Iwasaki Library

Records Retention & Disposition Schedule: Human Resources

List of Schedules

Schedule Number Records Series
410 Administrative Records
420 Employee Records
430 Benefits
440 Payroll

Warning

If your department or office receives a notice of a Records Preservation/Hold Order you must comply with the instructions from General Counsel’s office. A Records Preservation/Hold Order is an internal procedure to ensure that certain information is preserved which may be needed for reasonably anticipated or actual government investigation, audit, or litigation. A Records Preservation/Hold Order temporarily sets aside the retention period stated in the Records Retention and Disposition Schedule, and suspends destruction for the affected records until the Records Preservation/Hold Order is released.

 

Administrative Records

Schedule Number Records Series
410 Severance Agreements
411 Union Agreements
412 Workers' Compensation Claims and Insurance Policies
413 Federal and State Required Statistics and Reports
414 Workplace Discrimination Complaints and Investigation Records

Severance Agreements

  Record Holder Retention Disposition
Official Record HR 7 years after expiration Confidential Destruction
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction

Union Agreements

  Record Holder Retention Disposition
Official Record HR Permanent Transfer to Archives
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction

Workers' Compensation Claims and Insurance Policies

  Record Holder Retention Disposition
Official Record HR 18 years Confidential Destruction
Duplicate Record All other offices Destroy after 18 years or when no longer needed, whichever comes first Confidential Destruction

Federal and State Required Statistics and Reports

  Record Holder Retention Disposition
Official Record HR 7 years Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 7 years or when no longer needed, whichever comes first Confidential Destruction and Deletion

Workplace Discrimination Complaints and Investigation Records

  Record Holder Retention Disposition
Official Record HR Permanent Transfer to Archives
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction and Deletion

Employee Records

Schedule Number Records Series
420 Employee Personnel Files, Non-Faculty
421 Faculty Personnel Files
422 Files for Disabled Employees
423 I-9 Forms
424 Individual Contracts for Employment
425 Occupational Injury or Illness, Records Relating to Employment
426 Performance Appraisals
427 Records Covered under HIPAA
428 Search Committee Records
429 Academic Search Materials and Documents Supporting Hiring Selection Decisions (Non-Hired Employees)

Employee Personnel Files, Non-Faculty

These files include application, resume, appointment/salary forms, benefits, enrollment and application forms, beneficiary designations, J1 and H-1B visa information.  Includes files for retirees.

  Record Holder Retention Disposition
Official Record HR 7 years after separation Confidential Destruction and Deletion
Duplicate Record All other offices Destroy 7 years after separation or when no longer needed, whichever comes first Confidential Destruction and Deletion

Faculty Personnel Files

These files include hire paperwork, salary, status changes, tenure/promotion, retirement/termination, and appointment recommendations.

  Record Holder Retention Disposition
Official Record HR 7 years after separation Confidential Destruction and Deletion
Duplicate Record Academic Affairs Destroy when employee separates from the College Confidential Destruction and Deletion

Files for Disabled Employees

  Record Holder Retention Disposition
Official Record HR 7 years after benefits end Confidential Destruction
Duplicate Record All other offices Destroy when employee separates from the College Confidential Destruction

I-9 Forms

I-9 forms for faculty, staff, and students.

  Record Holder Retention Disposition
Official Record HR 3 years, or 1 year after termination (whichever date is later) Confidential Destruction and Deletion
Duplicate Record All other offices No longer than 3 years, destroy when employee separates from the College Confidential Destruction

Individual Contracts for Employment

  Record Holder Retention Disposition
Official Record HR 7 years after separation Confidential Destruction
Duplicate Record All other offices Destroy when employee separates from the College Confidential Destruction and Deletion

Occupational Injury or Illness

These files concern occupational injury or illness relating to employment at the College.

  Record Holder Retention Disposition
Official Record HR Generally, 5 years after the calendar year in which the employee sustained the injury or treatment ended, whichever is later.  Records related to toxic exposure must be retained for 30 years. Confidential Destruction
Duplicate Record All other offices Destroy when no longer needed or when employee separates from the College, whichever comes first Confidential Destruction

Performance Appraisals

These files concern employeee performance appraisals.

  Record Holder Retention Disposition
Official Record HR 7 years after separation Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 3 years or when employee separates from the College (whichever comes first) Confidential Destruction and Deletion

Records Covered under HIPAA

These files concern records covered under HIPAA (Health Insurance Portability and Accountability Act).

  Record Holder Retention Disposition
Official Record HR 7 years after employee's separation Confidential Destruction and Deletion
Duplicate Record All other offices Destroy 7 years after employee's separation or when no longer needed, whichever comes first Confidential Destruction and Deletion

Search Committee Records

These files include employment applications, resumes, and all applicant search materials.

  Record Holder Retention Disposition
Official Record HR 7 years Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 3 years or when no longer needed Confidential Destruction and Deletion

Academic Search Materials and Documents Supporting Hiring Selection Decisions (Non-Hired Employees)

  Record Holder Retention Disposition
Official Record Hiring Department 3 years from date of appointment Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 1 year or when no longer needed (whichever comes first) Confidential Destruction and Deletion

Benefits

Schedule Number Records Series
430 Certificates of Insurance, Indemnification Agreements, Contracts, and Insurance Policies for Benefits
432 Benefits Applications and Paperwork
434 Faculty and Staff Handbook
436 Federal Reporting Requirements; Welfare Benefits and Other Fringe Benefit Plans (i.e., 5500-s)

Certificates of Insurance, Indemnification Agreements, Contracts, and Insurance Policies for Benefits

  Record Holder Retention Disposition
Official Record HR Permanent Transfer to Archives
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction

Benefits Applications and Paperwork

These files concern benefit applications and paperwork, including long-term disability forms.

  Record Holder Retention Disposition
Official Record HR 7 years after separation Confidential Destruction
Duplicate Record Academic Affairs/other offices Destroy when employee separates from the College Confidential Destruction

Faculty and Staff Handbook

  Record Holder Retention Disposition
Official Record HR Permanent Transfer to Archives
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction and Deletion

Federal Reporting Requirements; Welfare Benefits and Other Fringe Benefit Plans (i.e., 5500-s)

  Record Holder Retention Disposition
Official Record HR Permanent Transfer to Archives
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction

Payroll

Schedule Number Records Series
440 Payroll Annual Payment Records
441 Information Returns Filed with Federal and State Authorities (W-2, 941, 1042S, etc.)
442 Payroll Deduction Authorization Forms (W4, ACH, Bonds)
443 Payroll Vouchers
444 Record of Payments and Deductions (Payroll Registers, Deductions Lists, Adjustments)
445 Student Time Cards
446 Employee Time Cards

Payroll Annual Payment Records

  Record Holder Retention Disposition
Official Record HR Permanent Transfer to Archives
Duplicate Record All other offices Destroy when no longer needed Confidential Destruction and Deletion

Information Returns Filed with Federal and State Authorities (W-2, 941, 1042S, etc.)

  Record Holder Retention Disposition
Official Record HR 7 years Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 7 years or when no longer needed, whichever comes first Confidential Destruction and Deletion

Payroll Deduction Authorization Forms (W4, ACH, Bonds)

  Record Holder Retention Disposition
Official Record HR 5 years after employment ends Confidential Destruction
Duplicate Record All other offices Destroy 5 years after employment ends or when no longer needed, whichever comes first Confidential Destruction

Payroll Vouchers

  Record Holder Retention Disposition
Official Record HR 3 years Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 3 years or when no longer needed, whichever comes first Confidential Destruction and Deletion

Record of Payments and Deductions (Payroll Registers, Deduction Lists, Adjustments)

  Record Holder Retention Disposition
Official Record HR 5 years Confidential Destruction and Deletion
Duplicate Record All other offices Destroy after 5 years or when no longer needed, whichever comes first Confidential Destruction and Deletion

Student Time Cards

  Record Holder Retention Disposition
Official Record Student Financial Services 3 years after pay date Confidential Destruction and Deletion
Duplicate Record All other offices Destroy 3 years after pay date or when no longer needed, whichever comes first Confidential Destruction and Deletion

Employee Time Cards

  Record Holder Retention Disposition
Official Record HR 3 years after pay date Confidential Destruction and Deletion
Duplicate Record All other offices Destroy 3 years after pay date or when no longer needed, whichever comes first Confidential Destruction and Deletion