Record Keeping and Compliance: Staying Organised and Protected

Maintaining records is not simply an administrative preference, in many areas of employment law; it is a practical necessity that supports an employer’s ability to meet statutory obligations and defend against claims. A disciplined approach to record keeping reduces an employer’s exposure and ensures that information is available when it is needed most.

The key principles that should govern record keeping in any organisation are accuracy, confidentiality, consistency, and security. Records must reflect the actual facts of the employment relationship, must be protected from unauthorised access, must be maintained in a uniform manner across the workforce, and must be stored in conditions that prevent loss, damage, or breach.

Record Retention

Employers should retain employment records for a period sufficient to cover the organisation’s likely exposure in the event of a dispute, audit, or regulatory enquiry. While T&T legislation does not prescribe a single universal retention period for all employment records, the following guidance reflects the practical risk exposure of most employers.

Record Type	Recommended Retention Period
Employee Files (active employees)	Duration of employment plus 7 years
Payroll Records	7 years from the date of the relevant tax year
Disciplinary Records	7 years from the date of the last recorded action
Health and Safety Records	7 years from date of creation
NIS Contribution Records	7 years from date of deduction

These periods align with the general limitation period applicable to civil claims and the requirements of the Board of Inland Revenue for PAYE and Health Surcharge records.

Confidentiality Requirements

All employee records are confidential and must be treated accordingly. Access should be restricted to those with a legitimate need, typically the HR function and, where appropriate, the employee’s direct line manager. Records must not be shared with third parties without the employee’s consent except where required by law, and they must be stored in locked physical cabinets or password-protected digital systems.

Document Control Log

For organisations with a higher volume of documentation, maintaining a document control log provides visibility over the currency and ownership of all HR records and templates. The following template should be updated whenever a document is created or revised.

Document Name	Version	Date Last Updated	Owner

Practical Insight: Disposal of Records Improper disposal of employment records is a risk that is frequently underestimated. An employee who discovers that their personal information was not securely destroyed may have grounds for complaint, and an employer who has disposed of records prematurely may be unable to defend a claim that arose after disposal. Records should only be disposed of after the applicable retention period has elapsed, and physical documents should be shredded rather than discarded in general waste.

HR Forms and Documentation Control

Standardised forms are an important component of a well-run HR administration system. When every manager completes a different version of a leave request, or when disciplinary meetings are documented inconsistently, the reliability of the HR record is undermined. Standardisation ensures that the same information is captured in the same format each time, making records easier to interpret and compare.

The core HR forms that every employer should have in use include leave request forms, disciplinary action forms, onboarding documentation, performance review forms, and exit interview records. Each form should carry a version date so that outdated versions can be identified and withdrawn from circulation.

The document control log should be used to track all live HR templates and forms, recording the current version, the date of the most recent update, and the person responsible for maintaining it. This prevents multiple versions of the same form from being used across different departments.

Tip: Version Control Each HR form should carry a version reference and effective date in its footer. When a form is updated, the previous version should be archived rather than deleted, as historical records completed on earlier versions remain valid. Communicating form updates promptly to managers reduces the risk of outdated documents continuing in use.