Template · Employee records and administration
Personnel file checklist
In short
A personnel file checklist lists what belongs in an employee's main personnel file (hiring documents, job changes, reviews, discipline, training and separation records) and what must be kept in separate restricted files, such as medical information, Forms I-9, payroll and tax records, and investigation notes. Use it at hire, during audits and at separation.
Personnel File Checklist template
Personnel File Checklist
Employee: [Name] Employee ID: [ID] Hire date: [Date] File reviewed by: [Name] on [Date]. Tick each item present, mark N/A where it does not apply, and note anything missing. Separate files are listed at the end; do not place their contents in the main personnel file.
1. Hiring and offer
- Job application or resume
- Signed offer letter or employment agreement
- Job description for the position at hire
- Interview scorecard or hiring decision summary (or note where recruiting records are kept)
- Reference check notes
- Signed restrictive covenant agreements (confidentiality, non-solicitation, non-compete where lawful)
- Background check disclosure and authorization (the report itself goes in the confidential file)
2. Onboarding and acknowledgements
- New hire information form
- Emergency contact form (contacts only; any medical details go in the medical file)
- Signed employee handbook acknowledgement
- Signed policy acknowledgements (attendance, code of conduct, acceptable use, anti-harassment)
- State-required new hire notices (for example wage notices where required)
- Company property or equipment issued receipt
- Probation or introductory period review
3. Job and pay history
- Employee change forms for every change to title, department, manager, status or pay
- Promotion, transfer and pay increase letters
- Written pay change notices where state law requires them
- FLSA exempt or non-exempt classification and the date of any change
- Remote work or flexible schedule agreements
4. Performance and development
- Performance reviews and self-evaluations
- Goal-setting and development plans
- Performance improvement plans and outcomes
- Training completion records and certificates
- Licenses or certifications required for the role, with expiry dates
- Awards and recognition
5. Conduct and discipline
- Verbal warning documentation
- Written and final warnings, signed or marked as refused
- Attendance warnings and point records at each threshold
- Final outcome of any investigation (the investigation file itself is kept separately)
6. Separation
- Resignation letter or termination letter
- Separation checklist and property return form
- Exit interview summary
- Separation or severance agreement
- Final pay confirmation and any state-required separation notice
- COBRA notice confirmation (or note where benefits records are kept)
- Rehire eligibility decision
7. Keep in separate restricted files
- Medical file: doctor's notes, accommodation requests and decisions, FMLA certifications, medical exam results, workers' compensation records, and any medical details from emergency contact forms
- Form I-9 file: Forms I-9, Supplement A and B, copies of identity and work authorization documents, E-Verify case results
- Payroll and tax file: Form W-4 and state withholding forms, direct deposit authorization, wage garnishment orders, timecards
- Benefits file: enrollment forms, beneficiary designations, waivers
- Background check file: consumer reports, drug test results, adverse action notices
- Investigation file: complaints, interview notes, witness statements and evidence
- Self-identification file: voluntary race, ethnicity, sex, disability and veteran status forms
File review sign-off
Missing items and follow-up actions: ____________________ Reviewed by: ____________________ Date: __________ Next review due: __________
How to use this template
- Open a main personnel file and the separate restricted files for each new hire on or before day one.
- Use sections 1 and 2 at onboarding to confirm every hiring and acknowledgement document is in the right file.
- File each change form, review and warning as it happens rather than in a batch at year end.
- Audit a sample of files each quarter against the checklist and record missing items and owners.
- At separation, complete section 6 and set the retention end date for each file.
- Destroy records securely only after the longest applicable retention period has passed and no legal hold applies.
What goes in a personnel file
The main personnel file holds documents about the employment relationship that a manager or HR would reasonably need to make job decisions: how the person was hired, what they agreed to, how their job and pay changed, how they performed, and how they left. The glossary entry on the personnel file covers the concept in more detail.
The file should not hold anything a decision-maker should not see. That is the reason for the separate files in section 7. A supervisor reviewing someone for promotion has no business seeing their accommodation request, their I-9 documents showing national origin, or a witness statement from a complaint they were not involved in.
Records that must be kept separately
Medical information. The ADA requires employers to keep medical information about employees confidential and in separate files. The same applies to FMLA certifications, and GINA covers genetic information including family medical history.
Forms I-9. Not legally required to be separate, but strongly recommended. In a government inspection, you hand over I-9s, not personnel files, and mixing them exposes unrelated records. Our I-9 checklist covers completion and retention.
Background check reports. Reports obtained under the Fair Credit Reporting Act should be kept confidential and limited to people involved in the hiring decision.
Payroll and bank details. Account numbers and Social Security numbers belong in a restricted payroll file. See the direct deposit form guidance.
Voluntary self-identification. Race, ethnicity, disability and veteran status forms must stay out of anything a hiring or promotion decision-maker uses.
US retention periods
Federal minimums below are a starting point; states often require longer, and a pending charge or lawsuit suspends destruction. Rules vary by state, so confirm with counsel.
- Personnel records under Title VII and the ADA: at least 1 year from the date the record was made or the personnel action taken, whichever is later; for an involuntary termination, 1 year from termination. Federal contractors covered by the veterans' (VEVRAA) or disability (Section 503) rules keep them for 2 years if they have 150 or more employees and a contract of at least $200,000 (VEVRAA) or $150,000 (Section 503).
- Form I-9: 3 years after the date of hire or 1 year after employment ends, whichever is later.
- Payroll records under the FLSA: 3 years; supplementary records such as timecards: 2 years.
- FMLA records: 3 years.
- Employment tax records: at least 4 years under IRS guidance.
- OSHA injury and illness logs: 5 years; employee exposure and related medical records: duration of employment plus 30 years.
Many employers simplify by keeping the main personnel file for 7 years after separation, which covers most federal and state limits.
Employee access and privacy
There is no general federal right for private-sector employees to see their personnel file, but many states grant one, including California, Illinois, Oregon, Washington and others, often with deadlines to respond and rules on copies. Write a short access procedure: request in writing, response within the state deadline, review with HR present, and a log of what was provided.
Limit who can open files. HR, the employee's current manager for performance documents, and legal. Track access if your HRIS allows it, and run a periodic HR audit to catch files that have grown documents they should not contain.
Keeping files complete at volume
In operations that hire hundreds of hourly employees a year, files are rarely incomplete because people are careless. They are incomplete because documents arrive from five places: the ATS, the onboarding portal, payroll, the training team and supervisors. Map each document type to its source and owner, collect hire documents through the new hire paperwork checklist, and route post-hire changes through the employee change form so they land in the file automatically. Then audit 10 to 20 files a quarter rather than all of them once a year.
Frequently asked questions
What goes in a personnel file?
Hiring documents, the offer letter, signed policy acknowledgements, job and pay change records, performance reviews, training records, disciplinary records and separation documents. Medical records, I-9s, payroll and tax forms, background reports and investigation files should be kept separately.
What should not be in an employee file?
Medical information, genetic information, Forms I-9 and their supporting documents, background check reports, bank details, voluntary EEO self-identification forms, and investigation notes. Personal opinions unrelated to job performance also do not belong there.
How long should personnel files be kept?
Federal minimums range from 1 year for most personnel records to 3 years for payroll, with longer periods for some safety records. States often require more. Many employers keep personnel files for 7 years after separation.
Can employees see their personnel file?
It depends on the state. Many states give current and sometimes former employees the right to inspect or copy their file within set deadlines. There is no general federal right for private-sector employees.
What is on an HR record keeping checklist?
A list of each document type, the file it belongs in, who owns it, when it is collected and how long it is kept. This checklist covers the document list and separate files; add your state retention periods to complete it.