Personnel Files

maryfmurray · July 2003

We are about to have an audit shortly of our agency and the personnel files will be included. Does anyone have a checklist that you use to ensure everything is included in the personnel file that should be there and then you sign off? I would hate to start from scratch and create one of my own if it is possible someone has a template and I may add somethings that would pertain to my agency. I also need to create checklists for payroll and medical files too.

I'd appreciate any help.

Thanks! Mary

Bizee1 · July 2003

No "checklist" per se, but just make sure these are not kept in the personnel file: I-9's, background investigations, medical, (including physicals or drug screens), WC, all should be kept in a seperate file.

AprilShowers · July 2003

Why not I-9's?

POPEYE · July 2003

Depending on who or what (Agency or Governing Body) is conducting this audit would determine as to whether I would allow the Personnel files to be audited or not. Unless there is a definite need, I would have to politely say NO. Now if it is DOL or EEOC or some other Government audit, they will ask for specific items and you will need to comply within reason. I would not allow access to files if it is just a contracted audit being just so the company can say "We did an audit".

HR in Okla · July 2003

[font size="1" color="#FF0000"]LAST EDITED ON 07-17-03 AT 12:21PM (CST)[/font][p]Actually Mary, I do have a form I created to track all the info. in our files. We use a 6-section file with the metal clamps on the top, so papers aren't loose. I once worked for a home health agency that had a specific order for filing documents in the personnel file and my form is based on their idea. I don't have the resources to send out jillions of these, but I'll fax one to give you an idea if you'll post your fax number.

Basically, I just set up each section in some sort of logical order, so that the documents you need to see most often are on top of the section.

We keep all medical-related info. in a manila folder behind the regular file, but separate. I also maintain separate files for benefit info., so all insurance forms, 401k etc. are in a different office, also maintained confidentially.

We keep I-9s and Criminal History forms in separate binders. Criminal histories because we are a licensed facility and State Health Dept. inspectors request them.f

Another note, depending on what kind of agency Mary works for, some licensing agencies want to see personnel files to be sure you have all the documentation on employees they require. I also worked for an agency that had homes for behaviorally troubled youth. The state agency that monitored us requested the personnel files and went through them with a fine-toothed comb.

maryfmurray · July 2003

My agency has to be licensed in some of the programs so the Feds get to come in and look at the personnel files checking to see if employees have had their hep 6 vac, criminal records, drivers checks, etc... We also have nurses working for us taking care of children.

Okla my fax # is 603-431-2916. I appreciate you sending the form.

Theresa Gegen TX · July 2003

I-9s are usually kept seperate because the nationality of the individual is nobody's business, and people who access the personnel file (which is usually more people than who access the I-9's) could use that information in a discriminatory manner.

cthr · July 2003

I-9s are kept seperate so that during an audit, you have them all in one place and don't have to go through each file. It also prevents whoever is auditing you from seeing things they shouldn't.

We have a personnel folder which has application, background checks, warnings, letters of commendation, tuition reimbursement, etc., a medical folder, a 401k folder, a pension folder, and a benefits folder for each employee. They are color coded and all go together in a hanging file. I-9 and tax forms are kept seperately and filed alphabetically. FMLA and STD files are kept seperately as well. Drug screens are filed by year.

AprilShowers · July 2003

I did some research becuase I had similar questions and found this website.

[url]http://www.hris.org/bryson_demo/newee/PersonnelFiles.htm[/url]

bobbysmom · July 2003

Thanks...I was in the process of "cleaning up" files and this is a great source.

Ruth

Personnel Files

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