Personnel / Payroll
| Record Identifier | Record Title | Custodian of Records | Retention Source Authority | Retention Period |
|---|---|---|---|---|
| 1.1 | Personnel Files –Typical Documents | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation | |
| 1.1.1 | Employment Applications | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.2 | Resume/Faculty Biography | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.3 | Appointment letters | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.4 | Required state forms (e.g., Oath of Allegiance, Designation of Person Authorized to Receive Warrants) | AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.5 | Other new hire paperwork | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.6 | Position descriptions | Faculty and Academic Administrators: AVP, FA Staff and MPP : AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.7 | Personal data information and changes, including name, address, education level (e.g., Request for Nondisclosure of Employee Address) [At CSULB: this type of information is on a personnel transaction form’ PTF and payroll personnel transaction form‘ PPT] |
AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.8 | Employee personnel transaction forms supporting documentation for actions such as reclassification, reassignment, promotion/demotion, Time base changes, etc. (e.g., Employee Transaction forms, including CSU Personnel/Payroll Transaction and Student Employment Payroll Transaction forms) [AT CSULB: this type of information is on a personnel transaction form’ PTF and ‘payroll personnel transaction form’ PPT] |
AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.9 | Court Procedures (e.g., Notice of Judgment Against Wages) | AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.10 | Employee benefit enrollment and change documentation. Benefits include health and welfare programs, voluntary programs, retirement programs, and tax savings programs. | AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.1 | Permanent status letters | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.12 | Memoranda or letters of praise, counseling or reprimand | AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.13 | Notices of training completed [e.g. ADA, Harassment, and Discrimination] | Director, Equity and Diversity AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.14 | Performance evaluations (e.g., Student Performance Report) | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.15 | Salary adjustment documentation [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] | AVP, HRM Faculty and Academic Administrators: AVP, FA | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.16 | Separation forms and resignation letters (including FERP/Rehired Annuitant) | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.17 | Information Sign-in Sheet (incl. Emergency contact information) | AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.18 | Other job-related personnel records | AVP, HRM | 29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.1.19 | Final disciplinary records, in accordance with collective bargaining agreement | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Section 201-209 29 CFR Section 1627.3 or 28 U.S.C Section 1658 |
See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation |
| 1.2 | Personnel Files for Separated Employees for the following Separation Types | |||
| 1.2.1 | Deceased [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Sections 201-219 29 C.F.R. Section 1627.3 |
3 years after separation from CSU |
| 1.2.2 | Voluntary resignation (without fault) [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Sections 201-219 29 C.F.R. Section 1627.3 |
3 years after separation from CSU |
| 1.2.3 | Voluntary service retirement [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Sections 201-219 29 C.F.R. Section 1627.3 |
3 years after separation from CSU |
| 1.2.4 | Rejection during probation [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Sections 201-219 29 C.F.R. Section 1627.3 |
3 years after separation from CSU |
| 1.2.5 | End of temporary employment [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Sections 201-219 29 C.F.R. Section 1627.3 |
3 years after separation from CSU |
| 1.3 | Personnel Files for Separated Employees for the following Separation Types | |||
| 1.3.1 | Disability Retirement [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
AVP, HRM | 28 U.S.C. Section 1658 | 5 years after separation from the CSU or final payment, whichever is later |
| 1.3.2 | Disability Separation [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
AVP, HRM | 28 U.S.C. Section 1658 | 5 years after separation from the CSU or final payment, whichever is later |
| 1.4 | Personnel Files for Separated Employees for the following Separation Types | |||
| 1.4.1 | AWOL [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
AVP, HRM | 28 U.S.C. Section 1658 | 5 years after separation from CSU |
| 1.4.2 | Layoff [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP, AVP, HRM |
28 U.S.C. Section 1658 | 5 years after separation from CSU |
| 1.4.3 | Non-retention (MPP Only) [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP, AVP, HRM |
28 U.S.C. Section 1658 | 5 years after separation from CSU |
| 1.4.4 | Resignation with fault [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP, AVP, HRM |
28 U.S.C. Section 1658 | 5 years after separation from CSU |
| 1.4.5 | Involuntary Termination/Dismissal [At CSULB: this type of information is on a 'personnel transaction form' PTF and 'payroll personnel transaction form' PPT] |
Faculty and Academic Administrators: AVP, FA Staff and MPP, AVP, HRM |
28 U.S.C. Section 1658 | 5 years after separation from CSU |
| 1.5 | Employment Records NOT to be Kept in Personnel File | |||
| The following records should not be kept in the employee's personnel file because of privacy concerns or to prevent claims that others' access to certain information could expose an employee to retaliation: (Record Identifier #'s 1.6 - 1.2) |
||||
| 1.6 | Verification of right to work in the U.S. (e.g., Form I-9, Foreign National Information form) | AVP, HRM | 8 U.S.C. Section 1324a | 3 years or 1 year after termination of employment, whichever is longer |
| 1.7 | EEOC Charge of Discrimination and related documents | Director, Equity and Diversity | 29 C.F.R. Sectio1602.14 | 5 years after separation from CSU |
| 1.8 | DFEH Charge of Discrimination and related documents | Director, Equity and Diversity | 29 C.F.R. Section 1602.14 | 5 years after separation from CSU |
| 1.9 | Workers' Compensation claims and related documents | AVP, HRM | 8 California Code of Regulations Section10102 | 5 years after date of injury or date on which Workers' Compensation benefits were last provided, whichever occurs later. However, cases involving Permanent Disability should be kept permanently. |
| 1.10 | Return to Work documentation (May be either NDI (Nonindustrial Disability Insurance) or Workers' Compensation related) | AVP, HRM | 28 U.S.C. Section 1658 | 5 years after date of illness/injury or date on which benefits were last provided, whichever occurs later. If NDI converts to a Workers' Compensation claim, defer to Workers' Compensation claims and related documents retention period. |
| 1.11 | Unemployment records held by the campus (not the files of the Third-Party Administrator, which serves as the official Custodian of Records) | AVP, HRM | 26 C.F.R. Section 301.6501(e)-1 | Most unemployment tax records should be kept for at least 6 years. |
| 1.12 | Social Security, and Medicare Tax Records (e.g., deduction records for Social Security and Medicare) | AVP, HRM | 26 U.S.C. Sections 3101-3128 | Most social security and Medicare tax records should be kept for at least 4 years after the tax is due or paid, whichever occurs later. |
| 1.13 | American with Disabilities Act claim documentation | Director, Equity and Diversity | 5 years after separation from CSU | |
| 1.14 | Medical information protected by the California Confidentiality of Medical Information Act | AVP, HRM | 28 U.S.C. Section 1658 | At least 4 years from the date of the document |
| 1.15 | Survey of ethnic or disabled or veteran status for reporting and recordkeeping purposes (e.g., data CSU is required to collect from the employee for state/federal agencies) | AVP, HRM | 28 U.S.C. Section 1658 | At least 4 years from the date of the document |
| 1.16 | Any information that may be alleged to be defamatory (Campuses may consult with their campus counsel when determining whether a document contains defamatory information). (CSULB: no such records) |
AVP, HRM | 28 U.S.C. Section 1658 | At least 4 years from the date of the document |
| 1.17 | Any information that is not job-related (CSULB: no such records) |
AVP, HRM | 28 U.S.C. Section 1658 | At least 4 years from the date of the document |
| 1.18 | Any documents related to grievances, faculty status disputes, litigation or complaints, both formal and informal (e.g., non-litigation settlement agreements) | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
28 U.S.C. Section 1658 | Keep at least 5 years after separation from the CSU, or 5 years after resolution of matter, whichever is later. |
| 1.19 | Health Insurance Portability and Accountability Act (HIPAA) documentation (e.g., forms CSU is required to have employees sign regarding privacy, disclosure of personal health information) [At CSULB: We provide the employee with the HIPAA documentation but we don't have them sign any form regarding HIPAA] |
AVP, HRM | 45 C.F.R. 164.530(j)(2) | At least 6 years from the date the document was created or was last in effect. |
| 1.20 | Whistleblower documentation | Director, Internal Audit/Information Security Officer | By analogy to the provisions of the Sarbanes-Oxley Act of 2002 (Section 802) regarding records retention (17 CFR 210) | 7 years after the conclusion of the investigation |
| 1.20.1 | Whistleblower annual notifications as required by California State Auditor, incl. list of employee email addresses | Director, Internal Audit/Information Security Officer | Internal control compliance record | 4 years (same as "internal control compliance" records) |
| 1.21 | Pay Related Records - Typical Documents*: | |||
| 1.21.1 | Records of hours worked (e.g., Time and Attendance Report, Monthly Attendance Summary, Student Assistant Attendance Report, Student Time Voucher and timesheets, Student Attendance Reporting Spreadsheet, Miscellaneous Payroll/Leave Actions) [At CSULB: we will collectively refer to these as timesheets] |
AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.2 | Leave accrual and usage records [At CSULB: we will collectively refer to these as timesheets] |
AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.3 | Employee leave records [At CSULB: we will collectively refer to these as timesheets] |
Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.4 | Authorization for compensating time off [At CSULB: we will collectively refer to these as timesheets] |
AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.5 | Authorization for extra hours/Overtime documentation (e.g., Report of Extra Hours to be Paid) [At CSULB: we will collectively refer to these as timesheets] |
AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 CA Business & Profession Code Section 17200 |
4 years |
| 1.21.6 a. | Records of additions to or deductions from wages (e.g., Pay Adjustment Request, Payroll Adjustment Notice, Report of Extra Hours to be Paid, Salary Garnishments, Dock) | AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.6 b. | Salary Garnishment Notifications | AVP, HRM | ||
| 1.21.7 | Work Schedules | AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.8 | Withholding documentation, (e.g., Employee Action Request form, Student Payroll Action Request form, Statement Concerning Your Employment in a Job Not Covered by Social Security) | AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.9 | W-4 forms [At CSULB: these are called EAR (Employment Action Request) Forms] |
AVP, HRM | 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.21.10 | W-2 forms returned by Post Office (can also order from the State Controller's Office) | AVP, HRM | Revenue and Taxation Code Section 19704 | Most income tax documents should be kept for at least 6 years. |
| 1.21.11 | Income tax records (e.g., fee waiver tax liability and domestic tax liability forms, including Nonresident Alien Employee Federal Income Tax Withholding Authorization) | AVP, HRM | Revenue and Taxation Code Section 19704 26 C.F.R. Section 301.6501 |
Most income tax documents should be kept for at least 6 years. A 15-year records retention period may be necessary in cases where the Internal Revenue Service will undertake a collection action. |
| 1.21.12 | Miscellaneous pay related documents (e.g., Proof of Lost or Destroyed Payroll Warrant and Request for Issuance of Duplicate Warrant, Request for Duplicate Controller's Warrant/Stop Payment, Request for University Check (State Revolving Fund), Payroll Exceptions Report) | AVP, HRM | Miscellaneous statutes including, but not limited to, 29 U.S.C. Sections 201-219 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2) 28 U.S.C. Section 1658 |
4 years |
| 1.22 | Conflict of Interest Statements (Form 700) | AVP, HRM | Government Code Section 81009 | 7 years |
| 1.23 | Family Medical Leave Act (FMLA) Records | Faculty and Academic Administrators: AVP, FA AVP, HRM | 29 C.F.R. Section 825.500 | At least 3 years from the date of the document or the event, whichever is later. |
| 1.24 | Recruitment Records | |||
| 1.24.1 | Recruitment Records | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM | 29 C.F.R. Section 1602.48 | When an applicant has been solicited, recruitment documents should be kept for 3 years (recruitment documents for the applicant hired should be transitioned to the Personnel File). |
| 1.25 | Fee Waiver Records | Faculty and Academic Administrators: AVP, FA Staff and MPP: AVP, HRM |
28 U.S.C. Section 1658 | These records should be kept at least 6 years. However, records sufficient in detail to determine benefits due, or that may become due to employees, must be held an indefinite period of time. |
| 1.26 | Employment Retirement Income Security Act Records (ERISA) e.g., Qualified Medical Child Support Orders | AVP, HRM | 29 U.S.C. Sections 1001-1381 29 U.S.C. Section 1059 |
These records should be kept at least 6 years. However, records sufficient in detail to determine benefits due, or that may become due to employees, must be held an indefinite period of time. |
| 1.27 | Background Checks for staff personnel | AVP, HRM | CSU HR 2015-08 Background check policy | All background check results for applicants should be kept up to two years past the position filled date pursuant to Equal Employment Opportunity Commission (EEOC) Regulation 29 CFR 1602.49 |
| 1.28 | Background Checks for Faculty personnel | Faculty and Academic Administrators: AVP, FA |
Notes:
* Typical documents may include a variation of standard State forms.
1Please refer to Coded Memorandum HR 2007-11 (http://www.calstate.edu/HRAdm/pdf2007/HR2007-11.pdf) for further information regarding the "Internet Applicant Rule." CSU's Record Retention policy of 3 or 5 years, depending upon the type of separation, exceeds the 2-year period required by the Office of Federal Contract Compliance Programs (OFCCP) regulations. Accordingly, these records should be retained pursuant to CSU's Record Retention policy.
Italic text indicates CSU Long Beach campus specific modifications to this schedule.
