EMPLOVA BLOG

Employee Records: Filing Overview

Robust employee records are crucial to protecting your business, but it can be hard to develop an effective filing system. While there are few federal laws outlining employee records retention, the following overview has been designed to help you create a system that will help your business and employees.

The following overview is organized by different file types. Retention timelines vary by file type and some must be kept several years beyond an employee’s termination. Consult an HR professional or employment attorney for specifics. It’s important to protect files from unauthorized access and regularly review files for omissions or discrepancies.

Electronic Record Retention

The same security and retention requirements apply if storing employee records electronically. However, with electronic systems, you must make sure to regularly back-up data and create security protocols. Form I-9s are subject to unique electronic storage requirements by the US Citizenship and Immigration Services (USCIS). Please contact an HR professional or employment attorney for additional information.

Personnel File

Keep records relating to the employee’s hiring and ongoing employment, and any items that may impact their employment in the future.

Contents

  • Recruitment records (e.g., interview notes, writing samples, rating sheets, supplemental job questionnaires, college transcripts, exam scores)
    • NOTE: Keep a separate recruitment file for applicants not hired. For those hired, use the personnel file.
  • New employee orientation checklist
  • Employment application, cover letter, resume
  • Signed job description
  • Signed employment offer letter
  • Personal data information and changes (e.g., name, address, education level)
    • NOTE: Allow the employee time to read the Employee Handbook during the work day before signing.
  • Acknowledgement of Employee Handbook
  • Performance reviews
  • Documentation related to salary increases and promotions
  • Documentation related to disciplinary action
  • Trainings/class completion certificates or documents
    (e.g., sexual harassment training, conflict resolution course, first aid, CPR, etc.)

Medical and Benefits File

Due to various privacy laws and the Americans with Disabilities Act (ADA), employee medical records must be kept separate from basic personnel files. Separating these files can further help protect against claims of discrimination as it’s illegal to base personnel decisions (such as promotions) on medical history.

Contents

  • Health and retirement benefit records, including beneficiary designation
  • Documents related to an employee’s medical history
    (e.g., doctor’s work release, accommodation request)
  • COBRA records (if applicable)
    • NOTE: Benefits administrators generally maintain COBRA records, but some employers may retain copies depending on employee count.
  • FMLA request and certification records (if applicable)
    • NOTE: Alternatively, these records can be placed in a separate FMLA file, organized per FMLA occurrence.
  • Formal pre-employment tests
    (e.g., drug and alcohol tests, criminal background checks)

    • NOTE: These records can also be placed in separate files by type of pre-employment test and include all results for each separate test, organized by year.

Injury File

If an employee is injured on the job, start a third file within your personnel records for them. This file should contain workers’ compensation claim records and injury reports, as well as any additional medical records on the injury.

Contents

  • Workers’ Compensation claim records
  • Injury reports, medical reports
  • OSHA records (if applicable)

Payroll File

If HR manages payroll (as opposed to Accounting or Finance), separate payroll-related records from other files and familiarize yourself with all laws governing payroll records.

Contents

  • Vacation records
  • Sick time records
  • Time-off accrual and usage records
  • Pay information, including raises or wage deductions
  • Authorization for extra hours/overtime documentation
  • New Hiring Reporting form
  • Time cards and other records of hours worked
  • Work schedules (if printed)
  • W-4 forms* and other payroll records with the employee’s social security number
    • Note: Some states require employers to report information on new hires to the State Registry. All employees must be reported, regardless of age, wages, work schedule, temporary status, or discontinuance of their employment before the specified deadline.
  • W-2 forms
  • Withholding and deduction documentation (e.g., related to non-tax withholding such as benefit deductions, retirement plan contribution)
  • Wage garnishment documentation

I-9 File

Employment law attorneys recommend keeping all Form I-9s in either a separate master file or a three ring binder organized by date of disposal. Because I-9 files are subject to unique record retention laws, separating these forms will help ensure they are retained for as long as necessary and can be readily discarded after the retention period expires.

Contents

  • Form I-9: Employment Eligibility Verification*

Miscellaneous File

There are a number of employment files that are created only in unique circumstances. These files should not be kept in the general personnel file due to legal requirements and to avoid claims of discrimination. Your organization may or may not have one or more of these files.

Contents

  • Charges of discrimination place with the EEOC and related documents (if applicable)
    EEO Self Identification Form, only used for
  • EEO-1 reporting or Affirmative Action Plans (if collected based on company size)
  • Americans with Disabilities Act claim documentation (if applicable). These records may also be placed in the employee’s Medical and Benefits file.
  • Health Insurance Portability and Accountability Act (HIPAA) documentation

*Information in this article is general in nature and not intended to replace legal advice in any particular manner. 

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