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Dear
Clients and Friends,
Hello! Welcome to the HMK Associates
Newsletter. Each issue will deliver HR information that you can use. We will
discuss important issues that business leaders face, as well as books that
we've read and conferences and seminars we've attended. Your questions,
comments, suggestions and submissions are always welcome.
This month we focus on files and record
retention. As we help clients review their HR practices, we've discovered
they have lots of questions on this topic. Incomplete or outdated HR files
are a source of considerable frustration. The new year is the perfect time to
clean out files to make room for new developments and activity! Best wishes!
- Holly Maurer-Klein
Words
of Wisdom
"One of the advantages of being
disorderly is that one is constantly making exciting discoveries."
- A.A. Milne
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Personnel Files
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"Exciting
discoveries" are probably not good news when it comes to your
personnel files. Maintaining these files is critical - not only for
documentation and decision- making purposes, but also for planning and
research. Besides keeping the information in a safe and locked location,
and limiting access, here are some tips to keep your personnel files in
order and up to date. As you review your files, think about 1) what should
be included; 2) what should be kept in a separate file and 3) how long you
should keep the information.
To be included in the employee's personnel
file:
- Resume (without
handwritten notes from the interview);
- W-2 form;
- Application form (as long
as it doesn't contain inappropriate info from before you revised your
form!);
- Performance appraisal
forms;
- Signed memos to the
employee regarding performance problems;
- Handbook acknowledgement
form;
- Offer letter;
- Confidentiality/nondisclosure
agreement;
- Payroll info;
- Emergency contact info;
- Orientation checklist.
Discard or keep in a separate file with
access limited to those staff members with a legitimate "need to
know":
- Medical information such
as completed claim forms, insurance enrollment forms, beneficiary
designation form (make sure this is up to date - after 9/11, many
employers discovered that they had failed to update beneficiary info);
- Unsigned emails or notes
to and from management or HR staff regarding employee performance or
disciplinary action procedures;
- I-9 forms (keep them in a
separate "A-Z" file for all employees);
- Racial designations on
self identification documents for affirmative action purposes;
- Reference info;
- Exit interview forms;
- Subjective assessments or
notes on the employee made in the selection process.
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Q & A
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"I'm
about to clean out my personnel files. What do I keep and what can I throw
away?"
My first bit of advice is to schedule a
time to periodically review employment files to remove innaccurate,
outdated or unncessary information. If you don't schedule the time, it
won't happen. Also, be careful what you throw away. Both federal and state
laws govern recordkeeping requirements, and it's a good idea to
double-check to make sure you're in compliance with applicable state
legislation, but here are some guidelines to get you started:
- Resumes - yes, they're bulky
and you've already hired someone, but plan to keep all resumes,
including those that came in via email, for at least one year;
- Employment applications -
three years;
- Payroll records - at
least three years;
- Employee personnel
records - seven years after termination;
- FMLA documents - three
years;
- I-9's - one year after
termination.
Finally, keep in mind that in
Pennsylvania, employees are not permitted to remove information from their
personnel files; you also don't need to allow them to photocopy the info.
However, they are permitted to review the info in their files with prior
notice and amend it if necessary. So be prepared for an employee review.
Don't keep anything in the file that you would not be comfortable with the
employee seeing (and keep in mind that under Pennsylvania law certain types
of records are exempt from disclosure).
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News
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Please note that The 2003 Pennsylvania Technology Compensation
Survey gets underway this month. To receive reporting materials
for this comprehensive benchmark jobs survey, email FetzSurvey@aol.com or
call (800) 363-6432.
This 15-year-old annual survey, an
incredibly valuable tool for management, includes more than 200 jobs, with
percentile breakouts for Pittsburgh and other areas of the state. All organizations
with 10 or more full- time employees are invited to participate;
participants will receive a discount in the report price. If you've ever
utilized this survey to price jobs, you know what a great resource it is!
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About Us
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HMK Associates,
Inc. was founded in 1993 with the goal of helping business leaders
effectively and efficiently resolve their human resources issues. We are
committed to helping your company thrive by embracing the challenges of
growth and change.
HMK Associates, Inc. does not profess to
provide legal counsel or advice.
If you would like more information, or
need help reviewing your HR practices, please phone or email us.
Next issue: Performance Appraisals
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