HomeMy WebLinkAboutResolution 2006-14- Adoption, Record Retention Schedule Personnell RecordsPersonnel Records
Affirmative Action Records:
Records documenting city
compliance with the Civil Rights Act of 1964, the Equal Employment Opportunity
Act of 1972 and the Americans with Disabilities Act. Records include: plans,
updates, policy statements, reports, investigations, case files, complaints and related
information. Also includes EEO-4 reports submitted to the Equal Employment
Opportunity Commission (EEOC) documenting compliance with EEOC requirements
by cities with 15 or more employees.
Permanent:
Keep plans, updates and policy statements permanently.
Semipermanent:
Keep EEO-4 reports and all other records five years.
Benefits Continuation Records:
Records documenting
notice to employees, spouses and dependents informing them of their rights to
continue insurance coverage after termination or during disability or family leave and
whether coverage was elected or rejected. Continuation may be under COBRA or
another provision. Notice is also sent to a third party administrator who administers
the extended coverage. Records may be filed with the Employee Benefits Records or
Employee Personnel Records.
Semipermanent:
Keep three years after employee separation or eligibility expired or
five years, whichever is longer.
Note:
No retention period specified in 26 CFR Part 54.
Collective Bargaining Records:
Records documenting
negotiations between the city and employee representatives, including contracts,
reports, negotiation notes, letters of agreement, arbitration findings, cost analyses,
minutes, tape recordings, etc.
Semipermanent:
Keep contracts and minutes 75 years after contract expires. Keep
other records six years after contract expires.
Note:
Federal regulations (29 CFR 516.5) requires certain employment
contracts and collective bargaining agreements to be kept three
years after their last effective date.
Employee Benefits Records:
Records relating to city
employee benefit information such as: selection of insurance plans, retirement,
pension and disability plans, deferred compensation plans, and other benefit
information. Records may include, but are not limited to: plan selection and
application forms, enrollment records, contribution and deduction summaries,
personal data records, authorizations, beneficiary information, year-end leave balance
reports, notices of disability payment made, and related documentation. Generally
filed with Employee Personnel Records.
Semipermanent:
Keep year-end leave balance reports and official copy of
retirement enrollment records 75 years after date of hire. Keep
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other records five years after employee separation or eligibility
expired.
Note:
Numerous federal regulations provide retention periods for these
records:
29 CFR 1627.3 (Age Discrimination) requires employee benefit
plans such as pension and insurance plans to be kept for the full
period the plan or system is in effect, and for at least one year after
its termination. Payroll, recruitment and selection, personnel, and
employee benefits records must also be kept at least one year from
the date of the personnel action to which the records relate, with
the exception of records required for an enforcement action, which
must be kept until the action’s final disposition.
29 CFR 1602.14 (Recordkeeping & Reporting Under Title VII &
ADA) requires personnel, compensation and benefits records to be
kept at least one year from the date of making the record or the
personnel action involved, whichever is later, except in the case of
involuntarily terminated employees, which must be kept at least
one year from the date of termination. When a charge of
discrimination or action is filed, records must be kept until final
disposition of the case.
Idaho Code 45-610 provides that employment records must be
maintained for at least three years after the employee’s last date of
service.
IDAPA 09.01.35.081 provides that payroll, personnel, benefits,
and employee travel reimbursement records must be kept for at
least 3 years after the calendar year in which remuneration was
due.
Employee Medical Records:
Document an individual
employee’s work-related medical history. These records are not personnel records
and must be kept in a separate location from employee personnel records as required
by the Americans with Disabilities Act. Records may include, but are not limited to:
medical exam records (pre-employment, pre-assignment, periodic or episodic), X-
rays, records of significant health or disability limitations related to job assignments,
documentation of work-related injuries or illnesses, hearing test records, hazard
exposure records, first-aid incident records, physician statements, release consent
forms and related correspondence.
Semipermanent:
Keep hazard exposure records 30 years after separation. Keep
other records five years after separation or completion of litigation,
whichever is longer.
Note:
Idaho Code 72-601 requires employers to keep records of work-
related injuries and illnesses and provides that failure to keep these
records is a misdemeanor. Failure to keep these records is a
misdemeanor.
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Employee Personnel Records:
Document an employee’s
work history. Records may include, but are not limited to: employment applications,
notices of appointment, training and certification records, records of health
limitations, drug testing, salary schedules, personnel actions, performance
evaluations, awards and other special recognition, letters of recommendation,
investigation information, disciplinary action, notices of layoff, letters of resignation,
home address and telephone, emergency notification forms, oaths of office, grievance
and complaint records, and related correspondence and documentation. (SEE ALSO
Employee Benefits Records, Employee Medical Records, Recruitment & Selection
Records, and Volunteer Worker Records in this section.)
Semipermanent:
Keep ten years after separation.
Note:
Numerous regulations provide retention periods for these records:
29 CFR 1602.14 (Recordkeeping & Reporting Under Title VII &
ADA) requires personnel, compensation and benefits records to be
kept at least one year from the date of making the record or the
personnel action involved, whichever is later, except in the case of
involuntarily terminated employees, which must be kept at least
one year from the date of termination. When a charge of
discrimination or action is filed, records must be kept until final
disposition of the case.
29 CFR 1602.31 (Recordkeeping & Reporting for Civil Rights Act
& Americans with Disabilities Act) requires these records be kept
at least two years from the date of the making of the record or the
personnel action involved, whichever occurs later. Where a charge
of discrimination has been filed, or an action brought by the
Attorney General against a political jurisdiction under title VII or
the ADA, the city is required to preserve all personnel records
relevant to the charge/action until final disposition of the
charge/action.
29 CFR 1620.32 (Equal Pay Act) requires personnel, recruitment
and selection records, payroll and collective bargaining/contract
records to be kept at least two years.
49 CFR 382.401 (Drug Testing for Holders of Commercial
Driver’s Licenses) provides various retention requirements for
drug testing records.
Idaho Code 45-610 provides that employment records must be
maintained for at least three years after the employee’s last date of
service.
IDAPA 09.01.35.081 provides that payroll, personnel, benefits,
and employee travel reimbursement records must be kept for at
least 3 years after the calendar year in which remuneration was
due.
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Employment Eligibility Verification Forms (I-9):
Document to the U.S. Immigration and Naturalization Service that an applicant or
employee is eligible to work in the United States. Information includes: employee
information and verification data such as citizenship or alien status and signature, and
employer review and verification data such as documents, which establish identity
and eligibility, and employer’s signature certifying that documents were checked.
This category includes forms completed for all new hires, as well as superseded or
previous forms completed on rehires.
Semipermanent:
Keep five years after separation.
Note:
Federal regulations (8 CFR 274a.2) require these records be kept
three years after the date of hiring or one year after the individual’s
employment is terminated, whichever is later.
Hazard Exposure Records:
Emergency response
employees exhibiting signs or symptoms possibly resulting from exposure to
hazardous substances are required to be provided medical examination and
consultation. Records include: employee’s name and social security number;
physician’s written opinion, recommended limitations; results of examinations and
tests; employee medical complaints related to hazardous substance exposure;
description of employee’s duties as they relate to exposure; the employee’s exposure
levels or anticipated exposure levels; description of protective equipment used; and
information from previous medical examinations of the employee which is not readily
available to the physician and other information. (SEE ALSO Employee Medical
Records in this section.)
Semipermanent:
Keep 30 years after separation.
Photo Identification Records:
Photographs and other
records used to identify city employees, private security personnel, contract workers
and others. May include photographs taken for city identification cards, driver’s
license photographs, and information such as name, date of birth, physical
description, identification number, driver’s license number, and other data.
Transitory:
Keep until superseded, obsolete or administrative needs end.
Position Description, Classification & Compensation
Records:
Records documenting the description, classification and compensation of
city jobs and positions. Usually includes details of duties and responsibilities of each
position, time percentage breakdowns of tasks, skills and abilities needed for each
position, and related records documenting the development, modification or
redefinition of each job or position. Records often include: reports, position
descriptions, position evaluations, salary & benefits studies, job analyses, interview
data, selection criteria, authorizations, agreements and related records.
Temporary:
Keep three years after superseded, obsolete or administrative needs
end.
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Note:
29 CFR 1602.31 (Recordkeeping & Reporting for Civil Rights Act
& Americans with Disabilities Act) requires these records be kept
at least two years from the date of the making of the record or the
personnel action involved, whichever occurs later. Where a charge
of discrimination has been filed, or an action brought by the
Attorney General against a political jurisdiction under title VII or
the ADA, the city is required to preserve all personnel records
relevant to the charge/action until final disposition of the
charge/action.
29 CFR 1620.32 (Equal Pay Act) requires personnel, recruitment
and selection records, payroll and collective bargaining/contract
records to be kept at least two years.
29 CFR 1627.3 (Age Discrimination) requires payroll, recruitment
and selection, personnel, and employee benefits records to be kept
at least one year from the date of the personnel action to which the
records relate, with the exception of records required for an
enforcement action, which must be kept until the action’s final
disposition.
Recruitment & Selection Records:
Document the
recruitment and selection of city employees, and contracted service providers such as
attorneys, auditors, consultants, etc. Records may include, but are not limited to: job
announcements and descriptions, applicant lists, applications and resumes, position
advertisement records, civil service and other examination records, classification
specifications, affirmative action records, interview questions, interview and
application scoring notes, applicant background investigation information, polygraph
test results, letters of reference, civil service records, position authorization forms,
certification of eligibles, recruitment summary records (job announcement, position
description, documentation relating to the announcement and test, and test items and
rating levels), and related correspondence and documentation. (SEE ALSO
Employee Personnel Records and Employment Eligibility Verification Forms (I-9) in
this section.)
Semipermanent:
Keep announcement records, position description, and test and
rating records 10 years.
Keep unsuccessful applications and all other records five years
after position filled or recruitment canceled.
Note:
29 CFR 1602.14 (Recordkeeping & Reporting Under Title VII &
ADA) requires recruitment and selection, personnel, compensation
and benefits records to be kept at least one year from the date of
making the record or the personnel action involved, whichever is
later, except in the case of involuntarily terminated employees,
which must be kept at least one year from the date of termination.
When a charge of discrimination or action is filed, records must be
kept until final disposition of the case.
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29 CFR 1602.31 (Recordkeeping & Reporting for Civil Rights Act
& Americans with Disabilities Act) requires these records be kept
at least two years from the date of the making of the record or the
personnel action involved, whichever occurs later. Where a charge
of discrimination has been filed, or an action brought by the
Attorney General against a political jurisdiction under title VII or
the ADA, the city is required to preserve all personnel records
relevant to the charge/action until final disposition of the
charge/action.
29 CFR 1620.32 (Equal Pay Act) requires personnel, recruitment
and selection records, payroll and collective bargaining/contract
records to be kept at least two years.
29 CFR 1627.3 (Age Discrimination) requires payroll, recruitment
and selection, personnel, and employee benefits records to be kept
at least one year from the date of the personnel action to which the
records relate, with the exception of records required for an
enforcement action, which must be kept until the action’s final
disposition.
Training Program Records:
Records related to the design
and implementation of training programs provided to employees by the city. May
include class descriptions, instructor certifications, planning documentation,
instructional materials, course outlines, class enrollment and attendance records, and
related records. (SEE ALSO Employee Personnel Records for training records
related to individual employees.)
Semipermanent:
Keep significant program records five years.
Temporary:
Keep class enrollment and attendance records two years.
Transitory:
Keep all other records one year.
Volunteer Program Records:
Records documenting the
activities and administration of volunteer programs in the city. May include
volunteer hours statistics, volunteer program publicity records, insurance information,
inactive volunteer files, and related records. For records related to individual
volunteers, see Volunteer Worker Records in this section.
Semipermanent:
Keep five years.
Volunteer Worker Records:
Records documenting work
performed for the city by citizens without compensation for their services. May
include agreements, applications, skills test results, training documentation, task
assignment and monitoring records, etc.
Semipermanent:
Keep five years after separation.
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