Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

RECORDS
90.01
Revised 7-16
Procedures, Records, and Forms
509-335-2005

All-University Records Retention Schedules:
Payroll and Personnel Records

PDF link

Title
Payroll and Personnel Records

Record Series Title--Function/Purpose Location
(*Official Copy)
Retention and Disposition Action Disposition Authority No. Remarks
AFFIRMATIVE ACTION PLANS, GOALS AND REPORTS
University affirmation action/equal opportunity plans, goals, and reports, including workforce reports and personnel utilization analysis reports showing progress on affirmative action goals.
Office for Equal Opportunity*
OR
WSU Extension*

Retain for 6 years after
end of calendar year,
then
Transfer to Archives for appraisal and selective retention.
GS 20002



Archival
(appraisal required)
Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 20002
ANNUAL REVIEW OF FACULTY
Evaluation of job performance.
Human Resource Services*

Retain for 6 years after
termination of employment,
then destroy.
11-12-63535


Dean;
Department
(secondary copies)
Retain for 3 years after
end of fiscal year,
then destroy.
Secondary copy under
11-12-63535
APPLICATIONS/RESUMES RECEIVED NOT INTERVIEWED
Any request for job consideration, solicited or unsolicited, not interviewed.
Department* Retain for 6 mos. after
date of document,
then destroy.
GS 03022
APPOINTING AUTHORITY FOR FACULTY, ADMINISTRATIVE PROFESSIONAL, AND CLASSIFIED EMPLOYEES
Letters of delegation to employees who are authorized to sign employment forms.
Human Resource Services*

Retain for 6 years after
superseded,
then destroy.
11-12-63537


President;
Department
(secondary copies)
Retain until superseded,
then destroy.
Secondary copy under 11-12-63537
COMMUTE TRIP REDUCTION DOCUMENTATION
University Commute Trip Reduction Program administration documentation, including bonus voucher certification forms, registration forms, incentives, parking tracking files, and other records pertaining to the program, as applicable to the campus.
Campus Parking Services Office* Retain for 6 years after
end of fiscal year,
then destroy.
GS 03037
COURSE EVALUATION SUMMARIES
Compilation of appraisals and comments from individual course/instructor evaluations.
Department* Retain for 3 years after
end of fiscal year,
then destroy.
11-12-63538
COURSE/INSTRUCTOR EVALUATIONS
A record of individual student or participant evaluations of content and presentation of a course.
Department* Retain for 1 year after
end of fiscal year,
then destroy.
11-12-63540
DAILY ACTIVITY REPORTS, TIME CLOCK CARDS, AND ALTERNATIVE TIME/PIECE RECORDS
Used by positive pay employees to record hours of work or completed pieces. An individual record may be either a Daily Activity Report, a time clock card, or a Human Resource Services approved alternative time/piece record.
Department* Retain for 6 years after
end of fiscal year,
then destroy.
11-12-63541
DEPARTURE NOTICE
Notifies the Radiation Safety Office and/or Environmental Health and Safety Office of an impending departure of a user of hazardous and/or radioactive chemicals or materials.
Radiation Safety Office*
OR
Environmental Health
and Safety*

Retain for 2 years after
termination of employment,
then destroy


11-12-63544





Department
(secondary copy)
Retain for 1 year after
termination of employment,
then destroy.
Secondary copy under
11-12-63544
EMPLOYEE BACKGROUND CLEARANCE CHECKS
Provides a record of background clearance checks for full-time and temporary employees. May include criminal history checks, disclosure statements, and background inquiry results.
HRS*
OR
Department*


Retain for 3 years after
termination of employment,
then destroy

07-12-61642
Rev. 1




Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
07-12-61642
Rev. 1
EMPLOYEE PERFORMANCE EVALUATION SUPPORTING DOCUMENTS
Documentation gathered by an employee s supervisor in preparation for each employee s performance evaluation. May include notes regarding training and employee development; performance notes; job assignments; and other related documentation. Note: If this file contains any secondary copies of docs. found in the official Personnel Record Folder (retained by HRS), reviewer may discard such copies when the administrative purpose has been served.
Reviewer* Retain until evaluation,
then destroy.
GS 03024
EMPLOYEE PERFORMANCE EVALUATIONS
Evaluations of state employee work performance, prepared by his or her supervisor on a regular schedule.
NOTE: For WSU purposes, this series includes evaluations of administrative professional, classified, and temporary employees, and any supporting documentation. Due to potential tenure issues, performance evaluations for faculty are retained under the series, Annual Review of Faculty, DAN #11-12-63535.
Human Resource Services*
OR
Department*
Retain for 3 years after
next evaluation,
then destroy.
GS 03002

Department or Reviewer
(secondary copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03002
EMPLOYEE RECOGNITION/APPRECIATION CEREMONIES OR AWARDS
A record of University- or department-wide employee recognition efforts and events to include meeting minutes, plans, awards, location, details of events and copies of expenditure records.
Department* Retain for 2 years after
date of document,
then destroy.
GS 03021
EMPLOYEE RECRUITMENT FILES (SEARCH FILES)
Documentation of the entire process used in recruiting and hiring new employees, including applications. May include background checks or criminal history records requests.
Department* Retain for 3 years after
position filled,
then destroy.
GS 03012
EMPLOYMENT ELIGIBILITY VERIFICATION DOCUMENTS/I-9 FORMS
Documents used to verify employment eligibility within the United States. May include:
- Federal I-9 forms
- Passport copies
- Copies of valid driver's license
- Copies of certificate of naturalization and supporting documentation
See 8 CFR 274a.2.
Human Resource Services* Retain for 3 years after
date of hire
OR
for 1 year after
termination of employment
(whichever is longer),
then destroy.
GS 03036
EMPLOYMENT RECORD REQUEST (WSU 1238)
To request leave and benefits records from former state employers.
Human Resource Services*



Retain for 6 years after
termination of employment,
then destroy.

11-12-63550




Department
(secondary copy)
Retain until
termination of employment,
then destroy.
Secondary copy under
11-12-63550
EXIT INTERVIEW, PERSONNEL
Documentation of information gathered during an exit interview with a terminating employee.
Department* Retain for 6 years after
end of calendar year,
then destroy.
GS 03040
EXPENSE ASSIGNMENT ACTION (WSU1260)
Used for temporary changes in account assignment of personnel charges.
Position Control*



Retain for 2 years after
end of fiscal year,
then destroy.
11-12-63553



Payroll
(secondary copy)
Retain for 2 years after
end of fiscal year,
then destroy.
Secondary copy under 11-12-63553
Dean/Director; Department
(secondary copies)
Retain until superseded,
then destroy.
Secondary copy under 11-12-63553
FAMILY MEDICAL LEAVE AND SHARED LEAVE
Documentation of the use of family medical leave and the receipt and return of shared leave. May include:
- Donation info
- Career shared leave
Campus Human Resource Svcs. (HRS)*


Retain for 7 years after
termination of employment,
then destroy.

GS 03034




Campus HRS
OR
Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03034
GRADUATE FACULTY APPOINTMENT FILES
Provides a record of department appointments of faculty members to graduate faculty assignments. Files may include ballots, vita, and Admittance to Graduate Faculty forms.
Graduate School*




Retain for 1 year after
graduate faculty assignment ends,
then destroy.

11-12-63557





Department
(secondary copy)
Retain for 1 year after
ballot outcome reported to Grad School,
then destroy.
Secondary copy under
11-12-63557
HIPAA SECURITY AGREEMENT
Provides a record of client confidentiality and security agreement signed by health care personnel, e.g., clinic personnel.
(45CFR164.316(b)(2)(i))
Department* Retain for 6 years after
termination of employment,
then destroy.
11-12-63559
MEDICAL INSURANCE POLICIES
Copies of medical insurance policies for student/graduate student assistant and other.
Human Resource Services*

Retain for 6 years after
policy expiration,
then destroy.
02-09-60402
Rev. 1

Health and Wellness Svcs.;
insurance company
(reference copies)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
02-09-60402
Rev. 1
NONSERVICE PAY AUTHORIZATION (WSU 1314)
Authorizes pay to WSU Fellows, trainees, interns, or other nonservice positions.
Accounts Payable*



Retain for 6 years after
end of fiscal year,
then destroy.

11-12-63566




Student Financial Svcs.;
Department
(secondary copies)
Retain for 2 years after
end of fiscal year,
then destroy.
Secondary copy under
11-12-63566
PAYROLL DEDUCTION FORMS
Used to authorize deductions from payroll.
Department* Retain for 6 years after
last authorized deduction,
then destroy.
11-12-63569
PAYROLL EXPENDITURE AUDIT REPORT
Department personnel download payroll expenses indicating status of payroll records that will generate the next payroll. Allows department correction and Payroll followup.
Payroll*
(maintained on mainframe or tape)

Retain for 4 years after
end of calendar year,
then destroy.

11-12-63570




Department
(secondary copy)
Retain for 2 years after
end of fiscal year,
then destroy.
Secondary copy under
11-12-63570
PAYROLL FILES, RETIREMENT VERIFICATION
Salary and employment dates retained for the purpose of retirement verification. Records should show monthly salary earned and hours worked.
Campus Human Resource Services*
OR
Payroll*

Retain for 60 years after
termination of employment,
then destroy.

GS 03032





Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03032
PAYROLL REPORTS
Various payroll reports used by the personnel/payroll offices to verify actions. May include:
- Payroll certifications signed by department/University heads or designees and all documents that reflect personnel actions
- Internal revenue reports
- L&I quarterly reports
- Savings bonds
- Sign-ups and deposits
- Garnishments
- Warrant cancellations
- Electronic fund transfers
- Year-to-date cost reports
- Various miscellaneous deductions
Department*




Retain for 6 years after
report received and
verified,
then destroy.

GS 03033





Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03033
PERSONNEL ACTION (WSU 1097)
Used to authorize personnel transactions and communicate employment status of appointed employees to Human Resource Services.

Human Resource
Services*



Retain for 6 years after
termination of
employment,
then destroy.

11-12-63572


Payroll
(secondary copy)

Retain for 6 years after
termination of
employment,
then destroy.

Secondary copy under
11-12-63572
Benefit Services
(secondary copy)
Retain for 1 year after
termination of
employment, then destroy.
Secondary copy under
11-12-63572
Department
(secondary copy)
Retain until superseded,
then destroy.
Secondary copy under
11-12-63572
PERSONNEL COMPLAINTS SUPPORTING DOCUMENTS
Backup information and documents used to prepare personnel complaint reports filed against or by state employees.
(NOTE: If the complaint is unsubstantiated, follow the retention period in the following records series: Personnel Complaints, Exonerated, Non-Represented Employees or Personnel Complaints, Exonerated, Represented Employees.)
Human Resource Services*



Retain for 2 years after
final determination,
then destroy.

11-12-63576





Department
(secondary copy)
Retain for 2 years after
final determination,
then destroy.
Secondary
copy under
11-12-63576
PERSONNEL COMPLAINTS, EXONERATED, NON-REPRESENTED EMPLOYEES
Personnel complaints filed against or by non-represented state employees in which the complaint proved to be unsubstantiated.
NOTE: Information regarding employee misconduct that is determined to be false and in all situations where the employee has been fully exonerated of wrongdoing shall be promptly destroyed, unless the employee requests that the info be retained, or it is related to pending legal action or legal action is expected to result. (See RCW 42.06.450) This series does not include complaints related to discrimination or harassment. (Records of complaints of this nature are retained by the Office for Equal Opportunity.)
Human Resource Services* Retain until exoneration,
then destroy.
GS 03006
Department
(reference copy)
Retain until exoneration,
then destroy.
Secondary copy under
GS 03006
PERSONNEL COMPLAINTS, EXONERATED, REPRESENTED EMPLOYEES (BARGAINING UNITS 1, 2, and 11)*
Personnel complaints filed against or by represented state employees in Bargaining Units 1, 2, and 11 in which the complaint proved to be unsubstantiated.
NOTE: This record series establishes the retention period for such records in accordance with the contracts between WSU and Bargaining Units 1, 2, and 11. (This records series does not include complaints related to discrimination or harassment. Records of complaints of this nature are retained by the Office for Equal Opportunity (OEO).)
Refer to Personnel Complaints, Exonerated, Represented Employees (Other Than Bargaining Units 1, 2, and 11) [state DAN #GS 03043] for records related to exonerated personnel complaints against or by represented WSU employees other than those in Bargaining Units 1, 2, and 11.
Human Resource Services* Retain until
final determination,
then destroy.

07-08-61648
Rev. 1



Department
(reference copy)
Retain until
final determination,
then destroy.
Secondary copy under
07-08-61648
Rev. 1
PERSONNEL COMPLAINTS, EXONERATED, REPRESENTED EMPLOYEES (OTHER THAN BARGAINING UNITS 1, 2, OR 11)
Personnel complaints filed against or by represented state employees in which the complaint proved to be unsubstantiated. For WSU purposes, this series does not include employees represented by bargaining units 1, 2, or 11 (see DAN #07-08-61648)..
NOTE: Some collective bargaining agreements require complaints to be removed from an employee's file upon exoneration, although the agency is not required to dispose of the records at that time. This retention schedule establishes the retention period for such records by the agency. If the collective bargaining agreement covering the agency's employees provides for a different retention period than this schedule, the agency shall request approval of a unique schedule for those records.
(This records series does not include complaints related to discrimination or harassment. Records of complaints of this nature are retained by the Office for Equal Opportunity (OEO).)
Human Resource Services* Retain for 3 years after
after final determination,
then destroy.
GS 03043
Department
(reference copy)
Retain until
admin. purpose served
(but no longer than 3 years after final determination),
then destroy.
Secondary copy under
GS 03043
PERSONNEL COMPLAINTS, UPHELD, NON-REPRESENTED EMPLOYEES
Personnel complaints filed against or by non-represented state employees. May include documentation, filing forms, backup information, recommendations, resolutions, and related memoranda and correspondence.
NOTE: This series does not include complaints related to discrimination or harassment. (Records of complaints of this nature are retained by the Office for Equal Opportunity.)
Human Resource Services* Retain for 6 years after
final determination,
then destroy.

GS 03005




Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03005
PERSONNEL COMPLAINTS, UPHELD, REPRESENTED EMPLOYEES
Personnel complaints filed against or by represented state employees. May include documentation, filing forms, backup information, recommendations, resolutions, and related memoranda and correspondence.
NOTE: If the collective bargaining agreement covering the agency's employees provides for a different retention period than this schedule, the agency shall request approval of a unique schedule for those records.
(This records series does not include complaints related to discrimination or harassment. Records of complaints of this nature are retained by the Office for Equal Opportunity.)
Human Resource Services* Retain for 6 years after
final determination,
then destroy.

GS 03044




Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03044
PERSONNEL RECORD FOLDERS
Documentation related to an employee s University employment history, including: application, resume, Biographical Data Sheets, position held, assignment(s), Personnel Action Forms, attendance, leave, telecommuting agreements, employee profiles, management development and performance plan, memoranda and correspondence, professional leave documentation, and other documents relating to the personnel history of a University employee.
NOTE: At the end of the retention period, the following items are transferred to the records series titled Personnel Record Folders--Long-Term Retention, DAN #11-12-63578: Appeals/hearings determinations, settlement agreements, Biographical Data Sheets, discontinuation notices--final, faculty questionnaires, presumption of resignation letters, resignation letters, resumes/vitae, retirement letters, and tenure/promotion letters.
Human Resource Services* Retain for 6 years after
termination of employment,
then destroy.

11-12-63577




Essential
Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
11-12-63577
PERSONNEL RECORD FOLDERS LONG-TERM RETENTION
Documentation related to an employee s University employment history requiring a longer retention period than that assigned to Personnel Record Folders, DAN #11-12-63577. May include: Appeals/hearings determinations, settlement agreements, Biographical Data Sheets, discontinuation notices--final, faculty questionnaires, presumption of resignation letters, resignation letters, resumes/vitae, retirement letters, and tenure/promotion letters.
Human Resource Services* Retain for 40 years after
termination of employment,
then destroy.
11-12-63578
POSITION FILES
History of each position within the agency. May include vacancies, reallocations, training plan, selective certification documentation, classification questionnaire and related documentation.
For WSU purposes, this series includes position rosters, Position Action/Position Review Requests, position questionnaires, position descriptions, and other position-related records, except Position Identifying Decription Changes (WSU 1265), which are retained under a separate series.
Human Resource Services*
OR
Position Control*
OR
Department*
Retain until
position abolished or revised,
then destroy.



GS 03010







Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03010
POSITION IDENTIFYING DESCRIPTION CHANGES (WSU 1265)
A record of changes in position description when that is the only action required.
Position Control*


Retain until superseded,
then destroy.

11-12-63587



Department
(secondary copy)
Retain until superseded,
then destroy.
Secondary copy under
11-12-63587
REASONABLE ACCOMMODATION FILES
Documentation of employee requests for the University's provision of reasonable accommodations for employees with special needs.
Campus Human Resource Services* Retain for 7 years after
termination of employment,
then destroy.
GS 03011
REQUEST FOR NAME CHANGE
To request a name change in University records.
Payroll* Retain for 1 year after
data entry,
then destroy.
11-12-63594
Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
11-12-63594
REQUEST FOR POSITIVE PAY REPORT (WSU 1256)
To report unpaid and unreported hours or pieces from previous pay periods.
Payroll*



Retain for 1 year after
report generated,
then destroy.

11-12-63595




Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
11-12-63595
TEMPORARY EMPLOYEE DEPARTMENTAL FILES
Documentation related to a temporary employee s departmental employment history. Files include but are not limited to: Conditions for Temporary Employment, Temporary Employment Application (for individuals who are hired), and Temporary Employee Orientation Checklist.
Department* Retain for 1 year after
termination of
employment,
then destroy.
11-12-63543
TEMPORARY EMPLOYMENT APPLICATION--NOT HIRED (WSU 1251)
Used by prospects to apply for temporary employment. (Candidate not hired by WSU.)
Department* Retain until
position filled,
then destroy.
11-12-63602
TENURE/PROMOTION EVALUATION DOCUMENTS (DENIED CANDIDATES)
Includes evaluations, ballots, and resumes used to determine award of faculty tenure and/or promotion. Includes actual tenure and/or promotion consideration as well as third-year and/or promotion review.
Human Resource Services* Retain for 35 years after
termination of employment,
then destroy.

11-12-63603





Dean;
Department
(secondary copies)
Retain for 3 years after
denial,
then destroy.
Secondary copy under
11-12-63603
TENURE/PROMOTION EVALUATION DOCUMENTS (SUCCESSFUL CANDIDATES)
Includes evaluations, ballots, and resumes used to determine award of faculty tenure and/or promotion. Includes actual tenure and/or promotion consideration as well as third-year and/or promotion review.
Human Resource Services* Retain for 6 years after
award,
then destroy.

11-12-63606




Dean;
Department
(secondary copies)
Retain for 3 years after
award,
then destroy.
Secondary copy under
11-12-63606
TENURE/PROMOTION SUPPORT DOCUMENTS (DENIED CANDIDATES)
May include manuscripts, artwork, slides, or other items used to determine award of faculty tenure and/or promotion. Includes actual tenure and/or promotion consideration as well as third-year and/or promotion review.

May be returned to the dean and then to the candidate at the discretion of Provost s Office.
Human Resource Services*

Retain for 6 years after
denial,
then destroy, except as noted.

11-12-63609
TENURE/PROMOTION SUPPORT DOCUMENTS (SUCCESSFUL CANDIDATES)
May include manuscripts, artwork, slides, or other items used to determine award of faculty tenure and/or promotion. Includes actual tenure and/or promotion consideration as well as third-year and/or promotion review.

Returned to the dean and then to the candidate after award.
Provost's Office*

Retain until award,
then return to dean and candidate, as noted.
11-12-63610
TIME AND LEAVE REPORT FILES
Used to record attendance, overtime, and/or leave activity for overtime-eligible and overtime ineligible faculty, administrative professional, and classified employees. May include the Leave Report, Time Report, Leave Report for Excepted Classified Employees, Request for Temporary Schedule Change, and Prior Period Time Report.
NOTE: The record copy of each file is maintained by the employing department until termination of employment. At termination of employment the file is sent to HRS for audit.
Payroll*
(pay-affecting only)
Retain for 6 years after
termination of employment, then destroy.
11-12-63560
Rev. 1

Human Resource Services* Retain for 5 years after
audit,
then destroy.
Secondary copy under 11-12-63560
Rev. 1
Department* Retain until
termination of employment, then send to HRS for audit.
Secondary copy under 11-12-63560
Rev. 1
TRAINING COURSE INFORMATION RECORDS
Memoranda, flyers, announcements, catalogs, and other records related to specific training courses including information on course content, program registration, instructor, credits and hours.
Department* Retain until
superseded or obsolete,
then destroy.
GS 22001
TRAINING HISTORY FILES, EMPLOYEE
Records of an employee s training history, including employee s name and identifying info, courses registered for and completed along with completion dates. May be maintained as a separate record in the agency personnel office or within the employee personnel files.
Note: See also GS 03007 (Training, Employee/Clock Hour Credits).
For WSU purposes, series includes records of training, certification, and/or certification for departmental (e.g., WSU Police Dept.) employees. May be retained in database format.
Human Resource Services*
OR
Department*
Retain for 7 years after
termination of employment,
then destroy.
GS 22003
TRAINING, EMPLOYEE/CLOCK HOUR CREDITS
Various forms, sign-up sheets and reports documenting courses attended by state employees.
For WSU purposes, this records series does not include the Training Report (WSU 1308) (DAN #02-10-60467) maintained by HRS and used to enter employee training information into the Employee Training History Files database.

Note: See related series GS 22003 (Training History Files, Employee).
Human Resource Services*
OR
Department*
Retain for 7 years after
termination of employment,
then destroy.
GS 03007
VOLUNTEER FILES
Applications, agreements, and other information pertaining to volunteers.
Excludes Labor and Industries (L&I) claims covered by GS 03015 (Injury Claims), retained by HRS.
Department* Retain for 6 years after
end of calendar year,
then destroy.
GS 03017
Rev. 1
Essential