Stores Excellence Worksheet
Stores Mission Statement
St. Vincent DePaul Thrift Stores throughout the United States are mutually formed in an association of lay employees and volunteers dedicated to
serving our needy sisters and brothers.
All who come to our Stores are welcomed with dignity and respect. Our hope is they leave as friends and return to shop with us again.
Those who cannot afford the clothing, furniture and other household items are provided them through a Vincentian referral system.
Customers, employees and volunteers are treated equally without regard to race, color, creed, age, sex or national origin. All, including the
disadvantaged, handicapped and persons with special needs, are employed so that we may all benefit from the talents and abilities of everyone
seeking employment.
Serving Christ's needy is the primary goal of all St. Vincent DePaul Stores. In this ministry, we pledge to use sound business practices. Surplus
funds will be dedicated to the support of Parish Conferences and charitable causes of the Society approved by our Councils and Boards of
Directors.
April 2014
Society of St. Vincent de Paul
1
Focus Area
Mission
Standard of Excellence
 Methods of operation are in
keeping with the goals of the
Catholic Church and the
Society of St. Vincent
DePaul.
Recommended Practice
 Conduct an ethics audit or selfevaluation annually
 Review store practices versus mission
 Employees and volunteers attended
orientation on the history and mission
 Signage pertaining to the mission clearly
visible
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
Align store with the National
Council and Strategic Plan
Focus Area
Governing Group /
Leadership
Standard of Excellence
 Body of governance is in
place to set policies and
procedures for the
management of the
operation.
Focus Area
Financial / Legal
Standard of Excellence
 Practice sound financial
management
April 2014
Attend National Meeting and available
training and sharing of “Best Practices”
provided by National Stores Committee
Recommended Practice
 Body of Governance has authority to set
policies and practices of the store
operation and assure they are carried
out. Assures adherence to the mission.
 Body of Governance meets on a regular
basis to review store operations.
 An Advisory Committee available that
has members with professional
expertise.
 Store representative attends meetings
 Operation has an ongoing strategic plan
 Provide annual budget and reviews on
periodic basis
 Financials are reviewed periodically
(monthly by Advisory Committee and at
least quarterly by Body of Governance)
 Provide Annual Stores Reports
 Pays solidarity dues
Recommended Practice
 Annual audit/review by independent and
qualified entity
 990 Forms are completed and submitted
by store or controlling legal entity
 Comply with legal and regulatory
requirements (Local, state and
federal laws including fund raising,
Society of St. Vincent de Paul
Mission / Goals Achieved?
Mission / Goals Achieved?
Mission / Goals Achieved?
2
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Focus Area
Facility/Vehicle/Eq
uipment
Operations

Standard of Excellence
Recommended Practice
Ensure building safety /
maintenance
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Equipment and Vehicles

Disposal Practices
Operators trained on equipment safety
procedures (forklift, baler, trash
compactor)

Assure all hazardous waste is handled in
accordance with local, state and federal
requirements
Assure there is a recycling practice in
place to minimize waste to landfills
Seek out ways to sell scrap material to
increase revenue

Business
Operations
April 2014
Standard of Excellence

Consumer Product Safety
Commission
Recommended Practice

Mission / Goals Achieved?
Structural, interior and grounds
maintained
Inspections including fire extinguishers,
exit signs, compactor etc.
Cleaning schedule in place and staffed
ADA requirements
Life Safety Standards
Develop and maintain a Checklist of items
required to be checked
Organization Safety Manual
Develop and maintain a Checklist of items
Hold periodic Safety meetings
Emergency evacuations in place
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Focus Area
licensing, financial accountability,
document retention and HR. Periodic
reviews of compliance)
“Whistleblower” Policy in place
Internal financial controls (deposit
reconciliation, checking writing policy,
disbursement of funds)
Mission / Goals Achieved?
In compliance with CPSC standards,
staff trained on recognition of items and
reference available
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Competitive Pricing and
Policies
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Conducts competitive shopping regularly
Compare store operation to “Best
Practices” in the other thrift store

Merchandise Quality Control

Standards in place and reviewed on
regular basis

Manage inventory levels and
space allocation

Replenishment Standards in place and
space dedicated appropriately

Risk Management / Loss
Prevention

Policies in place and procedures
followed to identify and stop loss

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Marketing
Annual marketing plan for merchandise
and donations

Customer Relations /
Customer Service

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Customer Satisfaction survey conducted
Customer Service Training for
employees, volunteers
Practice in place for resolution to
customer issues or concerns
All customer / donor complaints are
handled quickly
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Guiding Elements
Human Resources
Detail
Recommended Practice

Consistent position
descriptions

Position descriptions are in place for
Store Committee, General Manager,
Store Manager and Assistant Manager
and all employee positions

Policies to address both paid
employees and volunteers
which are fair, establish clear
expectations and provide
meaningful and effective
performance evaluations

Policies to include working conditions,
employee benefits, vacation, evaluation,
supervision, hiring and firing, grievance
procedures, training, advancement
opportunities, confidentiality, retaliation,
discrimination, sexual harassment, and
records retention
Employee Handbook read, understood
and signed by employees. Updated
every two years, reviewed and
distributed, to staff with sign off
completed
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April 2014
Society of St. Vincent de Paul
Mission / Goals Achieved?
4
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Commitment to Orientation
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Regularly monitor satisfaction
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Hiring and firing

Solicit and act upon employee and
volunteer feedback

All open positions are posted internally
prior to outside recruitment
Interview process established including
questions asked, review of expectations
and job description
A progressive disciplinary process and
practice in place prior to releasing an
employee
Create and communicate performance
counseling process
Annual performance reviews of all staff
90 day new employee prohibition period
with 30 and 60 day reviews
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April 2014
Orientation to include review of mission,
service training, policies and procedures
and position description. Copies of
personnel policies should be provided
and acknowledged with receipt in writing
Training provided for appropriate
responsibilities
Filing employee forms with State and
Federal in conformity with governmental
regulations

Compensation

Fair and Just Wage
(Excerpt of SVDP Position Statement
(2001) The Voice of the Poor Committee
recommends to Councils throughout the
United States that they investigate and
implement a just wage for all employees.
The just wage is defined as a salary that
will allow workers to at least earn more
than the poverty level in their city; should
be commensurate with other employers
in similar industries; and recognizes the
dignity and respect that should be
accorded to all workers.)

Regular Communication and
Meetings held

Open employee communication
including frequent staff meetings and
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Guiding Elements
Donations
Collection / Fund
Raising

Recognition Program
established for service and
performance
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Monthly and annual program created
Any additional bonus incentive is
awarded as team effort, with all able to
participate
Detail
Recommended Practice
Donations are the lifeblood of
the stores.
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April 2014
consistent “open door” policy
Short 5-10 minute “huddle” meetings
held daily with staff
Monthly meetings including store
progress and performance and how it
relates to SVDP’s mission
Mission / Goals Achieved?
Aggressive donation collection policy in
place and regularly look for new
opportunities to find additional goods.
Donations are acknowledged and tax
receipt provided
Policy in place on goods that are and are
not accepted
Donations are accepted gratefully,
gracefully and handled respectfully.
Utilize special events to develop new
donors.

Compatible with ability of
organization

Fund raising should not compromise the
programs and activities of the stores

Fund raising policies
consistent with mission

Each opportunity must be measured
against the mission

Reflective solicitation and
promotional materials

Materials must be accurate and indicate the society,
the mission and the intended use

Respectful of donor’s interest

Donor’s intent should be identified and
honored

Considerate Solicitation

Solicitation should not be excessive

Policies that dictate acceptance and
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Policies to govern
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Guiding Elements
Community
Involvement and
Public Relations
Guiding Elements
Special Works
Detail
Recommended Practice

Provide information about the 
society, mission and programs

Be accessible to those who
express interest
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Work to improve the
community
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Detail
Vincentian referral system.
Standard of Excellence
Building identified with both St. Vincent de
Paul and national logo. Mission posted in
store.
Store Communications to local
Community, Members, Volunteers,
Donors and Customers
Builds and maintains trusting and
productive relationships with parish
conferences, Councils and other agencies
in the community
 Encourage board, staff and volunteers to
join in community needs
 When appropriate, there is store
representation at local community events
Recommended Practice
Standard of Excellence
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April 2014
disposition of charitable gifts
in-kind donors are acknowledged and
converted to future cash donors
Communicates Best Practices and shares
with other Councils
Measures and evaluates the results and
effectiveness of Special Works and/or
programs
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Our management team is looking
forward to having you as one of
our Store Team members. As
such, we take pride in looking out
for each other, and all of our
customers each and every day.
This booklet consists of three
parts:
1. Safety topic review
2. “Walk-around-the-store”
orientation checklist
3. Retail safety orientation test
and answer key
Below is a list of the safety topics that will be
discussed during your safety orientation.
The “Safety topic review” provides an outline
and discussion points, by topic, for a formal sitdown orientation session.
The topics include the following:
B.
C.
D.
E.
F.
G.
H.
General sales floor safety
Equipment and tools
Safety regulations
Back safety
Prevention of slips, trips and falls
Personal hygiene
Safety program
The “Walk-around-the-store orientation
checklist” is designed to be used by Store
Management or their designee to introduce new
Associates to safety in the store environment by
touring the store with a Member of Management
or an experienced Associate. This allows much
of the “sit-down” safety orientation training to
be viewed and understood under real store
conditions. Upon completion of the checklist,
the form should be signed and dated by Store
Management, or their designee, and the
Associate. This form can be included in the new
Associate’s personnel file.
The “Retail safety orientation test and answer
key” provides ten questions regarding
information covered in
the “sit down” and
“walk around” store orientation sessions. In
addition this test provides a record for the
Associate’s personnel file.
A. Office safety
April 2014
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Box cutter

Know how to operate and use the store box cutter

Always cut away from yourself

Always close the blade when not in use
Ladders
A. Office safety
Accidents and injuries can occur in the office. Below
are a few tips to keep you and other Associates from
being injured.

Choose the right ladder for the job

Never leave a ladder unattended on the sales floor

Conduct a visual inspection of a ladder to
determine if ladder can be safely climbed

Adjust office chairs to allow the best sitting
posture (back straight and feet flat on the floor)

Stand on the first step to determine if ladder can
adequately support you

Adjust keyboards to allow your wrist to be
straight or in the neutral position, and adjust
monitors to be at eye level with the screen

Always maintain 3-point contact with the ladder, 2
legs and 1 hand or 2 hands and 1 foot.

Observe the condition of electrical cords,
extension cords and surge suppressors. Report
any damage to Store Management

Properly store the ladder after use

Do not allow customers to use ladders (only
qualified Associates)

Observe for cords that cross in front of doorways
and walking areas. Report these conditions to
Store Management
Compactors

Operate only after instruction has been provided
by Store Management

Associates under 18 are not permitted to operate
a compactor

Be sure to engage all safety switches prior to
activating the machine
There are many areas within a store. Below are a few
things to keep in mind while working on the sales floor.

Do not enter the hatch leading to the compact
chamber for any reason
•
Make sure the entrance area is clean and orderly

•
Make sure mats are laying flat and are not
damaged
Maintenance is provided by authorized personnel
only

•
Aisles should be clear and accessible at all times
•
Fire exits should be clear and accessible at all
times
•
Display racks and shelves should be full and
sturdy
•
All lights should be in good working order
•
Electrical outlets should have safety covers
•
Ceiling signs should be securely attached to the
ceiling grid
•
Clothing racks should be full and stable
•
Changing rooms should be clean and accessible
•
Fire extinguishers should be hung and the gauge
should be in the “green” zone
•
Know where the first aid kit is located in the store
•
Know how to access the janitors closet or storage
are

Observe mats and carpets for tears and curled
edges. Report these conditions to Store
Management

Never enter a room without turning on the light
B. General sales floor safety
C. Equipment and tools
April 2014
If this equipment has a lockout device or tag
attached,
DO NOT REMOVE and DO NOT ATTEMPT TO
OPERATE
Baler

Operate only after instruction has been provided
by Store Management

Associates under 18 are not permitted to operate
a baler

Be sure to engage all safety switches prior to
activating the machine

Be aware of the size and weight of the bale that
will exit the machine

Be sure all wires are securely attached.

Maintenance is provided by authorized personnel
only

If this equipment has a lockout device or tag
attached,
DO NOT REMOVE and DO NOT ATTEMPT TO
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9
OPERATE
Conveyors

Operate only after instruction has been provided
by Store Management

Do not sit, stand, lay on or climb under this
equipment at any time

If this equipment has a tag and/or lock, DO NOT
REMOVE and DO NOT ATTEMPT TO OPERATE

Maintenance is provided by authorized personnel
only
Lift platforms

Operate only after instruction has been provided
by Store Management

If this equipment has a tag and/or lock on this
equipment, DO NOT REMOVE and DO NOT
ATTEMPT TO OPERATE
Maintenance is provided by authorized personnel
only


Do not access the area beneath the platform

Stay away from platform edges without handrails
Dock plates (manual and automated)
Powered equipment

Operate only after instruction has been provided
by Store Management

Familiarize yourself with the various types of
powered equipment in the store (ex. forklift, floor
scrubber, motorized pallet jack, motorized
shopping cart retriever)

Know how to identify licensed operators of this
equipment

Operate or use only after instruction has been
provided by Store Management

Manual dock plates are heavy. Call for assistance
to lift and move into place
D. Safety regulations

When putting dock plates in place be cautious not
to drop plate on your legs and feet

Know the location of Material Safety Data
Sheets(MSDS)

Make sure dock plates are evenly placed onto
trailer floor and building floor

Storage bottles should be marked with the
contents

Automated dock plates require training prior to
use

Familiarize yourself with the location of the
“cleanup” closet and associated tools
Lockout/Tagout
Dock locks (manual and automated)
• Operate only after instruction has been
provided by Store Management
Pallet jacks

Hazard communication
Operate only after instruction has been provided
by Store Management

Be sure equipment is in good working order

Pallet jack is designed to be pulled vs. pushed

Only use this equipment after instruction has been
provided by Store Management

Equipment that has been tagged as “out of service”
should not be used

Report any Associate or Vendor attempting to
operate “tagged” equipment to Store Management

Electrical controls, circuit breakers or circuit
panels having attached locks should not be
removed

Any questions on locked or tagged electrical,
pneumatic, or hydraulic equipment should be
forwarded to Store Management
Bloodborne pathogens

April 2014
Bloodborne pathogens are disease causing
organisms found in blood and body fluids
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
Common Bloodborne Pathogens are HIV, Hepatitis
B and Hepatitis C


HIV can attack your immune system and destroy
your ability to fight infection


Hepatitis B and C are viral infections that affect
the liver

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Protect yourself by using disposable latex or vinyl
gloves when dealing with blood or body fluids
Make sure you cover cuts or skin abrasions on your
hands with bandages before putting on gloves
When removing gloves, peel one glove from the top of
the wrist to the fingertips, then hold it in the gloved
hand; with the exposed hand, peel the other glove off
tucking the first glove inside the second
Never touch the outside of the gloves with your bare
hand
After removing the gloves, wash your hands
thoroughly with a non-abrasive soap and water.
Rinse and dry with a clean towel
If you think you may have been exposed to HIV, HBV,
or HCV, do not panic. Notify Store Management
immediately
Remember, being exposed to infectious material does
not automatically mean you are infected
Personal protective equipment (PPE)
 Specific tasks or jobs in the store require PPE to be
worn to protect you from injury when working
 PPE consist of safety glasses, gloves, knee pads, shoe
wear, respirators or dust masks. Additional or other
PPE can
be required
 Damaged PPE should be reported to Store
Management 


Fire prevention
Be aware and report any conditions or hazards that
could cause a fire in the store
Keep all walkways and fire doors clear and
accessible
Clear any cardboard or paper products away from hot
April 2014
surfaces or heating equipment
Smoking is prohibited in the store. Exceptions are
permitted if approved by the Authority having
Jurisdiction, such as the local Fire Marshall
Report any vandalism in or around the store to Store
Management Fire extinguishers
Operate only after instruction has been provided by
Store Management
Notify Store Management of a fire and its location,
and Store Management will call 911
If the fire is small and containable, it may be possible
to put the fire out using a fire extinguisher
There are five classes of fire
 Wood or paper
 Flammable or combustible liquids
 Electrical fires
 Metal fires
 Kitchen fires Remember the word PASS if you need to, and who has
been trained to use a fire extinguisher
PASS:
 Pull the pin
 Aim the nozzle at the base of the fire
 Squeeze the handle
 Sweep from side to side keeping the nozzle
pointed at the base of the fire
First Aid
 If you discover an Associate or Customer has been
injured, notify Store Management who will
immediately call 911
 Observe the area where the injured person is
located
and try to identify a cause for the injury (ex.,
fell off ladder, has a severe cut due to broken glass,
heart attack, has a burn, etc.)
 Do not attempt to render any first aid care to the
injured person
 If the person is severely hurt or unconscious, do not
attempt to move the person, unless the person’s life is
in danger
 Clear the area and wait for the emergency responders
E. Back Safety
Stocking, unloading trailers, and moving merchandise can
cause pain in your back. Use the following techniques to
prevent back injury.
 Stretch and loosen up your muscles before starting an
activity
 When lifting or moving boxes, utilize the following
steps:
 Get as close to the load as possible
 Place your feet about a shoulder-width apart, and
place one foot slightly ahead for balance
 Bend your knees over your forward leg, keeping
your back straight
 Always squat with yours legs and avoid forward
bending
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
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



Get a firm grip on the load, using your palms,
and let your legs do the lifting
 Legs are the largest muscle in your bod, so use
them to lift
 Exhale as you lift; that will relax your back
muscles
 Keep the load close to your body
 Plan your path of travel
 Lower the load with your legs and release
Another technique is to use the bridging technique. It
can be used when reaching across a counter or table
surface. Place one hand on a stable surface while
using the other hand to lift or move an object
If the load is too heavy, ask another Associate for
assistance
If the load is too heavy for a 2-person lift, consider
removing a few items from the container and moving
them separately
Use a dolly, hand truck, or cart to move heavy items
For very heavy items ask for assistance from a
qualified and licensed powered equipment operator
(forklift, motorized pallet jack, etc.)
 Report to Store Management immediately any unsafe
acts or conditions observed within the store that
could cause an injury to a store Associate or
Customer
F. Preventing slips, trips and falls



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


Slips occur when there is too little friction or traction
between your feet and the walking surface
The most common causes of slips are wet surfaces,
spills, worn shoe soles, and inclement weather
conditions
Snow and/or sleet should be cleared from parking
lots, outside store walkways and ramps
During inclement weather (rain, snow, sleet) mats
should be positioned at door thresholds leading into
the store
Damaged mats should be reported to Store
Management
Disposable, plastic umbrella bags should be
positioned at each door leading into the store from
the outside during inclement weather
Keep merchandise off the floor to prevent trips and
falls • Look out for damaged fixtures and displays.
Report to
Store Management if any repairs are needed
•
Report torn carpet or damaged tile to Store
Management • Know the proper procedures to clean
up a spill
Personal hygiene
 Wash your hands frequently
• Wash your hands
before preparing food, eating, smoking, applying
makeup or handling contact lenses
 If you have a cold and are coughing and sneezing,
wash your hands frequently
H. Safety program
 Participate in Store Safety Committee
 If you see broken equipment or fixtures, or notice a
hazard that could cause an injury, report it to Store
Management and the Safety Committee
April 2014
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12
Store Surveyed
Store Address
FIRST AID AND EMERGENCY
□ First Aid station provided
□ First Aid supplies adequate
□ Certified First Aides available
□ Emergency numbers posted-Location known
RECORD KEEPING AND POSTERS
□ State/Federal Injury Records Maintained
□ Copies of supervisor's accident/injury reports
□ Safety activities documented
□ Emergency plan established and posted
FIRE PREVENTION AND PROTECTION
□ Sprinkler valves locked in open position
□ Stock kept at a minimum of 18" from sprinkler
heads and heater units
□ No smoking signs posted-enforced
□ Employee smoking areas designated
□ Fire extinguishers mounted-accessible
□ Extinguisher locations identified
□ Extinguishers adequate-type and number
□ Extinguishers inspected-tagged
□ Employees trained to use fire protection
equipment (extinguishers)
□ Fire extinguisher records of service,
maintenance and recharging
□ Fusible links in sprinkler heads and fire doors
free of paint
□ Incinerator provided a Class B fire wall and
door (fusible link on door)
□ Incinerator or compactor area free of
combustibles and hazardous materials
□ Electrical panels accessible-labeled
□ Proper size fuses (if fuse-type)
□ Extension cord use held to a minimum and
only as a temporary measure
□ All electrical wiring installed in accordance
with codes
□ Compressor room free of combustibles Waste
cans of a noncombustible material and
provided covers
□ Flammable liquids-approved containers
□ Noncombustible enclosure-self closing doorboiler or furnance room
□ Heat buildup areas clear of combustibles
(heaters, appliances, etc.)
□ Final Building check at closing
□ General housekeeping
EMPLOYEE SAFETY
□ Electrical equipment-tools grounded
□ Sufficient lighting stairs-work areas
□ Hand and power tools inspected
April 2014
Date
□
□
□
□
□
□
Non-exit doors marked-not an exit
Ladders in good condition-safety feet as
needed
Broken glass, metal bands, sharp objects
removed from storage and work areas
Instructions provided for proper lifting
Metal conveyors properly stored
Trucks-trailers chocked during unloading
WAREHOUSE OPERATIONS
□ Aisles clear and well marked
□ Storage conditions consistent with good
warehousing practices
PARKING LOTS-SIDEWALKS-RAMPS
□ Sufficient lighting
□ Surfaces free of holes, trash, snow
□ Obstructions well marked
□ Parking areas, travel lanes marked
□ No Parking emergency areas identified
□ Cart stalls-regular collection
GENERAL CONDITIONS-STORE
□ Automatic doors operate properly (rate of
closing, travel area)
□ In-out decals on automatic doors
□ Door mats in good condition
□ Bubble gum machines, paint mixers, key
machines, etc. secured against tipping over
□ Cash registers, kiddie rides, water coolers
adequately grounded
□ All free standing displays at least 48" high
□ Shelve stocking regulated to eliminate tripping
hazards (boxes)
□ Wall and overhanging displays secured
□ Shelf displays arranged to prevent stock being
knocked from shelves
□ Shopping carts in good condition-inspected for
loose or bent wheels, sharp edges
□ Defective carts removed from service
□ Emergency cleanup procedure used
□ General sweeping program effective in
keeping aisles clear of debris-slipping hazards
□ Displays, counters, floors free of loose mats,
carpets, projecting metal strips, sharp edges
□ Exits clearly marked by illuminated signs
which are visible throughout the store
□ Emergency lighting in good operational
condition-Records of monthly check (if battery
units)
□ Employees trained in how to handle an
accident-involving the public
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Comments on Unsatisfactory Conditions Noticed
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RECOMMENDED CONTENTS OF PERSONNEL FILES
1) Employment
a) Request for application
b) Employee's original employment application
c) Prescreening application notes
d) College recruiting interview report form
e) Employment interview report form
f) Education verification
g) Employment verification
h) Other background verification
i) Rejection letter
j) Employment offer letter
k) Employment agency agreement if hired through an agency
l) Employee Handbook acknowledgment form showing receipt of Handbook
m) Checklist from new employee orientation showing subjects covered
n) Veterans/Disabled self-identification form
o) Transfer requests
p) Relocation offer records
q) Relocation report
r) Security clearance status
2) Payroll
a) W-4 Form
b) Weekly time sheets
c) Individual attendance record
d) Pay advance request record
e) Garnishment orders and records
f) Authorization for release of private information
g) Authorization for all other payroll actions
3) Performance Appraisals
a) New employee progress reports
b) Performance appraisal forms
c) Performance improvement program records
4) Training and Development
a)
b)
c)
d)
e)
f)
Training history records
Training program applications/requests
Skills inventory questionnaire
Training evaluation forms
In-house training notification letters
Training expense reimbursement records
5) Employee Separations
a) Exit interview form
b) Final employee performance appraisal
c) Exit interviewer's comment form
d) Record of documents given with final paycheck
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6) Benefits
a) Emergency Contact Form
b) Medical/Dental/Vision coverage waiver/drop form
c) Vacation accrual/taken form
d) Request for non-medical leave of absence
e) Retirement application
f) Payroll deduction authorizations
g) COBRA notification/election
h) Hazardous substance notification and or reports
i) Tuition reimbursement application and or payment records
j) Employer concession and or discount authorization
k) Annual benefits statement acknowledgment
l) Safety training/meeting attendance/summary forms
7) Wage/Salary Administration
a) Job description form
b) Job analysis questionnaire
c) Payroll authorization form
d) Fair Labor Standards Act exemption test
e) Compensation history record
f) Compensation recommendations
g) Notification of wage and or salary increase/decrease
8) Employee Relations
a) Report of coaching/counseling session
b) Employee Assistance Program consent form
c) Commendations
d) Employee written warning notice
e) Completed employee suggestion forms
f) Suggestion status reports
1) WHAT SHOULD NOT BE IN A PERSONNEL FILE
a) Medical Records
i) Physician records of examination
ii) Diagnostic records
iii) Laboratory test records
iv) Drug screening records
v) Any of the records listed above in the discussion on HIPAA
vi) Any other medical records with personally identifiable information about individual
employees
b) Investigation Records
i) Discrimination complaint investigation information
ii) Legal case data
iii) Accusations of policy/legal violations
c) Security Clearance Investigation Records
i) Background investigation information
ii) Personal credit history
iii) Personal criminal conviction history
iv) Arrest records
d) Insupportable Opinions
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i) Marginal notes on any document indicating management bias or discrimination (e.g.:
"This guy's too fat. He'd never make it," or "She's too old for this job.")
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