Page 7 - 2002 3rd Quarter - SHRM Emerald Coast Chapter Newsletter

Page 7

Maintenance of Personnel Files & Records
By Donn Broich, SPHR

Introduction
One important issue that employers face today is the use and maintenance of personnel files. What should be kept in a Personnel File? What items should be filed separately? Who should have access to these files?

Although employers have an undeniable right and need to oversee and regulate their business, their right to inquire and obtain information about their employees is limited by the right to privacy. There is no federal or state requirement that an employer maintain personnel files as such. However, various federal and state laws mandate that certain records must be kept. Therefore, when an employer is drafting or updating its policy or procedures regarding those records to maintain in personnel files and how long those records should be kept, it is necessary to review various applicable laws.

Policies on Personnel Files
Adopting a written policy will allow supervisors and the human resources department to be consistent with replies when employees request access to their files. Consider including the following items in your policy:

Ensure that your policy complies with applicable laws.
Define personnel file, both as the term is used within your organization, and according to applicable law.
State where, when, how often, and under what circumstances workers can review or copy their files. To maintain the integrity of records, access should be permitted under some type of supervision.
Provide an opportunity for employees to rebut or challenge information.
Specify who is authorized to inspect personnel files.
Review records. Periodically, you should audit employment records and remove or correct irrelevant, outdated, misleading, or inaccurate information.

What to Keep in a Personnel File

Records Related to Employment, such as
Employment application and resume
Reference checks
College Transcripts
Job Descriptions
Records relating to other employment practices.
Letters of recognition
Disciplinary notices or documents
Performance evaluations
Exit interviews
Termination records
Records relating to hiring, promotion, demotion, transfer, layoff, rates of pay, other forms of compensation, and education and training records
Test documents used by an employer to make an employment decision

The following items should be maintained in separate files:

Medical Records- The American with Disabilities Act requires employers to keep all medical records separate. Many states have privacy laws to protect employees. All medical records including physical examinations, medical leaves, workers' compensation claims, and drug and alcohol testing.

Equal/Employment Opportunity- In order to minimize claims of discrimination, it is important to keep source documents that identify an individual's race and sex in a separate file. Additionally, if internal/external charges are investigated, it is recommended that these files also be maintained separately.

Immigration (I-9) Forms- It is recommended that these forms be maintained chronologically by year. Keeping this information in a separate file reduces the opportunity for an auditor to pursue and investigate unrelated information.

Invitation to Self-Identify Disability or Veterans Status- This information is required to be maintained by federal contractors. Laws prohibit employment decisions on the basis of certain protected classes, however, managers have the right to access an employees' file for a number of operational issues. Unless there is a need to know for accommodation purposes these files should be maintained separately to reduce a potential source of bias.

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