What Stays and What Goes?

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