RETENTION NOTES: a) FEDERAL RETENTION REQUIREMENTS - Federal retention periods for personnel and payroll records arise principally from the administration of the Civil Rights Act of 1964, Title VII; the Age Discrimination and Employment Act of 1967; the Equal Pay Act; the Fair Labor Standards Act; the Federal Insurance Contribution Act; and the Federal Unemployment Act. These acts are administered by various federal agencies or departments of agencies and, because retention periods are set to enable each agency to carry out its particular oversight authority, different retention periods are often established for the same record. The longest applicable federal retention period is cited as authority for the retention period indicated. A federal regulation is not cited if a state law or regulation requires a longer retention period. A federal retention period is also not cited if a Texas statute of limitations makes a longer retention period advisable. For example, the federal retention requirement for employment contracts [see item number 1050-15(a)] is given as 3 years from the last effective date of the contract in 26 CFR 516.5, but suits in Texas may be brought by either party to such a a contract within 4 years of the occurrence of an alleged breach; therefore, a retention period of 4 years from the last effective date of the contract is set in this schedule. All retention periods in this part apply, by authority of this schedule to all local governments, although some of them may be otherwise exempt from the federal requirement cited.

b) PERSONNEL FILES - The individual employee personnel file is not scheduled as a unit in this section; documents normally placed in such files are scheduled separately. Please note, however, that some information must be retained permanently [see item numbers 1050-12, 1050-52(b), and 1050-54(a)] on each employee.

c) TERMINATED EMPLOYEES - Notwithstanding any retention periods in this part, all personnel records existing on the date of termination of an involuntarily terminated employee must be retained for 2 years from the date of termination [29 CFR 1602.31, 1602.40, and 1602.49].

d) JTPA AND CETA EMPLOYEES - Any records maintained on applicants for or holders of positions paid in whole or in part from Comprehensive Employees' Training Act (CETA) funds or affirmative action apprenticeship program funds administered by the U.S. Department of Labor must be retained for 5 years from the date of enrollment in this program. [20 CFR 676.35(b) and 29 CFR 30.8(e)]. This 5 year retention period is extended by authority of this schedule to comparable records on applicants for or holders of positions paid in whole or in part from Job Training Partnership Act (JTPA) funds.

e) DEFINITION OF EMPLOYEE - For the purposes of this part, the term "employee" also includes elected or appointed officials of a local government who are paid wages or a salary from any funds of the local government.

1050-02 APTITUDE AND SKILLS TEST RECORDS - Records relating to aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer, including civil service examinations.

a) Validation studies. RETENTION: Life of test + 2 years

b) Tests. RETENTION: US + 2 years [29 CFR 1602.31, 1602.40, and 1602.49]

RETENTION NOTE: One copy of each different test (different in terms of either questions or administration procedures) should be retained for the period indicated.

c) Test papers of persons taking tests. RETENTION: 2 years [29 CFR 1602.31, 1602.40, and 1602.49]

d) Records, other than those noted in (a) - (c), relating to the planning and administration of tests. RETENTION: 3 years

1050-03 AWARDS AND COMMENDATIONS. RETENTION: Date of separation + 5 years

1050-04 CERTIFICATES AND LICENSES - Certificates, licenses, or permits required of employees to qualify for or remain eligible to hold a position requiring certification or licensing. RETENTION: US or separation of employee + 5 years

1050-08 EMPLOYEE PENSION AND BENEFITS RECORDS [for records of pension and deferred compensation deductions from payroll see 1050-52(b).]

a) Employee benefit plans such as pension; life, health, and disability insurance; seniority and merit systems; and deferred compensation plans, including amendments. RETENTION: Termination of plan + 1 year, [29 CFR 1627.3(b)(2)]

RETENTION NOTE: If the plan or system is not in writing, a memorandum fully outlining the terms of the plan or system and the manner in which it has been communicated to affected employees, together with notations relating to any changes or revisions, must be retained for the same period as written plans.

b) Enrollment forms providing personal identifying data, beneficiary information, option selection, and similar information.

1) If the official record is maintained by the retirement system of which the local government is a member or by the service provider. RETENTION: 1 year

2) If the official record is maintained by the local government.

A) Pension and deferred compensation. RETENTION: Permanent

B) Life, health, and disability insurance. RETENTION:  Termination of coverage + 4 years

c) Annual reports from a pension system or fund. RETENTION: Permanent

*1050-09 EMPLOYEE RECOGNITION RECORDS - Award committee reports, selection criteria, nominations, and similar administrative records of employee award or incentive programs. RETENTION: 2 years

1050-10 EMPLOYEE SECURITY RECORDS.

a) Records created to control and monitor the issuance of keys, identification cards, passes, or similar instruments of identification and access. RETENTION: US, date of expiration,or date of separation + 2 years, as applicable

b) Records relating to the issuance of parking permits. RETENTION: 1 year (Exempt from destruction request requirement).

*1050-11 EMPLOYEE SELECTION RECORDS - Notes of interviews with candidates; audio and videotapes of job interviews; applicant rosters; eligibility lists; test ranking sheets; justification statements for violating eligibility or ranking sequence; background, criminal history, and previous injury checks; polygraph examination results; offers of employment letters; and similar records documenting the filing of a vacant position. RETENTION: 2 years from the creation (or receipt) of the record or the personnel action involved, whichever later. [By regulation - 29 CFR 1602.31, 1602.40, and 1602.49]

1050-12 EMPLOYEE SERVICE RECORD - Summary employment history record for each employee maintained on one or more forms, containing the following minimum information: name; sex; date of birth; social security number; positions held with dates of hire, promotion, transfer, or demotion; dates of leaves of absence or suspension that affect computation of length of service; wage or salary rate for each position held, including step or merit increases within grades; and date of separation. [For other information on employees that must also be retained permanently either as part of this record or in another form, see item numbers 1050-52(b) and 1050-54(a)]. RETENTION:  Permanent

RETENTION NOTE: a) This schedule does not require the creation of an employee service record of the type described, but the creation of the record is strongly recommended to allow frequent disposal of documents from which information has been summarized. If an employee service record is not maintained, documents (e.g., employment applications, personnel action forms) containing the prescribed information must be retained permanently. More than one document providing the same element of required information need not be retained.

b) The Teacher Service Record (Texas Education Agency Form FIN-115 or its equivalent), containing information required by statue or regulation, shall be considered an employee service record of the type described and must be retained permanently.

c) Salary or wage data on an employee service record may be indicated by grade and step numbers if all corresponding wage rate tables (see item number 1050-59) applicable to a person's employment history are retained permanently.

1050-13 EMPLOYMENT ADVERTISEMENTS OR ANNOUNCEMENTS - Advertisements or postings related to job openings, promotions, training programs, or overtime opportunities, including job orders submitted to employment agencies. RETENTION: 2 years [29 CFR 1602.31, 1602.40, and 1602.49]

1050-14 EMPLOYMENT APPLICATIONS - Applications, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions (both hired and not hired) or for promotion, transfer, or training opportunity (both selected and not selected) is required on the application form, by application procedures, or in the employment advertisement. RETENTION: 2 years from the creation (or receipt) of the record or the personnel action involved, whichever later. [29 CFR 1602.31, 1602.40, and 1602.49]

a) Samples of publications, artwork, or other products of prior achievement not returned to applicants. RETENTION: 1 year (Exempt from destruction request requirement)

b) Transcripts of persons hired if state or federal law or regulation mandates a level of education needed to qualify for employment (e.g., professional and paraprofessional personnel). See also item number 1050-28(a). RETENTION: Date of separation + 5 years.

RETENTION NOTE: If applicant screening or hiring decisions are based on resumes, with only successful or interviewed candidates completing employment applications, then resumes of persons not hired must be kept for the same period as employment applications. If resumes are supplemental to employment applications forms, they need only be retained as long as administratively valuable.

1050-15 EMPLOYMENT CONTRACT/COLLECTIVE BARGAINING RECORDS.

a) Contracts and agreements, including collective bargaining agreements, between a local government and an employee or a group of employees, including written acceptances of such contracts. RETENTION: Last effective date of contract + 4 years

b) Records relating to the negotiation of collective bargaining agreements or similar group contracts, including reports; correspondence; mediation or arbitration agreements; the proceedings, findings, and awards of arbitration boards; and similar records. RETENTION: Last effective date of contract + 4 years or, if no agreement or contract results, 4 years.

1050-16 EQUAL EMPLOYMENT OPPORTUNITY RECORDS AND REPORTS.

a) Reports, analyses, or statistical data compiled from source documentation used to complete EEO reports. RETENTION: 3 years [29 CFR 1602.30, 1602.39, and 1602.48]

b) EEO-1, EEO-4, EEO-5, and EEO-6 reports. RETENTION: 3 years [29 CFR 1602.32, 1602.41, and 1602.50]

c) Case files relating to discrimination complaints, including complaints, legal and investigative documents, exhibits, related correspondence, withdrawal notices, and decisions or judgments. RETENTION: Resolution of case + 3 years

1050-17 EQUAL PAY RECORDS - Reports, studies, aggregated or summarized data, and similar documentation compiled to monitor and demonstrate compliance with the Equal Pay Act. RETENTION: 2 years. [29 CFR 1620.32(c)]

1050-18 FIDELITY BONDS. RETENTION: Effective life of bond + 5 years

1050-20 GRIEVANCE RECORDS - Records relating to the review of employee grievances against personnel policies, working conditions, etc. RETENTION: 2 years

RETENTION NOTE: Do not confuse these records with those involving EEO complaints [see item number 1050-16].

1050-21 JOB EVALUATIONS (PERFORMANCE APPRAISALS).

a) Evaluations of public school teachers, subject to the career ladder system, for the 1983-84 school year and subsequent years only. RETENTION:  Permanent

b) Evaluations of all other local government employees. RETENTION: US + 2 years. [29 CFR 1620.32(c)]

1050-23 OATHS OF OFFICE. RETENTION: US + 5 years; or 5 years after leaving position for which oath required, whichever applicable.

*1050-24 PERSONNEL ACTION OR INFORMATION NOTICES - Documents used by personnel officers to create or change information in the personnel records of individual employees concerning hiring, termination, transfer, pay grade, position or job title, leaves of absence, name changes, and similar personnel actions except those noted elsewhere in this part. RETENTION: 2 years. [By regulation - 29 CFR 1602.31, 1602.40, and 1602.49]

*1050-25 PERSONNEL STUDIES AND SURVEYS - Studies, statistical reports, surveys, cost analyses and projections, and similar records, except those noted elsewhere in this part, on any aspect of the personnel management or administration of a local government. RETENTION: 3 years

Retention Note: Review before disposal; some documents may merit permanent retention for historical reasons.

1050-26 POSITION DESCRIPTION, CLASSIFICATION, AND STAFF MONITORING RECORDS.

a) Job descriptions, including any associated task or skill statements. RETENTION: US or position abolished + 4 years. [40 TAC 301.6(i)]

b) Documentation concerning the development and analysis of job descriptions and classification systems, including survey, review and audit reports; classification standards and guidelines; selection criteria, determination of classification appeals, etc., as follows:

1) Documents linked to a specific position. RETENTION: Dispose with job description under (a)

2) Survey, audit, or other reports issued on a regular basis. RETENTION: US + 4 years

3) Other documentation not included in (b)(1) or (b)(2). RETENTION:  Permanent

c) Position staffing and vacancy reports. RETENTION: US (Exempt from destruction request requirement)

d) Personnel requisitions. RETENTION: 2 years

1050-28 TRAINING AND EDUCATIONAL ATTAINMENT RECORDS (for other records relating to aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer see item number 1050-02).

a) Certificates of completion, transcripts, test scores, or similar records documenting the training, testing, or continuing education achievements of an employee if such training or testing is required for the position held or if the educational or skill attainment or enhancement affects or could affect career advancement in the local government or, in the case of licensed or certified personnel (e.g., school professionals, firefighters, police officers, health care professionals), in other governments or the private sector. RETENTION: Date of separation + 5 years

RETENTION NOTE: If information concerning training or testing (e.g., test scores) is transferred to an Employee Service Record (item number 1050-12), the document from which the information is taken need be retained for only 2 years.

b) Records documenting the planning, development, implementation, administration and evaluation of in-house training programs. RETENTION: 3 years

c) Training manuals, syllabuses, course outlines, and similar training aids used in in-house programs. RETENTION: US. (Exempt from destruction request requirement)

d) Skill or achievement measurement records of a training group or class as a whole (e.g., rosters with scores). RETENTION: 2 years.

RETENTION NOTE: If the only information documenting the in-house training of an employee of the types described in (a) is contained in the measurement records of a group or class as a whole, the group records must be retained for the date of separation + 5 years for all employees included in the group records.

1050-29 UNEMPLOYMENT COMPENSATION CLAIM FILES - Unemployment claims, pertinent correspondence, and similar records documenting unemployment compensation cases. RETENTION: 5 years

1050-30 VERIFICATION OF EMPLOYMENT ELIGIBILITY (INS Form I-9). RETENTION: 3 years from hire or 1 year after separation, whichever later. [8 CFR 474a.2(b)(2)(i)(A) and (c)(2)]

RETENTION NOTE: If a former employee is rehired and an INS Form I-9 is still on file for the employee, the 3 year retention period dates from date of first hire.

*1050-31 WORK SCHEDULES - Work, duty, shift, crew, or case schedules, rosters, or assignments except work schedules includable in item number 1050-56. RETENTION: 1 year (Exempt from destruction request requirement)

*1050-32 WORKERS COMPENSATION CLAIM FILES - Initial and supplemental reports of accidents to or job-related illnesses of employees and documentation relating to any subsequent filing of claims by employees. RETENTION: 7 years [29 CFR 1904.06 for accident and illness reports]