Federal & State Regulations | Recordkeeping - Indiana | J. J. Keller® Compliance Network

Summary of differences between federal and state regulations

Federal

The Fair Labor Standards Act does not require employers to allow employees access to their personnel files. This access is generally a matter of agreement between an employer and an employee (or the employee’s representative). However, while federal law does not, some state laws require employers to allow employees access to their files. Employers need to comply with the state laws.

Federal OSHA requires that employers must allow employees and their designated representatives to inspect and/or copy records pertaining to exposure to hazardous substances. Access must be provided in a reasonable time, place, and manner. Access must be provided within 15 days working days. No costs may be incurred for the first provision, but subsequent provisions may be charged reasonable, nondiscriminatory administrative costs.

Employees and former employees must be guaranteed access to their individual OSHA 301 forms. Employee representatives will be provided access to the “information about the case” section of the OSHA 301 form in establishments where they represent employees.

The federal Health Insurance Portability and Accountability Act (HIPAA) requires employers to allow employees to inspect and/or obtain a copy of any of their own protected health information that is used to make decisions about them. Employers must provide access within 30 days of receiving a request if the information is maintained or accessible onsite. If not, employers have 60 days to act. Employers must arrange for a mutually convenient time and place for employee access. Employers may charge reasonable, cost-based fees for copying information, but not for retrieving or handling the information or processing a request.

State

Records to be kept on file
Wage and Hour/Payroll	Payroll Employers must the following records with respect to each employee: Name, Address, Occupation, Daily and weekly hours worked, and Wages paid each pay period. Employers are not required to keep records of the daily and weekly hours worked nor wages paid for any individuals employed in bona fide executive, agricultural, domestic, administrative, outside sales, or professional capacities. IN Code §22-1-1-15
	Wage/hour Employers with two or more employees, except those that are subject to the minimum wage provisions of the federal Fair Labor Standards Act, must furnish each employee a statement each pay period. This statement must include the following information: Hours worked by the employee, Wages paid to the employee, and A listing of the deductions made. The employer must keep records relating to the information furnished. IN Code §22-2-2-8, §22-2-2-11
	Unemployment For unemployment compensation purposes, employers are required to keep payroll and employment records. These records must show with respect to each employee: Name and Social Security number, Any cash paid per calendar quarter, Payments other than cash, Dates worked, Date wages were last paid, Any reasons the employee left work, Reasons for any lost time that affected wages, Amount earned during each calendar week, If each week worked was a full- or part-time week, and Base of operations. These records must be retained for at least five years. IN Code §22-4-19-6 Indiana Workforce Development's Unemployment Insurance Employer Handbook: Employment Records
	Unclaimed wages Employers must keep records of the reports they send to the attorney general regarding unclaimed wages for a period of 10 years after the property becomes reportable. If the wages amount to less than $50, the employer may report the wages in aggregate. If the wages amount to at least $50, the report must include: The employee's name, last-known address, and Social Security number; The date the wages became payable, demandable, or returnable; and The date of the last transaction with the employee with respect to the wages. IN Code §32-34-1-43
	Employment tax Employers subject to a county employment tax must maintain for five years records to determine their tax liability for a calendar quarter. IN Code §6-3.5-2-9
Accessible Records	Public employees Under Indiana's public records law, public employees and their representatives are entitled to inspect all of their personnel file information. Any member of the public, regardless of whether they are the employee in question, may access the following information about public employees: Name; Compensation; Job title, Business address; Business telephone number; Job description; Education and training background; Previous work experience; Dates of first and last employment of present or former officers or employees; Information relating to the status of any formal charges against the employee; and The factual basis for a disciplinary action in which final action has been taken and that resulted in the employee being suspended, demoted, or discharged. Additionally, members of the public are able to access personnel information generally on all employees or for groups of employees without the request being particularized by employee name. IN Code §5-14-3-4(b)(8)
Accessible Records	Toxic substance exposure Employers that conduct medical examinations and other tests designed to determine whether employees' health is adversely affected by exposure to hazardous substances in the workplace must furnish the results of such examinations or tests to the employee's physician at the employee's request. Additionally, employees and their representatives are entitled to observe monitoring or measuring of toxic materials or harmful physical agents and the results thereof. Employees must also be provided access to records that will indicate their personal exposure to hazardous substances. IN Code §22-8-1.1-17.1
Inaccessible Records	Indiana's public records law does not extend to records containing: Confidential information, Trade secrets, Information concerning research conducted by a state educational institution, Grade transcripts and license examination scores obtained as part of a licensure process, and Patient medical records and charts. Additionally, the public employer may choose not to provide records containing certain information. These records include, but are not limited to, those containing the following information: Test questions, scoring keys, and other examination data used in administering a licensing examination, examination for employment, or academic examination before the examination is given or if it is to be given again; Certain investigatory records of law enforcement agencies; The work of an attorney representing, pursuant to state employment or an appointment by a public agency; Minutes or records of hospital medical staff meetings; Records relating to negotiations of certain public employers; Advisory or deliberative material, including material developed by a private contractor under a contract with a public agency, that is an expression of opinion or of a speculative nature, and that is communicated for the purpose of decision making; Administrative or technical information that would jeopardize a recordkeeping or security system; Computer programs, computer codes, computer filing systems, and other software; School safety and security measures, plans, and systems, including emergency preparedness plans; and Scores of tests if the person is identified by name and has not consented to the release of his or her scores. IN Code §5-14-3-4