Record Keeping Requirements for State Departments of Transportation (2009)

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41 APPENDIX D: DOCUMENTS RELATED TO RECRUITMENT165 Type of Record Retention Period Statute Job orders submitted by the em- ployer to employment agencies, or labor organizations for recruitment of employees 1 year from date of per- sonnel action 29 U.S.C. § 626; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Job advertisements and notices to public or to employees regarding job openings, training programs, pro- motions, and opportunities for over- time 1 year from date of per- sonnel action 29 U.S.C. § 626; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Criteria for selection for appren- ticeship programs in recognized trade or craft; chronological list of all applicants’ names, addresses, dates of application, sex, minority group class (race or national origin); and any test papers or interview records on which hiring decisions were made 1) 2 years or period of chosen applicant’s appren- ticeship, whichever is longer; or 2) 1 year from date of report 42 U.S.C. § 2000e8c; 29 C.F.R. § 1602 (Title VII of the Civil Rights Act of 1964) Documents Related to Employee Selection Type of Records Retention Period Statute Written training agreements, summaries of applicants’ qualifica- tions, job criteria, interview records, and identification of minority and female applicants Duration of training pro- gram plus 3 years 29 U.S.C. § 206(d)(1); 29 U.S.C. § 211; 29 C.F.R. § 516.5 (Fair Labor Standards Act (FLSA) and National Labor Re- lations Act) Test appearances and results from employment test 1 year from date of per- sonnel action 29 U.S.C. § 626;29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Results in physical examinations 1 year from date of per- sonnel action 29 U.S.C. § 626; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Promotion, demotion, transfer, se- lection for training, layoff, recall, or discharge 1 year from date of per- sonnel action 29 U.S.C. § 626; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Hiring documents, including job applications, resumes, job inquiries, and records of refusals to hire 1 year from date of per- sonnel action 29 U.S.C. § 62; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Application forms and other pre- employment records of applicants for temporary positions 1 year after personnel action 29 U.S.C. § 626; 29 C.F.R. § 1627.3 9 (Age Discrimination in Employment Act) All personnel or employment re- cords, including application forms, resumes, other hiring records; re- cords regarding promotion, demo- 1 year from date records made or personnel action taken, whichever is later 42 U.S.C. § 2000e8c; 29 C.F.R. § 1602.14 (Title VII of the Civil Rights Act of 1964) 165 See http://www.mnwfc.org/winona/record_retention_requirements1.htm, last visited Apr. 5, 2009.

42 tion, transfer, layoff, discharge, pay rates, or other compensation terms INS form I-9 Employment Eligi- bility Verification Form 3 years after date of hire or 1 year after date of ter- mination, whichever is later 8 U.S.C. § 1324a (Immigra- tion and Nationality Act) Employers having 100 or more employees, EEO-I Form Copy of most recent re- port for each reporting unit must always be retained 42 U.S.C. § 2000e8c; 29 C.F.R. § 1602 (Title VII of the Civil Rights Act of 1964) Written affirmative action pro- gram with supporting documents, including evaluations, documents regarding compliance with EEO antidiscrimination and affirmative action regulations, and test records and results (government contractors with 150 or more employees and contractors of $150,000 or more). Retention period not specified. It is nonetheless suggested that these re- cords be retained for at least 5 years Executive Order No. 11246 41 C.F.R. § 60-1.4(a) Documents Related to Employee Benefit Plans Type of Records Retention Period Statute Payroll records; collective bargain- ing agreements, including any changes; individual contracts; writ- ten agreements under the FLSA; sales and purchase records; and cer- tificates and notices of the Wage and Hour Administrator 3 years 29 U.S.C. § 206(d)(1); 29 U.S.C. § 211; 29 C.F.R. § 516.5 (FLSA and National Labor Re- lations Act) Supplementary basic records in- cluding basic employment and earn- ings records; wage and rate tables utilized to calculate straight time and overtime work schedules; work- time schedules; order, shipping, and billing records; records of additions to, or deductions from, wages paid; records used for determining costs; and records explaining basis for payment of any wage differential to employees of the opposite sex 2 years 29 U.S.C. § 206(d)(1); 29 U.S.C. § 211; 29 C.F.R. §§ 516.6 and 1620.32 (FLSA and Na- tional Labor Relations Act) Certificates of Age Until termination of em- ployment 29 U.S.C. § 206(d)(1); 29 U.S.C. § 211; 29 C.F.R. § 570.6 (FLSA and National Labor Re- lations Act) Payroll or other records contain- ing name, address, birthdate, occu- pation, pay rate, and weekly com- pensation 3 years 29 U.S.C. § 626; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Payroll records including name, address, job category, pay rate, weekly number of hours worked, deductions made, and wages paid 3 years from completion of contract 40 U.S.C. § 276a; 29 C.F.R. § 5.5 (Davis-Bacon Act)

43 Documents Relating to Employee Exposure to Toxic Substances Type of Records Retention Period Statute Log and summary of occupa- tional injuries and illnesses (OSHA form No. 200) 5 years following end of year to which records relate 29 U.S.C. § 657; 29 C.F.R. § 1904.2 (Occupational Safety and Health Act (OSHA)) Supplemental record for each occupational injury or illness (OSHA form No. 101) 5 years 29 U.S.C. § 657; 29 C.F.R. § 1904.4 (OSHA) Annual summary of occupa- tional injuries and illnesses 5 years 29 U.S.C. § 657; 29 C.F.R. § 1904.5 (OSHA) Records of medical examina- tions required by law Duration of employment plus 30 years, unless OSHA re- quirements provide otherwise 29 U.S.C. § 657; 29 C.F.R. § 1910.1020 (OSHA) Records of monitoring expo- sure to hazardous materials 30 years 29 U.S.C. § 657; 29 C.F.R. § 1910.1020 (OSHA) Manufacturers, processors, or distributors of any chemical substance must retain records of employees’ “significant ad- verse reactions” to health or the environment 30 years from date such ad- verse reaction first reported to or known by person maintain- ing record 15 U.S.C. § 2607 (Toxic Sub- stances Control Act) Any other records of such ad- verse reactions 5 years from date first re- ported to or known by person maintaining the record 15 U.S.C. § 2607 (Toxic Sub- stances Control Act) Consumer allegations of per- sonal injury or harm to health, reports of occupational disease or injury, and reports or com- plaints of injury to the envi- ronment submitted to the manufacturer, processor, or dis- tributor from any source 30 years for employee claims of occupational disease or occu- pational health problems 15 U.S.C. § 2607 (Toxic Sub- stances Control Act) Documents Related to Drug and Alcohol Testing Type of Records Retention Period Statute Records related to positive test results and/or refusals to take a required alcohol and/or controlled substances test; driver evaluation and referrals 5 years 49 C.F.R. § 382.401 (Con- trolled Substances and Alcohol Use and Testing) Records related to the collec- tion process, including collec- tion logbooks; documents relat- ing to the random selection process, reasonable suspicion testing, post-accident testing; documents verifying employee’s inability to provide breath for testing 2 years 49 C.F.R. § 382.401 (Con- trolled Substances and Alcohol Use and Testing) Records related to negative and cancelled test results 1 year 49 C.F.R. § 382.401 (Con- trolled Substances and Alcohol

44 Use and Testing) Records related to breath al- cohol testing–related training 2 years 49 C.F.R. § 382.401 (Con- trolled Substances and Alcohol Use and Testing) Documents Related to Discrimination Charge Type of Records Retention Period Statute Personnel records concerning any discrimination charge brought by any agency or indi- vidual (e.g., records about charging party and all other employees holding similar posi- tions, application forms, or test papers completed by all appli- cants for same position) Until final disposition 42 U.S.C. § 2000(e)(8)(c); 29 C.F.R. § 1602 (Title VII of the Civil Rights Act of 1964) In action brought against employer, any personnel re- cords concerning employee or applicant Until final disposition 29 U.S.C. § 626; 29 C.F.R. § 1627.3 (Age Discrimination in Employment Act) Documents Related to Employee Leaves of Absence Type of Records Retention Period Statute Basic payroll and identifying employee data, including name, address, occupation, rate of pay and terms of compensation, daily and weekly hours worked per pay period, and additions or deductions from wages 3 years 29 U.S.C. § 2616; 29 C.F.R. § 825.500 (Family and Medical Leave Act of 1993 (FMLA)) All records pertaining to com- pliance with FMLA’s leave requirements, including dates and hours (if less than a full day) of FMLA leave; copies of employer notices; documents describing premium payments and employee benefits; and re- cords of disputes with employ- ees over FMLA benefits 3 years 29 U.S.C. § 2616; 29 C.F.R. § 825.500 (FMLA) Documents describing FMLA notices and copies of employer’s FMLA policy 3 years 29 U.S.C. § 2616; 29 C.F.R. § 825.500 (FMLA)