Maintaining Personnel Files

Recently read an HRHero article entitled "Tips for Maintaining Personnel Files" which lists what to keep/not to keep in a personnel file. "What to Keep" includes "copies of I-9 forms...keep the originals for all employees in a separate I-9 file."

How many times have we been told NOT to keep I-9's in the personnel file??? Is it okay to file a copy of the actual form, just not any supporting documents?

Comments

  • 15 Comments sorted by Votes Date Added
  • Based on a conversation I had with an INS field agent a few months ago, the answer is clearly NO! The I-9 and any/all supporting docuuments must be filed separately from the personnel file.
  • What I have just learned in a recent seminar is that you can be opening yourself up to a lot of trouble by keeping the I-9 in the official personnel file. We were told that if Immigration comes in to audit your I-9s, and if you do not have them separated, you must hand over the entire personnel file in which they are contained. And while the Immigration officer is reviewing the I-9s, if he spots any other violations, he is entitled to report those violations to the agency that governs that issue. I don't know how often this may happen, but it certainly does not seem like anything you would want to do.

    We keep our I-9's separate, no supporting documentation with them either, we just "spot check" because we also learned that if you do not record the identification exactly as it is issued and you have a copy with the I-9, that can also be considered a violation (seems a little picky if you would just say State of Florida instead of Florida Department of ...). If we need to get a copy of the drivers license or ss card, we keep those in the Confidential File.

  • >What I have just learned in a recent seminar is that you can be
    >opening yourself up to a lot of trouble by keeping the I-9 in the
    >official personnel file. We were told that if Immigration comes in to
    >audit your I-9s, and if you do not have them separated, you must hand
    >over the entire personnel file in which they are contained. And while
    >the Immigration officer is reviewing the I-9s, if he spots any other
    >violations, he is entitled to report those violations to the agency
    >that governs that issue. I don't know how often this may happen, but
    >it certainly does not seem like anything you would want to do.
    >
    >

    The INS and USDOL have a "cooperative" enforcement role with regards to I-9's. This means if you are a government contractor for Affirmative Action purposes, it may be the OFCCP who reviews your I-9's not INS. So, under the scenarior above you would have to turn the entire personnel file-of every employee-over to your OFCCP Compliance Auditor; not a great idea.

    Both INS and USDOL have advised me on multiple occasions 1) keep only the original I-9 form, and one (1) copy of the supporting documents and 2) keep them filed separate from all other personnel file documents. I find keeping them in a 3-ring binder and filed alphabetically is the easiest way to do this.

  • I know this is an "OLD POST", but I was wondering what type of filing system all of you use for your I-9's. We have approximately 175 employees and a 28% turnover rate.

    I like the 3-ring binder idea, but what about terminated employee's? Have an I-9 terminated employee binder by year?

    Thanks for any suggestions....
  • We had even worse turnover than that at one of my companies. We kept an alphabetical I-9 file. When we pulled the personnel file upon termination, we also pulled the I-9 and put it in the personnel file. When you get audited, the governmental agency will pull files at random from the most recent active employee roster.

    Margaret Morford
    theHRedge
    615-371-8200
    [email]mmorford@mleesmith.com[/email]
    [url]http://www.thehredge.net[/url]
  • I am wondering if I have my personnel files right.
    I have all the employees files broken down into 4 folders.
    Personnel
    Payroll
    Workers Comp/Medical Information
    Managers file

    I keep the I-9 paper work in the payroll file, is this ok?

    Once the employees leaves, I still keep the files broken down into groups under term. employees.


  • What's in the Managers file?
  • [font size="1" color="#FF0000"]LAST EDITED ON 12-02-03 AT 07:33AM (CST)[/font][br][br]Are the folders in on binder or file? Your medical/workers comp. file should be maintained separately ie physically separate, not just in a separate section. .
  • SWBPR: You have described our system exactly. Active employees are kept in one 3 ring binder and filed alphabetically. We keep terminated employees' I-9 forms in separate 3 ring-binders by year of termination, and file them alphabetically in each binder. If you have low turnover, you might file multiple years in one binder, and keep track of which years the binder holds.

    Not only did this make retreival easy, but when it came time to purge the files, we purged a year at a time. The multiple year approach would be a little more cumbesome to purge. This system was audited once by the INS, and at least three times by various USDOL personnel and in each case they praised the system.

    One thing I highly recommend is keeping photocopies of the documentation the employee presents. While it is not required, howelse you going to prove to actually saw the document noted. That way if an employee looses a driver's license, or other document and you get audited, you are not at their mercy to avoid a fine. One DOL employee even suggested date stamping the photocopies to authenticate when they were viewed-I feel that is a little over the top, but if you have lots of turnover, it might be worth the effort.

    Now, remember that just filing these documents is not enough. If you hire someone who presents a "time sensitive" document as ID, you have to track those and update them as they expire. For example, most work visa's have a difinite time limitation, so if a new employee presents a work Visa with an expiration date, you will have to be able to track that, and go back to that employee when it expires to obtain a new verification of his/her right to work in the US.

  • We have I-9s in a separate locked drawer alphabetical and keep the documents with the I-9. We have a lot of turnover. When a person leaves, part of the termination process is to write the term date at the top of the I-9. Periodically we go through the I-9s and pull those that have been gone 1 year or more. We also have a separate file in another drawer that contains the drug screen results, medical questionnaire and anything pertaining to medical such as work comp. These are pulled when a person leaves and filed in the personnel file which is pulled from the current drawer and filed in a previous file cabinet. Donice Tampa
  • All medical information, be it worker's comp or personal disability or a note from the ee's physican MUST be kept in a separate filing cabinet from the personnel file under lock and key
  • Managers file - contain notes from interviews, work performance ect..

    I am not understanding why I have to keep the medical information and worker's comp stuff spearate from one another. Also, why do I need to keep my worker's comp/medical folder separate from all of the other folders. All four folders are together in one cabinet under lock and key. Does this have something to do with hippa?
  • Read ADA -- that is why your medical information is kept separate.

    What do you all do with the medical info upon term of an ee -- do you keep it with the medical files or file it with (or in a separate section) for term ees? I have limited space and need to purge my medical information along with my terminated ee files.
  • Judith: One option would be digital document capture. We currently use it for resumes, applications, Purchase Orders, and blue prints. I believe this would be a legal means of retaining medical records, but you would have to double check with legal counsel on that. Of course you would have to have some sort of index of disc's and what is on each one to be able to retreive information when/if you should need to.

    What I would do is purge the paper files, but as you do, scan the medical records of each terminated employee into some form of image file. Your image files can be very large, so I would use one image file for each document. If you use Windows operating system, you can create file folders for each employee, save the image files in the folders, and then copy/burn them to a CD or other high volume removable storage medium.

    You can purchase good qualify scanners for less than $300.00, that can handle high volume multipage input. A very good quality CD/RW (CD Read/Write) drive can cost less than $200.00.) You can store a lot more CD's in a desk drawer, file cabinet or safe than you can paper files.
  • It's important to note that neither the INS (revised name) nor the DOL has any authority whatsoever to tell you how to file any of these documents. They can require that they be completed, retained and produced for inspection. That's all. Nor does the ADA require that you file medical records in any certain manner other than 'secure' and 'separate from' other personnel records. 'Separate From' has been viewed a multitude of ways. What's important is that your practice clearly segregate medical records from the files that might be available for review, for example, by supervisory staff. There is no reason not to file WC materials with medical records unless your company feels it has a compelling one to do so. I can't think of a good reason to keep original I-9 files and supporting documents in one location yet make a copy for the personnel file. It's redundant and can lead to other problems for you. Also remember that no law or regulation requires that you make copies of the supporting documentation. That's up to your company. Some do, some don't. Someone stated that if you file I-9s in personnel files then you'll be obligated to 'hand the entire file over to' an inspector. This is not correct. The danger in such a filing system is that if you're rambling through personnel files during I-9 inspection, the inspector may see and question other documents during the review process that otherwise would not have come to his attention. You only have to produce the I-9s if that's what they are inspecting. Don't hand them files unless its a single file full of individual I-9s.
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