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HR/Payroll Solutions
Managers' personnel files present risks
Q: The HR department maintains personnel files, but some of our managers want to keep a second set of personnel files at their desks so that they can have ready access to the information in it. Can we allow this?
A: Generally, there is no law that prohibits employers from having more than one set of personnel files. From a practical standpoint, however, it could create problems.
There are many laws that govern which documents an employer must keep, and specify how they should be maintained, how long they are kept and in what manner they are destroyed. Before allowing managers to keep a separate personnel file, the employer should ensure that managers are prepared to comply with these laws. This requirement alone may be burdensome enough to make it impractical for employers to allow secondary personnel files.
Another potential problem is that poorly trained managers might create documentation on employees that is of poor quality or that could be damaging to the company. Maintaining full control of personnel files might be a way for the HR department to monitor and influence the quality and legal compliance of documentation
Further, it is important that managers avoid creating and maintaining records that HR does not have access to. Should the employer need to defend itself in a government investigation, it may be harmful to the employer if there are records that it was unaware of or that are destroyed outside the guidelines provided by law.
In addition, if managers are not able or willing to maintain confidentially and effectively restrict access to the personnel files, the company should prohibit them from maintaining copies of records.
When an employer wants to let managers keep personnel records, the employer might allow managers to keep copies of certain documents, but require managers to submit the originals to be maintained in the personnel file. For example, it might be helpful for a manager to have copies of information related to performance, discipline, duty restrictions, limited personal contact information and/or emergency contact information. However, the original documents, plus any documentation that isn't related to those topics, would be maintained in a personnel file in HR.
Article Amy Maingault, SPHR, is an information specialist in SHRM's Information Center from http://www.shrm.org/kc/solutions/articles/archives/CMS_017066.asp#P-8_0
