Home > Articles

This chapter is from the book

Management of Employment Records

Objective: Gain an Understanding of the Management of Employment Records

To a large extent, the management of employment records is part of the administrative role of HR and an in-depth discussion of this issue is more appropriate in preparation for the PHR examination. However, the SPHR should have some familiarity with the records retention requirements of the many laws and regulations with which the HR function must deal. A threshold issue is the determination as to whether the law requiring employment record retention actually applies to the organization. Various laws might apply only if the organization has a stated number of employees and/or federal contracts of more than certain dollar amounts. The information as to which organizations are covered by a law is contained in the discussion of that law in this chapter and others. It is not repeated in this section.

It is not unusual for the same record to have different record retention requirements in different laws. In that case, the retention period for that particular record should be the one corresponding to the longest period. It is often prudent, and in some instances required, to keep records longer than mandatory retention period. If, for example, the records in question are part of litigation or a proceeding in front of a third party, such as the EEOC or OSHA, the records must be retained until final disposition of the complaint or lawsuit. In addition, it often is prudent to keep employment records until the statute of limitations for filing a complaint or lawsuit has expired if there is some potential that the employee might do so.

Table 3.9 contains a brief summary of records retention requirements. It has been adapted from a more detailed summary prepared by Wallace Bonapart and Cornella Gamiem, which is available on the Society for Human Resource Management website at http://www.shrm.org/. The SPHR should use this table only as a broad guideline and consult a more detailed source such as agency regulations and guidance when determining the need for retention of employment records.

Table 3.9 Summary of Employment Record Retention Requirements

Law

Record Retention Requirements

Age Discrimination in Employment Act (ADEA)

Payroll records—3 years. Employment records (promotions, applications, layoff, recall, terminations and so forth)—1 year.

Americans with Disabilities Act (ADA)

Employment records (applications, requests for reasonable accommodations, promotions, selections for training, terminations and so forth)—1 year from record creation or taking of the action.

Title VII of the Civil Rights Act of 1964

Employment records (applications, promotions, transfers, layoffs, terminations and so forth)—1 year from record creation of taking of the action.

 

A copy of the current EEO-1 Report must be kept in the files.

Consolidated Omnibus Budget Reconciliation Act (COBRA)

Notices, payroll actions, and so forth—6 years.* -*COBRA does not mandate retention requirements, per se. However, COBRA amends ERISA and its retention requirements apply.

Davis-Bacon, Service Contract, and Walsh-Healy Public Contract Acts

Employment and payroll records—3 years from end of the contract.

Employee Retirement Income Security Act (ERISA)

Annual reports, summary plan descriptions, plan changes, required reports to the Department of Labor and the Pension Benefit Guarantee Corporation, along with related materials to prepare such reports—6 years.

 

Information necessary to determine benefits for participants—As long as they are relevant.

Employee Polygraph Protection Act

Test results and reason for administration—3 years.

Equal Pay Act

Payroll records—3 years.

Executive Order 11246

Affirmative action plans—2 years.

Fair and Accurate Credit Transactions Act (FACTA)

Documents containing information from credit reports—Must be shredded on completion of action/determination.

Fair Labor Standards Act (FLSA)

Payroll records—3 years.

Family and Medical Leave Act (FMLA)

Employment records, payroll records, leave records, employee notices, and so forth—3 years.

Federal Insurance Contribution Act (FICA) Federal Unemployment Tax Act (FUTA) Internal Revenue Code (Federal Income Tax Withholding)

Employment and payroll records—4 years from the date the tax is due or the tax is paid, whichever is later.

Immigration Reform and Control Act

Form I-9—3 years from date of hire or 1 year from date of termination, whichever is later.

Occupational Safety and Health Act (OSHA)

Logs and reports—5 years.

 

Medical records and records of exposure to toxic substances for each employee—30 years from the date the employee leaves employment with the organization.

Rehabilitation Act of 1973

Employment and payroll records—2 years.

 

A copy of the current affirmative action plan developed under the act must be kept in the files.

Uniform Guidelines on Employee Selection Procedures (UGESP)

Recruitment and selection documents, including the analysis of adverse selection based on these documents—2 years after the adverse impact is eliminated where analysis indicated adverse impact.

Vietnam Era Readjustment Assistance Act

Employment and payroll records—2 years

 

A copy of the current affirmative action plan must be kept in the file.

 

A copy of the current VETS-100 must be retained.

Pearson IT Certification Promotional Mailings & Special Offers

I would like to receive exclusive offers and hear about products from Pearson IT Certification and its family of brands. I can unsubscribe at any time.

Overview


Pearson Education, Inc., 221 River Street, Hoboken, New Jersey 07030, (Pearson) presents this site to provide information about Pearson IT Certification products and services that can be purchased through this site.

This privacy notice provides an overview of our commitment to privacy and describes how we collect, protect, use and share personal information collected through this site. Please note that other Pearson websites and online products and services have their own separate privacy policies.

Collection and Use of Information


To conduct business and deliver products and services, Pearson collects and uses personal information in several ways in connection with this site, including:

Questions and Inquiries

For inquiries and questions, we collect the inquiry or question, together with name, contact details (email address, phone number and mailing address) and any other additional information voluntarily submitted to us through a Contact Us form or an email. We use this information to address the inquiry and respond to the question.

Online Store

For orders and purchases placed through our online store on this site, we collect order details, name, institution name and address (if applicable), email address, phone number, shipping and billing addresses, credit/debit card information, shipping options and any instructions. We use this information to complete transactions, fulfill orders, communicate with individuals placing orders or visiting the online store, and for related purposes.

Surveys

Pearson may offer opportunities to provide feedback or participate in surveys, including surveys evaluating Pearson products, services or sites. Participation is voluntary. Pearson collects information requested in the survey questions and uses the information to evaluate, support, maintain and improve products, services or sites; develop new products and services; conduct educational research; and for other purposes specified in the survey.

Contests and Drawings

Occasionally, we may sponsor a contest or drawing. Participation is optional. Pearson collects name, contact information and other information specified on the entry form for the contest or drawing to conduct the contest or drawing. Pearson may collect additional personal information from the winners of a contest or drawing in order to award the prize and for tax reporting purposes, as required by law.

Newsletters

If you have elected to receive email newsletters or promotional mailings and special offers but want to unsubscribe, simply email information@informit.com.

Service Announcements

On rare occasions it is necessary to send out a strictly service related announcement. For instance, if our service is temporarily suspended for maintenance we might send users an email. Generally, users may not opt-out of these communications, though they can deactivate their account information. However, these communications are not promotional in nature.

Customer Service

We communicate with users on a regular basis to provide requested services and in regard to issues relating to their account we reply via email or phone in accordance with the users' wishes when a user submits their information through our Contact Us form.

Other Collection and Use of Information


Application and System Logs

Pearson automatically collects log data to help ensure the delivery, availability and security of this site. Log data may include technical information about how a user or visitor connected to this site, such as browser type, type of computer/device, operating system, internet service provider and IP address. We use this information for support purposes and to monitor the health of the site, identify problems, improve service, detect unauthorized access and fraudulent activity, prevent and respond to security incidents and appropriately scale computing resources.

Web Analytics

Pearson may use third party web trend analytical services, including Google Analytics, to collect visitor information, such as IP addresses, browser types, referring pages, pages visited and time spent on a particular site. While these analytical services collect and report information on an anonymous basis, they may use cookies to gather web trend information. The information gathered may enable Pearson (but not the third party web trend services) to link information with application and system log data. Pearson uses this information for system administration and to identify problems, improve service, detect unauthorized access and fraudulent activity, prevent and respond to security incidents, appropriately scale computing resources and otherwise support and deliver this site and its services.

Cookies and Related Technologies

This site uses cookies and similar technologies to personalize content, measure traffic patterns, control security, track use and access of information on this site, and provide interest-based messages and advertising. Users can manage and block the use of cookies through their browser. Disabling or blocking certain cookies may limit the functionality of this site.

Do Not Track

This site currently does not respond to Do Not Track signals.

Security


Pearson uses appropriate physical, administrative and technical security measures to protect personal information from unauthorized access, use and disclosure.

Children


This site is not directed to children under the age of 13.

Marketing


Pearson may send or direct marketing communications to users, provided that

  • Pearson will not use personal information collected or processed as a K-12 school service provider for the purpose of directed or targeted advertising.
  • Such marketing is consistent with applicable law and Pearson's legal obligations.
  • Pearson will not knowingly direct or send marketing communications to an individual who has expressed a preference not to receive marketing.
  • Where required by applicable law, express or implied consent to marketing exists and has not been withdrawn.

Pearson may provide personal information to a third party service provider on a restricted basis to provide marketing solely on behalf of Pearson or an affiliate or customer for whom Pearson is a service provider. Marketing preferences may be changed at any time.

Correcting/Updating Personal Information


If a user's personally identifiable information changes (such as your postal address or email address), we provide a way to correct or update that user's personal data provided to us. This can be done on the Account page. If a user no longer desires our service and desires to delete his or her account, please contact us at customer-service@informit.com and we will process the deletion of a user's account.

Choice/Opt-out


Users can always make an informed choice as to whether they should proceed with certain services offered by Adobe Press. If you choose to remove yourself from our mailing list(s) simply visit the following page and uncheck any communication you no longer want to receive: www.pearsonitcertification.com/u.aspx.

Sale of Personal Information


Pearson does not rent or sell personal information in exchange for any payment of money.

While Pearson does not sell personal information, as defined in Nevada law, Nevada residents may email a request for no sale of their personal information to NevadaDesignatedRequest@pearson.com.

Supplemental Privacy Statement for California Residents


California residents should read our Supplemental privacy statement for California residents in conjunction with this Privacy Notice. The Supplemental privacy statement for California residents explains Pearson's commitment to comply with California law and applies to personal information of California residents collected in connection with this site and the Services.

Sharing and Disclosure


Pearson may disclose personal information, as follows:

  • As required by law.
  • With the consent of the individual (or their parent, if the individual is a minor)
  • In response to a subpoena, court order or legal process, to the extent permitted or required by law
  • To protect the security and safety of individuals, data, assets and systems, consistent with applicable law
  • In connection the sale, joint venture or other transfer of some or all of its company or assets, subject to the provisions of this Privacy Notice
  • To investigate or address actual or suspected fraud or other illegal activities
  • To exercise its legal rights, including enforcement of the Terms of Use for this site or another contract
  • To affiliated Pearson companies and other companies and organizations who perform work for Pearson and are obligated to protect the privacy of personal information consistent with this Privacy Notice
  • To a school, organization, company or government agency, where Pearson collects or processes the personal information in a school setting or on behalf of such organization, company or government agency.

Links


This web site contains links to other sites. Please be aware that we are not responsible for the privacy practices of such other sites. We encourage our users to be aware when they leave our site and to read the privacy statements of each and every web site that collects Personal Information. This privacy statement applies solely to information collected by this web site.

Requests and Contact


Please contact us about this Privacy Notice or if you have any requests or questions relating to the privacy of your personal information.

Changes to this Privacy Notice


We may revise this Privacy Notice through an updated posting. We will identify the effective date of the revision in the posting. Often, updates are made to provide greater clarity or to comply with changes in regulatory requirements. If the updates involve material changes to the collection, protection, use or disclosure of Personal Information, Pearson will provide notice of the change through a conspicuous notice on this site or other appropriate way. Continued use of the site after the effective date of a posted revision evidences acceptance. Please contact us if you have questions or concerns about the Privacy Notice or any objection to any revisions.

Last Update: November 17, 2020