Office of Procedures, Records, and Forms
Business Policies and Procedures Manual
RECORDS
90.01
Revised 9-20
For more information contact:
Procedures, Records, and Forms
509-335-2005
All-University Records Retention Schedules
Payroll and Personnel Records
Record Series Title—Function/Purpose | Location (*Official Copy) | Retention and Disposition Action | Disposition Authority No. | Remarks |
---|---|---|---|---|
ANNUAL REVIEW OF FACULTY Evaluation of job performance. | Human Resource Services* | Retain for 6 years after termination of employment, then destroy. | 11-12-63535 | |
ANNUAL REVIEW OF FACULTY (secondary copy) | Dean; Department (secondary copies) | Retain for 3 years after end of fiscal year, then destroy. | Secondary copy under 11-12-63535 | |
APPLICATIONS/RESUMES RECEIVED -- UNSOLICITED Records relating to unsolicited requests for job consideration and employment inquiries. Includes, but is not limited to:
NOTE: Retention based on 2-year requirement in 29 CFR 1602.31. | Department* | Retain for 2 years after received, then destroy. | GS 03022 Rev. 1 | |
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 | Human Resource Services* | Retain for 6 years after superseded, then destroy.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 Rev. 1 | Essential |
APPOINTING AUTHORITY FOR FACULTY, ADMINISTRATIVE PROFESSIONAL, AND CLASSIFIED EMPLOYEES (secondary copy) | President; Department (secondary copies) | Retain until superseded, then destroy. | Secondary copy under 11-12-63537 Rev. 1 | |
AUTHORIZATIONS/CERTIFICATIONS -- HUMAN RESOURCES (GENERAL) Records relating to licenses, permits, accreditations, certifications and other authorizations (such as driver’s licenses, etc.) acquired by University employees in certain positions (including contractors and volunteers) that are either required by or received from regulating authorities (such as local, state or federal agencies and/or court order/rule), where not covered by a more specific records series. Includes, but is not limited to:
For WSU purposes, series also includes records of:
| Department* | Retain for 6 years after authorization/certification superseded or terminated or 6 years after separation from the University, whichever is sooner, then destroy. | GS 03046 | |
AUTHORIZATIONS/CERTIFICATIONS -- HUMAN RESOURCES (GENERAL) (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under GS 03046 | |
BACKGROUND CLEARANCE CHECKS Provides a record of background clearance checks for full-time and temporary employees, or adult participants (e.g. advisors, chaperones, volunteers) not employed by a school district in the state of Washington. May include criminal history checks, disclosure statements, background inquiry results, and record of permission from adult participants for University officials to conduct background clearance checks. | HRS* OR Department* | Retain for 3 years after termination of employment or 3 years after termination of participation in activity or program, then destroy | 07-12-61642 Rev. 2 | |
BACKGROUND CLEARANCE CHECKS (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under 07-12-61642 Rev. 2 | |
COMMUTE TRIP REDUCTION (CTR) PROGRAM Records relating to the University's promotion and administration of reducing employee commute trips such as encouraging the use of public transit, ride sharing, bicycle commute options, incentives and alternatives such as telecommuting. Includes, but is not limited to:
Excludes records covered by Reporting/Filing (Mandatory) – Employment-Related (DAN GS 03056). [Note per SRM: GS 03056 covers CTR reports that WSU submits to another agency or entity.] | Campus Parking Services Office* | Retain for 6 years after end of fiscal year, then destroy. | GS 03037 Rev. 1 | |
COMPLAINTS AND GRIEVANCES--EXONERATED Records relating to complaints and grievances filed in cases of affirmative action, discrimination, equal opportunity employment, harassment issues and other workplace conditions and issues in which the complaint proved to be unsubstantiated. May be filed by job applicants, the public, and represented and nonrepresented state employees. Includes, but is not limited to:
Excludes records covered by Complaints and Grievances – Upheld (DAN GS 03003). NOTE 1: Records may be retained upon employee request and in case of pending legal action (reference RCW 41.06.450 and WAC 357-22-040). NOTE 2: RCW 40.14.050 and RCW 40.14.060 vest authority to determine the retention period for public records in the State Records Committee, and not in the parties to a collective bargaining agreement. | Human Resource Services (HRS)* OR Office of Civil Rights Compliance and Investigation (CRCI)* | Retain until exoneration, then destroy. | GS 03006 Rev. 1 | |
COMPLAINTS AND GRIEVANCES--EXONERATED (secondary copy) | Department (reference copy) | Retain until exoneration, then destroy. | Secondary copy under GS 03006 Rev. 1 | |
COMPLAINTS AND GRIEVANCES -- UPHELD Records relating to complaints and grievances filed in cases of affirmative action, discrimination, equal opportunity employment, harassment issues and other workplace conditions and issues in which the complaint/grievance was upheld. May be filed by job applicants, the public, and represented and non-represented state employees. Includes, but is not limited to:
Excludes records covered by Complaints and Grievances – Exonerated (DAN GS 03006). NOTE: RCW 40.14.050 and RCW 40.14.060 vest authority to determine the retention period for public records in the State Records Committee, and not in the parties to a collective bargaining agreement. | Human Resource Services (HRS)* OR Office of Civil Rights Compliance and Investigation (CRCI)* | Retain for 6 years after final determination of case, then destroy. | GS 03003 Rev. 2 | Essential |
COMPLAINTS AND GRIEVANCES -- UPHELD (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under GS 03003 Rev. 2 | |
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 | |
DEPARTURE NOTICE (secondary copy) | Department (secondary copy) | Retain for 1 year after termination of employment, then destroy. | Secondary copy under 11-12-63544 | |
DISCLOSURE OF FORMER EMPLOYEE INFORMATION TO PROSPECTIVE EMPLOYERS Records relating to the disclosure of information (such as hiring recommendations, employment/income verifications, etc.) about former employees to prospective employers or employment agencies in accordance with RCW 4.24.730. Includes, but is not limited to:
Excludes:
NOTE: Retention based on 3-year statute of limitations for personal injury (RCW 4.16.080) and 2-year requirement in RCW 4.24.730. | Human Resource Services* OR Department* | Retain for 3 years after disclosure of information, then destroy. | GS 03053 | |
EMPLOYMENT ELIGIBILITY -- U.S. CITIZENSHIP AND IMMIGRATION SERVICES (USCIS) Records relating to the verification of employment eligibility within the United States. Includes, but is not limited to:
References: 8 CFR 274a.2, 20 CFR 655.760. NOTE: This series applies to any applicants that are actually hired. For those not hired, their recruitment records are to be covered under Recruitment – Employee (Search Files) (DAN GS 03012). | Human Resource Services* | Retain for 3 years after date of hire OR for 1 year after termination of employment (whichever is later ), then destroy. | GS 03036 Rev. 1 | |
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 | |
EMPLOYMENT RECORD REQUEST (WSU 1238) (secondary copy) | 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 an employee separating from the University. | Department* | Retain for 3 years after exit interview completed, then destroy. | GS 03040 Rev. 1 | |
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 | |
EXPENSE ASSIGNMENT ACTION (WSU1260) (Payroll secondary copy) | Payroll (secondary copy) | Retain for 2 years after end of fiscal year, then destroy. | Secondary copy under 11-12-63553 | |
EXPENSE ASSIGNMENT ACTION (WSU1260) (Dean/Director; Department secondary copy) | Dean/Director; Department (secondary copies) | Retain until superseded, then destroy. | Secondary copy under 11-12-63553 | |
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 | |
GRADUATE FACULTY APPOINTMENT FILES (secondary copy) | 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 or termination of service, then destroy. | 11-12-63559 Rev. 1 | |
LIABILITY INSURANCE Proof of student liability insurance policy or certificate from graduate students who serve as clinic personnel. | Department* | etain for 10 years after last client treated, then destroy. | 06-10-61318 | |
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 | |
MEDICAL INSURANCE POLICIES (secondary copy) | 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 | |
NONSERVICE PAY AUTHORIZATION (WSU 1314) (secondary copy) | 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 follow up. | Payroll* (maintained on mainframe or tape) | Retain for 4 years after end of calendar year, then destroy. | 11-12-63570 | |
PAYROLL EXPENDITURE AUDIT REPORT (secondary copy) | Department (secondary copy) | Retain for 2 years after end of fiscal year, then destroy. | Secondary copy under 11-12-63570 | |
PAYROLL PROCESSING, DISTRIBUTION, AND REPORTING Records relating to the processing of payroll and reports used by the personnel/payroll offices to verify actions, detail distribution of payroll costs, and ascertain accuracy and accountability. Includes, but is not limited to:
Excludes records covered by:
| Department* | Retain for 6 years after end of fiscal year, then destroy. | GS 03033 Rev. 1 | |
PAYROLL PROCESSING, DISTRIBUTION, AND REPORTING (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under GS 03033 Rev. 1 | |
PERFORMANCE EVALUATION -- SUPERVISOR PREPARATION Records gathered by an employee's supervisor in preparation for employee's performance evaluation. Includes, but is not limited to:
For WSU purposes, this series includes Extended Time Monitoring Sheets (SESRC). NOTE: RCW 40.14.050 and RCW 40.14.060 vest authority to determine the retention period for public records in the State Records Committee, and not in the parties to a collective bargaining agreement. | Supervisor* | Retain until completion of evaluation and resolution of any ongoing performance issues, then destroy. | GS 03024 Rev. 1 | |
PERSONNEL- EMPLOYMENT HISTORY FILES Records relating to an employee's University employment history. Also includes records relating to a volunteer’s service with the University. Includes, but is not limited to:
Excludes records covered by: State Note: See State HR Directive 13-01 Personnel File Standards and Electronic Personnel File Transfer Procedures. | Human Resource Services* | Retain for 40 years after termination of employment, then destroy. | 11-12-63578 Rev. 3 | Essential |
PERSONNEL- EMPLOYMENT HISTORY FILES (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under 11-12-63578 Rev. 3 | |
PERSONNEL -- HEALTH-RELATED RECORDS Records relating to the health of employees where not covered by another more specific records series. Includes, but is not limited to:
NOTE: For WSU purposes, this series also includes documentation of the use of family medical leave and the receipt and return of shared leave. Excludes records covered by the following WSU records series:
NOTE: Medical records should be retained by originating agency and not be included as part of an interagency transfer. | Campus HRS* OR Campus EH&S* (ergonomic assessments) | Retain for 6 years after date of separation from the University then destroy. | GS 03054 | |
PERSONNEL -- HEALTH-RELATED RECORDS (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under GS 03054 | |
PERSONNEL -- ROUTINE TRANSACTIONS Records relating to employees' routine personnel transactions or tasks that do not affect employment history, payroll, performance or retirement status/eligibility. Includes, but is not limited to:
| Department* | Retain until superseded, then destroy. | GS 03055 | |
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 | |
PERSONNEL ACTION (WSU 1097) (Payroll secondary copy) | Payroll (secondary copy) | Retain for 6 years after termination of employment, then destroy. | Secondary copy under 11-12-63572 | |
PERSONNEL ACTION (WSU 1097) (Benefit Services secondary copy) | Benefit Services (secondary copy) | Retain for 1 year after termination of employment, then destroy. | Secondary copy under 11-12-63572 | |
PERSONNEL ACTION (WSU 1097) (Department secondary copy) | Department (secondary copy) | Retain until superseded or termination of employment, then destroy. | Secondary copy under 11-12-63572 | |
POSITION HISTORY Records relating to the history of each position and job classifications which apply to positions held by employees of the agency. Includes, but is not limited to:
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 Description Changes (WSU 1265), which are retained under a separate series (DAN 11-12-63587). | Human Resource Services* OR Position Control* OR Department* | Retain until no longer needed for University business, then destroy. | GS 03010 Rev. 1 | |
POSITION HISTORY (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under GS 03010 Rev. 1 | |
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 | |
POSITION IDENTIFYING DESCRIPTION CHANGES (WSU 1265) (secondary copy) | Department (secondary copy) | Retain until superseded, then destroy. | Secondary copy under 11-12-63587 | |
RECRUITMENT -- EMPLOYEE Records relating to the process of recruitment and selection of employees. Includes applicants screened but not interviewed. Includes, but is not limited to:
For WSU purposes, this series includes search process files. Excludes successful applicant records covered by:
For WSU purposes this series excludes all applicant records covered by Background Clearance Checks (DAN 07-12-61642). NOTE: Retention based on 3-year statute of limitations for the commencement of actions for employment discrimination (injury to the rights of others) (RCW 4.16.080). | Department* | Retain for 3 years after completion of recruitment/hiring process, then destroy. | GS 03012 Rev. 1 | |
REPORTING/FILING (MANDATORY) -- EMPLOYMENT-RELATED Records relating to employment and submitted to regulatory agencies as required by federal, state or local law, where not covered by a more specific records series. Includes reports, confirmation of submission, correspondence, inquiries, etc. Also includes employment-related reports required by regulatory agencies to be compiled (but not submitted). Includes, but is not limited to:
NOTE: Per State Records Management, this series covers CTR reports that WSU submits to other agencies/entities. (CTR reports distributed internally or received by WSU are retained under Commute Trip Reduction (CTR) Program (DAN GS 03037).) For WSU purposes, this series also includes civil rights documents used for audit purposes and to compile annual county reports to state and federal agencies. Also for WSU purposes, this series excludes:
| Department* | Retain for 4 years after compiled/submitted to regulatory agency, then destroy. | GS 03056 | |
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 | |
REQUEST FOR NAME CHANGE (secondary copy) | 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 | |
REQUEST FOR POSITIVE PAY REPORT (WSU 1256) (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under 11-12-63595 | |
RETIREMENT VERIFICATION Records relating to an employee's state service to document eligibility and entitlement to retirement benefits. Includes, but is not limited to:
For WSU purposes, this series also includes evidence of employee membership in retirement programs, e.g., TIAA and PERS. Excludes:
| Campus Human Resource Services* OR Payroll* | Retain for 60 years after date of separation from the University, then destroy. | GS 03032 Rev. 1 | Essential |
RETIREMENT VERIFICATION (secondary copy) | Department (reference copy) | Retain until admin. purpose served, then destroy. | Secondary copy under GS 03032 Rev. 1 | |
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), Temporary Employee Orientation Checklist, Parent School Authorization. | 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 | |
TENURE/PROMOTION EVALUATION DOCUMENTS (DENIED CANDIDATES) (secondary copy) | 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 | |
TENURE/PROMOTION EVALUATION DOCUMENTS (SUCCESSFUL CANDIDATES) (secondary copy) | 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 employing department maintains the record copy of each file 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 | |
TIME AND LEAVE REPORT FILES (Human Resource Services copy) | Human Resource Services* | Retain for 5 years after audit, then destroy. | Secondary copy under 11-12-63560 Rev. 1 | |
TIME AND LEAVE REPORT FILES (Department copy) | Department* | Retain until termination of employment, then send to HRS for audit. | Secondary copy under 11-12-63560 Rev. 1 | |
TRAINING FILES -- EMPLOYEE Records documenting the training history of individual employees participating in training, orientations, and staff development programs. Training may include:
Includes, but is not limited to:
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 6 years after separation from the University, then destroy. | GS 22003 Rev. 1 | |
VISITING SCHOLARS FILES Provides a record of visiting scholars who attend or assist with University programs or training seminars. May include trainee files, Nonservice Pay Authorization copies, invoice vouchers, visa information, histories, correspondence, and final reports. | Department* | Retain for 6 years after termination of contract or termination of service, then destroy. | 01-12-60301 Rev. 2 |