There are two main purposes for maintaining physical employee files:

  • For Legal Compliance
  • For Employment and Employee Decisions

An official personnel file is a compilation of communication and documents related to the job and employment details for an employee. The file serves as the historical record of information pertaining to an employee from their initial employment application through their date of separation.

It is recommended that one single file should be kept for each employee that includes sub-sections (individual folders) for each category as listed below:

 

General File

(Generally subject to Public Records Law)

  • Personnel Data Information
  • Application (signed upon hire)
  • Letter of offer
  • Acceptance letter
  • Requests for Personnel Actions
  • Position description
  • Compensation information
  • Non-medical test results
Employee Performance File

(Generally subject to Public Records Law)

  • Performance Evaluations
  • Letters of commendation or letters of complaint
  • Awards, certifications, achievements
  • Training sessions attended
  • Examples of work
  • (No notes about investigations that may lead
  • to disciplinary action)
  • Requests for corrective action
  • Disciplinary actions issued (e.g., verbal or
  • written reprimand, suspension, termination)
Miscellaneous File

(May or may not be subject to Public Records Law)

  • Records of policy or job information given to employee
  • Employee requests to examine their personnel file
  • Leave forms
  • Letter of resignation
  • Exit interview questions
Medical File

(Generally not subject to Public Records Law)

  • Physical exam reports
  • Injury reports
  • Medical certifications
  • Reasonable accommodation requests (ADA)
  • FMLA information
  • Genetic information
Controlled Access File

(May or may not be subject to Public Records Law)

Attorney Client Privilege documents are exempt.

  • Benefit plan choices and beneficiary information
  • Interview evaluation forms and reference checks
  • Grievances
  • EEO/Affirmative action data
  • Charges of discrimination
  • Investigatory notes and attorney-client communications
  • Legal actions complaints
  • Education records (any records other than direct information related to a student)
  • Promotion and Tenure records

 

However, the separate file should be maintained for the following records:

  • I-9 File – Employment Eligibility Verification
  • DMA File Declaration Regarding Material Assistance/Non-assistance to a Terrorist Organization form

 

Not sure if your organization is in compliance? Need an auditor or an independent consultant to bring you up to speed or teach you how to do it? Email jprice@jumpstart-hr.com for more information.

 

There are two main purposes for maintaining physical employee files:

  • For Legal Compliance
  • For Employment and Employee Decisions

An official personnel file is a compilation of communication and documents related to the job and employment details for an employee. The file serves as the historical record of information pertaining to an employee from their initial employment application through their date of separation.

It is recommended that one single file should be kept for each employee that includes sub-sections (individual folders) for each category as listed below:

 

General File

(Generally subject to Public Records Law)

  • Personnel Data Information
  • Application (signed upon hire)
  • Letter of offer
  • Acceptance letter
  • Requests for Personnel Actions
  • Position description
  • Compensation information
  • Non-medical test results
Employee Performance File

(Generally subject to Public Records Law)

  • Performance Evaluations
  • Letters of commendation or letters of complaint
  • Awards, certifications, achievements
  • Training sessions attended
  • Examples of work
  • (No notes about investigations that may lead
  • to disciplinary action)
  • Requests for corrective action
  • Disciplinary actions issued (e.g., verbal or
  • written reprimand, suspension, termination)
Miscellaneous File

(May or may not be subject to Public Records Law)

  • Records of policy or job information given to employee
  • Employee requests to examine their personnel file
  • Leave forms
  • Letter of resignation
  • Exit interview questions
Medical File

(Generally not subject to Public Records Law)

  • Physical exam reports
  • Injury reports
  • Medical certifications
  • Reasonable accommodation requests (ADA)
  • FMLA information
  • Genetic information
Controlled Access File

(May or may not be subject to Public Records Law)

Attorney Client Privilege documents are exempt.

  • Benefit plan choices and beneficiary information
  • Interview evaluation forms and reference checks
  • Grievances
  • EEO/Affirmative action data
  • Charges of discrimination
  • Investigatory notes and attorney-client communications
  • Legal actions complaints
  • Education records (any records other than direct information related to a student)
  • Promotion and Tenure records

 

However, the separate file should be maintained for the following records:

  • I-9 File – Employment Eligibility Verification
  • DMA File Declaration Regarding Material Assistance/Non-assistance to a Terrorist Organization form

 

Not sure if your organization is in compliance? Need an auditor or an independent consultant to bring you up to speed or teach you how to do it? Email jprice@jumpstart-hr.com for more information.

 

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