What are Personnel Files?
Organizing Personnel Records: File Types, Access Policies, and Legal Compliance for Municipalities
All personnel related documents need to be filed in one of the following files:
Main Personnel File— all employees Medical/ADA File— if applicable— (not to be viewed by
supervisor) Payroll File—all employees I-9 File—all employees PLUS terminated for 1 year from
term OR 3 years from hire (whichever is longer) Safety Training File Employment Application/Resume/Cover Letter, Worker’s Compensation Information W4 Separate from personnel file and divided by Active Employees and Terminated Employees Safety meeting sign-in sheets & materials (i.e. toolbox talks, etc.) Offer Letter Medical/Doctor notes Time Sheets Suggest keeping a binder or file folder. Safety training sign-in sheets & materials (i.e.
lockout/tagout, HAZCOM, etc.) Signed Job Description ADA information Attendance Records
Task specific training sign-in sheets & materials (i.e. skid steer, mower, chain saw, etc.)
Performance Evaluations Drug Testing Information Garnishments/Records Disciplinary
Documents/Letters EEO Survey Direct Deposit Information Personnel Policy Handbook Receipt
Death Warrant New Employee Orientation Checklist signed Any other payroll related files
Promotion Letters or Pay Increase Notices Emergency Contact (can keep in a separate file)
Training and Development Summaries/Certificates (see comment below regarding safety training) Grievances from employee Montana Municipal Officials Handbook 120 Personnel file access ‐ Each municipality should develop a policy that identifies who has access to personnel
records and for what reasons, as well as develop a records retention guide. Areas to consider in such a policy include the employee, human resources, supervisors, management, and regulatory agencies. Always balance freedom of information with the right to privacy laws. These guidelines should include when and where the file can be accessed, if the contents can be copied and if items can be added, etc. To maintain the integrity of the personnel file, access should be permitted only under some type of supervision. The confidential investigation
file should only be accessed by management and HR unless court subpoenaed, then reviewed by legal counsel for release. Personnel file storage and record retention ‐ Personnel files should be maintained in locked file cabinets in a central location (as opposed to multiple drawers and cabinets in various departments). A good place to start in regard to developing a records retention schedule would be to visit the Montana Secretary of State’s records
retention guidelines on their website. Confidentiality and right to privacy ‐ In regard to the confidentiality of employee personnel files, it is the employee, not the municipality, who has the right to privacy of the information in the file. If a third party requests an employee’s personnel records, inform the employee of the request in writing. Allow the employee to review his/her personnel records and identify which items he/she wishes to release. If any right to privacy is exercised, have the employee document in writing which records he/she is willing to release and which he/she wishes to maintain as confidential. Legal counsel should be consulted if there is any question as to what personnel documents should or should not be released to a requesting third party. No federal or state law requires an employer to maintain personnel records; however, various federal and state laws mandate that certain records be
kept. For organizational purposes as well as legal protection, keep separate, up-to-date personnel files. The chances of becoming involved in legal actions related to hiring, supervision or firing decrease when personnel records are maintained correctly.
Main Personnel File— all employees Medical/ADA File— if applicable— (not to be viewed by
supervisor) Payroll File—all employees I-9 File—all employees PLUS terminated for 1 year from
term OR 3 years from hire (whichever is longer) Safety Training File Employment Application/Resume/Cover Letter, Worker’s Compensation Information W4 Separate from personnel file and divided by Active Employees and Terminated Employees Safety meeting sign-in sheets & materials (i.e. toolbox talks, etc.) Offer Letter Medical/Doctor notes Time Sheets Suggest keeping a binder or file folder. Safety training sign-in sheets & materials (i.e.
lockout/tagout, HAZCOM, etc.) Signed Job Description ADA information Attendance Records
Task specific training sign-in sheets & materials (i.e. skid steer, mower, chain saw, etc.)
Performance Evaluations Drug Testing Information Garnishments/Records Disciplinary
Documents/Letters EEO Survey Direct Deposit Information Personnel Policy Handbook Receipt
Death Warrant New Employee Orientation Checklist signed Any other payroll related files
Promotion Letters or Pay Increase Notices Emergency Contact (can keep in a separate file)
Training and Development Summaries/Certificates (see comment below regarding safety training) Grievances from employee Montana Municipal Officials Handbook 120 Personnel file access ‐ Each municipality should develop a policy that identifies who has access to personnel
records and for what reasons, as well as develop a records retention guide. Areas to consider in such a policy include the employee, human resources, supervisors, management, and regulatory agencies. Always balance freedom of information with the right to privacy laws. These guidelines should include when and where the file can be accessed, if the contents can be copied and if items can be added, etc. To maintain the integrity of the personnel file, access should be permitted only under some type of supervision. The confidential investigation
file should only be accessed by management and HR unless court subpoenaed, then reviewed by legal counsel for release. Personnel file storage and record retention ‐ Personnel files should be maintained in locked file cabinets in a central location (as opposed to multiple drawers and cabinets in various departments). A good place to start in regard to developing a records retention schedule would be to visit the Montana Secretary of State’s records
retention guidelines on their website. Confidentiality and right to privacy ‐ In regard to the confidentiality of employee personnel files, it is the employee, not the municipality, who has the right to privacy of the information in the file. If a third party requests an employee’s personnel records, inform the employee of the request in writing. Allow the employee to review his/her personnel records and identify which items he/she wishes to release. If any right to privacy is exercised, have the employee document in writing which records he/she is willing to release and which he/she wishes to maintain as confidential. Legal counsel should be consulted if there is any question as to what personnel documents should or should not be released to a requesting third party. No federal or state law requires an employer to maintain personnel records; however, various federal and state laws mandate that certain records be
kept. For organizational purposes as well as legal protection, keep separate, up-to-date personnel files. The chances of becoming involved in legal actions related to hiring, supervision or firing decrease when personnel records are maintained correctly.