Personnel File Retention

Retention period for Personnel File of Terminated Employees
Survey Results
NR of Years % Responses


3 years 4.7% - 2
4 years 7.0% - 3
5 years 7.0% - 3
6 years 9.3% - 4
6 years (current year plus 6) 18.6% - 8
7 years 18.6% - 8
10 years 11.6% - 5
20 years 2.3% - 1
Permanent 20.9% - 9

20 people answered other retention as follows:

1. Termination date + 3 years
2. 40 years
3. 70
4. termination + 4
5. 240 months 20 years if they have medical files in them.
6. 6 yrs from the last taxation year in which pension commences
7. We keep personnel file for Term. + 5 yrs but our Employment Verification cards
are kept Term. + 75 years and are microfilmed.
8. 75 years after termination.
9. Still developing a division of file contents, currently dumped all together
10. Employee termination plus fifty years
11. T+8
12. Medical file 30 years
13. 75 yrs beyond separation
14. 25 fiscal years after termination
15. 6 years personnel, 60 years retirement related information
16. more if enrolled in a benefit plan Tue
17. 2 years after the employee terminates or transfers
18. Personnel files - 5 yrs, employment history cards- 25 years Mon
19. T + 7 Years
20. Retention depends on content, tax 4, job descriptions permanent


12 Skipped question
………………..


1. Public Service Commission of Wisconsin Retention Schedule 27(a)
2. It's a retention schedule approved under the Archives and Records Management
Law - Title 5, sub-sec. 95, Maine Revised Statutes Annotated
3. 29CFR516.5, 29CFR516.6, 29CFR1602-14, 29CFR1620.32, 41CFR60-1.12, KSA44-1209,
OAC 240:10, MN Chapter, OH Title XLI-4111.08, CA Division 2-part 4-Chapter
1-1174(d), 41CFR60-741-52, 41CFR60-741-80, I did not write these
4. Retention was a business decision, not a legal one.
5. Based on Canadian inc. tax act plus exp. in pension calculation risk
6. No - but is based on the standards recommended by our state authority on
Records - Texas State Library and Archives Comm. 7.N1-434-89-1, item 1 -
(DOE Administrative Records Schedule
8. Tax codes
9. 29USC626; 29CFR1627.3; ADEA; 29CFR1602.31; Title VII of Civil Rights Act of
1964; ADA; M.S. 13.43, subd 2
10. Florida Statute
11. no
12. Ohio Revise Code and (6 yrs) Ohio Case Law (7yrs) Otherwise we'd be down to 5
yrs in the US. This is for clean personnel files, not medical records, not DB
paperwork, not benefits, not payroll.
13. HAR 12-20-8
14. 29CFR1602
15. US:29 CFR 1627.3
16. DOE Admin Schedule 1, N1-434-98-4 Items1/1.1
17. None
18. 29 CFR 1620.32, US: 29 CFR 1627.3, 26 CFR 31.6001-1, 29 CFR 1602.14
19. State of FL General Schedule 1-SL, Item #19
20. To many to list- doesn't want to let me paste
21. 29 CFR 1602.14, 29 CFR 1627.3
22. yes Federal: 26 CFR 31.6001-1; 29 CFR 516.5; 29 CFR 825.500; 29 CFR 1602.14;
29 USCS 1059; California: 8 CCR 11040; 22 CCR 1085-2; Cal
23. no specific citation - based on statute of limitations and business needs
24. 29 C.F.R. 1602.14, 1627.3.
25. GC34090
26. Wyoming Statutes 9-2-410
27. GS50-04B-06, GS50-03E-15 WA ST Schedule
28. statute of limitations
29. Statute of limitation
30. too many to list - 29CFR4007.10
31. No - Company decision due to litigation.
32. no, but this is the choice of my law firm. Minimum retention is 10 years.
33. We use 29CFR1602.14: One year from term or final disposition of matter involving
a charge of discrimination. We use a six year retention period to ensure all
discrimination cases have been cleared upon final disposition.
34. general statute of contract limitations - Skupsky-based
35. Statute of Limitations
36. SOE Approved Records Schedule
37. Business need, set by state
38. Attorney directed-Legislation 2006 Mon
39. 29 C.F.R. §§ 1602, 1627, 1630; EEOC ADA Technical Assistance Manual section
6.5: 15 U.S.C. § 1681b(b)(2)(A)(ii); 16 C.F.R. §§ 682.1 - 682.5
40. ADEA, Illinois Minimum Wage law
41. Business decision 

Industry

29. Aerospace/defense
4. Aircraft Manufacturing
32. Chemical
17. computer
7. Consulting (this is taken from a prev. role as MRO in BC Canada)
18. Consumer Goods/Manufacturing.
49. Contractor Research and Development
25. Contractor to Federal Agency (DOE)
11. Department of Energy - National Nuclear Security
16. Document managment service bureau
3. Education
13. Education
40. education
6. financial
31. Financial
5. Financial, however, retention came from our automotive manufacturing brand
partner
2. government
26. Government
50. Govt. Utilities
45. Health care
24. Health Insurance
30. Healthcare
51. Hi Tech
23. Higher Education
39. Higher Education
52. Higher Education
9. Human Resource Consulting
35. Insurance
12. Law firm
44. Legal
46. Legal
19. Local Government
33. Local Government
36. local government / municipality
38. Local Government, Washington State
8. Manufacturing
22. Manufacturing
41. Manufacturing/Paint and Coatings
15. Municipal Government
53. Non-profit
20. Other
43. Petroleum
28. Public education
34. restaurant
27. Retail
21. Service
10. State Government
37. State Government
14. state governmental agency
54. Telecom / High Tech

1. Utilities
42. Utilities
48. Utilities
47. Utilities/conglomerate

Are we required to retain all email, and if so, how do we do it?

This an excellent question that has been discussed in detail on the records management list serve, professional associations, and the information management technology sector based on the new federal rules on discovery that was implemented in December of 2006.

Now I am neither a lawyer nor in the information technology (IT) area, but simply a records management practitioner who has thoughts on the requirement as follows:

It is my understanding that the management of business records is guided by legal consideration, i.e., a legal citation approved by competent authority (federal, state, etc.). I am only aware of but one legal requirement for the retention of email and that is for a specific group of individuals governed by the SEC. Therefore I must assume there is no other legal precedent for the retention of email messages unless it meets the criteria of being a business record and/or public record, then it must be retained.

The more complex issue is the methodology of managing the email message that is deemed a business record and must be maintained. There is much vendor hype extolling their software that will provide the means to ensure long term requirements and retrieval of email that maybe required in case of litigation. To be sure I am convinced that they have developed a product that will manage the email. But I am also convinced that there are two major factors that will cause a breakdown and ultimate failure of the overall goal of managing email. Factors are:

a. The Human Factor. To apply the appropriate retention to each message will require someone to apply it as the current technology to automate the process does not appear to be 100 percent accurate. If we are believe the individual receiving the message, i.e., say a upper level manager, CEO, etc., will apply retention to every email they receive I do not hesitate to say if you believe it I have some property in Florida that I will be happy to sell you, just bring high waterproof boots.

b. The Technology Factor. While you may be able to manage retain all email for a specific period of time by simply retaining copies of all email coming and going out of the organization the advancement of technology has created an environment that manages to thwart control of information within an organization. Much of which is beyond the control of the IT function. Email is being sent and retained Blackberries, IPAQ’s, TREO’s, personal computers, personal email accounts (hotmail, Gmail, etc.), flash drives and cell phones that makes control difficult, if not impossible.

I happen to conduct business in a state that has a very progressive and what I consider providing excellent guidance and training to state and local government agencies. I have quoted below their description of “Electronic Mail” that provides a legal framework for local government agencies and although not a legal authority as least some guidance to those working in the private sector.

Quote: “Electronic mail (E-mail): E-mail is primarily a communication system. Individual E-mail messages may be public records with legally mandated retention requirements, or may be information with no retention value. E-mail messages are public records when they are created or received in the transaction of public business and retained as evidence of official policies, actions, decisions, or transactions. Such messages must be identified, filed, and retained just like records in other format."

Currently few E-mail systems are designed to categorize and retain information. E-mail messages with public record content should be retained in E-mail format only as long as they are being worked on or distributed. Upon completion, E-mail messages containing public record information should be printed out or transferred to an electronic document management system, filed with the appropriate records series, and retained for the minimum retention period assigned by the Local Government General Records Retention Schedule or a records retention schedule approved specifically for the agency by the Local Records Committee”. Unquote. Citation: Line 314, Local Government General Records Retention Schedule for the State of Washington.

While the solution of printing out the business documents may be distasteful to some it is probably the only solution for the majority of local government agencies and the private sector that does not have or cannot afford the luxury of an electronic document management system. You might wish to research what guidance your state has to offer on the subject of retention of “Electronic Email”.

The management of email is a difficult issue that requires the organization (public or private) to provide the proper guidance and ongoing training to their employees on their responsibilities for the management of their email within the organization.