Employee lawsuits often use personnel files as evidence of wrongdoing by employers. Among the critical record-keeping issues involving personnel files are what to include in the typical employee file, when separate files (medical, IRCA, etc.) should be maintained, and how long to retain the wildly different types of information in personnel files.
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FAQs about organizing personnel files
1. What guidelines should we follow when setting up and organizing personnel files?
"Personnel records" are records kept by an employer about an employee's qualifications for employment, promotion, transfer, additional compensation or disciplinary actions.
Note: A personnel record may not include personal information about another person.
Employees' medical files should be kept separate from their personnel files. This includes medical certifications, doctor's notes, requests for family or medical leave, results of medical exams, and the like. Medical files should be kept under "lock-and-key," with access granted to only those who have a legitimate business need-to-know.
I-9 documentation also should be kept separate from employees' personnel files. Although keeping I-9s separate is not a legal requirement, it is a good practice. Reasons: In the event of an audit, government officials will not have access to personal employee information. Not only that, but it will make it easier for you to extract the information when the government asks for it.
Keeping I-9 and EEO-1 forms apart from personnel files also limits unnecessary access to citizenship, national origin, race and other protected information.
2. What type of information is typically kept in an employee personnel file?
Here is a list of general information that usually goes into a personnel file. Note that there are no laws requiring that you keep personnel files, per se, but federal, state and industry-specific laws may require certain types of documentation to be retained.
- Personal information, including name, address, Social Security number, date of birth and education
- Job application and résumé
- Licenses or certificates needed for the job
- A signed handbook receipt or employment contract
- Attendance and leave records
- Payroll records
- Performance appraisals, commendation letters, merit awards
- Disciplinary records
- Job description, title, location and schedule
- Records related to promotions, transfers, layoffs or termination (including exit interviews)
- Safety and accident reports
- Emergency contact information
- Company-provided training and education records
- Fringe benefit information, such as name of insurance provider and pension plan participation
- Grievance records
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3. How long must employers retain employee personnel records?
A good record-keeping system depends on knowing what to get rid of, and when. Reasons: The more you keep, the more likely information will fall into the wrong hands; records take up space and administrative effort; you can reduce the risk of superfluous or obsolete records being seen in the wrong light and used against you.
BUT, disposing of some records too early could not only be against the law, but you could also find yourself in trouble if you need them to defend against claims in court, or comply with a court order or agency investigation.
Federal or state statutes typically dictate record-keeping retention requirements.
4. A former employee is demanding that we send her personnel file to her. Do we have to?
Even if your state has a law giving former employees the right to access their personnel files, no law requires an employer to send the complete file. Typically, the individual would be allowed to view the file on the company's premises and to make copies of documents, which often can be at the individual's expense. If your state does not have a law, or the law does not address former employees, then it is up to you whether to give the ex-employee access and under what conditions.
What's up? Docs!
…over 250 of 'em, packed onto the single CD that brings you the entire HR Forms & Documents Library. Take a glance at the Table of Contents to see how comprehensive your library will be: - Benefits. Including dozens of documents on COBRA, ERISA, FMLA, HIPAA and more.
- Discipline and Performance Issues. Absenteeism, employee attitudes and complaints, performance appraisals (27 documents here alone), substance abuse and theft.
- Discrimination. ADA, ADEA, EPA, sexual harassment, Title VII and discrimination based on national origin, race, religion and sex.
- Hiring. Includes background checks, conviction records, employee orientation, applications, contracts, the Fair Credit Reporting Act, the Immigration Reform and Control Act (IRCA), interviewing, pre-employment testing, job listings, references and how to respond to applicants.
Leave. This subject has gotten tricky. We help you cope with general leave, FMLA and the Uniformed Services Employment and Reemployment Rights Act (USERRA).- Payroll and Compensation. Management of payroll, expense reimbursement, compensation and independent contractors (be careful with that last one or you risk big fines and legal damages).
- Record-keeping Documents. This section tells you what you're required to keep, then helps you do it, from the company property checklist to an employee's request to inspect a personnel file.
- Termination. There's plenty of HR tension around this subject. Reduce it with proper documentation on notifications, reductions in force, layoffs, releases, procedures and exit interviews. Also, employment at will, an important right you and your organization need to protect.
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