What is the purpose of keeping personnel files?
Employers should maintain personnel records (1) in order to have a written record of employment-related decisions; and (2) to comply with various government recordkeeping requirements.
Where should personnel files be kept?
Personnel records should be kept in a secure location, such as locked file cabinets. Original records should never be removed from the employer's premises, even briefly.
May employees review their personnel files?
Employees should be permitted to review their own files, upon request, in the presence of an authorized representative of the employer. Since the personnel file should not contain any evaluative document that the employee has not seen (and preferably signed), there should be no "surprises" if an employee reviews his or her file. Employees who feel that their files are incomplete, inaccurate or misleading should be permitted to request amendment of the records. If the request is denied, the employee should be permitted to place a written statement of disagreement in his or her file.
Who else is permitted to see the employee's personnel file?
To protect the employee's privacy, others are permitted to review an employee's record only on a strict "need to know" basis. An employee's supervisors generally need access to performance documentation. Other staff members may need to review certain parts of the personnel file in order to perform their job duties (e.g., filing, payroll, benefits administration).
Personnel file information may be disclosed with the employee's authorization, such as to verify employment in connection with a loan application or to give a reference to a prospective employer.
Records must be disclosed if they are subpoenaed in litigation or requested as part of a government investigation (e.g., by the EEOC in a discrimination case).
Persons to whom personnel records are disclosed are required to keep the information confidential and use it only for authorized purposes.
What types of employee information should be kept by an employer?
Employment records should contain at minimum:- Employee name, current address, phone numbers, social security number, emergency contact information.
- Hiring documents (application or resume, interview notes, results of reference checks, verification of credentials such as teaching certificate or academic degree, criminal background check results if applicable).
- Job description.
- Payroll and fringe benefit documentation.
- Tax forms, immigration forms (W-2, W-4, I-9), etc.
- Performance reviews.
- Disciplinary actions, including supporting documentation (e.g., complaints from third parties).
- Annual appointment letters or contracts (if the employment is not "at will").
- Documentation of changes in employment status (e.g., change to full or part-time, promotion, transfer, resignation, termination)
Some employee information such as medical information may not be kept with the personnel file but must be maintained separately (with more limited access) as required by law.
Supervisors may wish to keep their own notes throughout the year as a personal memory aid in preparing for the annual performance evaluation. These personal notes, which need not be shared with the employee, should be discarded when they are no longer needed (e.g., after the written evaluation is completed). Such notes would not become part of the employee's personnel file unless they are shared with the employee and maintained by the employer.
How long should personnel files be kept?
Personnel files should be maintained for all employees for at least the entire period of employment (and longer in some cases). In particular, employment records should never be destroyed or "purged" because of a change in leadership. It is essential for a new administrator to have complete, accurate personnel records regarding employees. Furthermore, records should never be destroyed or "purged" if they may be relevant to a pending or threatened legal action or government investigation, or if there is an outstanding request to review the records.
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