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January 2007
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Typical
Personnel File Ingredients
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Having
Fun with Personnel Files
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 Okay,
so the header is misleading. There really isn’t anything
fun about personnel files. However, they are a serious requirement
even if you have only one employee. I regularly get calls and
questions on what goes into a file, can employees see their
files, etc. so I thought I’d answer some of those questions
here.
Disclaimers: If you’re not working in MN, you should check
to see whether your state has any specific rules regarding personnel
files. They may differ from what is stated here. Also, talk
to your employment attorney for more specific details on your
legal obligations or as tough situations arise.
Privacy, security and confidentiality are of utmost importance.
Personnel files should be kept in a locked file drawer with
only a few designated people in the organization having direct
access. If you’re a small employer, 1-2 people; if you’re
a larger organization, then designated HR department staff would
have access.
I was once called by a client who had to terminate his HR person.
She had been the sole individual with responsibility for personnel
files, including her own. Interestingly, when it was time for
the termination, her file was no where to be found. So, consider
who has control over the files and make sure that no one controls
their own file!
MN State law allows the following personnel file procedures:
Employers may require that
employees place their request to review their file in writing.
The employer typically has 7 days to schedule a meeting during
the employer’s normal working hours (not necessarily the
employee’s work hours) for the file review. The employee
has a right to request a copy (for free) of their file.
I strongly urge you not to give the file to the employee to
review alone. There’s the risk that key pieces of documentation
could disappear. So always have a designated person sit with
the employee during the review. If the employee wants copies
of various documents, make note of the need and provide them
the copies at a later time, rather than leaving the employee
alone with the file.
Active employees in MN may review their file once every 6 months.
Terminated employees may review them once a year for as long
as the file is maintained.
Copyright (c)
2007 Arlene Vernon, HRx, Inc.
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What
Not to Place
in Personnel Files
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I-9 forms should be retained
in a separate file. I recommend keeping one file for active
employees and one for inactive. In this way, if the USCIS
(formerly the INS) visits your office (which is rare), they
only have access to I-9 information and nothing else.
Supervisory notes should be retained in the supervisor’s
locked drawer. A supervisor's notes on performance, conversations,
assignments, etc. are all considered supervisory work in progress.
If a problem becomes of greater concern, then you can transfer
the information into the personnel file as a "memo to
file" or you can formalize the documentation or warning
in writing.
Medical information such as benefits enrollment forms (that
include medical history), required pre-employment physicals,
Workers' Compensation documentation should also be placed
in separate files. This is to avoid disclosure of private
information to a supervisor who doesn’t need to know
the information but who might discriminate by making employment
decisions based on their perception of a disability, weakness,
etc.
Investigations, such as a harassment investigation, may include
statements from other employees regarding the harassing behavior.
These files should also be kept separate and the employee
does not have the right to access the coworker or claimant’s
statements.
The core of this article is the importance of (a) setting
a standard practice for how you organize, retain and share
personnel files and (b) ensuring that you administer that
policy consistently for all employees. Maintaining privacy
and limiting access to a need-to-know basis is vital for your
protection.
If you need help with auditing or organizing your personnel
files, call me. Not having the proper personnel file documentation
can be costly to an organization. Ask the employer we discussed
above who had no personnel documentation available to contest
their post-termination unemployment claim.
Copyright (c) 2007 Arlene
Vernon, HRx, Inc.
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| About
Arlene Vernon |
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Arlene Vernon,
PHR, partners with small businesses as their Human Resource Xpert
to create their HR systems and solve their HR problems.
If you have gaps in your HR operation, have an employee problem
to solve, or want to enhance your managers' skills, call Arlene
today. Learn how HRx can save you time and help you avoid costly
HR mistakes. HRx, Inc., Eden Prairie, MN 55344, 952-996-0975,
www.HRxcellence.com.
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