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Keeping Records
Personnel record keeping has both legal requirements and management opportunities. Personnel files are necessary to organize and maintain all the important documents employees accrue over their tenure with a company. In addition to organizing these records for the company’s benefit, it’s necessary to keep some records after an employee leaves, should another organization need to review personnel documents. The documents in personnel files may also be beneficial if an employee files a complaint or takes legal action against you.
What to include in an employee personnel file?
An employee’s personnel file contains a variety of documents related directly to the job and their employment status. Exactly what’s included depends on the employee and the specifics of the position. The paperwork usually falls into certain categories, including employment history, performance and development, and termination. Here are some of the most common documents found in a personnel file:
● Employment application
● Work history
● Resume
● Cover letter
● Education verification
● Employment verification
● I-9 Form – this form verifies the employee is who they say they are and they are eligible for employment in the U.S. This form should be kept up to 3 years after an employee actually leaves your employment (for legal purposes). ● Job description
● Job offer letter or contract
● Orientation checklists
● Other training documentation
● Official forms such as promotion requests
● Noncompete clauses and other contracts
● Employment agency paperwork when relevant
● Formal feedback
● Employee handbook receipt – a document that verifies that the employee received your employee handbook. A short document specifying it was received with their signature will suffice.
● Self-evaluations, manager evaluations and other assessments
● Any documentation of disciplinary action
● Complaints filed against the employee
● Recognition for achievements
● Termination documentation, including resignation letters, exit interview records and end-of-employment checklists
● Any other documents related to the employee’s job including documentation regarding pay, W-2s and W-9s
Considerations:
✓ A strong human resources program will store all employee data in one secure place. This means that everything should always be documented and easily accessible. By having one place for all employee data, managers can have an ongoing record of all performance issues while also providing transparency to an employee for when they are not hitting their goals.
✓ Those that meet legal requirements, and are the subject for possible audits, should always be maintained in a separate, locked and secure area. All records need to be visited annually to purge those no longer needed or required by law, but records with management implications should certainly be visited more regularly.
✓ Transparency and consistent record keeping help make termination conversations easier as referencing documents and data can limit the feelings of resentment towards a manager or organization.
Action Steps/Questions to Consider
Where can I safely store personnel records?
What processes can I put into place to make this easy and legally compliant? What else do I need to know?
Who can advise me?
What are next steps?
References/Resources
Indeed for Employers. Keeping Personnel Files: Best Practices and What to Include Found: https://www.indeed.com/hire/c/info/personnel-files?
Moore, S. (April 30, 2012) Personnel records: A management tool and a legal requirement (Part 1 of 2) Michigan State University Extension. Found:
Stan Moore, S. (April 30, 2012) Personnel records: A management tool and a legal requirement (Part 2 of 2). Michigan
State University Extension. Found:
Last Page: Terminating Employees
This material is based upon work supported by USDA/NIFA under Award Number 2021‐70027‐34693, and is funded by the NE Risk Management Education Center.