Over the next few weeks, I will be reviewing personnel files. This series will include such things as how to maintain them, what needs to be maintained and what documents are subject to the Open Records Act. We will review some of the legal requirements in regards to personnel files as well as several practical tips.
First, let’s look at some issues to be aware of when creating a personnel filing system. Personnel files can be maintained in paper form or maintained electronically. No matter what format is used, the preservation, safekeeping and retention requirements that you need to know are the same.
If the city maintains the files electronically, you need to ask these questions:
- Does the city have a good document management system?
- Has the city established clear guidelines regarding which employees have access to which files, as well as when and where they can review?
- Has the city implemented verified security and password protections to ensure access is provided only to those with a need to know?
- Does the city have a backup system in place to ensure data is not lost?
- Does the city have a secondary backup system in the event both the software and its backup are destroyed?
- Has the city trained users on how to properly use and safeguard information in the document management system?
- Does the city have a policy in place regarding the steps to be taken in the event there is a breach of security?
- Do you know what information is subject to Open Records, who has the authority to access the records when a request is submitted and what the law is in regards to response times?
- Is this information contained in your city personnel policy?
Or, if the city maintains paper files of personnel records, you need to ask these questions:
- Are the personnel files maintained in a locked and secure cabinet?
- Has the city established clear guidelines regarding which employees have access to which files, as well as when and where they can review?
- Have all documents that contain protected information been removed from the main personnel file? Remember, that documents which include medical information, Social Security numbers or other protected class information such as age, race, gender, national origin, disability, marital status and religious beliefs should not be accessible to supervisors, or anyone making an open records request.
- Are personnel files organized in a logical way so that information within them is easy to find? The two most common practices are to maintain files in chronological order or to have files with different sections for different types of documents such as performance information and training documents.
- Do you know what information is subject to Open Records, who has the authority to access the records when a request is submitted and what the law is in regards to response times?
- Is all of this information contained in your city personnel policy?
How long you keep the records that you have maintained is determined by the Kentucky Department of Libraries and Archives (KDLA). The searchable Record Retention Schedules can be found on the KDLA website. The website also contains important information on the proper destruction of records.
Next week will look at the law regarding what should be in what files, as well as some good practice tips.
For questions on this or other personnel matters, contact Andrea Shindlebower Main, Personnel Services Specialist, with the KLC Legal Department and be sure to attend the Personnel Files 101 webinar on May 11th.
