Record Retention and Destruction Considerations Beth Coonan BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA 50309-2510 Telephone: 515-242-2408.

Slides:

Advertisements

Similar presentations

REFINING YOUR DISCOVERY TACTICS: A PLAINTIFF PERSPECTIVE Amanda A. Farahany Barrett & Farahany, LLP 1401 Peachtree Street, Suite 101 Atlanta, GA

Advertisements

Managing the Risks of Wrongful Discharge Claims Raymond L. Hogge, Jr. HOGGE LAW Attorneys and Counselors at Law 500 E. Plume Street, Suite 800 Norfolk,

1 WHAT CAN I DO ABOUT OPPOSING COUNSEL TALKING TO OUR EMPLOYEES? James H. Gilliam BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

INTERVIEW DO’S AND DON’T’S ANN HOLDEN KENDELL BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

1 Avoiding Ethical Pitfalls in the Deposition Process Brant D. Kahler BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

1 LATEST DEVELOPMENTS FROM THE NLRB Brenton D. Soderstrum BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

NEW FEE DISCLOSURE RULES FOR RETIREMENT PLANS – WHAT MUST YOU PROVIDE TO PARTICIPANTS? Alice E. Helle BrownWinick 666 Grand Avenue, Suite 2000 Des Moines,

The Legal Series: Employment Law I. Objectives Upon the completion of training, you will be able to: Understand the implications of Title VI Know what.

What records are you required to keep, and for how long? More employers are wanting to go paperless. Is this possible, practical and “budgetable”?

NEW SEC RULES ALLOW FOR GENERAL SOLICITATION – WHAT YOU NEED TO KNOW BEFORE YOU RAISE CAPITAL Joe Leo BrownWinick 666 Grand Avenue, Suite 2000 Des Moines,

Completing the Audit Engagement

Personal Liability Pitfalls: Tips for Officers and Directors Haley R. Van Loon BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Employee Handbook / Personnel Policies Doug Scott, Industrial Steel Treating Co.

20 HR Tips Michael M. Galloway and Susan M. Bernau

Brenton D. Soderstrum BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

1 ENFORCING SOCIAL MEDIA AND COMPUTER USAGE POLICIES Haley R. Van Loon BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Annual Review of Employment Handbooks James H. Gilliam BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

Social Media & The Workplace: recent NLRB developments Megan Erickson Moritz BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Chapter 17 Completing the Engagement McGraw-Hill/Irwin ©2008 The McGraw-Hill Companies, All Rights Reserved.

Conflicts and the Duty to Supervise for In-House Counsel Brian McCormac BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

© 2014 Whitfield & Eddy, P.L.C. All Rights Reserved In Boardrooms & Courtrooms Since 1928 Step – by – Step Practices to Avoid Employment.

ARE YOUR AT-WILL AND SOCIAL MEDIA POLICIES COMPLIANT?: LATEST DEVELOPMENTS FROM THE NLRB James H. Gilliam BrownWinick 666 Grand Avenue, Suite 2000 Des.

Uncle Sam Needs More Cash – And This Means From You! Recent Tax Law Changes Affecting You and Your Business Chris Nuss 666 Grand Ave, Suite 2000 Des Moines,

What Will My Records Retention Schedule Look Like ?

E-Verify and Immigration-Related Employment Discrimination Beth Coonan BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

EMPLOYMENT RECORD RETENTION REQUIREMENTS Colorado does not have any laws requiring the preservation of employee personnel files. However, there are several.

Best Practices - How to Self-Audit Your HR Files Eric S. Hayes Brown & Carlson, P.A.

Inspecting A Hedge Fund 2010 NASAA IA Training. Preparing for the Inspection  Getting over your fears  Treat as any other advisor  Preparation  Obtain.

Recordkeeping: Strong Defense Against Employee Complaints and Inquiring Regulators An HRWebAdvisor Webinar By Steven A. Meyerowitz, Esq.

Severance Agreements: Practical Considerations to Minimize Business Disruption Elizabeth A. Coonan Ann Holden Kendell BrownWinick 666 Grand Avenue, Suite.

Legislative Developments from the 2014 Iowa Legislative Session Marc Beltrame BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Supreme Court and Eighth Circuit Update 2012 Jonathan Gallagher BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Starting From The Ground Up! Lawyer Up. Chris Sackett Amy Johnson BrownWinick Law Firm

1 The Bermuda Triangle Elizabeth A. Coonan Ann Holden Kendell

CURRENT ISSUES IN HEALTHCARE REFORM Alice Helle BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

Electronic Records Management: What Management Needs to Know May 2009.

James H. Gilliam BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

EMPLOYEE TERMINATIONS Becky S. Knutson Davis Brown Law Firm.

DOCUMENT RETENTION ISSUES FOR IN- HOUSE COUNSEL Rebecca A. Brommel BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

James H. Gilliam BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

Job Analysis. I. Nature of Job Analysis Work activities and behaviors Interactions with others Performance standards Machines and equipment used Working.

Executive Compensation and 409A Refressher Cynthia Boyle Lande BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

EDISCOVERY: ARE YOU PREPARED? Dennis P. Ogden Belin McCormick, P.C. 666 Walnut Street, Suite 2000 Des Moines, IA Telephone: (515) Facsimile:

Affordable Care Act – Current Issues in Healthcare Reform Alice Helle - Cynthia Boyle Lande –

Tips for Managing Intellectual Property Camille L. Urban BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

Iowa Drug Testing Law– Part Two Hugh J. Cain Hopkins & Huebner, P.C Grand Ave - Ste 111 Des Moines, IA 50312

RECORDS MANAGEMENT Office of Compliance. OBJECTIVES Four main objectives of a Records Management Program: –Increase efficiency of record keeping. –Protection.

Chapter 17 Completing the Audit Engagement McGraw-Hill/IrwinCopyright © 2012 by The McGraw-Hill Companies, Inc. All rights reserved.

Private Funding for Agribusiness and Energy Technologies Christopher R. Sackett BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

SMALL BUSINESS ISSUES Beth Coonan, Ann Kendell, Megan Moritz BrownWinick

Don’t Call My Bluff The Ethics of Negotiation James H. Gilliam BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Use: Policies to Enhance Employee Productivity Elizabeth A. Coonan BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Brenton D. Soderstrum BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

All Employee Basic Records Management Training. Training Overview 1.Training Objectives 2.Clark County RIM Program 3.Key Concepts 4.Employee Responsibilities.

1 ENFORCING SOCIAL MEDIA AND COMPUTER USAGE POLICIES Haley R. Van Loon BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Affordable Care Act – Wellness Programs Cynthia Boyle Lande BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

Fool me twice… Shame on Me Metro Toronto Convention Centre February 2, 2010.

ROUNDTABLE DISCUSSION: The Latest Pronouncements from the EEOC and Your Recruiting and Hiring Processes EMPLOYMENT LAW PRACTICE GROUP.

Document retention policy. The corporate records of Adams and Kitchener constitute vital information. Records include everything you produce as an employee,

RECORDS MANAGEMENT Office of Business Affairs. OBJECTIVES Four main objectives of a Records Management Program: –Increase efficiency of record keeping.

Frequently Asked Questions I Get Regarding OSHA Brenton D. Soderstrum BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone:

WISHA, 7/23/04 Employee Medical and Exposure Records Chapter WAC Employer Responsibilities.

The Health Insurance Portability and Accountability Act (HIPAA) requires Plumas County to train all employees in covered departments about the County’s.

Overview of MCOs in Iowa

25 TIPS FOR BUSINESS LEADERS FROM A LAWYER

Maintaining the Personnel File

Records Management Compliance Training

Step – by – Step Practices to Avoid Employment Practices Liability

Compliance Considerations for New Business Owners

Presentation transcript:

Record Retention and Destruction Considerations Beth Coonan BrownWinick 666 Grand Avenue, Suite 2000 Des Moines, IA Telephone: Facsimile:

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 Plans5 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 PlansRetain for the duration of the plan and for at least 1 year following the plan’s termination Charges of DiscriminationRetain 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 DocumentsPermanently Financial StatementsPermanently OSHA RecordsRegulations 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, s 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: Toll Free Phone Number: OFFICE LOCATIONS: 666 Grand Avenue, Suite 2000 Des Moines, Iowa Telephone: (515) Facsimile: (515) Franklin Place Pella, Iowa Telephone: (641) Facsimile: (641) 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.