From the desk of STAC Bizness Solutions CEO, Shawna Aho
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As I’m sure you’re aware, maintaining accurate personnel records is critical for any dental practice owner. These records not only ensure legal compliance but also provide valuable insights for managing office staff and contract workers. Keeping proper documentation helps streamline your operations, improves employee relations, and protects your practice from potential disputes.

However, it’s not always clear which specific documents dental practices should maintain.  That’s what I’ll outline in the remainder of this post. 

Below are the most important personnel records that every dental practice should maintain for staff and contract employees.

 

  1. Employee and Contract Worker Files

The foundation of your personnel records should be individual employee and contractor files. These should include essential information like:

  • Full name and contact details
  • Job title and responsibilities
  • Employment start date
  • Signed employment contracts or agreements
  • Salary or hourly pay rate
  • Work schedule and hours worked (for non-exempt employees)
  • Emergency contact information
  • For contractors, it’s important to keep their signed agreements that detail the scope of work, terms, and pay rates. This helps clarify the expectations and reduces confusion about the nature of the employment relationship.

 

  1. Licensing and Credentialing Documentation

For a dental practice, having licensed professionals is non-negotiable. Dental assistants, hygienists, and dentists are required to maintain active licenses and certifications. Keeping up-to-date copies of their licenses and credentialing documents is crucial for compliance with state and federal laws.

  • Dental licenses (both state and federal)
  • CPR certification
  • Specialty certifications
  • Continuing education records

Having these documents on file will also help in case of an audit or during regular compliance checks.

 

  1. Tax Documents

To remain compliant with tax regulations, you’ll need to maintain accurate tax documentation for both employees and contract workers. These include:

  • Form W-4 (for employees) or Form W-9 (for contractors)
  • Copies of pay stubs and payroll records
  • Annual W-2 forms for employees and 1099 forms for independent contractors
  • State and federal tax withholding information

These records will not only help during tax season but also safeguard your practice from IRS audits and inquiries.

 

  1. Performance and Disciplinary Records

Ongoing documentation of performance and any disciplinary actions is essential for managing employee relations. Performance evaluations help to provide constructive feedback, set expectations, and track employee development. Meanwhile, disciplinary records can help protect the practice if disputes arise.

  • Annual or bi-annual performance reviews
  • Notes from feedback meetings
  • Written warnings or disciplinary actions

These records are particularly important in case of termination, as they provide a clear paper trail that justifies the decision.

 

  1. Leave and Time-Off Records

It’s important to track the paid time off and other leave taken by employees, such as sick leave, maternity leave, and vacation days.

Having clear records of when employees are available ensures smoother operations and helps avoid staffing shortages. It also ensures compliance with labor laws that mandate time-off policies, such as the Family and Medical Leave Act (FMLA).

 

What Documents Should NOT Be Included in an Employee’s Personnel File?

Keep in mind that certain documents should not be kept in an employee’s personnel file to ensure confidentiality and compliance with legal requirements.

  • Medical records, for instance, should be stored separately due to privacy laws like the Americans with Disabilities Act (ADA) and the Health Insurance Portability and Accountability Act (HIPAA). These records include medical histories, doctor’s notes, and any information related to an employee’s health condition.
  • Pre-employment records (except for the application and resume) should also be excluded. This includes background checks, interview notes, and reference checks, which should be kept in a separate file to avoid any potential bias in employment decisions.
  • Anything related to worker eligibility, such as I-9 forms, copies of driver’s licenses, and Social Security cards, should be kept in separate files. This helps maintain the integrity of the personnel file and ensures that only relevant information related to job performance and employment history is included.

By keeping these documents separate, employers can better protect employee privacy and comply with legal standards, while maintaining an organized and efficient record-keeping system.

Wrapping it up…

So there you have it! By maintaining these essential personnel records, dental practice owners can ensure smooth operations, legal compliance, and a healthy work environment. Comprehensive documentation not only protects the practice but also helps cultivate a well-organized, motivated team.

Questions? We can help! Don’t hesitate to visit us at https://stacbiz.com/or call us at 844-424-9637

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