What is the “traffic light employee record system” and why should I consider it?
Employers gather a lot of information on employees. Some information should be shared with others, such as supervisors and managers, but some information should be kept confidential. Using a “traffic light” system can help keep the information in the right place.
One filing method employers can use to help keep the right information properly secure is what is called a “traffic light employee record system.” This system may be used for hard copy or electronic records.
Green
The green file is an employee’s official personnel file and has the highest level of access. Managers, supervisors, and employees would have access to a green file. Records kept in this file might include:
- Employment application/resume
- Licenses and certifications
- Training records
- Performance reviews
- Disciplinary records
- Orientation checklist
- Handbook and policy receipts
- Pay and job status adjustment forms
- Commendations, awards, and other evidence of specific accomplishments.
Yellow
The yellow file is a confidential file, and is not accessible to employees, but only to HR, supervisors, and managers (the latter when needed). Records kept in this file might include:
- Background check/criminal history reports
- Pre-employment screening results
- Employment references
- Forms I-9 (although many employers keep all Forms I-9 in their own file)
- Benefits election forms and other related documents
- Tax forms (W-2, etc.)
- Supervisory notes and correspondence
- Interview and exit interview notes
- Protected class data collection forms
- Attendance records
- Internal and external investigation files of complaints by or against the employee.
Red
The red file is the “restricted file,” with access only given to HR personnel. Records kept in this file might include:
- Medical histories/evaluations
- Requests for FMLA leave
- Requests for ADA accommodations
- Doctors’ notes
- Records related to employee investigations (discrimination, harassment, etc.)
- Workers’ compensation records, claims, and related documents
- Results of drug/alcohol tests and related documents
- Any documents about past or present health, medical condition, or disabilities.
Key to remember: No matter what filing system an employer uses, the right information needs to be properly secure. Laws such as the FMLA and ADA require that employee medical information be kept confidential.