Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

RECORDS
90.01
Revised 9-13
Procedures, Records, and Forms
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)

Cutoff

Retention
Period

Disposition
Authority No.

Remarks

ANNUAL REVIEW OF FACULTY
Evaluation of job performance.
Human Resource Services*

Dean


Department
termination of employment

fiscal year


fiscal year
6 yrs



3 yrs


3 yrs
11-12-63535



Secondary copy under
11-12-63535

Secondary copy under
11-12-63535
 
APPLICATIONS/RESUMES RECEIVED--NOT SOLICITED OR INTERVIEWED
Any non-solicited request for job consideration, not interviewed.
Department* date of document 6 mos 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* (OPR)

President

Department
until superseded



until superseded

until superseded
6 yrs




0 yrs

0 yrs
11-12-63537




Secondary copy under
11-12-63537

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* fiscal year 6 yrs GS 03037  
COURSE EVALUATION SUMMARIES
Compilation of appraisals and comments from individual course/instructor evaluations.
Department* fiscal year 3 yrs 11-12-63538  
COURSE/INSTRUCTOR EVALUATIONS
A record of individual student or participant evaluations of content and presentation of a course.
Department* fiscal year 1 yr 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* (OPR) fiscal year 6 yrs 11-12-63541  
DEPARTMENT'S EMPLOYEE FILE
Provides a secondary copy of employee personnel record folders for department reference. May include copies of applications, resumes, employment contracts, training documentation, safety-related documentation, memoranda, and other documents related to personnel history of University employees.
(NOTE: Human Resource Services holds the official copy of the Personnel Record Folders for University employees.)
Department* termination of employment 2 yr 11-12-63542  
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*

Department
termination of employment


termination of employment


termination of employment
2 yrs



2 yrs


1 yr
11-12-63544



11-12-63544


11-12-63545
 
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 documents found in the official Personnel Record Folder (retained by HRS), reviewer may discard such copies when the administrative purpose has been served.

Must be destroyed when evaluation is completed.
Reviewer evaluation 0 GS 03024  
EMPLOYEE PERFORMANCE EVALUATIONS
Evaluations of classified employee work performance, prepared by his or her supervisor on a regular schedule.
Human Resource Services*

Reviewer

Department
next evaluation


evaluation

evaluation
3 yrs



3 yrs

3 yrs
GS 03002



11-12-63546

11-12-63547
 
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* ceremony or award 2 yrs 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* position filled 3 yrs GS 03012  
EMPLOYEE TRAINING HISTORY FILES
Records of an employee's training history, including employee's name and identifying information, courses registered for and completed, and course completion dates. (May be retained in database format.)
Human Resource Services*
OR
Department*
termination of employment 6 yrs 02-10-60463
revision 1
 
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 licenses; copies of certificate of naturalization and supporting documentation.
(See 8 CFR 274a.2.)
Human Resource Services*

date of hire

O

termination of employment

3 yrs

R

1 yr

GS 03036  
EMPLOYMENT RECORD REQUEST (WSU 1238)
To request leave and benefits records from former state employers.

Human Resource Services* (OPR)

Department

termination of employment

termination of employment

6 yrs


0

11-12-63550


11-12-63551

 
EVALUATIONS/ADMINISTRATIVE AND PROFESSIONAL STAFF
Provides a record of evaluation of an employee's performance, prepared by his or her supervisor on a regular schedule.

Human Resource Services*

Department

evaluation


evaluation

3 yrs


3 yrs

GS 03002


11-12-63552

 
EXIT INTERVIEW, PERSONNEL
Documentation of information gathered during an exit interview with a terminating employee.
Department* calendar year 6 yrs GS 03040  
EXPENSE ASSIGNMENT ACTION (WSU 1260)
Used for temporary changes in account assignment of personnel charges.
Position Control*

Payroll

Dean/Director

Department
fiscal year

fiscal year

until superseded

until superseded
2 yrs

2 yrs

0

0
11-12-63553

11-12-63554

11-12-63555

11-12-63556
 
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*



Department
graduate faculty assignment ends

ballot outcome reported to Grad School
1 yr



1 yr
11-12-63557



11-12-63558
 
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* termination of employment 6 yrs 11-12-63559  
LEAVE REPORT (WSU 1126)
Used to record leave activity for faculty and administrative professional personnel.
NOTE: The record copy of this file is maintained by the employing department until termination of employment. At termination of employment the file is sent to HRS for audit.
Payroll* (OPR)
(pay-affecting only)

Human Resource Services*

Department*
termination of employment

audit


termination of employment
6 yrs


5 yrs


0
11-12-63560


11-12-63561


11-12-63562
 
LEAVE REPORT FOR EXCEPTED CLASSIFIED EMPLOYEES (WSU 1300)
Used to record attendance and leave for overtime-ineligible (excepted) classified employees. The record copy of this file is maintained by the employing department until termination of employment. At termination of employment the file is sent to HRS for audit.
Payroll* (OPR)
(pay-affecting only)

Human Resource Services*

Department*
termination of employment

audit


termination of employment
6 yrs


5 yrs


0
11-12-63563


11-12-63564


11-12-63565
 
NONSERVICE PAY AUTHORIZATION (WSU 1314)
Authorizes pay to WSU Fellows, trainees, interns or other nonservice positions.
Accounts Payable* (OPR)

Financial Aid

Department
fiscal year



fiscal year

fiscal year
6 yrs



2 yrs

2 yrs
11-12-63566



11-12-63567

11-12-63568
 
PAYROLL DEDUCTION FORMS
Used to authorize deductions from payroll.
Department* last authorized deduction 6 yrs 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)

Department
calendar year



fiscal year
4 yrs



2 yrs
11-12-63570



11-12-63571
 
PERSONNEL ACTION (WSU 1097)
Used to authorize personnel transactions and communicate employment status of appointed employees to Human Resource Services.
Human Resource Services* (OPR)

Payroll


Benefit Services


Department
termination of employment

termination of employment

termination of employment

until superseded
6 yrs


6 yrs


1 yr


0
11-12-63572


11-12-63573


11-12-63574


11-12-63575
 
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*

Department
final determination


report filed
2 yrs



2 yrs
11-12-63576



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 information be retained, or it is related to pending legal action or legal action is expected to result. (See 42.06.450 RCW.) (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*

Department
fully exonerated 0 GS 03006  
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*

Department
final determination 6 yrs GS 03005  
PERSONNEL COMPLAINTS, EXONERATED, REPRESENTED EMPLOYEES
Personnel complaints filed against or by represented state employees in which the complaint proved to be unsubstantiated.
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.)
Human Resource Services*

Department
final determination 3 yrs GS 03043  
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*

Department
final determination 6 yrs 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* termination of employment 6 yrs 11-12-63577 Essential
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* termination of employment 40 yrs 11-12-63578  
POSITION ACTION/POSITION REVIEW REQUEST (WSU 1162)
Records positions authorized, source of funds, related position attributes. Used to request classification or reclassification and other changes in position attributes.
Position Control*

Human Resource Services
(for PRRs)

Payroll

Dean/Director

Department
fiscal year

abolish position



fiscal year

until superseded

until superseded
2 yrs

1 yr



2 yrs

0

0
11-12-63579

11-12-63580



11-12-63581

11-12-63582

11-12-63583
 
POSITION DESCRIPTION (WSU 1360)
Used to describe the job functions of a vacant position for reclassification purposes.

Human Resource Services*

Position Control

Department

abolish position


fiscal year

until superseded
1 yr


2 yrs

0
11-12-63584


11-12-63585

11-12-63586
 
POSITION IDENTIFYING DESCRIPTION CHANGES (WSU 1265)
A record of changes in position description when that is the only action required.
Position Control*

Department
until superseded

until superseded
0

0
11-12-63587

11-12-63588
 
POSITION QUESTIONNAIRE
Provides a description of the job functions of an employee seeking position reclassification.
Human Resource Services*

Department
abolish position


until superseded
1 yr


0
11-12-63589


11-12-63590
 
POSITION ROSTER
Record generated from Position Control files of department allocation.
Department* fiscal year 2 yrs 11-12-63591  
POSITIVE PAY REPORT
Documents previous pay period payments.
Payroll* fiscal year 4 yrs 11-12-63592  
PRESENTATION/TRAINING DEVELOPMENT FILES
A record of presentation or course material developed and gathered for use in training. May include reference material, outlines, handouts, notes, evaluations, overheads, videos, computerized presentations, etc.
Department* admin. purpose served 0 11-12-63593  
REQUEST FOR POSITIVE PAY REPORT (WSU 1256)
Used to request pay for hours or pieces missed on Unit Pay Report.
Payroll*

Department

fiscal year

fiscal year

2 yrs

2 yrs
11-12-63595

Secondary copy under
11-12-63595
 
REQUEST FOR TEMPORARY SCHEDULE CHANGE
Provides a record of employee requests for temporary schedule changes.
NOTE: At termination of employment, this record series is submitted to HRS along with the employee's Time Report file.
Human Resource Services*

Department
audit


termination of employment
6 yrs


0
11-12-63596


11-12-63597
 
SHARED LEAVE--DONOR RECORDS
Documentation of the receipt and return of shared leave. Includes donation information. Also includes career shared leave.
Human Resource Services*

Department
termination of employment

no longer needed
6 yrs


0
11-12-63598


11-12-63599
 
SHARED LEAVE--RECIPIENT RECORDS
Documentation of the receipt and return of shared leave. Includes donation information. Also includes career shared leave.
Human Resource Services*

Department
termination of employment

no longer needed
6 yrs


0
11-12-63600


11-12-63601
 
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* termination of employment 1 yr 11-12-63543  
TEMPORARY EMPLOYMENT APPLICATION--NOT HIRED (WSU 1251)
Used by prospects to apply for temporary employment. (Candidate not hired by WSU.)
Department* position filled 0 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*

Dean

Department
termination of employment

denial

denial
35 yrs



3 yrs

3 yrs
11-12-63603



11-12-63604

11-12-63605
 
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*

Dean

Department
award


award

award
6 yrs


3 yrs

3 yrs
11-12-63606


11-12-63607

11-12-63608
 
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* denial 6 yrs 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* award 0 11-12-63610  
TIME REPORT (WSU 1010)
Used to record attendance, leave, and overtime for overtime-eligible faculty, administrative professional, and classified employees. NOTE: The record copy of this file is maintained by the employing department until termination of employment. At termination of employment the file is sent to HRS for audit.
Payroll* (OPR)
(pay-affecting only)

Human Resource Services

Department*
termination of employment

audit


termination of employment
6 yrs


5 yrs


0
11-12-63611


11-12-63612


11-12-63613
 
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* until superseded or obsolete 0 GS 22001  
VOLUNTEER FILES
Applications, agreements, L & I forms, and other information pertaining to volunteers.
Department* termination of service 6 yrs GS 03017 Essential