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California State University, SacramentoRECORDS/INFORMATION RETENTION AND DISPOSITION SCHEDULE

Final 4/22/2010 VL 1

Record Series Name

1.0

Record Identifier Record Title

Custodian of

Records Retention Source

Authority Retention Period Contact Contact Phone #

O F L H V

1.1 Personnel Files - Typical Documents*:

29 U.S.C. Section 201-21929 CFR Section 1627.3 or28 U.S.C. Section 1658

See 1.2 and 1.3 below for retention periods based upon type of separation

Employment Applications1 VPHR X X " " " " Jackie Kernen (916) 278-7415

Resume/faculty biography VPHR X X " " " " Kent Porter (916) 278-6779

Appointment letters VPHR X X " " " " Jackie Kernen (916) 278-7415

Required state forms (e.g., Oath of Allegiance, Designation of Person Authorized to Receive Warrants) VPHR X X " " " "

Other new hire paperwork VPHR X X " " " " Jackie Kernen (916) 278-7415

Position descriptions VPHR X X " " " " Margaret Georgie (916)278-5885

Personal data information and changes, including name, address, education level (e.g., Request for Nondisclosure of Employee Address) VPHR X X " " " " Jackie Fierros (916) 278-5597

PERSONNEL/PAYROLLRecord Value:O - Operational

F - FiscalL - Legal

H - HistoricalV - Vital

mailto:[email protected]�







Final 4/22/2010 VL 2

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Employee Personnel transaction forms and 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) VPHR X X X " " " " Jackie Kernen (916) 278-7415

Court procedures (e.g., Notice of Judgment Against Wages) VPHR X X " " " " Jackie Fierros (916) 278-5597

Employee benefit enrollment and change documentation. Benefits include health and welfare programs, voluntary programs, retirement programs, and tax savings programs. VPHR X X X " " " " Mary Ford (916) 278-6213

Permanent status letters VPHR X X " " " " Liz Sublett (916)278-4488

Memoranda or letters of praise, counseling or reprimand VPHR X X " " " " Kent Porter (916) 278-6779







Final 4/22/2010 VL 3

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F - FiscalL - Legal


Notices of training completed VPHR X X " " " " Mae Kong (916) 278-6078

Performance evaluations (e.g., Student Performance Report) VPHR X X " " " " Julie Thue (916) 278-5579

Salary adjustment documentation VPHR X X X " " " " Kent Porter/Liz Sublett(916) 278-6169/ (916)278-4488

Separation forms and resignation letters (including FERP/Rehired Annuitant) VPHR X X X " " " " Jackie Kernen (916) 278-7415

Emergency contact information VPHR X X " " " " Jackie Fierros (916) 278-5597

Other job-related personnel records VPHR X " " " " Liz Sublett (916)278-4488

Final disciplinary records, in accordance with collective bargaining agreement VPHR X X " " " " Kent Porter (916) 278-6779

Designee Forms (STD243) VPHR X X

May be destroyed after audit or four years, which ever occurs first. Jackie Fierros (916) 278-5597

Employee Leave Record (PR54 or campus version) VPHR X X Four years from last entry. Jackie Fierros (916) 278-5597

Employee Transfer Data (612 or other campuc authorization) VPHR X X












Final 4/22/2010 VL 4

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Employment Inquiries and Unsolicited Application VPHR X X

Destroy when answered, except for class difficult to recruit, if conciliation agreement per FEPC. Jackie Kernen (916) 278-7415

Established Position Record (608) VPHR X X X Permanent Liz Sublett (916)278-4488

Grievances VPHR X X X Permanent Kent Porter (916) 278-6779

Individual Development Plan VPHR X X 5 Years Kent Porter (916) 278-6779

Notice of Claim Paid (CD102) VPHR X X X Destroy after processing Kent Porter (916) 278-6779

Payroll Warrant Register VPHR X XBeyond three years, see controller. Jackie Fierros (916) 278-5597








Final 4/22/2010 VL 5

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F - FiscalL - Legal


Performance Report for Probationary Employee (636) VPHR X X

May be destroyed after audit or four years, which ever occurs first. Julie Thue (916) 278-5579

Personnel Policy Correspondence VPHR X X Until changed or amended Kent Porter (916) 278-6779

Position Justification VPHR X X

Until or four years, whichever occurs first. If audit occurs during first two years, the record is not destroyed until two years from the end of the fiscal year. Liz Sublett (916)278-4488

Probationary Permanent Ratings (636) VPHR X X X Permanent Liz Sublett (916)278-4488

Reemployment List VPHR X X 5 Years Liz Sublett (916)278-4488







Final 4/22/2010 VL 6

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F - FiscalL - Legal


Request for Payment of Premium Overtime (CMS682) VPHR X X X

Until audit or four years, whichever comes first. Jackie Fierros (916) 278-5597

Revolving Fund Payroll Documents VPHR X X

Until or four years, whichever occurs first. If audit occurs during first two years, the record is not destroyed until two years from the end of the fiscal year. Jackie Fierros (916) 278-5597

Roster (611or campus version) VPHR X X X Permanent Jackie Fierros (916) 278-5597

Savings Bond Deductions (STD242) VPHR X X X


Seniority Point Roster VPHR X X X Permanent Margaret Georgie (916)278-5885







Final 4/22/2010 VL 7

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Custodian of



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F - FiscalL - Legal


Separation Forms VPHR X X

May be destroyed after audit or four years, which ever occurs first. Jackie Kernen (916) 278-7415

Shift Differential Pay Request (PR54) VPHR X XUntil audit or four years, whichever occurs first. Jackier Fierros (916) 278-5597

Signature Authorization Cards (PPSD8A) VPHR X X Destroy upon termination Jackier Fierros (916) 278-5597

Statement of Fiscal Financial Interest (730) VPHR X X X 7 Years Jackier Fierros (916) 278-5597

Tax Sheltered Annuity Contract (History) VPHR X X

May be destroyed after audit or four years, which ever occurs first. Mae Kong (916) 278-6078

Temporary Employees Records VPHR X XThree years from separation date. Liz Sublett (916)278-4488








Final 4/22/2010 VL 8

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F - FiscalL - Legal


Vouchers VPHR X X XUntil audit or four years, whichever comes first. Jackie Fierros (916) 278-5597

Notice of Intent to Retirement VPHR X X

May be destroyed after audit or four years, which ever occurs first. Mary Ford (916) 278-6213

Authorization for Compensating Time Off (CMS682) VPHR X X

Until Audit or Four years, whichever occurs first. If Audit occur during first two years, the record is not destroyed until the two years form the end of the fiscal year involved. Jackie Fierros (916) 278-5597

Authorization for Extra Hours (PR54) VPHR X X







Final 4/22/2010 VL 9

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F - FiscalL - Legal


Change in Established Positions (607) VPHR X X

Until Audit or Four years, whichever occurs first. If Audit occur during first two years, the record is not destroyed until the two years form the end of the fiscal year involved. Liz Sublett (916)278-4488

Change / Certification of Contribution Rate PERS-MEM-155 VPHR X X

May be destroyed after audit or four years, which ever occurs first. Mary Ford (916) 278-6213

Classification Specifications VPHR X X

Retain only current specifications for general classes. Retain History file for classes unique to CSU. Margaret Georgie (916)278-5885

1.2Personnel Files for Separated Employees for the following Separation Types

Deceased VPHR X X

29 U.S.C. Sections 201-21929 C.F.R. Section 1627.3

3 years after separation from CSU Liz Sublett (916)278-4488






Final 4/22/2010 VL 10

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Voluntary resignation (without fault) VPHR X X



Voluntary service retirement VPHR X X


3 years after separation from CSU Mary Ford (916) 278-6213

Rejection during probation VPHR X X


3 years after separation from CSU Julie Thue (916) 278-5579

End of temporary employment VPHR X X




Disability Retirement VPHR X X 28 U.S.C. Section 1658

5 years after separation from the CSU or final payment, whichever is later Jo Ann Davis (916) 278-3522







Final 4/22/2010 VL 11

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Disability Separation VPHR X X 28 U.S.C. Section 1658

5 years after separation from the CSU or final payment, whichever is later Jo Ann Davis (916) 278-3522

1.4 Individual Injury Reports

Accident Report-Other than motor Vehicle (268) VPHR X X

2 years after case settled or closed Jo Ann Davis (916) 278-3522

Employee's Report of Industrial Injury (SCIF 67) VPHR X X

2 years after case settled or closed Jo Ann Davis (916) 278-3522

Supervisor's Injury Prevention Report (620) VPHR X X2 years after case settled or closed Jo Ann Davis (916) 278-3522







Final 4/22/2010 VL 12

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1.0


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F - FiscalL - Legal


AWOL VPHR X X 28 U.S.C. Section 16585 years after separation from CSU Liz Sublett (916) 278-4488

Layoff VPHR X X 28 U.S.C. Section 16585 years after separation from CSU Liz Sublett (916) 278-4488

Non-retention (MPP Only) VPHR X X 28 U.S.C. Section 16585 years after separation from CSU Jackie Kernen (916) 278-7415

Resignation with fault VPHR X X 28 U.S.C. Section 16585 years after separation from CSU Liz Sublett (916) 278-4488

Involuntary Termination/Dismissal VPHR X X 28 U.S.C. Section 16585 years after separation from CSU Liz Sublett (916) 278-4488

1.6 Personnel Folders, Inactive

Resign/Transfer VPHR X XThree years after separation date Liz Sublett (916) 278-4488

1.7 Reports








Final 4/22/2010 VL 13

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Custodian of



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F - FiscalL - Legal


Absence and Additional Time Worked (PR54) VPHR X X 7 Years Jackie Fierros (916) 278-5597

Absence Without Pay (PR54) VPHR X X


Attendance Reports (PR54) VPHR X X " " Jackie Fierros (916) 278-5597

Extra Hours to be Paid (PR54) VPHR X X " " Jackie Fierros (916) 278-5597

Summary Report to SERS of Member Earnings and Contributors (236) VPHR X X " "

Mary Ford/ Jackie Fierros

(916) 278-6213/ (916) 278-5597

1.8 Student Assistants

CD 048 VPHR XUntil audit or four years, whichever occurs first Jackie Fierros (916) 278-5597







Final 4/22/2010 VL 14

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F - FiscalL - Legal


Student Assistant Time Sheets VPHR XUntil audit or four years, whichever occurs first Jackie Fierros (916) 278-5597

Folders VPHR X 3 years Jackie Fierros (916) 278-5597

1.9 Workers' Compensation Correspondence

Personnel Folder VPHR X

May be destroyed after audit or four years, which ever occurs first. Jo Ann Davis (916) 278-3522

Potential Complications VPHR XHold until resolved, then follow above schedule. Jo Ann Davis (916) 278-3522

Permanent Disability VPHR X X Permanent Jo Ann Davis (916) 278-3522

1.10 Work Study

Off-Campus Contracts VPSA XUntil audit or four years, whichever comes first. Craig Yamamoto (916)278-6980








Final 4/22/2010 VL 15

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Custodian of



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F - FiscalL - Legal


Off-Campus Grant Balances VPSA XUntil audit or four years, whichever comes first. Craig Yamamoto (916)278-6980

Referrals VPSA X 2 years Craig Yamamoto (916)278-6980

1.11Employment 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: VPHR

Verification of right to work in the U.S. (e.g., Form I-9, Foreign National Information form) VPHR X X 8 U.S.C. Section 1324a

3 years or 1 year after termination of employment, whichever is longer Jackie Fierros (916) 278-5597

EEOC Charge of Discrimination and related documents

Chancellor's Office X X 29 C.F.R. Section 1602.14

5 years after separation from CSU Kent Porter (916) 278-6779

DFEH Charge of Discrimination and related documents

Chancellor's Office X X 29 C.F.R. Section 1602.14

5 years after separation from CSU Kent Porter (916) 278-6779







Final 4/22/2010 VL 16

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Custodian of



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F - FiscalL - Legal


Workers' Compensation claims and related documents VPHR X X X

8 California Code of Regulations Section 10102

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. Jo Ann Davis (916) 278-3522

Return to Work documentation (May be either NDI (Nonindustrial Disability Insurance) or Workers' Compensation related) VPHR X X 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. Jo Ann Davis (916) 278-3522




Final 4/22/2010 VL 17

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Custodian of



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F - FiscalL - Legal


Unemployment records held by the campus (not the files of the Third-Party Administrator, which serves as the official Custodian of Records) VPHR X X

26 C.F.R. Section 301.6501(e)-1

Most unemployment tax records should be kept for at least 6 years. Liz Sublett (916)278-4488

Social Security, and Medicare Tax Records (e.g., deduction records for Social Security and Medicare) VPHR X X X

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. Jackie Fierros (916) 278-5597

American with Disabilities Act claim documentation VPHR X X 29 C.F.R. Section 1602.14

5 years after separation from CSU Jo Ann Davis (916) 278-3522

Medical information protected by the California Confidentiality of Medical Information Act VPHR X 28 U.S.C. Section 1658

At least 4 years from the date of the document Jo Ann Davis (916) 278-3522

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) VPHR X X 28 U.S.C. Section 1658

At least 4 years from the date of the document Kent Porter (916) 278-6779







Final 4/22/2010 VL 18

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Any information that may be alleged to be defamatory (Campuses may consult with their campus counsel when determining whether a document contains defamatory information). VPHR X X X 28 U.S.C. Section 1658

At least 4 years from the date of the document Kent Porter (916) 278-6779

Any information that is not job-related VPHR X 28 U.S.C. Section 1658At least 4 years from the date of the document Liz Sublett (916)278-4488

Any documents related to grievances, faculty status disputes, litigation or complaints, both formal and informal (e.g., non-litigation settlement agreements) VPHR X X 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. Kent Porter (916) 278-6779

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) VPHR X X 45 C.F.R. 164.530(j)(2)

At least 6 years from the date the document was created or was last in effect. Mary Ford (916) 278-6213






Final 4/22/2010 VL 19

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F - FiscalL - Legal


Whistleblower documentation VPHR X

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 David Wagner (916)278-6078

1.12Pay Related Records - Typical Documents*:

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) VPHR X X X

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 Jackie Fierros (916) 278-5597




Final 4/22/2010 VL 20

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F - FiscalL - Legal


Leave accrual and usage records VPHR X X X


Employee leave records VPHR X X X





Final 4/22/2010 VL 21

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F - FiscalL - Legal


Authorization for compensating time off VPHR X X X


Authorization for extra hours/Overtime documentation (e.g., Report of Extra Hours to be Paid) VPHR X X X

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 1658CA Business & Profession Code Section 17200 4 years Jackie Fierros (916) 278-5597




Final 4/22/2010 VL 22

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F - FiscalL - Legal


Records of additions to or deductions from wages (e.g., Pay Adjustment Request, Payroll Adjustment Notice, Report of Extra Hours to be Paid, Salary Garnishment, Dock) VPHR X X X


Work schedules VPHR X X

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 Julie Thue (916) 278-5579




Final 4/22/2010 VL 23

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F - FiscalL - Legal


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) VPHR X X X


W-4 forms - online VPHR X X X

Continuing Education of the Bar, Advising California Employers (2d ed. 2004), Section 8.7726 C.F.R. Sections 31.6001-1 to 31.6001-6

As long as the documents are in effect plus 4 years Jackie Fierros (916) 278-5597

W-2 forms returned by Post Office (can also order from the State Controller's Office) VPHR X X X

Revenue and Taxation Code Section 19704

Most income tax documents should be kept for at least 6 years. Jackie Fierros (916) 278-5597





Final 4/22/2010 VL 24

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F - FiscalL - Legal


Income tax records (e.g., fee waiver tax liability and domestic tax liability forms, including Nonresident Alien Employee Federal Income Tax Withholding Authorization) VPHR X X

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. Jackie Fierros (916) 278-5597

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) VPHR X X

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 Jackie Fierros (916) 278-5597




Final 4/22/2010 VL 25

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F - FiscalL - Legal


Conflict of Interest Statements (Form 700) VPHR XGovernment Code Section 81009 7 years Mae Kong (916) 278-6078

Family Medical Leave Act (FMLA) Records VPHR X X X 29 C.F.R. Section 825.500

At least 3 years from the date of the document or the event, whichever is later. Jo Ann Davis (916) 278-3522

1.13 Recruitment Records

A recruitment file typically includes applications, resumes, reference checks, writing samples, advertising records, rating sheets and recommendations VPHR X X 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). Jackie Kernen (916) 278-7415

Fee Waiver Records VPHR X X X 28 U.S.C. Section 1658

5 years after completion of the classes) for which the fee was waived. Kim Harrington (916) 278-6327






Final 4/22/2010 VL 26

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F - FiscalL - Legal


Employment Retirement Income Security Act Records (ERISA) e.g., Qualified Medical Child Support Orders VPHR X X

29 U.S.C. Sections 1001-138129 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. Mary Ford (916) 278-6213

Notes: * Typical documents may include a variation of standard State forms.

When “Campus” is referenced as the Custodian of Records, it may also include the Chancellor’s Office acting in its “campus” capacity. When “Chancellor’s Office” is referenced as the Custodian of Records, it is being referenced in its CSU system wide capacity.

1 Please 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.
