 | Grant and Award Records | Journal entries related to grant accounts | Restricted Accounting | 5 Years | Close of grant | | Dispose |
6.11 | Grant and Award Records | Time and effort reporting | Restricted Accounting | 5 Years | Close of grant | | Dispose |
6.12 | Grant and Award Records | Subrecipient monitoring records | Restricted Accounting | 5 Years | Close of grant | | Dispose |
6.13 | Grant and Award Records | Internal Grant Proposals | Faculty Development & Research | 5 Years | Proposal submission | | Dispose |
7.1 | Athletics / NCAA Compliance Records | List of coaches permitted to contact or evaluate prospective student-athletes off campus | Athletic Department | 3 Years | Termination of employment | NCAA Bylaw (3.2.4.7) | Dispose |
7.2 | Athletics / NCAA Compliance Records | Written departmental policies related to official visits that apply to prospective student-athletes, student hosts, coaches and other athletics administrators | Athletic Department | Permanent | N/A | NCAA Bylaw 13.6.1 Institutional Policies. | Dispose |
7.3 | Athletics / NCAA Compliance Records | Student Athlete HIPAA/FERPA consent form for disclosure of health information and student records | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaw (3.2.4.9) | Shred or Destroy |
7.4 | Athletics / NCAA Compliance Records | Student Athlete Statement | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaw (3.2.4.6) | Shred or Destroy |
7.5 | Athletics / NCAA Compliance Records | International Student Athlete Eligibility Forms | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaw (14.3.5.3.1) | Shred or Destroy |
7.6 | Athletics / NCAA Compliance Records | Written certification that non-athletics related financial aid granted to a student athlete was done without regard to athletics ability. | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaws (15.5.1.1.1 E; 15.5.3.2.4.1; 15.5.3.2.4.2; 15.5.3.2.4.3) | Shred or Destroy |
7.7 | Athletics / NCAA Compliance Records | Written declaration of playing season | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaw (17.1.3) | Dispose |
7.8 | Athletics / NCAA Compliance Records | Written declaration of 8 weeks student discretionary time | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaw (17.10.6.1.1) | Dispose |
7.9 | Athletics / NCAA Compliance Records | Annual institutional eligibility certification | Athletic Department | Permanent | N/A | NCAA Bylaws (3.2.4.14; 12.10.1; 18.4.2.1(d)) | Permanently Retained |
7.10 | Athletics / NCAA Compliance Records | Drug Testing Consent Form | Athletic Department | 5 Years | Graduation or last date of attendance | NCAA Bylaw (30.5.2) | Shred or Destroy |
7.11 | Athletics / NCAA Compliance Records | Programs and Media Guides | Athletic Department | Permanent | N/A | | Send to University Archives |
7.12 | Athletics / NCAA Compliance Records | Squad lists | Athletic Department | Permanent | N/A | NCAA Bylaw (12.10.2) | Send to University Archives |
8.1 | Donor Records | Gift and Pledge Agreements | Advancement/Gift Processing | Permanent | N/A | | Permanently Retained |
8.2 | Donor Records | Donor research reports | Advancement | Permanent | N/A | | Permanently Retained |
8.3 | Donor Records | One-on-one donor correspondence | Advancement | Permanent | N/A | | Permanently Retained |
8.4 | Donor Records | Advancement Briefing Materials | Advancement | Permanent | N/A | | Permanently Retained |
8.5 | Donor Records | Stewardship Reports | Advancement | Permanent | N/A | | Permanently Retained |
8.6 | Donor Records | Development Proposals | Advancement | Permanent | N/A | | Permanently Retained |
8.7 | Donor Records | Gift Batch and other related documentation | Advancement | 20 Years | Creation of record | | Shred or Destroy |
8.8 | Donor Records | Estate and Trust Gift Documentation | Planned Giving | Permanent | N/A | IL Probate Act of 1975, 755 ILCS 5/8-1 , 735 ILCS 5/13-114 | Permanently Retained |
9.1 | Legal, Risk Management, and Occupational Health and Safety Records | Subpoenas, legal requests for information and documentation of university's response | Office of the General Counsel | 5 Years | Close of fiscal year in which subpoena or request was issued | 735 ILCS 5/13-205 | Shred or Destroy |
9.2 | Legal, Risk Management, and Occupational Health and Safety Records | Contracts subject to mandatory review by the Office of the General Counsel | Office of the General Counsel | 10 Years | Termination of contract | 735 ILCS 5/13-206; University Policy | Shred or Destroy |
9.3 | Legal, Risk Management, and Occupational Health and Safety Records | General Legal Documents | Office of the General Counsel | 5 Years | Creation of Record | 735 ILCS 5/13-205 | Shred or Destroy |
9.4 | Legal, Risk Management, and Occupational Health and Safety Records | Final disposition of litigation matters | Office of the General Counsel | Permanent | N/A | 735 ILCS 5/13-218 | Permanently Retained |
9.5 | Legal, Risk Management, and Occupational Health and Safety Records | Deeds and titles to University real estate | Office of the General Counsel | Permanent | N/A | 735 ILCS 5/13-118 | Permanently Retained |
9.6 | Legal, Risk Management, and Occupational Health and Safety Records | Public Safety Incident Reports | Public Safety | 7 Years | Creation of Record | | Shred or Destroy |
9.7 | Legal, Risk Management, and Occupational Health and Safety Records | Radio logs | Public Safety | 7 Years | Creation of Record | | Shred or Destroy |
9.8 | Legal, Risk Management, and Occupational Health and Safety Records | Accident/Illness forms | Public Safety | 7 Years | Creation of Record | | Shred or Destroy |
9.9 | Legal, Risk Management, and Occupational Health and Safety Records | Investigation records | Public Safety | 7 Years | Creation of Record | | Shred or Destroy |
9.10 | Legal, Risk Management, and Occupational Health and Safety Records | Records indicating denial of insurance coverage | Risk Management | 2 Years | Creation of record | 735 ILCS 5/13-202, 204, 205, 214.4 | Dispose |
9.11 | Legal, Risk Management, and Occupational Health and Safety Records | Records of Work Related illness and injury | Environmental Health and Safety | 5 Years | Close of fiscal year in which the illness or injury occurred | 29 CFR 1904.33 | Shred or Destroy |
9.12 | Legal, Risk Management, and Occupational Health and Safety Records | Records of employee exposure to toxic substances ; Employee Exposure and Monitoring Records | Environmental Health and Safety | 30 Years | Creation of record | 29 C.F.R. 910.1020 | Shred or Destroy |
9.13 | Legal, Risk Management, and Occupational Health and Safety Records | OSHA 300 Log and OSHA 301 Incident report Forms | Risk Management | 5 Years | End of calendar year | 29 CFR 1904.33 | Shred or Destroy |
9.14 | Legal, Risk Management, and Occupational Health and Safety Records | All insurance claims (personal injury, worker's compensation, and/or damage to real or personal property) | Risk Management | Permanent | N/A | | Permanently Retained |
9.15 | Legal, Risk Management, and Occupational Health and Safety Records | Insurance Policies | Risk Management | Permanent | N/A | | Permanently Retained |
9.16 | Legal, Risk Management, and Occupational Health and Safety Records | All Insurance Certificates | Risk Management | Permanent | N/A | | Permanently Retained |
9.17 | Legal, Risk Management, and Occupational Health and Safety Records | Property Valuations | Risk Management | 5 Years | Creation of record | | Dispose |
9.18 | Legal, Risk Management, and Occupational Health and Safety Records | All Schedules of Insurance | Risk Management | Permanent | N/A | | Permanently Retained |
9.19 | Legal, Risk Management, and Occupational Health and Safety Records | Loss Runs | Risk Management | 5 Years | Creation of record | | Dispose |
9.20 | Legal, Risk Management, and Occupational Health and Safety Records | Faculty/Staff Driver certification records including Motor Vehicle Request, Driver Training Quiz, and notification emails | Environmental Health & Safety | 3 Years | Creation of record | | Shred or Destroy |
9.21 | Legal, Risk Management, and Occupational Health and Safety Records | Student Driver certification records including Motor Vehicle Request, Driver Training Quiz, and notification emails | Environmental Health & Safety | 3 Years | Creation of record | | Shred or Destroy |
9.22 | Legal, Risk Management, and Occupational Health and Safety Records | Records identifying Asbestos-Containing Materials (ACM) in university-owned facilities | Facility Operations | Indefinite | Transfer of ownership | 29 CFR 1910.1020 | Permanently Retained |
9.23 | Legal, Risk Management, and Occupational Health and Safety Records | Records of asbestos/ACM waste disposal | Facility Operations | 2 Years | Creation of record | 40 CFR 61.150(d)(5) | Dispose |
9.24 | Legal, Risk Management, and Occupational Health and Safety Records | Records documenting periodic surveillance, cleaning activities, operation and maintenance of university-owned facilities where asbestos/ACM is known or assumed to be present | Facility Operations | 3 Years | Creation of record | 40 CFR 763.94(a) | Dispose |
9.25 | Legal, Risk Management, and Occupational Health and Safety Records | Hazardous Waste: Generator's Reclamation Agreement with vendor | Environmental Health and Safety | 10 Years | Termination of agreement | 40 CFR 262.20(e) | Dispose |
9.26 | Legal, Risk Management, and Occupational Health and Safety Records | Hazardous Waste: Generator's Manifests | Environmental Health and Safety | 3 Years | Acceptance of waste by initial transporter | 40 CFR 262.40(a), 40 CFR 262.44(a) | Dispose |
9.27 | Legal, Risk Management, and Occupational Health and Safety Records | Hazardous Waste: Generator's Determination Records | Environmental Health and Safety | 3 Years | Transfer of waste to a TSDF | 40 CFR 262.40(c), 40 CFR 262.44(a) | Dispose |
9.28 | Legal, Risk Management, and Occupational Health and Safety Records | Hazardous Waste: Generator's Biennial Reports | Environmental Health and Safety | 3 Years | Due date of report | 40 CFR 262.40(b) | Dispose |
9.29 | Legal, Risk Management, and Occupational Health and Safety Records | Hazardous Waste: Generator's (SQG) Exception Reports | Environmental Health and Safety | 3 Years | Due date of report | 40 CFR 262.44(b) | Dispose |
9.30 | Legal, Risk Management, and Occupational Health and Safety Records | Form 300, Injury and Illness Log | Risk Management | 5 Years | Creation of record | 29 CFR 1904.33 | Shred or Destroy |
9.31 | Legal, Risk Management, and Occupational Health and Safety Records | Form 300A, Summary of Work-Related Injuries and Illnesses | Risk Management | 5 Years | Creation of record | 29 CFR 1904.32; 29 CFR 1910.1020 | Shred or Destroy |
9.32 | Legal, Risk Management, and Occupational Health and Safety Records | Form 301, Injury and Illness Incident Report | Risk Management | 1 Year | Creation of record | 29 CFR 1904.33 | Shred or Destroy |
9.33 | Legal, Risk Management, and Occupational Health and Safety Records | Fatalities & Multiple Accident Reports | Environmental Health and Safety | 5 Years | Creation of record | 29 CFR 1904.33 | Shred or Destroy |
9.34 | Legal, Risk Management, and Occupational Health and Safety Records | Hazard Communication Standard - SDS, Inventories and Training Policies | Environmental Health and Safety/Academic Units | Indefinite | End of chemical use at location | 29 CFR 1910.1200(g) | Dispose |
9.35 | Legal, Risk Management, and Occupational Health and Safety Records | Employee workplace medical records | Environmental Health and Safety | Duration of employment + 30 Years | Creation of record | 29 CFR 1910.1020 | Shred or Destroy |
9.38 | Legal, Risk Management, and Occupational Health and Safety Records | NPDES Stormwater & Wastewater Discharge Permits | Facility Operations | 3 Years | Creation of record | 40 CFR 122.21(p) | Dispose |
9.39 | Legal, Risk Management, and Occupational Health and Safety Records | Building code violation compliance records | Facility Operations | 1 Year | Violation is cleared | | Shred or Destroy |
9.40 | Legal, Risk Management, and Occupational Health and Safety Records | Dispatch recordings including telephone, radio transmissions, and emergency call box voice recordings | Public Safety | 90 Days | Date of Creation | | Dispose |
9.41 | Legal, Risk Management, and Occupational Health and Safety Records | High Risk Monitoring Plans | Office of Institutional Compliance | Permanent | N/A | | Permanently Retained |
9.42 | Legal, Risk Management, and Occupational Health and Safety Records | Contracts not subject to mandatory review by the Office of the General Counsel | Various | 10 Years | Termination of Contract | 735 ILCS 5/13-206; University Policy | Shred or Destroy |
9.43 | Legal, Risk Management, and Occupational Health and Safety Records | Sex Offender Registry | Public Safety | 5 years | Creation of Record | University Policy | Shred or Destroy |
9.44 | Legal, Risk Management, and Occupational Health and Safety Records | Real estate lease agreements | Office of the General Counsel | 10 Years | Termination of lease | 735 ILCS 5/13-206 | Shred or Destroy |
9.46 | Legal, Risk Management, and Occupational Health and Safety Records | Liability waivers for events & programs (non-student) | Sponsoring Department | 2 years | End of event/program | 735 ILCS 5/13-202 | Shred or Destroy |
9.47 | Legal, Risk Management, and Occupational Health and Safety Records | Waivers for Programs Involving Minors | Compliance & Risk Management | Permanent | Creation of Record | 735 ILCS 5/13-202.2. | Permanently Retained |
9.48 | Legal, Risk Management, and Occupational Health and Safety Records | Documents related to bankruptcies, including notice of filing, notice of discharge/dismissal, and all documents related to bankruptcies in which a proof of claim has been filed. | Office of the General Counsel | 7 Years | The later of the date on which bankruptcy was filed or date on which all payments related to proof of claim received | | Shred or Destroy |
10.1 | Medical Records | Client files and treatment records | Family and Community Services | 20 Years | Last client visit | 405 ILCS 5/3-202; 210 ILCS 85.6.7(c) | Shred or Destroy |
10.2 | Medical Records | Student Athlete training/medical records (generated by third party trainer or physician) | Athletic Department | 10 Years | Creation of record | | Shred or Destroy |
10.3 | Medical Records | Student Athlete training/medical records (generated by DePaul) | Athletic Department | 10 Years | Creation of record | 210 ILCS 85.6.7(c) | Shred or Destroy |
10.4 | Medical Records | Client files and treatment records | University Counseling Services | 10 Years | Last date of service | 210 ILCS 85.6.7(c); APA Guideline 7; UCS | Shred or Destroy |
11.01 | Miscellaneous | Business cases, including technical specifications | Information Services (IS) | 1 Year | Creation of record | | Dispose |
11.02 | Miscellaneous | System change authorizations | Information Services (IS) | 1 Year | Creation of record | | Dispose |
11.04 | Miscellaneous | Clery Act Annual Security Reports | Public Safety | 3 Years | Filing of report | 20 U.S.C., 1092(f)(1)(F)., DOE Clery Handbook | Dispose |
11.05 | Miscellaneous | Escort slips | Public Safety | 1 Year | Creation of record | | Shred or Destroy |
11.06 | Miscellaneous | Integrated Post-secondary Education Data System Survey (IPEDS) | Institutional Research and Market Analytics | 3 Years | Creation of record | 29 C.F.R. 1602.48 | Shred or Destroy |
11.07 | Miscellaneous | Materials & Documents related to university building design and construction including, but not limited to, blueprints, certificates of occupancy and square footage information | Facility Operations | Permanent | N/A | 735 ILCS 5/13-214 | Permanently Retained |
11.08 | Miscellaneous | Facade inspections | Facility Operations | Permanent | N/A | | Permanently Retained |
11.09 | Miscellaneous | Elevator logs | Facility Operations | 1 Year | Creation of Record | | Dispose |
11.10 | Miscellaneous | Hot and Cold Temperature logs | Facility Operations | 1 Year | Creation of Record | | Dispose |
11.11 | Miscellaneous | Surveys of university-owned real estate | Office of the General Counsel | Permanent | N/A | | Permanently Retained |
11.12 | Miscellaneous | University artifacts and memorabilia such as fragments of buildings, banners, posters, insignia, etc. | Facility Operations | Permanent | N/A | | Send to University Archives |
11.13 | Miscellaneous | Biographical information of faculty, administrators, and staff | Public Relations and Communications | Permanent | N/A | | Send to University Archives |
11.14 | Miscellaneous | Conference Programs (events hosted at DePaul) | Various | Permanent | N/A | | Send to University Archives |
11.15 | Miscellaneous | Records Group - Audio-visual documentation of university activities, events, students, faculty, and staff with significant relevance to either the institution's or individual unit's function and mission including fully identified photographs in electronic | Various | Permanent | N/A | | Send to University Archives |
11.16 | Miscellaneous | Yearbooks | University Archives | Permanent | N/A | | Send to University Archives |
11.18 | Miscellaneous | Parking Permit Applications from students, faculty, and staff | Parking Services | 1 Year | Expiration of permit | | Shred or Destroy |
11.19 | Miscellaneous | Records relating to property loaned to Art Museum | Art Museum | 10 Years | Deaccession of property | 765 ILCS 1033 | Dispose |
11.20 | Miscellaneous | Student organization advertising materials including table tents, fliers and posters | Office of Student Involvement | Permanent | | | Send to University Archives |
11.21 | Miscellaneous | Meal Plan Forms | Student Center | 7 Years | Creation of record | Student Center | Shred or Destroy |
11.22 | Miscellaneous | Housing Agreements | Housing | 10 years | Date of creation | 735 ILCS 5/13-206 | Shred or Destroy |
11.23 | Miscellaneous | Correspondence regarding student housing (including, but not limited to, status letters, emails to and from students, correspondence to and from parents) | Housing | 5 Years | Creation of Record | | Shred or Destroy |
11.24 | Miscellaneous | Cancellation records including forms, fee waiver appeals, documentation and response letters | Housing | 5 Years | Creation of Record | | Shred or Destroy |
11.25 | Miscellaneous | Room change request forms, response letter, reassignment letter, roommate notification | Housing | 5 Years | Creation of Record | | Shred or Destroy |
11.26 | Miscellaneous | Consolidation letters | Housing | 5 Years | Creation of Record | | Shred or Destroy |
11.27 | Miscellaneous | Winter and Summer Break application letters | Housing | 5 Years | Creation of Record | | Shred or Destroy |
11.28 | Miscellaneous | Room Rates/Conference Rates | Housing | 5 Years | Creation of Record | | Dispose |
11.29 | Miscellaneous | Postage statements and summary sheets | Print & Mailing Services | 3 Years | Creation of record | | Dispose |
11.30 | Miscellaneous | Archived print jobs | Print & Mailing Services | 2 Years | Creation of Record | | Dispose |
11.31 | Miscellaneous | Case files | Legal Clinics (College of Law) | 10 Years | Close of case | Illinois Supreme Court Rule 769 | Shred or Destroy |
11.32 | Miscellaneous | Client files | Family Lab (School of Education) | 3 Years | Client no longer eligible for program | Illinois Supreme Court Rule 769 | Shred or Destroy |
11.33 | Miscellaneous | Institutional Review Board (IRB) records related to protocol review including research proposals and supporting documentation, sample and approved consent documents, recruitment materials, progress reports, reports of unanticipated problems involving risk | Office of Research Protections | 7 Years | Completion of research | 45 CFR 46.115(b), 21 CFR 56.115 | Shred or Destroy |
11.34 | Miscellaneous | Institutional Review Board (IRB) meeting minutes, list of members, IRB registration documents, Federal wide assurance (FWA) and registration documents, records of non-conducted research. | Office of Research Protections | 3 Years | Date of Creation | 45 CFR 46.115(b), 21 CFR 56.115 | Shred or Destroy |
11.35 | Miscellaneous | Institutional Review Board written policies and procedures | Office of Research Protections | Permanent | N/A | 45 CFR 46.115(b) and 21 CFR 56.115 | Permanently Retained |
11.36 | Miscellaneous | Institutional Animal Care and Use Committee (IACUC) meeting minutes, PHS Assurance, annual reports to OLAW, annual report of research facility to USDA, reports of semi-annual program evaluations and facility inspections and recommendations to institutiona | Office of Research Protections | 3 Years | Date of creation | 9 CFR 2.35(f) | Shred or Destroy |
11.37 | Miscellaneous | Institutional Animal Care and Use Committee (IACUC) records of applications and proposals for research and supporting documentation, amendments to protocols, and whether IACUC approval was given or withheld | Office of Research Protections | 7 Years | Completion of research | 9 CFR 2.35(f) | Shred or Destroy |
11.38 | Miscellaneous | Institutional Animal Care and Use Committee (IACUC) policy, procedures, guidelines, and SOPs for animal care and use. | Office of Research Protections | N/A | | 9 CFR 2.35(f) | Permanently Retained |
11.39 | Miscellaneous | Institutional Biosafety Committee (IBC) records of applications, proposals, and amendment for research and supporting documentation | Office of Research Protections | 10 Years | Completion of research | 42 CFR 73.17(c) | Shred or Destroy |
11.40 | Miscellaneous | Institutional Biosafety Committee (IBC) meeting minutes, list of members, NIH registration documents, and other administrative files | Office of Research Protections | 10 years | Date of Creation | 42 CFR 73.17(c) | Shred or Destroy |
11.41 | Miscellaneous | Institutional Biosafety Committee (IBC) policy, procedures, guidelines | Office of Research Protections | N/A | N/A | | Permanently Retained |
11.42 | Miscellaneous | Routine U: and W: Drive backups | Information Services (IS) | 30 Days | Creation on backup media | | Dispose |
11.43 | Miscellaneous | Lincoln Park Community Research Initiative Records (includes meeting minutes, postcard invitations, program booklets, photos, videos, student research projects, presentations | Community and Government Relations | Permanent | N/A | | Send to University Archives |
11.44 | Miscellaneous | Chargeable work orders | Facility Operations | 7 Years | Creation of record | | Dispose |
11.45 | Miscellaneous | Software, software agreements, software records | All Departments | 3 Years | Software is superseded or becomes obsolete | | Dispose |
11.46 | Miscellaneous | Instructor Materials in online Learning Management Systems hosted by DePaul | Information Services | 5 Years | End of Course | Faculty Instructional Technology Services | Shred or Destroy |
11.47 | Miscellaneous | Internal Audit Final Reports (includes process mapping when required) | Internal Audit | 10 years | Report Issuance Date | | Shred or Destroy |
11.49 | Miscellaneous | Service Call & Copy Run Sheets | Document Services | 1 Year | End of fiscal year in which record was created | Internal Audit/Best Practices | Shred or Destroy |
11.50 | Miscellaneous | Signed photo & audio/video releases | Various | 2 Years | Creation of Record | 735 ILCS 5/13-201 | Shred or Destroy |
11.51 | Miscellaneous | Case Files | Student Legal Services | 10 Years | Close of Case | Illinois Supreme Court Rule 769 | Shred or Destroy |
11.52 | Miscellaneous | Preventative Maintenance Forms | Facility Operations | 1 Year | Creation of Record | | Shred or Destroy |
11.53 | Miscellaneous | Identification Card Agreements | Information Services | 1 Year | Creation of Record | | Shred or Destroy |
11.54 | Miscellaneous | Telephone Call Records | Information Services | 2 Years | Creation of Record | | Shred or Destroy |
11.56 | Miscellaneous | Facility Operations Training Safety Videos | Facility Operations | 3 years | End of fiscal year in which record was created | | Shred or Destroy |
11.57 | Miscellaneous | Clery Act ASR Supporting Documentation | Public Safety | 7 Years | Filing of Report | 20 U.S.C., 1092(f)(1)(F)., DOE Clery Handbook | Dispose |
11.58 | Miscellaneous | Annual Vendor Compliance Certification (COVID-19) | Various | 2 Years | Executive Order is Rescinded | IL Executive Order 2021-20 (COVID-19 Executive Order No. 87) | Shred or Destroy |
11.59 | Miscellaneous | Scheduled lecture capture recordings and Course Online recordings | Various | 1 week | End of academic term | | Dispose |
12.1 | Publications | Newsline | Public Relations and Communications | Permanent | | | Send to University Archives |
12.2 | Publications | Expert's Guide | Public Relations and Communications | Permanent | | | Send to University Archives |
12.3 | Publications | College, School, Division and Center Newsletters | Various | Permanent | N/A | | Send to University Archives |
12.4 | Publications | Publicly available publications produced by faculty members during their tenure at DePaul, including monographs, musical compositions, set designs, and artwork | Various | Permanent | N/A | | Send to University Archives |
12.5 | Publications | Student Newspapers | College of Communication | Permanent | N/A | | Send to University Archives |
12.6 | Publications | Alumni magazines | Advancement | Permanent | N/A | | Send to University Archives |
12.7 | Publications | Alumni directories | Alumni Relations | Permanent | N/A | | Send to University Archives |