Effective Date: |
March 8, 2022 |
Function: |
Office of Human Resources |
Contact: |
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.
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: |
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 |
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.
Record Retention: Destruction of Records Guideline
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". |