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Record Retention and Destruction Considerations
Beth CoonanBrownWinick
666 Grand Avenue, Suite 2000Des Moines, IA 50309-2510
Telephone: 515-242-2408Facsimile: 515-323-8508
E-mail: [email protected]
Why does my company need a document retention policy?
Efficiency
Compliance with State and Federal Laws
Litigation
How Long Should Certain Documents Be Kept?
Documents related to Recruitment
1 year from the date of personnel action to which the record relates
Documents related to apprenticeship programs in a recognized trade or craft
2 years or the period of the apprenticeship, unless related to pay, then 3 years.
Documents related to employee selection
1 year from the date of the personnel action to which the record relates
Form I-9 and Supporting Documents
3 years from the date of hire or 1 year from the date of termination, whichever is later
EEO-1 Form (for employers with 100 or more employees)
1 year
Affirmative Action Plans 5 years
Written employment agreements, collective bargaining agreements
3 years from the last effective date, longer for historical perspective
Documents relating to compensation
3 years from the date of creation
Employee Benefit Plans Retain for the duration of the plan and for at least 1 year following the plan’s termination
Charges of Discrimination Retain until final disposition of charge or action
Personnel records of involuntarily terminated employees
3 years from the date of termination
Complaints of Disability Discrimination/Requests for Accommodation
3 years from the end of the leave period
Drug and Alcohol Testing Records
5 years from date of test results
Employee Medical Records
Duration of employment plus 6 years. (Consider HIPPA)
Tax Audit Documents Permanently
Financial Statements Permanently
OSHA Records Regulations contain specific requirements, dependent upon number of employees, industries and other factors.
Sales and purchase records for commissioned employees
3 years
What are these guidelines based upon?
Electronic Document Retention Considerations
• Involve your IT Department or Specialist before committing to Electronic Document Retention Software.
• The system you implement must accurately reflect the documents preserved and should contain safety protocols to deter tampering/alteration.
Litigation Documents
• Documents should be treated as litigation documents when the company has knowledge of existing or potential litigation.
What Documents should be Preserved?
• All documents relevant to the subject matter or any claim or defense.
• Includes books, documents, emails and other tangible items.
• Includes the identity of the person who has knowledge of such items.
• Includes information regarding how electronic information is stored or retained.
How do I preserve litigation documents?
• Seal the file
• Do not add any documents from the time that litigation is initiated.
• Preserve privileges
What happens if litigation documents are destroyed?
• Spoliation
• Sanctions
General Employment Document Issues - Policy Considerations
• Is a former employee entitled to see a copy of his or her personnel file?
• Should managers be permitted to keep “private” files on their direct reports?
• Should exit interviews be documented?
Website: www.brownwinick.comToll Free Phone Number: 1-888-282-3515
OFFICE LOCATIONS:
666 Grand Avenue, Suite 2000Des Moines, Iowa 50309-2510
Telephone: (515) 242-2400Facsimile: (515) 283-0231
616 Franklin PlacePella, Iowa 50219
Telephone: (641) 628-4513Facsimile: (641) 628-8494
DISCLAIMER: No oral or written statement made by BrownWinick attorneys should be interpreted by the recipient as suggesting a need to obtain legal counsel from BrownWinick or any other firm, nor as suggesting a need to take legal action. Do not attempt to solve individual problems upon the basis of general information provided by any BrownWinick attorney, as slight changes in fact situations may cause a material change in legal result.
