Employee personnel files contain documents that track the "vital statistics" of employment, such as new hire paperwork, background check records, handbook receipts, payroll withholding and benefits election forms, and disciplinary and performance-related documents. For related employer guidance, see Employee Personnel Management and Insurance Considerations.
Records that should not be in personnel files
- Medical information: Documents that reflect medical information should be kept in separate medical files to comply with privacy protections under the Americans with Disabilities Act and related laws. Genetic information and family medical history must also be treated as confidential. Self-insured employers should follow applicable health privacy rules.
- Investigation records: Witness statements, employee complaint forms, investigative notes, and similar materials gathered during investigations should be stored separately to avoid disclosing confidential witness information when an employee reviews his or her file.
- I‑9 forms and supporting documentation: Keep I‑9s and associated backup records in a separate file so audits can be handled without exposing entire personnel files.
- Voluntary government self-identification forms: Forms such as EEO-1 or other self-identification documents that reveal race, national origin, or gender should be maintained separately.
- Attorney-client or privileged communications: Emails with legal counsel or notes from privileged conversations should not be placed in an employee's personnel file to avoid waiving privilege.
Article courtesy of Worklaw Network firm Shawe Rosenthal.
For more on hiring and liability, see Hiring Employees and Employment Practices Liability, or talk to an agent.
Frequently Asked Questions
Can employees review their personnel files?
In many jurisdictions employees have the right to review their personnel records, but access may be limited for confidential material and is subject to state laws and company policy.
Where should medical records be stored?
Medical information should be kept in separate, confidential medical files to protect employee privacy and comply with applicable disability and health privacy rules.
Should I‑9 forms be included in the personnel file?
No; I‑9 forms and supporting documents should be kept in a separate file to simplify audits and protect other personnel information.
How should investigative materials be handled?
Investigation records such as witness statements and investigative notes should be stored separately to preserve confidentiality and the integrity of the process.