Employee Records Retention - Aspen Risk …

1 1 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Records RetentionPresented by: Heffernan ConsultingHeffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | The information presented is general in nature and is intendedto present an overview of employment practices. The writtenand verbal contents of the presentation are not intended toconstitute consulting and/or advice and no client relationshipis established between the presenter and Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | : Westrick,SPHR National Certification through the Human ResourcesCertification Institute (HRCI) as a Senior Professional inHuman Resources (SPHR) since 2002 HR consultant since 2006 20+ years in HR management Former President of National Human ResourcesAssociation (NHRA) San Diego ChapterHeffernan Consulting | 1350 Carlback Ave, Ste.

2 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | s Objectives Laws requiring Retention Categories of Records What is in each category Retention timelines3 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | News Zales Delaware to pay $ million to settleallegations employees were shorted on wages by thecompany s time-rounding policy. The current class of about2,500 Zales employees allege that Zales shaves minutes offtimecards, denying employees pay and overtimecompensation in violation of California labor laws. The classaction also pursued claims that Zales instituted an unlawfulmeal and rest break policy. Tapia first filed suit in July Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Newscont.

3 A Philadelphia commercial printerhas agreed to pay a $31,350civil penalty and $273,892 in back wages and liquidateddamages to a group of temporary workers to resolve a of Labor investigation that found it shortedworkers wages in violation of the Fair Labor Standards claims went back to at least November 2013. PA An environmental cleanup companyhas agreed to pay nearly$ million to settle allegations it knowingly filed falsepayment claims with the Department of Energy and didnot comply with the internal audit requirements in thecompany's federal nuclear remediation contract. -WA4 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Newscont. Workers sued Consolidated Citrus and Ruiz HarvestinginSeptember 2010, alleging the companies violated federal andstate labor laws by failing to pay the workers minimum wageand breached numerous provisions of their work contract,including failing to provide wage and transportation benefitsand maintain payroll Records , according to court February 2016, Consolidated Citrus told the court that itwould appeal the $195,156 in damages to the class and aprevious ruling that it was jointly liable for the actions ofsubcontractor Ruiz.

4 -NYRemember: Employees keep Records , Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | for record RetentionUnemployment CodesNLRAH effernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | s in Your Files? You should have 4 places for various information on currentemployees Employee general file Employee medical file Employee legal file I-9 fileHeffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | & Hiring Job applications Resumes Job inquiries sent to you Recommendation letters Help wanted ads Testing results Opportunities for training, promotion, or OT Job openings sent to agencies or labor unions Salary info (pay rates, market factors, job classifications) Offer letters Terms and conditions of employmentHeffernan Consulting | 1350 Carlback Ave, Ste.

5 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Checks Credit reports, criminal background checks, or otherinvestigations of employees or applicants State law may prohibit an employer from making job decisionsbased on an Employee 's credit or arrest record If managers have access to these materials and use them totake action against an Employee , your company might facelegal liability8 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | & Hiring Retention 3 Years if you didn t hire that person 3 Years after termination if hired Or for the duration of any claimor litigation involving hiring practices You are not required to keepunsolicited resumes9 Heffernan Consulting | 1350 Carlback Ave, Ste.

6 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | If a record is listed in more than one category Keep it for the longest periodHeffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Personnel Files Disciplinary notices Promotions and demotions Performance evaluations Discharge, layoff, transferand recall files Training Records Testing files Job classifications Terms and conditions of employmentYears after termination10 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Records Name, Employee number, address, age, sex, occupation Individual wage Records Time and day work week begins Regularly hourly rate Hours worked (daily/weekly) Weekly OT earnings Daily/weekly straight time earnings Deductions Wages pay each pay period Payment dates and periods Piece rates Unemployment insurance records4 Years11 Heffernan Consulting | 1350 Carlback Ave, Ste.

7 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Wage Records Wages Wage rates Time cards Individual employees hours and days Employment agreements/contracts Piece rates Records explaining wage differentials between sexesand between departments for same level of job Wage rate calculation for straight time and OT Shift schedules Itemized wage statements (pay stubs)3+ YearsHeffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Benefits Data Benefit elections Beneficiary designations Eligibility determinations COBRA notices Summary plan descriptions Records required to determineretirement benefits (401K andsimilar plan)Heffernan Consulting | 1350 Carlback Ave, Ste.

8 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Applications ADA Medical Records and information must be kept in a file that'sseparate from the Employee 's regular personnel file Kept confidential Consider the information on: Health insurance applications Workers compensationinsurance claims/updates13 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Leave policies and benefits Dates and hours of leave used Records relating to any dispute regardingdesignation of leave Employee benefits relating to the leaveHeffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Claims/Investigations Workplace investigations (of a harassmentcomplaint or theft incident, for example) keptin separate confidential files or sealed legally required, but strongly recommended Personnel and payroll Records about complaining parties Personnel and payroll Records about all other employeesholding or applying for similar positionsHeffernan Consulting | 1350 Carlback Ave, Ste.

9 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | Records I-9 Forms Check that you used the current version at the time of hire Keep separate in case you re audited Child labor certificates/notices Union and Employee contracts Affirmative Action programs/documents15 Heffernan Consulting | 1350 Carlback Ave, Ste. 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 | If a record is listed in more than one category Keep it for the longest period Digitize most Records for ease of storage Keep hard copies of Records where theemployee s actual signature may belegally important ( , contracts) Create Retention policies so employees know not to cleanhouse with emails and files Attorneys recommend keeping the files for the life of thecompany!Heffernan Consulting | 1350 Carlback Ave, Ste.

10 200 | Walnut Creek, CA 94596 | Ph: 800-234-6787 |