(1) All records of the Department shall be retained pursuant to the schedule approved by the State Records Commission which is adopted by reference in Rule 480-1-1-.03.
- (a) Records shall be retained for a longer period of time if so provided by other applicable law or court order.
- (b) The Director of Industrial Relations may prescribe a longer retention period than required by law, rule or court order.
- (2) The Director of Industrial Relations shall prescribe the manner, form and location of retention.
(3) For convenient reference, the following is a list of major records of the Department and their retention schedules.
- 1. Workmen's Compensation Injury and Settlement Reports: current plus 12 years.
- 2. Labor Market Newsletters: current plus 4 years.
- 3. Personnel folders (individual) - terminated: permanent.
- 4. Legal decisions: permanent.
- 5. Legal briefs: permanent.
- 6. Circuit court case dispositions: permanent.
- 7. Legal opinions - informal: permanent.
- 8. Child labor issuing officer's correspondence (permits): current plus 5 years.
- 9. Child labor notice of violation: current plus 5 years.
- 10. Child labor permits - minors under 18 years of age: discard at age 18.
- 11. Child labor case files: permanent.
- 12. Board of Appeals trial dockets - unemployment compensation appeals: permanent.
- 13. Board of Appeals minutes: permanent.
- 14. Board of Appeals decisions: permanent.
- 15. Leases: 5 years after termination.
- 16. Superseded material from U. S. Department of Labor directives: current plus 2 years.
- 17. Unemployment compensation individual claim files to include state U.C., UCFE, UCX, Extended Benefit, TRA, DUA, and any other Federal claim, consisting of new and additional claims; copies of wage and separation information; determination; correspondence and other related claims documents: 5 years after the benefit year ends, or 3 months after final action, including appeals, has been taken on a claim, whichever is later.
- 18. All unemployment compensation continued claims consisting of pay order cards; claims for partial benefits, and interstate claims: 5 years after the benefit year ends or 3 months after final action has been taken whichever is later.
- 19. Unemployment compensation benefit checks and check registers; checks drawn against the unemployment compensation clearing account: 5 years after the date of their issuance, or 3 months after they have been audited by the State Examiner of Public Accounts, whichever is later. Related vouchers: 2 years after the date of their issuance, 3 months after they have been audited by the State Examiner of Public Accounts, whichever is later.
- 20. Employer Wage Reports: 5 years after the quarter for which the report is filed.
- 21. Employer Contribution Report: debit memoranda, credit memoranda and correspondence; tax refund checks and related vouchers; notices of benefit wage charges; benefit wage credits and denials of credits for rehire; Data Processing Employer History File and Daily Distribution Registers: 8 years after the year to which each relates.
- 22. Copies of tax rate notices: 8 years after the end of the tax year to which the rate applies.
- 23. Status reports of employers determined not subject to the unemployment compensation law and related correspondence after filming: Between 2 and 5 years after the status determination has been made with the approval of the Unemployment Compensation Director.
- 24. Proofs of debits; certificates of liens; executions, notices of bankruptcies, and powers of attorneys: Indefinitely with times of destruction to be determined by the Unemployment Compensation Director.
- 25. Records relating to overpayments, administrative penalties and criminal prosecution which have been incorporated into the individual claim files: 1 year after final action has been taken, including satisfaction of the overpayment, with the approval of the Director, Unemployment Compensation Agency.
- 26. Unemployment compensation appeals records consisting of notices of appeals; copies of subpoenas; notices and transcripts of hearings; decisions and related correspondence: 1 year after final action has been had on the appeal.
Author: W. F. Willett, Jr.
Statutory Authority: Code of Ala. 1975, §25-2-8.
History: Effective: September 30, 1982