Human Resource Blog

Employee File Maintenace–Officer Files

What files are divided into the C-level Officer files? Which items should be separated from the rest?

Many employers are surprised to learn that there are no personnel files that are specifically limited to C-level employees such as CEO, CFO, etc.

Under the law, you need 3 sets of employee files. If you keep copies of I-9 documents, the I-9s need to be kept with the supporting documents, in a file separate from other employment records. This is to prevent illegal discrimination based on citizenship or national origin.

The second set of files are the confidential files, which contain medical information including doctors notes about absences, FMLA, disability accommodations, etc. The ADA or Americans with Disabilities Act requires that the employer not consider any medical information when making employment decisions such as hiring, firing, promotions, training, etc. Therefore, no one who will be involved in personnel decisions should have access to these files, and that includes the employees supervisor as well as the CEO, COO or CFO.

Remaining information including disciplinary notices and performance evaluations goes into a personnel file. Thsi is the file that the employees supervisor, CEO, etc. would have access to.

The best practice is probably to keep credit reports and background checks in the confidential file with medical information, however, in many cases this information could be given to a supervisor or CEO in making a decision on promotion, etc. The medical information should never be given to anyone in a position to make employment decisions.

Some HR pros refer to the confidential files as C-files. We wonder if you have become confused and assumed that the C stood for C-level, as in CEO, COO, etc.