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Help Center - Personnel Files
Regarding personnel files, although there are requirements to keep certain documents, there are no federal or State regulations that require you to keep a "personnel file". This is typically done however because it's the easiest way to keep the records.
The Human Resources department will be responsible for personnel files and need to keep two files, one personnel and one medical. These must be separate because HIPAA (Health Insurance Portability and Accountability Act) and other laws require that you not give access to medical information except in certain situations. I-9 forms should be filed all together in one file. If our I-9's are audited, we do not want an auditor to have access to everything.
Remember, if a file is ever subpoenaed, it is required to give them every written, electronic etc record pertinent to the employee. This would also include any files the supervisor might be keeping, so there is no way to protect information from being acquired in a lawsuit.
Our policy allows our employees to access their personnel files with the exception of any references. We are unable to show the references if obtained, since we assure the reference of confidentiality. There is no requirement for this policy or for it to be documented. That is left up to the company.
There was a recent federal ruling that electronic files are acceptable for which we also have available.
As to contents, there are two checklists:
- Personnel Records To Keep
- College or school transcripts
- Discipline notices
- Employee classification (exempt or non-exempt)
- Copy of signed receipt with employee's signature acknowledging receipt and review of the employee
handbook
- Exit interview documentation
- Hire date
- Job or position description
- Job progression records including promotion, demotion, transfer, layoff, and rates of pay.
- Job Title
- Letters of recognition
- Performance evaluations
- Reference checks from hiring process
- Resume and/or employment application
- Termination records
- Test records used in job selection
- Training record
- W-2 form
- W-4 form
- Direct Deposit
- Offer Letter
- Personnel Records Not To Keep
- Arrest records
- Club memberships
- Comments about the employee's family
- Credit information
- Employees' off the job behavior
- Wage Garnishments
- INS Form I-9
- Litigation documents
- Medical/insurance records
- Notations of suspected but unsubstantiated negative instances
- Political affiliations
- Religious references
- Union records
*Click Here to view our Personnel Record Retention Policy Example.
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