The Practicon Viewpoint by Ann Page Griffin

EMPLOYEE RECORDS: VITALLY IMPORTANT DOCUMENTATION

Question: if an OSHA or an EEOC inspector appeared at your front desk to do an audit, would he/she find similar, up-to-date employee records? If not, entrust the task of assembling such records to a knowledgable senior staff member or do it yourself, doctor. Maintenance of employment documentation is vitally important, especially should a lawsuit be filed by a disgruntled employee or an audit be performed.

Employee records should be maintained in similar folders or binders, all the same color and construction, so that no one can claim a different color or design was assigned for negative reasons. The records should contain:

(1)      Employee’s resume if one was presented at time of application for employment

(2)      Completed job application and copies of any tests administered as part of the hiring process (all application forms and tests must be similar for all applicants)

(3)      All personal data such as licenses, certifications, inoculation records, emergency contact and next-of-kin information, etc.

(4)      Completed income tax forms

(5)      OSHA-mandated training records

(6)      CE records

(7)      Performance appraisal forms and notes of the review signed and dated by the reviewer and the employee

(8)      Wage and benefit history

(9)      Documentation of disciplinary actions, signed and dated by the reviewer and the employee, and

(10)   Termination records

Employee records are confidential and should be kept under lock and key, or even off site. All issues of wages, benefits, performance, misconduct, and termination are strictly between an employee and the practice administrator, whether a staff member or the dentist himself or herself. If questions arise about confidentiality or the maintenance of employee records, seek advice of an attorney well versed in employment law.

Never mail, email, post online, or text anything you do not want read aloud in court, in case a lawsuit is filed by a disgruntled applicant or employee alleging harassment, wrongful dismissal, prejudice, or some other claim.

Application paperwork for all job seekers who are contacted by your office during the interview process should be maintained for at least one year from the date of contact, even if the applicant is not hired. If hired, records should be maintained for the duration of employment plus all the years the employer owns/operates the business.

Employment records are not only an employer’s recorded history of an employee’s tenure, they are an invaluable part of defending against employment liability lawsuits. National studies of businesses with 10 or more employees show that employers have a greater than 12% chance of being sued for employment-related problems. Following basic requirements for interviewing, hiring, documenting, and maintaining individual’s employment records is a basic necessity of practice management.