WORKPLACE LAW - Personnel File Contents
Question:
I am new on the job and have been asked to review all employees’ personnel files to make sure they are complete. What information should be in each employee’s file?
Answer:
A personnel file should contain all documents concerning an employee, including all documentation relating to the employee’s performance or to any grievance concerning the employee. A personnel file should also contain documentation regarding compensation history, any written agreements between the employer and employee, and acknowledgement of receipt of the employee handbook and other employer policies.
Due to employee privacy rights, all personnel files should be kept in a secure location, preferably under lock and key. Access should be limited to only those persons who have a bona fide need to know the information in the file. In addition, some information should be kept in separate files or limited access folders within the employee’s regular file. Information that would be filed in these special or separate files include the Employment Eligibility Verification Form I-9, any medical related information, employment references, any Equal Employment Opportunity or Affirmative Action information, and ratings, or reports or records that were obtained prior to the employee’s employment.
Some of the most common pitfalls to avoid and areas to consider include:
- I-9’s filed in personnel files. These should be filed in separate files, ideally by year of hire.
- Medical related information in personnel files. This information should be kept in separate files.
- All file information should be completed in ink, not pencil.
- In general there should not be any information in the file that the employee has not either seen or signed.
- Drug test information and information concerning drug or alcohol rehabilitation should be kept in a separate file or with medical information.
- All documents should be completely filled out, dated, and signed, such as employment applications, disciplinary documentation, employee census data, etc.
- No employee pictures should be in the personnel file. A separate security file would be an appropriate place for employee pictures.
- Garnishment information is best filed in separate payroll files.
- Termination documentation should be fully completed, dated and signed.
- Leave of absence information should be fully documented and maintained in either the general personnel file, or the separate medical file if the leave is a medical leave.
In addition to these general guidelines for personnel files, employers should make sure they keep accurate and proper records of hours worked by non-exempt employees. These records include documents that evidence:
- Hours worked each day, including records showing when the employee begins and ends each work period, meal periods, and split shift intervals.
- The basis on which employee’s wages are paid (e.g., “$8 an hour,” “$320 a week,” or “piecework”).
- The regular hourly pay rate.
- Total daily or weekly straight-time earnings.
- Total overtime earnings for the workweek.
- All additions to or deductions from the employee’s wages.
- Total wages paid each pay period (including the value of meals, lodging, or other compensation you furnish to employee).
- Total hours worked each pay period.
- Date of payment and the pay period covered by the payment.
- Gratuities and tips received by the employee.
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