Sample Employee Access to Personnel File Policy

Organizations seeking to ensure that personnel file information is made accessible to employees and managers while still being properly safeguarded need to adopt appropriate access-to-file policies. Remember that an employee's access to his or her own personnel file is governed by state law. As a result, state law must be consulted before creating an access policy. Here is a sample access-to-file policy in a state that grants employees "access" rights.

I. GENERAL PROVISIONS

• A. The Organization maintains personnel records on employees as a source of information for effective administration, development and utilization of personnel resources, and as required by various federal and state laws and regulations.
• B. Employees will be given the opportunity to review their own personnel files. The term "personnel files" means all files which are used or have been used to determine the employee's qualifications for employment, promotion, additional compensation, or termination or other disciplinary action. However, the employee will not be provided access to letters of reference or records of the employee relating to the investigation of a possible criminal offense. The term "letters of reference" means confidential, written communications, including written notes of telephone or person-to-person conversations, concerning the qualifications of a prospective or current employee for employment, promotion, additional compensation, or termination.
• C. File initiation and maintenance is the joint responsibility of the employee's line organization and the Personnel Resources Division, each of which may maintain a personnel file for individual employees. Files will contain official Company documents such as status notices, qualification summaries and patent agreements, as well as letters of reference, commendations, training and development records, medical releases, and necessary documentation concerning performance or disciplinary actions.
• D. Objective and adequate documentation for personnel administration purposes is the standard for determining each employee's personnel file contents. Each supervisor and department/division head is responsible to ensure this standard is maintained.

II. PROCEDURE

A. Access to Personnel Files

1. Each Organization employee has a right to review his or her file once a year while employed [name of company].

2. Former employees have the right to review their file one time following termination, provided such right is exercised within two (2) years of their date of termination.

3. Employee requests may be in either oral or written form to the Supervisor of Salary and Employee Records.

4. A definite appointment time will be established, normally within two working days after the request has been received. This appointment will be made during regular business hours and should be scheduled to take place at the Employee Records Group Office or Division/Section Office.

5. Prior to the appointment, letters of reference and any records relating to the investigation of a possible criminal offense will be temporarily removed from the employee's file until after the review.

6. The employee will review the file in the presence of an authorized individual who can answer file content questions and who can maintain file security.

7. The employee may make notes concerning any material contained in the file, but copies of file documents will neither be provided by the employer nor made by the employee.