Personnel and Payroll Records

Summaries of data collected on Affirmative Action Information Requests from applicants for academic personnel or professional staff positions. May include vitae of the highest ranking minority or woman candidate considered but not appointed, or documentation of measures taken to meet the requirements of the affirmative action program.

Official Copy: Office of Equal Opportunity and Affirmative Action
Retention: 3 years after end of reporting period
Disposition Method: Shred or Delete

Other Copy: Appointing Department or Dean's Office
Retention: 3 years after completion of hiring process
Disposition Method: Shred or Delete

Materials regarding applicants hired for hourly and student positions. May include applications, resumes, correspondence, letters of reference, evaluations of candidates, notes on employment selection, etc.

Official Copy: Hiring Office
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

Refer to Selection for Classified Non-Union, Professional, and Contract Covered Staff Employment -- Hired and Not Hired

A record of ballots cast by faculty members regarding the appointment, promotion or tenure of another faculty member. 

Official Copy: Academic Offices
Retention: For ballot issues that result in denial of tenure: 3 years after ballots counted; for other appointment, promotion, or tenure ballot issues: 1 year after ballots counted
Disposition Method: Shred or Delete

Provides a record of complaint investigations and resolutions of complaints. Includes discrimination, harassment, retaliation and sexual misconduct complaints. May include information about complaint, correspondence, etc.

Official Copy: CRIO
Retention: 6 years after file closed
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after file closed
Disposition Method: Shred or Delete

Records relating to complaints and grievances filed in cases of affirmative action, discrimination, equal opportunity employment, harassment issues and other workplace conditions and issues in which the complaint proved to be unsubstantiated. Includes, but is not limited to: filed complaints and grievances, supporting documentation, agency response and decisions, legal actions, arbitration or mediation efforts, determinations and appeals. Note: Records may be retained upon employee request and in case of pending legal action.

Official Copy: Any Office
Retention: Exoneration
Disposition Method: Shred or Delete

A record of disciplinary actions taken regarding a member of the faculty, including deans, directors, etc. May include documentation of termination for cause. 

Official Copy: Academic Human Resources -- as part of Personnel Folder
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

The following personnel/payroll electronic records do not have to be saved or printed because they are extracted from a master file or database.  Reports printed from a database are considered duplicates and can be destroyed as soon as they have served their reference purpose. They will be visible and accessible for their full retention period in the system of record and can be reprinted as needed. The official copy is the original digital version. Refer to Electronic Records that do not need to be printed or saved.

These reports are printouts from a database and do not need to be saved or printed. Refer to Electronic Records that do not need to be printed or saved.

Requests to the Dean, Vice President or Provost from academic personnel to perform consulting work and other professional and public activities outside the UW for compensation. Formerly known as the Request for Approval of Outside Professional Work for Compensation.

Official Copy: Office of Research
Retention: 6 years after end of fiscal year
Disposition Method: Shred or Delete

Other Copy: Dean or Department Chair
Retention: 6 years after the end of fiscal year
Disposition Method: Shred or Delete

Other Copy: UWT: Vice Chancellor for Academic Affairs
Retention: 6 years after end of fiscal year
Disposition Method: Shred or Delete

Other Copy: UWB: Vice Chancellor for Academic Affairs
Retention: 6 years after end of fiscal year
Disposition Method: Shred or Delete

Materials regarding applicants for academic positions including faculty, Chair, Dean, Director, and temporary positions (visiting scholars or scientists, clinical faculty, post-doctoral scholars, etc.). May include, but not limited to: advertisement and recruitment notices, correspondence with applicants, resumes, curricula vita, letters of reference, research proposals, evaluations of candidates, notes on employment selection, etc.

Official Copy: Academic HR selected records for hired applicant which become the basis for the personnel record
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Official Copy: Academic HR not hired
Retention: 3 years after completion of hiring process (see Note below)
Disposition Method: Shred or Delete

Official Copy: Hiring Department
Retention: 3 years after completion of hiring process
Disposition Method: Shred or Delete

Note: Visa and Permanent Residence records are maintained separately.  Refer to Faculty/Academic Employment--International Scholars and Faculty/Academic Employment-- Permanent Resident Status.

Documents requests for permanent resident status by faculty holding H-1B or O-1 visas. May include forms, applications, requests, supporting documentation, and green card documentation.

Official Copy: International Scholars Office
Retention: 5 years after permanent labor certification filed
Disposition: Delete or Shred

Other Copy: Hiring Department
Retention: 5 years after permanent labor certification filed
Disposition: Delete or Shred

Letters that document noncompliance with policy, deviation from the provisions of the Guide for the Care and Use of Laboratory Animals, or suspensions of an activity by the Institutional Animal Care and Use Committee. Letters are kept to ensure that any patterns of noncompliance by an individual can be monitored and dealt with appropriately by the University.     

Official Copy: Any Office
Retention: 6 years after Termination of Employment
Disposition Method:  Shred or Delete

A record of materials developed and used in the training of new UW personnel.

Official Copy: Employing Department
Retention: until superseded
Disposition Method: Transfer to University Archives for review

A record of the forms and documentation submitted to Payroll for an individual employee that has a reasonable bearing on the efficient and effective management of the UW and provides a basis for employment and post-employment benefits.  May include Personnel Action Form (PAF), Stipend Appointment Form, Request for Extension of Appointment, Employment Eligibility Verification (I-9 form required by US Government to verify citizenship), Work and Leave Record for Classified and Professional Staff Employees, Request for Payment of Year-end Unused Sick Leave form, Request for Payment of Award or Prize to UW Student or Employee form etc.

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2017 should be maintained for the following retention periods:

Official Copy: Payroll
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Other Copy: Home Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

Other Copy: UWT: Finance and Administration
Retention: 3 years after termination of employment
Disposition Method: Shred or Delete

Other Copy: UWB: Finance and Administration
Retention: 3 years after termination of employment
Disposition Method: Shred or Delete

Automatically-generated email notifications sent out by OPUS which acts as verification of a change in that payroll system.   

Official Copy: Any Office
Retention: Until Transaction Captured by OPUS
Disposition Method: Shred or Delete

Comprehensive record of all personnel actions affecting a UW Academic Student Employee which includes information that had a reasonable bearing on the efficient and effective management of the UW. May include: appointment letter, offer letter, job description, letters of reference, resume, non-academic training records, job posting, commendations, letters of resignation, termination letter.

Official Copy: Any Office
Retention: 6 years after termination of employment with department
Disposition Method: Shred or Delete

Comprehensive record of a department's employment of an hourly employee. Includes folders for student hourly, work-study, and temporary employees. May include applications, Notices of Temporary Employment, resumes, letters of reference, commendations/reprimands, job descriptions, copies of payroll forms, etc.  

Official Copy: College/School or Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

Official Copy: Student Financial Aid (work study records only)
Retention: 3 years after the award year, and up to the following December 1 for reporting purposes
Disposition Method: Shred or Delete

Requests for, and correspondence related to, the reallocation of an employee's position to a different classification.

Official Copy: Human Resources Operations -- as part of Personnel Folder
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

Provides a record of handling of research, scientific or scholarly misconduct allegations against University faculty, students or staff under Executive Order No. 61 where inquiry concludes that investigation not warranted. Includes notification to respondent of allegation, any sequestered research materials relevant to allegation, and final inquiry record and report. (See 42 CFR § 93.317 for 7-year retention requirement.)

Official Copy: Office of Research Misconduct Proceedings
Retention: 7 years after UW closes case
Disposition Method: Shred or Delete

Official Copy: UWT: Vice Chancellor for Academic Affairs
Retention: 7 years after UW closes case
Disposition Method: Shred or Delete

Official Copy: UWB: Vice Chancellor for Academic Affairs
Retention: 7 years after UW closes case
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 7 years after UW closes case or 3 years after termination of employment, whichever is longer
Disposition Method: Shred or Delete

Provides a record of handling of research, scientific or scholarly misconduct allegations against University faculty, students or staff under Executive Order No. 61 where investigation warranted. Includes notification to respondent of allegation, any sequestered research materials relevant to allegation, final inquiry record and report, and final investigation record and report (including witness interviews). (See 42 CFR § 93.317 for 7-year retention requirement.)

Official Copy: Office of Research Misconduct Proceedings
Retention: 7 years after UW or Federal government closes case; whichever is later
Disposition Method: Shred or Delete

Official Copy: UWT: Vice Chancellor for Academic Affairs
Retention: 7 years after UW or Federal government closes case; whichever is later
Disposition Method: Shred or Delete

Official Copy: UWB: Vice Chancellor for Academic Affairs
Retention: 7 years after UW or Federal government closes case; whichever is later
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 7 years after case closed or 3 years after termination of employment with department, whichever is longer
Disposition Method: Shred or Delete

Used to calculate salary increases for faculty and professional staff. May include income spreadsheets and working papers. 

Official Copy: Any Office
Retention: 3 years after salary increase
Disposition Method: Shred or Delete

A record of committee procedures and decisions in the recruitment for a faculty or Chair position. May include list of committee members, correspondence regarding planning for the search, the development of criteria for the selection of a candidate, job/position description, etc.

Official Copy: Any Office
Retention: 6 years after end of search
Disposition Method: Shred or Delete

A notification of upcoming payroll action deadlines, eg: appointment end date, temporary appointment end date, probation period end date, increment date, as well as notifications regarding students, eg: tuition payments and deadlines, etc.

These reports are now generated through Workday and do not have to be saved or printed. Refer to Electronic Records that do not need to be printed or saved.

A record of evaluations for faculty members eligible for tenure, promotion, or merit pay.

Official Copy: Academic Human Resources -- as part of Personnel Folder
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after completion of review
Disposition Method: Shred or Delete

Other Copy: UWT: Vice Chancellor for Academic Affairs
Retention: 3 years after completion of review
Disposition Method: Shred or Delete

Other Copy: UWB: Vice Chancellor for Academic Affairs
Retention: 3 years after completion of review
Disposition Method: Shred or Delete

Departmental form created to provide a detailed summary of all hours worked by an individual employee. Used to track time/overtime/leave time. Supplemental to Form 220. 

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2017 should be maintained for the following retention periods:

Official Copy: Any Office
Retention: 6 years after end of fiscal year
Disposition Method: Shred  or Delete

A signed record of hours worked by students employed under a state or federal work-study program.

Official Copy: Student Financial Aid
Retention: 3 years after the award year, and up to the following December 1 for reporting purposes
Disposition Method: Shred or Delete

Other Copy: Home Department
Retention: 1 year after end of quarter
Disposition Method: Shred or Delete

Provides a record of volunteers who donate their time to work at the University.  Includes applications, background checks, agreements and records which demonstrate the time volunteers and unpaid interns spent participating in and contributing to a University process. Records time and date for when the individual is on campus in order to provide L&I protections per UW APS 14.01. These records can be timesheets listing the dates and hours worked, an in/out log for the department, or other tracking mechanism which suits the needs of the UW department.

Official Copy: Any Office
Retention: 6 years after end of calendar year of volunteer work ending
Disposition Method: Shred or Delete