filing documents

How Long Are You Required to Keep Employee Files?

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By Dan Darabaris

 

Compliance can be a headache. And when it comes to employees, it’s already difficult to stay on top of which documents you need to maintain on file and where, without thinking about how long you have to hold on to everything. It’s enough to make your head spin! It gets even more complicated because you have to comply with federal laws, state laws, and local laws. And some requirements hinge on the number of employees.

To help you keep track of which files need to stay and those you can shred, I’ve compiled a list you can print out for easy reference.

Suggested Employee Record Retention Guidelines as of May 2023

Personnel and Employment Records

According to the EEOC, you must keep all personnel and employment records for one year from the date of termination. However, retention and record-keeping requirements vary by the type of document and the local laws. As a result, most businesses keep personnel and employment records for seven years. View the types of documents that fall under this category.

I-9

Federal law requires that you keep employee I-9 records for three years following the hiring date or one year following termination, whichever is later.

Payroll Documents

The Department of Labor requires you keep all payroll records for at least three years. This includes wage rates, payment dates/amounts, hours worked/wages paid per period, beginning/ending of workweek, overtime, annuity/pension amounts, fringe benefits, and other records.

Benefits Documents

You should maintain all employee benefits documents for six years after employee termination, such as election forms, 401(k) forms, plan termination records, financial statements, and COBRA documents.

Medical Records

When it comes to medical records, different laws can come into play. For this reason, experts recommend keeping them for at least seven years.

Because federal, state, and local laws can all impact retention requirements, I recommend following the 7-year rule for retaining employee files. Some laws, however, require longer retention for certain documents so it’s important to follow the statutory requirements that apply to your industry. 

How to Dispose of Employee Records

When the retention requirement period has expired, you can’t just toss the files in the trash. This could result in theft or misuse of employee information and expose you to investigations, fines, lawsuits, and more.

You should erase and destroy any digital files, and shred or burn any paper files. Hiring a certified document destruction company might be a wise decision.

 

employee personnel file

What Documents Are Required in an Employee File?

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By Dan Darabaris

 

Believe me, you don’t want to deal with compliance issues. In order to pass audits and regulatory processes, and comply with labor laws, you better have all of your required employee documents filed and accessible. This includes recruitment and onboarding paperwork, employee handbook, training materials, performance-related paperwork, medical information, and employee exit documents.

You need to be aware, however, that simply having these documents on hand is not enough from a compliance standpoint. Because of the sensitive nature of much of this information (such as Social Security numbers, immigration status, sexual orientation, and medical history) and specific laws that are in place, some paperwork needs to be kept separate so it is not accessible to managers or supervisors. I recommend to my clients that they maintain six categories of files for each employee in order to comply with the separation of documents requirements.

Organizing Employee Files into Specific Categories

Following the employee file organization system below will help you maintain compliance.

Personnel File

  • Recruiting documents (job description, job application, resume, cover letter, educational transcripts, letters of recommendation, interview notes, offer letter, employment contract)
  • Records relating to promotions, transfers, layoff
  • Pay and compensation information
  • Education and training records
  • Employee handbook
  • Policy acknowledgements
  • Confidentiality agreements
  • Non-compete agreements
  • Relocation agreements
  • Awards and letters of recognition
  • Warnings and disciplinary notices
  • Performance evaluations
  • Goal setting records
  • Co-worker complaints
  • Termination notice
  • Exit interview notes

Confidential File

  • References
  • Background checks
  • Drug test results
  • EEO self-identification of gender and race/ethnicity
  • Affirmative action self-identification of race, gender and veteran status
  • Child support and garnishments
  • Litigation documents
  • Criminal history
  • Credit information
  • Requests for employment or payroll verification

Medical File (separate file is required under HIPPA)

  • Health insurance applications and forms
  • Medical questionnaires
  • Benefit claims
  • Doctors’ notes, forms, and correspondence
  • Medical leave records
  • Workers’ compensation claims
  • Accommodation requests

Benefits File

  • All benefit enrollment forms
  • Benefit beneficiary designation records

I-9 File

  • I-9 immigration form

Affirmative Action File

  • Affirmative action self-identification of disability form

Having a complete employee file, separated into specific categories, will help your business to be compliant. 

 

employees using internet at work

Personal Internet Use at Work Policy

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By Dan Darabaris

 

While internet use is necessary for many jobs, personal use of the internet (online shopping, engaging on social media, general searches, watching videos, reading and sending emails, etc.) can impact a company on many levels. It’s important to have a policy in place to protect the organization and let employees know what they can and can’t do on their work computers. 

How Personal Internet Use Can Hurt the Company

Sitting in front of a computer all day, it’s tempting to let fingers wander away from work tasks to something more interesting. Maybe do a bit of shopping or scroll through social media feeds to see what everyone’s up to. The more time employees spend wandering, the less time they’re spending on their tasks. And less productivity means less profits. But it’s more than just the bottom line. When employees visit sites, they expose the company to dangerous viruses and cybersecurity threats that can result in unwanted access to proprietary data, client information or worse. And if employees access graphic materials, there’s also the issue of a hostile work environment.

Implementing a Personal Internet Use at Work Policy

Having a policy in place should hopefully deter employees from misusing work computers and the company network. Whether the policy is included within an employee handbook or provided separately, it’s important to have the employee sign a document saying they have received a copy. 

The policy should:

  • State that employees shouldn’t expect anything they create on their business computers to be private, that such data belongs to the company
  • Note that company-owned equipment can be monitored at any time and without notice, along with how it will be monitored, i.e., search history, downloads, hard drives
  • Specify what is allowed and what is prohibited – you can make your list of what is prohibited as detailed as you like
  • Define and provide examples of what constitutes personal internet use at work and improper use of company-owned equipment
  • Notify employees of the consequences of violating the policy, such as a write up or termination of employment

To ensure you cover everything and are not violating any employee rights under federal or state law, you should consult your HR team and legal counsel when drafting the policy.

 

manager and employee talking

When to Write Up an Employee

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By Kimberly Kafafian

 

As Human Resources professionals, we say to take the same approach as the New York City Metropolitan Transportation Authority, or MTA: “If you see something, say something.” If you want to correct a behavior, the sooner you address it, the better. Most managers we work with don’t want to write up employees though, especially in today’s competitive market. But if you let unacceptable actions go on without any repercussions, employees may think that what they are doing is OK and will keep on doing it, disrupting business and the bottom line. On the other hand, there are some managers who feel they should write up employees for every little infraction. Taking such a rigid approach can negatively affect the organization’s culture, impacting productivity and retention. 

So when exactly should you write up an employee? The answer is, when necessary. I know this sounds vague, but you need to apply some common sense and investigate further before making this decision.

As a manager, you are not only meant to oversee the actions of your employees, but also engage with, train, and develop them. This includes encouraging them, assessing their work, and providing constructive feedback. When you see they are violating a policy, you should give the employee a chance to explain themselves and correct the action. If needed, you can give them a verbal warning. If their pattern of behavior continues, writing them up may be necessary. There are some actions, however, that immediately require a write up or even termination.

Valid Reasons for Writing Up an Employee

Below are some common infractions, along with indications of when immediate disciplinary action may be required. Before you address these actions, you first need to make sure that there is a written policy in place that outlines the behavior in question. If no such policy exists, you could be opening up the company to legal action.

Chronic Absenteeism and Tardiness

Exceeding the number of call-in days allowed and being persistently late are terms for writing up an employee. Before you do so however, it is good business practice to ask the employee why they called out or were late. There may be a valid reason for doing so, such as they were sick, they needed to care for an ill family member, or maybe they are going through a rough patch. If this is the case, you might want to take efforts to accommodate them during this time rather than writing them up.

Insubordination

When you tell an employee to perform a task related to their position and they refuse to do so, you have immediate grounds for writing the employee up.

No Call/No Show

Not showing up for work impacts your team and productivity overall. Without advanced warning, the company does not have the opportunity to make plans for covering the absent employee. Before you write the employee up, drill into the no show. Perhaps there was a medical emergency. Contact the employee by phone and email to ascertain the situation and document your contact attempts. It should be noted that if no call/no show goes on for more than a few days, that’s actually job abandonment. However, be sure that you have a policy in place that defines job abandonment. 

Safety

If an employee is working in an unsafe manner that could put themselves and/or their co-workers in danger, you need to correct the situation. You could use it as a teachable moment, pointing out the behavior and asking if there was a reason for the failure to comply. How you handle the situation should depend on the nature and severity of the violation. A small violation that doesn’t really put anyone at risk should be handled differently than one that could cause severe consequences.

Carelessness

A careless mistake could involve one of safety, as well as one that impacts the company financially. How you handle the mistake depends on its nature and severity.

Failure to Meet Productivity Quotas

While the issue of job competence is best left to be addressed during a performance review, if your organization has productivity quota policies in place, you can write up an employee for not meeting them. Although it’s a good idea to speak with the employee to try and get a feel for why they are falling short, as it could be an overarching problem rather than a personal one.  

Violence

Any type of violence or threat of violence is cause for a write up, and in many cases immediate termination. 

Harassment

As with violence, any type of harassment should be written up, and could be reason for termination.

Excessive Time Spent on Personal Matters

Too much time spent on personal phone calls, scrolling through social media, and searching the internet can be grounds for a write up. 

Please note: Before writing up an employee, make sure you have formal, written policies in place. You also want to make sure you are following the local labor laws.

back to work sign

How to Transition Back to the Workforce

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Going back to work after a long absence can be filled with unknowns. What will employers think about the time lapse on my resume? Will my absence from the workforce hurt my chances for employment? Do I need to learn new skills to be employable?

Transitioning back to the workforce can be challenging regardless of the reasons for the absence, i.e., starting a family, caring for a sick loved one, your own illness, volunteering, pursuing a graduate degree. You may face recruiters and employers who have a bias against gaps in employment history or even your own fears and self-doubts about returning. Having worked with many people who have made a successful transition, we urge you to take a breath,  focus, and follow the tips below to help you overcome the challenges.

7 Tips for a Smoother Workforce Re-Entry

1. Focus Your Search

Don’t just apply to any open position. If you want to increase your chances of landing a job, you need to narrow your search. Before you start sending out resumes, consider your:

  • Needs
  • Interests
  • Goals
  • Education
  • Experience
  • Skills 

Chances are your priorities and qualification matches may have changed since your last employment. Do some research and identify the types of positions that not only fit your credentials, but which you will also enjoy. You may find that your ideal jobs are seeking skills that you don’t have. Now is the time to try to boost your skill set. You can do this by taking online courses, volunteering, or even through an internship.

2. Update Your Resume

Rebooting your resume after a lapse in employment is a necessity. You’ll want to start by adding your last position, being sure to highlight your accomplishments. And of course, add any new skills you have acquired. If you have had a long absence, you may want to consider creating a hybrid resume. This is a format where you showcase your summary, skills, and accomplishments at the top of the page, followed by your work history and education. I recommend treating the gap in employment as if it were a job itself. Briefly explain the reason for your absence, such as you were a stay at home parent until your child was ready for preschool or you needed to care for a sick family member. Keep in mind that the real key to an effective resume is tailoring it to the position to which you are applying. You will want to create a resume for each application that highlights the specific qualifications and qualities the employer is looking for. 

3. Polish Your LinkedIn Profile

Just as you reboot your resume, you’ll need to freshen up your LinkedIn profile. Start by updating all of the relevant information and uploading a new, professional headshot, as well as a cover image that conveys what you do. Then, take advantage of the available features to help your profile stand out, such as:

  • Using the name pronunciation feature, which is available on the app, to record a 15 second statement about what you do. This shows up in the header via the sound icon.
  • Making the most of your headline by going beyond your job title. Include information that showcases your personality, such as organizations with whom you volunteer.
  • Taking advantage of the about section. You have 2,000 characters to give an overview of your professional life, achievements, volunteer work, and activities that give a glimpse into who you are.

4. Create a Cover Letter

A cover letter is your elevator pitch. It’s a great way to quickly showcase your qualifications and exactly what you can bring to the position. As with your resume, if you want to stand out, you should tailor each cover letter. Don’t simply restate your resume, but rather provide highlights. Explain why you want the job, why you’re a good fit, and the value you offer. Spend one to two sentences explaining the reasons for your lapse in work history, but don’t go too in-depth as you want the focus to remain on your qualifications and why you’re the right person for the job.

5. Build and Leverage a Network

A strong network can be extremely valuable in your job search. During your period of unemployment, you may have made new connections who could be instrumental in landing an interview. Connect with these people on LinkedIn. Previous connections are also valuable. Let them know that you are looking to transition back to the workforce and ask if they have any insight on how the industry has changed, new skills required, and what they think you should highlight on your resume. Once your network knows you are looking to make a re-entry, you never know what opportunities may come your way.

6. Strategize a Segue

If you don’t currently have the qualifications to transition back to a full-time position you desire, consider freelancing or contracting work. This type of position allows you to use the skills you have while acquiring new skills and bolstering your experience. Returnships are another option. A returnship is basically an internship that helps those who have left the workforce and are now wishing to re-enter it. Usually it provides extra training and affords valuable mentorships. The time of the returnship varies, but typically the returner is hired when it has ended. Many larger companies offer returnships programs and they are definitely worth researching. You could also consider volunteering at a non-profit to bolster your credentials.

7. Work with a Career Coach

If you’re feeling overwhelmed and don’t know where to start, a career coach can help guide you. At Monarch Consulting HR Solutions, we work with clients on all of the above steps so they can focus on a clear path forward. Connect with us if you would like assistance transitioning back to the workforce. 

 

yellow butterfly standing out from the rest

How to Write a Stand Out Cover Letter

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A cover letter affords you the opportunity to showcase your qualifications and persuade the potential employer why you are a top candidate for the position. Just as with a resume, your cover letter has mere seconds to capture attention. Think of it as your elevator pitch where you must quickly get to the point. It’s imperative to take the time to carefully craft your cover letter if you want to stand out among the crowd of applicants.

Tips for Making the Most of Your Cover Letter

Include Contact Information

It may sound silly to mention that you need to include your contact information, but I have seen cover letters missing key pieces of contact info! List the following at the top of the cover letter:

  • Full Name
  • Phone Number
  • Email Address
  • Date

You may also want to include your street address, as well as your LinkedIn/professional social media accounts, portfolio, or personal website.

If you are submitting your cover letter in the body of the email, you can insert this information at the end after your signature.

Address the Letter to a Person If Possible

When writing your letter, be sure to address it to a specific person in the company. If you don’t know the hiring manager’s name, address it to “Hiring Manager” or the name of the department to which you are applying, i.e., Marketing Department. You can try to find the hiring contact’s name by looking at the Team/About section of the company website or searching on LinkedIn. This section of the letter should look as follows:

Hiring Manager

ABC Company

123 Main Street

Town, State, Zip Code

Directly beneath that should be your salutation, i.e., Dear Mr. X. 

Craft an Engaging First Paragraph

Remember, recruiters are skimming, so your opening paragraph has to really sell. 

  • Use words and phrases that convey your enthusiasm about the company. 
  • Do your research so you have a feel for the organization’s brand, culture, products/services. Read the latest press about the company, as well as the news section on its website, social media pages, and LinkedIn page. You want to find something that resonates with you which you can reference in this paragraph. 
  • If you have a mutual connection, such as a former colleague who works for the company that is recommending you, mention it here as well, along with why they think you are a good candidate.
  • Include an impressive achievement or metric that demonstrates how you added value in previous positions.

The goal of this paragraph is to show your personality and what motivates you.

Highlight Why You Would Be a Good Fit

In the following 1-2 paragraphs, share what you can bring to the company. When tailoring your resume to the position, you should have already identified the responsibilities of the job, along with the skills, abilities, experience, education, qualities, and training the employer is seeking. This section should connect how your background aligns with what they are looking for. Don’t regurgitate your resume; rather highlight a few important qualifications that show you in the best light. If you have numbers to back up your statements, use them, i.e. the project I worked on improved workflow by 20%, the marketing initiatives I spearheaded increased sales by 30%, etc. When writing, focus on using action verbs and avoiding repetition of the use of “I”.

Create a Call to Action

The last paragraph of your cover letter should restate your excitement about the position, how you would be a great fit, and that you would love to meet with them to share the value that you can bring to the organization.

Closing

Finally, end your letter with a closing, such as, sincerely, kind regards, or best regards, followed by your name.

Formatting

Your cover letter should be no more than one page, single-spaced, using 10.5 to 12 point font. We like to aim for 250-350 words. The content should be left justified, but your contact information at the top can be centered. We recommend mirroring the font and format used on your resume for consistency.

How to Tailor Your Resume to a Job Description

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Your resume should make it obvious that you’re the right candidate for the job. In order for that to happen, you need to make sure your resume not only checks off the requirements and responsibilities listed in the description of the position, but that your corresponding skills and qualifications are instantly identifiable. The best way to ensure this occurs is to tailor your resume to match the description of each job to which you are applying. This may seem like a lot of work, but we can’t stress enough just how important it is for you to do so. 

Recruiters spend an average of just 7.6 seconds reviewing a resume. They quickly skim to see if your credentials match what they’re looking for. If this isn’t enough to convince you to tailor your resume, here’s something else to ponder: a recruiter may never even see your resume if the company uses applicant tracking software. Why? Because that software can automatically reject a resume based on set specifications. The recruiters set parameters and the bots filter out applicants based on how well a resume aligns with the job requirements. The bot looks for specific keywords when making its decision and can flag or dismiss a resume, preventing a human from ever seeing it. Tailoring your resume to the job position will boost your chances of passing the initial computer/recruiter scan test.

Resume Tailoring Tips

To modify your resume to get noticed, follow the tips below.  

Carefully Review the Job Description

Thoroughly read through the job description, highlighting the following:

  • Responsibilities
  • Skills
  • Abilities
  • Experience
  • Education
  • Qualities
  • Training

Pay careful attention to the responsibilities listed, as these often disclose the type of skills the employer is looking for without overtly stating them. For example, if the description says that the applicant must be able to “lead teams on various projects meeting set deadlines”, you can infer that they are looking for people who have leadership, team management, project management, and time management skills.

When reading through the description, take notes on the specific words and phrases used in reference to responsibilities, skills, experience level, certifications, years in the industry, etc. You will want to make sure to add these, and variations of them, to your resume

Also note the order of the responsibilities and skills listed. This indicates what is a priority for the employer and you will want to mirror that order on your resume.

Compare Your Resume to the Description

Now, compare all of the data you gathered to the information you have on your resume. Highlight what matches and identify what you are missing. 

Tweak your resume as needed to call attention to all of the key qualifications 

Leverage Your Resume’s Summary

The summary is the first thing a recruiter will see. This is where you want to showcase your skills, qualities, and accomplishments using the words and phrases you gathered from the job description. We also like to mention the position title in this section to demonstrate real interest.

Carefully Craft Your Work History

When comparing your resume to the job description, determine which responsibilities, skills, and accomplishments align with what the employer is looking for. Create bullets using the words and phrases you have identified to make them stand out. Prioritize the bullets to correspond with the order within the job listing, even if this order doesn’t reflect your main responsibilities. Remember, you are tailoring your information to the open position. 

Showcase Requested Skills

Follow the same pattern when listing your skills. Use the words and phrases from the job description placing them in the order of priority. Any additional skills should be listed last. 

Delete Non-Relevant Information 

It isn’t necessary to include superfluous information. Be proactive and delete what doesn’t apply to the position. If you have a lot of experience, this includes minimizing content for old jobs that don’t align with or relate to the position, and maybe even removing them completely from your resume.  

Use Formatting to Draw Attention

Lastly, take advantage of font styles, bold, italics, and underlining BUT don’t get creative. You want to call attention to your qualifications, but you need to keep things simple so your resume is easy for both recruiters and bots to read and understand. 

 

The Importance of Work in Our Daily Life

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By Kimberly Kafafian

 

On this 20th anniversary of 9/11, I am reminded of the strong interconnection between work and life. So many of the individuals who perished in the attacks on that day in September lost their lives simply because they had gone to work that morning, just like any other day. None of them could have imagined the tragic events that would unfold.

Living and working in the New York / New Jersey area, just a short drive from where the Twin Towers stood, the events of 9/11 particularly hit home for me. I will never forget leaving work early, cresting the block to my apartment, and seeing the smoke rising from the burning towers. I will never forget waiting for phone call updates on missing friends and family. And the next day, I will never forget the cars still parked at the train station, their hoods overflowing with memorial flowers.

The memory of 9/11 continues to follow me. As my husband approaches his 20th anniversary in Federal Law Enforcement, I am reminded that he started his career shortly after 9/11. For 9 years, we then lived and worked a short distance from the Pentagon. And twenty years later, my company is headquartered in a town that lost 11 residents. Our town has a memorial dedicated to those lost just a few blocks from my office. I may stop to mourn the loss of life from 9/11 annually but I am reminded of the tragedy on a daily basis. Our hearts are forever with those who worked in the Twin Towers and Pentagon, the flight crews, the passengers, and the brave heroes who tried to save them. We will never forget.

So that is why, for me, that devastating day in 2011 is a stark example of the significance of work in our lives. It demonstrates that so much of our day, and life in general, is inextricably tied to our careers.

A job is so much more than a just a paycheck

For some, work holds a purpose, it is a calling to do good in the world. It is also an important channel for developing social bonds and a means for building personal identity and self-worth. And research shows that working is closely linked to one’s physical and mental wellbeing.

The work family bond

In any given week, we work a third of our waking hours. As a result, we spend more time with our co-workers than we do with our loved ones – whether that be in-person at our workplaces or via video conferences in the wake of COVID-19. Spending so much time together, the line between work and personal often blurs. Relationships are forged, with co-workers becoming more than merely colleagues. Friendships blossom. We share intimate details of our lives and rely on one another for support – both in and out of the workplace. For some, co-workers can be the core of their social circle. There are so many heartbreaking, but inspiring, stories of co-workers lost on 9/11 and the bonds they shared with the survivors.

The why of work

Often our sense of self-worth is tied to our work life. Experiencing purpose at work helps us to feel like we are contributing to society and the common good. In this way, our careers can provide meaning in life, evoking passion and innovation at work and at home. This “calling” is especially exemplified by the first responders who bravely ran into the face of danger on that fateful day doing the job they loved, along with those who were off the clock but joined in the efforts.

Our work identity

Because we spend so much time at work, for many of us it can be a defining aspect of our lives and our identities. We often see our jobs as a key aspect of who we are. I know I do. Think about it – when you meet someone for the first time, how often do they ask you, “What do you do for work?” They ask this why? Small talk, yes. But they ask because what we do is such a big component of who we are.

The influence of work on personality

What we do at work can shape who we are – our attitudes, beliefs and behaviors – and that, in turn, can lead to changes in our personal lives. For example, jobs that require us to deal with a wide range of tasks, data, or people can enhance our abilities to juggle competing priorities or influence our proactiveness in finding solutions.  Take me for example. I’m a very solutions-oriented person. My career has spanned from social services to human resources, and with it my identity as “the person who solves problems” has grown stronger over time. Problem solving HR issues for small businesses is what I do. But it is also who I am. When my sons come to me with their stumbling blocks, I immediately launch into problem-solving-mom-mode by helping them generate ideas for potential solutions.

Work and life are so intertwined. Our jobs and careers provide us with a sense of purpose and self-worth, allow us to flourish by connecting us to others, help us to build our individual identities, and enhance our ability to thrive in all aspects of our daily lives. And on this 20th anniversary of 9/11, we will never forget those who simply wanted to go to work that day.