What Documents Should Be Kept Separate From an Employee's Personnel File?

Knowing which documents to keep out of an employee's main personnel file is a critical compliance and risk management skill for employers. Interview notes, investigation records, and medical information must be stored separately to protect confidentiality and minimize legal exposure.

What Interview Documents Should Be Stored Separately?

Notes taken during a candidate's job interview should not be placed in the official personnel file. These notes, which often contain subjective impressions and comparative assessments, are part of the hiring decision process. According to regulations from the Equal Employment Opportunity Commission (EEOC), these records must be retained for at least one year, but they do not need to be commingled with the employee's primary file.

To maintain proper separation, avoid writing notes directly on the applicant's resume, as that document will become part of the file. Other hiring-related documents that should be kept confidential include:

• Results of background or reference checks
• Results of skills or aptitude tests
• The employee's Form I-9

Storing these separately helps prevent misunderstandings if an employee requests to see their file, especially in a contentious situation.

How Should You Handle Disciplinary Investigation Records?

While the final outcome of a disciplinary action—such as a written warning—belongs in the personnel file, the supporting investigation materials do not. A good rule of thumb is: if the document was shared with the employee, it can go in the file; if it was not, it should be stored separately.

For example, if an investigation into a harassment complaint involves written accusations and witness statements, only the final warning issued to the employee should be filed in their main record. Including the raw accusation or witness statements can create significant risks. A manager reviewing the file for a promotion might improperly consider the past complaint, leading to potential claims of retaliation. Keeping the investigation records in a separate, confidential file avoids this problem and supports a more defensible position.

What Can Employees Typically See in Their File?

Many states have laws granting employees the right to access or copy their personnel files. Even without a legal mandate, an employee considering legal action will likely request their file. This reality should guide your filing decisions. Documents in the main file are potentially discoverable, so only include information that is factual, job-related, and non-prejudicial. Keeping sensitive notes and investigative documents in a separate, confidential file helps protect the privacy of all parties and reduces legal risks for the company.

To minimize risk, always store medical information, subjective interview notes, and raw investigation documents separately from the main personnel file. This practice, based on our assessment experience, enhances confidentiality and supports sound decision-making.

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