Personnel Files

mkerker

Does anyone have a good list of what belongs in a personnel file and what should not be kept there?

HRinFL

While I am sure that there will be differing opinions, here is my suggestion:

Keep a file that contains documents that are given to the ee, such as: performance reviews, disciplinary documentation, documents related to attendance/punctuality, change of address/phone/etc., communication to the ee regarding pay (raises, any issues), any training materials, orientation materials, safety materials, and separation forms. Basically, anything that you would allow the ee to review.

Keep a separate medical file that contains doctor's notes, FMLA paperwork, First Notification of Illness/Injury forms, W/C information, anything related to medical information.

Keep a file that contains notes that you or a supervisor may document regarding issues with the ees employment that you would not want the ee to see. Summaries of conversations that you may believe are important, emails, witness statements for disciplinary action, notes reagrding any investigations regarding the ee, etc. If you keepo a file like this on one ee, I recommend having a file (even if it is empty) for all ees.

HRinNH

Ok, would you keep all 3 files together in one hanging file with ee's name on it or would they be kept separately in different locations (i.e one in HR office, one in Supervisor's office, etc)?

Don D

The ADA intent is that the files be separate so that persons in decision making positions will not have access to, or be swayed by, medical information. At least that's the theory. I've know attorneys to suggest that they be separate but all in one hanging file. To me that's NOT separate IF all sorts of people have access to the hanging file. That's clearly violating the letter of ADA. In our company, they are kept in HR, three files, personal, job related and medical. All three are in one green hanging file. Nobody has access to the file drawer except HR. HR can, upon request, pull only the job related file and allow a manager or supervisor to review it if deemed appropriate.

TN HR

There's another benefit to using the sytem Don described. If subpoenaed to produce during discovery, you only pull the job related file. Of course, I'm sure the attorneys here will post that a motion to compel would cure that, or would it?

HRinFL

[font size="1" color="#FF0000"]LAST EDITED ON 03-08-05 AT 02:03PM (CST)[/font][br][br]I could keep the personnel file and the file with notes, etc. together. I have always recommended to handle this the way you are most comfortable. If together, they need to be clearly marked so there is no confusion as to what each file contains. My only must is that they are kept in a confidential location with very limited access (only HR, maybe upper management).

I do not recommend keeping medical files in the same folder with the other files. In the same room inside a separate file cabinet, okay I can deal with that.

To respond to TN HR's comment, for a RFP by an agency or during litigation, that "notes file" may be subject to discovery, depending on the wording of the request. If they limit the request to just the personnel file, I would not produce it. Most of the time, they cover this by asking for any documents, including but not limited to.....with a laundry list of items that would require me to produce these documents, unless they were subject to some form of privilege. This is a good reason why I instruct people to only list facts of a situation, not personal opinions or beliefs. These comments can be damaging later. If you only record the facts of an event, or the details of a conversation as it occurred, you should not have anything to worry about when you give it to the opposing side.

lhill

I also keep one file for all the I-9's. If INS comes in, that's all I want them to see.