A Primer on Personnel Files

Focus: HUMAN RESOURCES

The employee personnel file, or the record room itself in a school district, can be a source of pride or your biggest headache. There’s typically no in-between. A superintendent can walk into a record room and think, “Thank goodness, it looks like there is a system in place” or “uh oh, there is work to be done here.”

Sadly, the later response seems the more common. We’ve seen file rooms in school districts with confidential documents (such as medical evaluations) piled in a heap on the floor or paper records from 1982 busting out of the side of a file cabinet.

Some suggestions for addressing this issue are rather obvious but others may not be so. Consider this a primer on school personnel filing protocol.

• Legal compliance. Policy-compliant personnel files are a legal necessity. For this reason, school districts should constantly monitor and update them. Filing staff members’ employment information correctly and continuously is a best practice and a crucial task.
  
  If requested for legal purposes, a personnel file for a school district staff member needs to be immediately available. Many requests are time sensitive, and if the district faces litigation, the first thing a lawyer will do is request documents and training records. Failure to provide these promptly will reflect poorly on the district and its leadership.
  
  Before embarking on a monumental (and often expensive) endeavor such as an audit, you can quickly improve the situation through observation and directed questioning. The goal is to familiarize yourself with your system, determine statutory requirements, articulate your needs and chart a course for compliance and efficiency.


• What constitutes a personnel file? A personnel file is the culmination of a career. Picture it as a warehouse of information and tidbits needed to write a speech about someone. The personnel folder should be easily accessible.
  
  Files for everyone who works in a district, including a three-month club adviser, as well as retirees, long-departed staff and terminated personnel ought to be stored in a distinct area. Bulk files like I-9 forms, insurance documents and payroll records also should be stored separately (or online) and contain salary records, HR letters, seniority information, recognition information, transcripts, evaluations and anything that documents that an employee has met all employment requirements, training and sign-on procedures. The employee’s original job application should be included as well.


• Assessing your compliance. Request 10 random files and make a quick scan to look for various mandated items, as well as consistency within the record-keeping system. This is also a best practice, as auditors will do exactly this if they gain access to your information. How quickly could you find the folder, the individual’s salary, the date of their leave and their I-9?
  
  A suggestion: Keep a folder on evolving positions, such as the athletic director job. Ensure you keep job descriptions and duties current and updated as positions and policies change.


• The essential nature of confidentiality.
  Due to HIPAA requirements, medical information must be kept in a separate file. As these documents contain sensitive and confidential information, they should be accessible only to someone who has a signed confidentiality agreement. There should be a clear and accurate record of who enters the file room and when as well as what specific items were accessed (with justification).
  
  We’ve observed a central-office secretary keep a medical note file in her desk (a definite no-no!) and collect request papers that never made it into files.