Personnel Files Overview and Sample File Policy
Here's What You Need to Know About the Contents of Personnel Files
A personnel file is an employers’ saved documentation of the history and status of the entire employment relationship with an individual employee. The employer maintains this employment documentation in a personnel file for three reasons.
- As an employer, you want to have accurate information handy and organized when you need access to the information for any reason. Changes in emergency contacts, employee addresses, keeping track of performance evaluations, disciplinary letters, employee recognition, and employment application materials are examples of the kinds of information that the employer will want to be able to quickly access.
- The employer needs to retain documentation about personnel issues such as employee selection, performance, work history, compensation rationale, and internal promotion applications, to name just a few. An EEOC claim, a lawsuit or even the need to justify the lack of a raise or promotion to an employee require that the employer has collected and retained this type of employee documentation.
- Some employee records are required by Federal or state governments for employers to keep. Organizing the employee information in a personnel file makes sense for access and legal compliance and readiness.
Types of Personnel Files
An employer generally maintains several types of personnel files, for business use, for employee confidentiality, for medical privacy, and for legal compliance. No law exists that says how many files an employer is required to keep—some laws do cover employee access to files and other personnel file related practices.
However, there are many laws, and there are personnel best practices for employee confidentiality, that govern the content of personnel files and who has access to that information. These are the personnel files that most employers in the US maintain. (Worldwide laws and practices may differ.)
- Personnel File: This is the main employee file that contains the history of the employment relationship.
- Payroll File: You want to maintain a separate file for all payroll issues regarding salary and benefits. You do not want to give your payroll staff access to personnel information.
- Employee Medical File: The federal Health Insurance Portability and Accountability Act of 1996 (HIPAA) requires employers to protect employee medical records as confidential. Many employers keep these files locked in a file drawer in a locked closet.
- I-9 Employee Forms: You need to maintain a separate file for all employee (not per employee) I-9 forms since you don't want government employees, who are authorized to check these forms under a variety of circumstances, looking through your main, confidential employee personnel files.
Employee Access to Personnel Files
Employees are allowed access to their employee personnel files under the guidance and supervision of Human Resources staff. Employee personnel files are considered to be the property of the employer who has the responsibility to maintain them and safeguard them.
Sample Personnel File Policy
Following is a sample personnel file policy for use in your company. It discusses the various files that are recommended and who should have access to each file.
Sample Policy About Personnel Files
The Company maintains three employee files for each employee.
A personnel file is maintained for each employee of (Your Company Name). These personnel files contain confidential documents and are managed and maintained by the Human Resources staff.
Access to this file is limited to HR staff and assumes that each employee's manager maintains his or her own file with documents relevant to the employee's work performance.
Typical documents in a personnel file include the employment application, a family emergency contact form, documented disciplinary action history, a resume, employee handbook and at-will employer sign off sheets, current personal information, and written performance evaluations.
Not all personnel files contain the same documents but each personnel file has some documents that are the same.
Payroll files are also maintained; payroll files contain a history of the employee's jobs, departments, compensation changes, and so on. Access to the payroll file is limited to the appropriate accounting and HR staff.
Employee Medical File
An employee medical file is also maintained. The contents of the medical file are not available to anyone except Human Resources designated staff and the employee whose records are retained in the file. At Your Company Name), medical files receive the highest degree of safe storage and confidentiality.
Viewing Employee Files
An employee may view his or her personnel file by contacting a Human Resources staff person during normal business hours. HR staff will schedule an appointment during which the employee can view the contents of their file. No employee may alter or remove any document from his or her personnel file which must be viewed in the presence of an HR staff person.
Questions or Concerns About Personnel File Contents and Access
If you have questions or concerns about the contents of the recommended files or your ability to access them, please contact a member of the HR staff,
Disclaimer: Please note that the information provided, while authoritative, is not guaranteed for accuracy and legality. The site is read by a world-wide audience and employment laws and regulations vary from state to state and country to country. Please seek legal assistance, or assistance from State, Federal, or International governmental resources, to make certain your legal interpretation and decisions are correct for your location. This information is for guidance, ideas, and assistance.