- When can a contractor transfer original paper documents to an electronic recordkeeping system?
- If a contractor transfers its personnel paper records to an electronic recordkeeping system, what records must be furnish to OFCCP when requested?
- When can a contractor dispose of a paper original record that has been converted to an electronic record?
- Do the record retention requirements that apply to paper records also apply to records maintained electronically?
- What characteristics must an electronic recordkeeping system have in order to satisfy OFCCP’s record retention requirements?
- What are some examples of good records management practices?
- Do the recordkeeping requirements that apply to paper records also apply to records maintained electronically?
- If a contractor transfers its personnel paper records to an electronic recordkeeping system, what records must be furnished to OFCCP when requested?
- What are some examples of good electronic recordkeeping practices that contractors should consider?
- When can a contractor dispose of a paper original record that has been converted to an electronic record?
- What characteristics must an electronic recordkeeping system have in order to satisfy OFCCP's record retention requirements?
- May a contractor submit to OFCCP materials in the same format that job seekers provided to the contractor if the records were provided through an internet address, link, or URL?
- If a job seeker submits an application or resume containing an internet link to material demonstrating his other qualifications (e.g., article or book), does the contractor need to retain copies of the documents, or will retaining the URL link suffice?
When can a contractor transfer original paper documents to an electronic recordkeeping system?
OFCCP regulations and policy allow for the transfer of original paper records to an electronic recordkeeping system provided:
- The medium used accurately reproduces the paper original records
- The electronic records constitute a duplicate or substitute copy of the original paper records under federal law; and
- The electronic records can be converted back into legible and readable paper copies and provided to OFCCP upon request.
If a contractor transfers its personnel paper records to an electronic recordkeeping system, what records must be furnish to OFCCP when requested?
OFCCP regulations require contractors to permit OFCCP access to its records during an OFCCP compliance evaluation or complaint investigation. These requirements apply to both paper and electronic records. See 41 CFR 60-1.43, 41 CFR 60-300.81, and 41 CFR 60-741.81. Thus, all of the contractor’s electronic records must be made readily available for review, and must be readable and capable of being copied by OFCCP.
When can a contractor dispose of a paper original record that has been converted to an electronic record?
In general, the original paper record may be disposed of any time after it has been transferred to an electronic recordkeeping system. However, the original paper record may not be disposed of if the electronic copy would not accurately reproduce the original record.
Do the record retention requirements that apply to paper records also apply to records maintained electronically?
Yes. If records are maintained electronically, contractors must take care to ensure that the electronic records comply with the record retention and access regulations. The OFCCP regulations at 41 CFR 60-1.12, 41 CFR 60-300.80 and 41 CFR 60-741.80 require that contractors preserve complete and accurate personnel records. The regulations at 41 CFR 60-1.43, 41 CFR 60-300.81 and 41 CFR 60-741.81 also require that contractors permit OFCCP access to their records, including computerized records, for inspection and copying.
What characteristics must an electronic recordkeeping system have in order to satisfy OFCCP’s record retention requirements?
To satisfy the OFCCP requirements, contractors must ensure that their electronic recordkeeping system:
- Has reasonable controls to ensure the integrity, accuracy, authenticity, and reliability of the records kept in electronic format;
- Is capable of retaining, preserving, retrieving, and reproducing the electronic records;
- Is able to readily convert paper originals stored in electronic format back into legible and readable paper copies; and
- Has adequate records management practices in place.
What are some examples of good records management practices?
- Labeling electronically maintained records
- Providing secure storage of electronic data
- Creating back-up electronic file copies
- Observing quality assurance for electronic recordkeeping through regular evaluations of the system
- Retaining paper copies of records that cannot be accurately or completely transferred to the electronic recordkeeping system
Do the recordkeeping requirements that apply to paper records also apply to records maintained electronically?
Yes. If records are maintained electronically, contractors must ensure that the electronic records are maintained in compliance with the recordkeeping regulations that apply to all records. Specifically, OFCCP regulations at 41 CFR 60-1.12, 41 CFR 60-300.80, and 41 CFR 60-741.80 require that contractors preserve complete and accurate personnel or employment records. Additionally, the regulations at 41 CFR 60-1.43, 41 CFR 60-300.81 and 41 CFR 60-741.81 require that contractors permit OFCCP access to all relevant records for inspection and copying.
If a contractor transfers its personnel paper records to an electronic recordkeeping system, what records must be furnished to OFCCP when requested?
OFCCP regulations require contractors to permit OFCCP access to its records during an OFCCP compliance evaluation or complaint investigation. These requirements apply to both paper and electronic records. See 41 CFR 60-1.43, 41 CFR 60-300.81, and 41 CFR 60-741.81. Thus, all of the contractor’s electronic records must be made readily available for review, and must be readable and capable of being copied by OFCCP.
What are some examples of good electronic recordkeeping practices that contractors should consider?
OFCCP will evaluate contractors’ recordkeeping, electronic or otherwise, for compliance with OFCCP’s recordkeeping regulations on a case-by-case basis. The National Archives and Records Administration (NARA) developed a self-evaluation guide for agencies to use in determining the adequacy of their records management systems, which includes a section on electronic records (www.archives.gov/files/records-mgmt/publications/records-and-information-management-self-evaluation-guide.pdf). Contractors may find NARA’s guide to be a helpful source for good recordkeeping practices, which include the following:
- The records stored in electronic systems should be readily identifiable.
- Electronic recordkeeping systems that maintain the official copy of text documents on electronic media should provide indexing or text search capabilities.
- Electronic recordkeeping systems should require identification codes or passwords to control access and ensure integrity of documents.
- Electronic records should be regularly backed up to safeguard against loss of information due to equipment malfunction or human error.
- The use of diskettes for the exclusive long-term storage of records should be avoided.
- Complete and up-to-date technical documentation for electronic recordkeeping systems should be maintained.
- All software and hardware required to properly read electronic records should be maintained throughout the life of the records.
When can a contractor dispose of a paper original record that has been converted to an electronic record?
In general, the original paper record may be disposed of any time after it has been transferred to an electronic recordkeeping system. However, the original paper record may not be disposed of if the electronic copy would not accurately reproduce the original record.
What characteristics must an electronic recordkeeping system have in order to satisfy OFCCP's record retention requirements?
To satisfy the OFCCP record retention requirements, contractors must ensure that their electronic recordkeeping system:
- Has reasonable controls to ensure the integrity, accuracy, authenticity, and reliability of the records kept in electronic format;
- Is capable of retaining, preserving, retrieving, and reproducing the electronic records;
- Is able to readily convert paper originals stored in electronic format back into legible and readable paper copies; and
- Has adequate records management practices in place.
May a contractor submit to OFCCP materials in the same format that job seekers provided to the contractor if the records were provided through an internet address, link, or URL?
A contractor may provide OFCCP materials furnished by job seekers in the format submitted by job seekers. However, contractors must ensure that any internet links provided to OFCCP are accurate, up-to-date and operational, and that the materials linked to are readily identifiable, available for review, and capable of being copied. If OFCCP is unable to access, inspect or duplicate a contractor’s records for any reason, e.g., the server housing the records has been disabled, the link has moved or changed, or special software is needed to download and review the records, furnishing internet links will not satisfy the contractor’s records access requirements and OFCCP will request the contractor to provide other means of access to the requested records. At all times, the contractor must provide effective access to OFCCP for inspection and duplication of requested records. As indicated in the previous answer, in order to ensure compliance, OFCCP recommends that contractors maintain a back-up paper or electronic copy of any record stored on the internet. In addition, if a contractor’s records are available in multiple formats, OFCCP retains discretion to require those records be produced in one or more of the available formats.
If a job seeker submits an application or resume containing an internet link to material demonstrating his other qualifications (e.g., article or book), does the contractor need to retain copies of the documents, or will retaining the URL link suffice?
The contractor may retain documents submitted by a job seeker to demonstrate his or her qualifications in the format provided by the job seeker. For example, if an applicant provides the contractor with an internet link to a third–party website containing documents reviewed electronically by the contractor during the selection process, it is sufficient for the contractor to retain the application containing the internet link to the documents reviewed. However, a contractor’s obligation to ensure that records it retains electronically are readily available for review, and are readable and capable of being copied by OFCCP, is equally applicable to these internet records. Therefore, in order to ensure compliance, OFCCP recommends that contractors maintain a back-up paper or electronic copy of any record stored on the internet.
The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.
Last updated on May 14, 2008