Q: We’re preparing for our upcoming recertification visit and are trying to tidy up our personnel files. What documents should and shouldn’t be in our personnel files?
A: For recertification purposes, it is probably best to direct the specifics around that question to the certification body. We’re pleased to answer, though, from a general best practices perspective. A number of lists are readily available on the Internet to guide you with regard to specific documents. In general, we would suggest reviewing the following principles to determine whether or not a document should be retained in the employee’s personnel file:
1. Does this document record an employment-related action (such as hiring, termination, promotion, salary increase, etc.)? If so, it likely should be included in the personnel file.
2. Does this document contain personal or non-job-related information (such as personal or family health information) that should not be seen by anyone other than the school’s Business Manager/HR Manager? Documents of this type include leave of absence request forms, benefits enrollment forms, disability insurance forms, etc. If so, the document should likely be retained—but not necessarily within the personnel file itself. It likely should be placed in a “confidential” or “benefits” file that is easily removed from the core personnel file when the personnel file needs to be shared with an administrator.
3. Does this document contain the employee’s signature? Has the employee been made aware of the document? In these cases, it is likely that the document should be placed in the individual’s personnel file. One goal of personnel file management is for file requests (such as from employees or former employees) to be, as much as possible, a non-event—that is, when you show the file to the employee, if everything within the file has already been shared with and/or signed by the employee, it significantly reduces any controversy or risk associated with the file.
http://www.youtube.com/watch?v=7RudmuCM9sg
