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Writer's pictureKerri Straw, PHR/SHRM-CP

The Importance of Maintaining a Clean and Compliant Personnel File




As an employer, maintaining accurate and compliant personnel files is not just a matter of good practice—it’s a legal necessity. Personnel files are essential for documenting employment history, performance, and other key aspects of an employee’s time with your organization. However, what goes into these files, and how they are maintained, can have significant implications, especially when employees or former employees request access to them.

 

 What Should Be in a Personnel File?

 

A general personnel file should include only job-related documentation that reflects an employee’s performance, skills, abilities, and behavior. Items such as hiring records, performance reviews, disciplinary actions, and job descriptions are crucial. These documents provide a clear history of the employee's role and performance, which can be critical when making employment decisions.

 

When deciding what to include in a personnel file, ask yourself: "Would this document be relevant to a supervisor reviewing the file for employment decisions?" If the answer is yes, it belongs in the file.

 

 What Should Be Kept Separate?

 

It's important to note that not all employee-related documentation belongs in the general personnel file. For instance, medical records must be kept separate due to the Americans with Disabilities Act (ADA), which prohibits the inclusion of medical information in an employee's general personnel file. This separate file should contain records related to medical leave, reasonable accommodations, workers' compensation claims, and similar documents.

 

Additionally, information such as an employee’s date of birth, marital status, Social Security number, and other sensitive data should also be kept separate in a "confidential" or "other" file. This ensures that such information is not accessible to managers or supervisors who do not need it for employment decisions.

 

 Access to Personnel Files: What Employers Need to Know

 

When an employee or former employee requests to see their personnel file, it can raise concerns. Are they looking for information to support a legal complaint, or simply to verify the accuracy of their records? Regardless of the reason, employers must be prepared to comply with state laws regarding access to personnel files.

 

While federal law does not mandate private employers to provide access to personnel files, many states have specific requirements. These laws typically address:

  • Who can view the file

  • How often access can be granted

  • What records must be available

  • What legal remedies are available if access is denied

 

Employers should develop a clear policy on personnel file access, ensuring it complies with relevant state laws. Multistate employers, in particular, must create flexible policies that can be applied consistently across all locations.

 

 Key Considerations for Employers

 

When drafting or reviewing your personnel file policies, consider the following questions:

  • Should employees request access in writing?

  • Will employees be allowed to photocopy items in their files?

  • Who within the organization will be granted access to these files?

  • How will the organization handle challenges to the accuracy of information in the files?

  • Should there be limits on how often an employee can access their file?

 

 Conclusion

 

Maintaining well-organized and compliant personnel files is crucial for every employer. Regular audits of these files ensure that only the necessary and legally required documents are included, protecting both the employer and the employee. By adhering to state laws and having clear policies in place, employers can manage personnel files effectively and reduce the risk of legal complications.

 

This blog should serve as a comprehensive guide for employers on the importance of proper personnel file management, emphasizing both legal compliance and best practices. At OmniaHR, we are happy to assist you on personnel file audits and providing you guidance on what should or should not be in the file.  Please reach out to us today if you would like to learn more about how we help to mitigate risk for employers.

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