Do’s And Don’ts OfEmployee Recordkeeping

Personnel Files Typically include:• Basic Information• Hiring Documents• Job Performance Records• Employment-Related

Agreements• Compensation

Information• Termination and Post-

Employment Documentation

Confidential File:Stored Separately and May

Include:

• Forms 1-9• Medical records and

workers’ compensation claims

• Federal and state leave documents

• Background checks• Documentation pertaining

to an employee investigation

Federal Government and Individual States RequireEmployee Recordkeeping

Compensation and BenefitsFair Labor Standard ActsFamily and Medical Leave ActEmployee Retirement Income Security ActEmployment Taxes

Employment MattersImmigration Reform and Control ActEmployee Polygraph Protection ActOccupational Safety and Health Act

Equal Opportunity in Employment

Americans with Disabilities ActCivil Rights Act of 1964 (Title VI)Genetic Information Non-discrimination ActAge Discrimination in Employment Act

State Recordkeeping Requirements• May differ or be more

stringent than federal requirements

• Employee access to personal files

Do’s and Don’t• DO establish formal recordkeeping

policy in accordance with federal and state law

• DO review all documents to determine wether they belong in personnel or confidential file

• DO store files in secure and locked location

• DON’T store confidential file in same spot as personnel file

• DO establish a timeframe for reviewing/updating/destroying documents

• DON’T put them in the trash

• DO determine wether you will keep hard or digital copies and have backup plan

• DO identify a limited group of individuals who will have access to employee records

Do’s and Don’t

Do’s and Don’t• DO define specific circumstances

under which employees can access or copy files

• DON’T allow employees to remove, correct or alter documents in the file

• DO establish procedure for third-party requests for employee information

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