Record Retention: Person-related Records

Effective Date:

March 8, 2022

Function:

Office of Human Resources

Contact:

HRA@rfsuny.org

Basis for Schedule

The purpose of this schedule is to ensure an efficient and uniform systematic control of record keeping and destruction related to person-related records with the RF Records Management Policy.

Schedule Summary

The table below identifies the minimum legal and corporate requirements for paper and/or data records applicable to person-related records.

Record Type

Office of Record

Retention Period

Justification

Attendance Reports/Exception Reports (exempt employee exception reports and non exempt salaried time sheets)

Operating locations

6 calendar years

New York State Labor Law 195 (4)

Attendance Reports (hourly employee time sheets)

Operating locations

Permanent

ERISA fiduciary requirement

Fellowship Files

Operating locations

Active and 3 years after award close date (whichever is greater)

2 CFR 200.333

Garnishments

Central office for all locations

Current calendar year + 7 calendar years

RF Corporate Business Practice

Income Fund Reimbursable (IFR) Files (may include IFR appointment/ change/inactive status forms)

Operating locations

Active and 3 years after award close date (whichever is greater)

29 CFR 1627.3, A-110 sec .53(b)

Income Fund Reimbursable (IFR) Payroll Distribution of Grant charges report

Operating locations

Current year + 4 calendar years

RF Corporate Business Practice

Personnel/Payroll files: Must include appointment/change forms, job descriptions, tax or exemption certificates (i.e. IRS W-4 or NYS IT-2104), and provider-service deduction authorization forms.

Operating locations

Permanent for retirement service credit and pay rate documentation.

Active + 6 calendar years for all other history

RF Corporate Business Practice

Personnel/payroll and benefit data

Central Office

Permanent for service & pay history (retirement) and benefit data including enrollment forms, prior service and optional retirement forms, etc.)

Active + 6 calendar years for all other history

RF Corporate Business Practice, ERISA Regulations

Retirement Records

Central Office

Permanent

ERISA fiduciary requirement

RF Insurance Enrollment Form

Operating locations

Permanent

RF Corporate Business Practice

Optional Retirement Forms (including MEA calculations for years 2001 and earlier)

Operating locations

Permanent

RF Corporate Business Practice

W-2s and RF Payment Reporting Letters

Central Office

Current year + 10 calendar years

Internal Revenue Service

W-2 and RF Payment Reporting Letters Year End Reports

Central Office

Current year + 10 calendar years

Internal Revenue Service

Vendor and Payroll 1042

Central Office

Current year + 10 calendar years

Internal Revenue Service

Vendor and Payroll 1042 Year End Reports

Central Office

Current year + 10 calendar years

Internal Revenue Service

Insurance policies

Central office

Active + 6 calendar years

NY Statute of Limitations

Other contracts

Central office

Active + 6 calendar years

NY Statute of Limitations

Collective bargaining agreements

Central office

Active + 6 calendar years

NY Statute of Limitations

Legal opinions

Central office

Permanent

RF Corporate Business Practice

Educational assistance files

Operating locations

6 calendar years

RF Corporate Business Practice

Employee Handbooks

Central office

6 calendar years

RF Corporate Business Practice

Employee medical records

Operating locations

Permanent

RF Corporate Business Practice

Form EEO-1

Central Office

3 calendar years

RF Corporate Business Practice

Hazardous material records

Operating locations

40 calendar years

RF Corporate Business Practice

Employee exposure records

Operating locations

Permanent

RF Corporate Business Practice

Accident reports and OSHA Records:
Log (form 200 and form 300)
Incident Report (form 301)
Summary (form 300A)

Operating locations

Current calendar year + 5 calendar year

20 CFR 1904.33

Recruitment records

Operating locations

3 calendar years

RF Corporate Business Practice

Legally Mandated Training records

Operating locations

6 calendar years

RF Corporate Business Practice

Compensation reviews and promotion requests

Central Office

Permanent

RF Corporate Business Practice

Audit reports

Central office

3 calendar years

RF Corporate Business Practice

Tax returns

Central office

6 calendar years

26 CFR 301.6501(e)-1

Benefit Plan Form 5500

Central office

Permanent

RF Corporate Business Practice

Affirmative action claims

Operating locations

Active + 6 calendar years

RF Corporate Business Practice

Benefit Handbooks, Newsletters

Central office

Permanent

RF Corporate Business Practice

RF Cost Transfer forms

Decentralized operating locations, and central office on behalf of centralized locations

Current fiscal year + 4

RF Corporate Business Practice

Kbace Payroll Registers, Detail Control Registers

Central Office

Current calendar year + 10 years

RF Corporate Business Practice

Definitions

Record(s)- any information kept, held, filed, produced, or reproduced in any form whatsoever, including electronic, by or on behalf of the Research Foundation or Research Foundation employees, in their capacity as employees of the Research Foundation. Records include, but are not limited to: reports; statements; examinations; memoranda; opinions; folders; files; books; manuals; pamphlets; forms; papers; designs; drawings; maps; photos; letters; microfilms; computer tapes or discs; rules; and regulations or codes, in connection with the transaction of Research Foundation business.

Related Information

Records Management Policy

Record Retention: Destruction of Records Guideline

Change History

Date

Summary of Change

March 8, 2022

Attendance Reports (hourly employee time sheets) separated from Attendance Reports/Exception Reports (exempt employee exception reports and non exempt salaried time sheets).

February 23, 2022

Updated terms throughout. Removed records that were no longer applicable or belonged on a different schedule. Reviewed retention periods and justifications. Changed certain benefits document retention periods to permanent. Placed schedule in new format and added link to new Destruction of Records Guideline.

May 17, 2019

Updated to add information for Recruitment Records

May 9, 2007

Updated sections to remove instructions on producing payroll 1099 forms; provided information for Optional Retirement Forms.

March 4, 2002

Revised to add information for Optional Retirement Forms.

January 18, 2002

Revised to update information for OSHA Records.

November 14, 2001

Replaced document PE-A-92 from the Personnel Operations Manual and "Requirements for Person-Related Records" table in previously issued "Record Retention Guidelines".