Record Retention Checklist
What stays and what goes?
The following should, and should not, be included in a basic employment file.
Should be included:
- Job description (present, past positions)
- Resumé
- Records relating to job offers, promotion, demotion, transfer, layoff, rates of pay and other forms of compensation, and education and training records
- Records relating to other employment practices (including policy acknowledgments and agreements)
- Letters of recognition
- Disciplinary notices or documents
- Performance evaluations and goal setting records
- Termination records
- Employment Application
- Orientation Checklist
- Emergency Contact Information
- Employees Withholding Allowance Certificate W-4
- State Specific Employees Withholding Allowance Certificate, if applicable
- Copy of Driver’s License, if required for the position
- Signed Receipt of Employee Handbook and Employment-at-will Statement
- Change in Personal Data Form
- Performance Evaluations
- Position/Rate Change Forms
- Record of Disciplinary Action (Verbal and Written Warnings), if applicable
- Absentee Record
- Requests for Time Off
- Training Requests
- Documentation of Training
- Documentation of Certification and/or License (if applicable)
- Requests to Review Personnel File
- Resignation Statement
Should NOT be included in a basic employment file
There should be one file per employee. DO NOT mix together into a shared file the payroll file documents for more than one employee.
The following documents belong in a SEPARATE file(s) and SHOULD NOT BE accessible to supervisors who are seeking information about the employee’s work performance.The information found in these documents are protected under privacy laws and belong with other guarded, confidential documentation.
EEO/invitation to self-identify disability or veteran status records.
Interview notes and employment test results.
Reference/background checks.
Drug test results.
Immigration (I-9) forms.
Medical/insurance records (medical questionnaires, benefit enrollment forms and benefit claims, doctor’s notes, accommodation requests, and leave of absence records).
Child support/garnishments.
Litigation documents.
Workers’ compensation claims.
Investigation records. (Only any relevant disciplinary action, counseling or other direct communications would be placed in the employee’s personnel file.)
Requests for employment/payroll verification.
Benefits File (Confidential)
There should be one file per employee. DO NOT mix together into a shared file ofbenefits documents for more than one employee.)
Benefits Declination Form
Health, Dental, Vision, and/or Pharmacy Insurance Enrollment Forms
Other Insurance Enrollment Forms (Life Insurance, STD, LTD, etc.)
Flexible Spending Account Forms
Election Form/Compensation Reduction Agreement
Employee Direct Deposit Signup Form
Claims
Enrollment Form, Retirement Forms, Profit Sharing Forms
Premium Only Plan Forms
Beneficiary Designation Form
COBRA or State Continuation paperwork, if applicable
Payroll File (Confidential)
There should be one file per employee. DO NOT mix together into a shared file the payroll file documents for more than one employee.
Direct Deposit Authorization
Payroll Deduction Authorization Forms
Overtime Requests, if applicable
Time Sheets
Employee Expense Report
Auto Mileage Reimbursement Vouchers
Garnishments/Income Executions
Requests for Pay Advances
More Confidential Files
There should be one file per employee. DO NOT mix together into a shared file the payroll file documents for more than one employee.)
- Documentation of Investigations
- Lawsuit or DOL/EEOC investigation correspondence
- EEOC and Affirmative Action Data
- Background Check and Drug Testing Results
- OSHA Forms
- Employee Incident Report
- Medical Information
- FMLA Forms
- Employee Request for Family Medical Leave
- Certification of Health Care Provider
- Family Medical Leave Periodic Reports
- Family Medical Leave Return to Work Certification
- Disability and/or Workers’ Compensation Claim Forms
- Accommodation Requests
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Created: July 2017