California State University, Long Beach. RECORDS/INFORMATION RETENTION AND DISPOSITION SCHEDULE 1.0 Personnel / Payroll

Transcription

1 Califnia State University, Long Beach RECORDS/INFORMATION RETENTION AND DISPOSITION SCHEDULE 1.0 Personnel / Payroll Recd Recd Title Custodian of Recds Recd 1.1 Personnel Files Typical Documents Employment Applications Vice President, human Resources Resume/Faculty Biography - Staff and MPP : Associate Vice President, Human Resources Appointment letters - O,L 29 U.S.C. Section 201- O,L 29 U.S.C. Section 201- O,L 29 U.S.C. Section 201- f retention periods based f retention periods based f retention periods based f retention periods based

2 Recd Recd Title Custodian of Recds Recd Required state fms (e.g., Oath of Allegiance, Designation of Person Authized to Receive Warrants) Staff and MPP : Associate Vice President, Human Resources Associate Vice President Other new hire paperwk - Staff and MPP : President, Associate Vice Position descriptions - Staff and MPP : Associate Vice President, Human Resources f retention periods based f retention periods based f retention periods based

3 Recd Recd Title Custodian of Recds Recd Personal data infmation and changes, including name, address, education level (e.g., Request f Nondisclosure of Employee Address) infmation is on a personnel transaction fm PTF and payroll personnel transaction fm PPT] Employee personnel transaction fms suppting documentation f actions such as reclassification, reassignment, promotion/demotion, Time base changes, etc. (e.g., Employee Transaction fms, including CSU Personnel/Payroll Transaction and Student Employment Payroll Transaction fms) [AT CSULB: this type of infmation is on a personnel transaction fm PTF and payroll personnel transaction fm PPT] Court Procedures (e.g., Notice of Judgment Against Wages) Associate Vice President O, F, L 29 U.S.C. Section 201- F, L 29 U.S.C. Section 201- f retention periods based f retention periods based f retention periods based

4 Recd Recd Title Custodian of Recds Recd Employee benefit enrollment and change documentation. Benefits include health and welfare programs, voluntary programs, retirement programs, and tax savings programs. O, F, L 29 U.S.C. Section 201- f retention periods based Permanent status letters Resources f retention periods based Memanda letters of praise, counseling reprimand f retention periods based Notices of training completed [e.g. ADA, Harassment, and Discrimination] Direct, Equity and Diversity f retention periods based

5 Recd Recd Title Custodian of Recds Recd Perfmance evaluations (e.g., Student Perfmance Rept) Resources f retention periods based Salary adjustment documentation infmation is on a 'personnel transaction fm' PTF and fm' PPT] O, F, L 29 U.S.C. Section 201- f retention periods based Separation fms and resignation letters (including FERP/Rehired Annuitant) Resources O, F, L 29 U.S.C. Section 201- f retention periods based

6 Recd Recd Title Custodian of Recds Recd Infmation Sign-in Sheet (incl. Emergency contact infmation) f retention periods based Other job-related personnel recds L 29 U.S.C. Section 201- f retention periods based Final disciplinary recds, in accdance with collective bargaining agreement Resources f retention periods based 1.2 Personnel Files f Separated Employees f the following Separation Types Deceased infmation is on a 'personnel transaction fm' PTF and F, L 29 U.S.C. Sections C.F.R. Section years after separation

7 Recd Recd Title Custodian of Recds Recd fm' PPT] Resources Voluntary resignation (without fault) infmation is on a 'personnel transaction fm' PTF and fm' PPT] Resources F, L 29 U.S.C. Sections C.F.R. Section years after separation Voluntary service retirement infmation is on a 'personnel transaction fm' PTF and fm' PPT] Resources F, L 29 U.S.C. Sections C.F.R. Section years after separation Rejection during probation infmation is on a 'personnel transaction fm' PTF and fm' PPT] F, L 29 U.S.C. Sections C.F.R. Section years after separation

8 Recd Recd Title Custodian of Recds Recd Resources End of tempary employment infmation is on a 'personnel transaction fm' PTF and fm' PPT] Resources F, L 29 U.S.C. Sections C.F.R. Section years after separation 1.3 Personnel Files f Separated Employees f the following Separation Types Disability Retirement infmation is on a 'personnel transaction fm' PTF and fm' PPT] Disability Separation infmation is on a 'personnel transaction fm' PTF and fm' PPT] F, L 5 years after separation from the CSU final payment, whichever is later F, L 5 years after separation from the CSU final payment, whichever is later 1.4 Personnel Files f Separated Employees f the following Separation Types

9 Recd Recd Title Custodian of Recds Recd AWOL infmation is on a 'personnel transaction fm' PTF and fm' PPT] F, L 5 years after separation Layoff infmation is on a 'personnel transaction fm' PTF and fm' PPT] Non-retention (MPP Only) infmation is on a 'personnel transaction fm' PTF and fm' PPT] Resignation with fault infmation is on a 'personnel transaction fm' PTF and fm' PPT] Staff and MPP, Associate Resources Staff and MPP, Associate Resources Staff and MPP, Associate F, L 5 years after separation F, L 5 years after separation F, L 5 years after separation

10 Recd Recd Title Custodian of Recds Recd Resources Involuntary Termination/Dismissal infmation is on a 'personnel transaction fm' PTF and fm' PPT] 1.5 Employment Recds NOT to be Kept in Personnel File Staff and MPP, Associate Resources F, L 5 years after separation The following recds should not be kept in the employee's personnel file because of privacy concerns to prevent claims that others' access to certain infmation could expose an employee to retaliation: (Recd #'s ) 1.6 Verification of right to wk in the U.S. (e.g., Fm I-9, Feign National Infmation fm) O, L 8 U.S.C. Section 1324a 3 years 1 year after termination of employment, whichever is longer 1.7 EEOC Charge of Discrimination and related documents Direct, Equity and O, L 29 C.F.R. Sectio years after separation

11 Recd Recd Title Custodian of Recds Recd Diversity 1.8 DFEH Charge of Discrimination and related documents Direct, Equity and Diversity O, L 29 C.F.R. Section years after separation 1.9 Wkers' Compensation claims and related documents 1.10 Return to Wk documentation (May be either NDI (Nonindustrial Disability Insurance) Wkers' Compensation related) 1.11 Unemployment recds held by the campus (not the files of the Third-Party Administrat, which serves as the official Custodian of Recds) O, F, L 8 Califnia Code of Regulations Section years after date of injury date on which Wkers' Compensation benefits were last provided, whichever occurs later. However, cases involving Permanent Disability should be kept permanently. O, L 5 years after date of illness/injury date on which benefits were last provided, whichever occurs later. If NDI converts to a Wkers' Compensation claim, defer to Wkers' Compensation claims and related documents retention period. F, L 26 C.F.R. Section (e)-1 Most unemployment tax recds should be kept f at least 6 years.

12 Recd Recd Title Custodian of Recds Recd 1.12 Social Security, and Medicare Tax Recds (e.g., deduction recds f Social Security and Medicare) 1.13 American with Disabilities Act claim documentation Direct, Equity and Diversity O, F, L 26 U.S.C. Sections Most social security and Medicare tax recds should be kept f at least 4 years after the tax is due paid, whichever occurs later. O, L 5 years after separation 1.14 Medical infmation protected by the Califnia Confidentiality of Medical Infmation Act L At least 4 years from the date of the document 1.15 Survey of ethnic disabled veteran status f repting and recdkeeping purposes (e.g., data CSU is required to collect from the employee f state/federal agencies) O, L At least 4 years from the date of the document 1.16 Any infmation that may be alleged to be defamaty (Campuses may consult with their campus counsel when determining whether a document contains defamaty infmation). (CSULB: no such recds) O, F, L At least 4 years from the date of the document 1.17 Any infmation that is not job- L At least 4 years from the

13 Recd Recd Title Custodian of Recds Recd related (CSULB: no such recds) date of the document 1.18 Any documents related to grievances, faculty status disputes, litigation complaints, both fmal and infmal (e.g., non-litigation settlement agreements) Resources O, L Keep at least 5 years after separation from the CSU, 5 years after resolution of matter, whichever is later Health Insurance Ptability and Accountability Act (HIPAA) documentation (e.g., fms CSU is required to have employees sign regarding privacy, disclosure of personal health infmation) [At CSULB: We provide the employee with the HIPAA documentation but we don't have them sign any fm regarding HIPAA] O, L 45 C.F.R (j)(2) At least 6 years from the date the document was created was last in effect Whistleblower documentation Direct, Internal Audit/Infmation Security Officer L By analogy to the provisions of the Sarbanes-Oxley Act of 2002 (Section 802) regarding recds 7 years after the conclusion of the investigation

14 Recd Recd Title Custodian of Recds Recd retention (17 CFR 210) Whistleblower annual notifications as required by Califnia State Audit, incl. list of employee addresses Direct, Internal Audit/Infmation Security Officer L Internal control compliance recd 4 years (same as "internal control compliance" recds) 1.21 Pay Related Recds - Typical Documents*: L Recds of hours wked (e.g., Time and Attendance Rept, Monthly Attendance Summary, Student Assistant Attendance Rept, Student Time Voucher and timesheets, Student Attendance Repting Spreadsheet, Miscellaneous Payroll/Leave Actions) [At CSULB: we will collectively refer to these as timesheets] O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years Leave accrual and usage recds [At CSULB: we will collectively refer to these as timesheets] O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations 4 years

15 Recd Recd Title Custodian of Recds Recd Section ) Employee leave recds [At CSULB: we will collectively refer to these as timesheets] Resources O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years Authization f compensating time off [At CSULB: we will collectively refer to these as timesheets] O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years Authization f extra hours/overtime documentation (e.g., Rept of Extra Hours to be Paid) [At CSULB: we will collectively refer to these as timesheets] O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) CA Business & 4 years

16 Recd Recd Title Custodian of Recds Recd Profession Code Section a. Recds of additions to deductions from wages (e.g., Pay Adjustment Request, Payroll Adjustment Notice, Rept of Extra Hours to be Paid, Salary Garnishment, Dock) O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years b. Salary Garnishment Notifications O, F, L Wk Schedules O, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years Withholding documentation, (e.g., Employee Action Request fm, Student Payroll Action Request fm, Statement O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 4 years

17 Recd Recd Title Custodian of Recds Recd Concerning Your Employment in a Job Not Covered by Social Security) 1085 (22 Califnia Code of Regulations Section ) W-4 fms [At CSULB: these are called EAR (Employment Action Request) Fms] O, F, L 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years W-2 fms returned by Post Office (can also der from the State Controller's Office) O, F, L Revenue and Taxation Code Section Most income tax documents should be kept f at least 6 years Income tax recds (e.g., fee waiver tax liability and domestic tax liability fms, including Nonresident Alien Employee Federal Income Tax Withholding Authization) F, L Revenue and Taxation Code Section C.F.R. Section Most income tax documents should be kept f at least 6 years. A 15-year recds retention period may be necessary in cases where the Internal Revenue Service will undertake a collection action.

18 Recd Recd Title Custodian of Recds Recd Miscellaneous pay related documents (e.g., Proof of Lost Destroyed Payroll Warrant and Request f Issuance of Duplicate Warrant, Request f Duplicate Controller's Warrant/Stop Payment, Request f University Check (State Revolving Fund), Payroll Exceptions Rept) O, L Miscellaneous statutes including, but not limited to, 29 U.S.C. Sections 201- Unemployment Insurance Code Section 1085 (22 Califnia Code of Regulations Section ) 4 years 1.22 Conflict of Interest Statements (Fm 700) L Government Code Section years 1.23 Family Medical Leave Act (FMLA) Recds O, L, F 29 C.F.R. Section At least 3 years from the date of the document the event, whichever is later Recruitment Recds Recruitment Recds O, L 29 C.F.R. Section When an applicant has been solicited, recruitment documents should be kept f 3 years (recruitment

19 Recd Recd Title Custodian of Recds Recd Resources documents f the applicant hired should be transitioned to the Personnel File) Fee Waiver Recds Resources O, F, L These recds should be kept at least 6 years. However, recds sufficient in detail to determine benefits due, that may become due to employees, must be held an indefinite period of time Employment Retirement Income Security Act Recds (ERISA) e.g., Qualified Medical Child Suppt Orders O, L 29 U.S.C. Sections U.S.C. Section 1059 These recds should be kept at least 6 years. However, recds sufficient in detail to determine benefits due, that may become due to employees, must be held an indefinite period of time Background Checks f staff personnel O,L CSU HR Background check policy All background check results f applicants should be kept up to two years past the position filled date pursuant to Equal Employment Opptunity Commission

20 Recd Recd Title Custodian of Recds Recd 1.28 Background Checks f Faculty personnel O,L (EEOC) Regulation 29 CFR Notes: * Typical documents may include a variation of standard State fms. Recd s: O Operational, F Fiscal, L Legal, H Histical, V Vital 1 Please refer to Coded Memandum HR ( f further infmation regarding the "Internet Applicant Rule." CSU's Recd Retention policy of 3 5 years, depending upon the type of separation, exceeds the 2-year period required by the Office of Federal Contract Compliance Programs (OFCCP) regulations. Accdingly, these recds should be retained pursuant to CSU's Recd Retention policy. Italic text indicates CSU Long Beach campus specific modifications to this schedule.