Employee Personnel Files

Policy

Category: Human Resources
Subject: Employee Personnel Files  
Division: Administrative Services
Policy Number: CA.52.01.121
Effective Date: October 16, 2017

POLICY STATEMENT

Wellington-Dufferin-Guelph Public Health (WDGPH) maintains personnel files including employee and employment information to ensure compliance with the Canada Revenue Agency, Municipal Freedom of Information and Protection of Privacy Act, the Employment Standards Act as well as other statutes. Access to employee files is restricted to Human Resources (HR) employees.  An employee may review their file upon request which is handled in accordance with applicable privacy legislation.  The release of information to other internal users (i.e. direct line managers) is restricted on a need-to-know basis.  

File Maintenance and Access

Employee personnel files are organized in three sections as outlined below:  

Employee/Manager:

General

  • Resume
  • Employee Change Requests (ECR)
  • Offer letter and change letters
  • Performance reviews
  • Confidentiality Agreement
  • AWS Agreement
  • Letter of resignation/ termination
  • EH+S memos
  • Emergency contact forms
  • Rate changes/grid increases.  

Training

  • Training records
  • Requests for professional development
  • Orientation Checklist
  • Certificates
  • Educational credentials

Employee Only

Payroll and Benefits

  • Banking information
  • Vacation requests
  • United Way deduction forms
  • Garnishments/court orders, etc.
  • LOA requests/approvals, etc.
  • Benefits enrollment/changes
  • OMERS pension paperwork
  • EAP enrollment form
  • Ergonomic assessments
  • Employment verification letters/Confirmation of Employment Letters
  • Medical notes/doctor notes including confidential medical information such as physical restrictions, accommodation requirements, etc.)

In maintaining employee personnel files the following guidelines apply:

  • Information that affects an employee status will be placed in the personnel file;
  • Information placed in the file will be accurate and current;
  • The location of the file will be made known to the employee;
  • The employee has a right to view their file with HR present;
  • The employee has the right to comment on the accuracy of the contents of the file; and
  • The employee has the right to require that any statement of disagreement be attached to the information reflecting any correction requested to the contents in their file but not made.

Employee’s Access to Personnel File:

Employees may contact HR to arrange a time to view the contents of their personnel file. An HR representative will be present when the employee reviews their file and will provide copies of any information at the employee’s request.  Managers may also view an employee’s general information and training information by contacting HR.

SCOPE

This policy applies to all employees, student placements and volunteers with a personnel file at WDGPH

DEFINITIONS

Personal information – any recorded information regarding an employee related directly or indirectly to the employee.

Employee Personnel Files – Any personal information whether in printed form, by electronic means or other forms created when an employee is employed by WDGPH.

REFERENCES AND RELATED FORMS, POLICIES AND PROCEDURES

Corresponding Procedure:  CA.52.02.121   Employee Personnel Files
CA.58.01.101   MFIPPA
CA.30.01.801  Acknowledgement of Receipt of Confidential Information
Municipality Freedom of Information and Protection of Privacy Act
Employment Standards Act, 2000 – Record Keeping
Human Rights Code

CONTACT FOR INQUIRIES

Manager, Human Resources

APPROVED BY

Interim Director, Administrative Services


Procedure

Category: Human Resources
Subject: Employee Personnel Files
Division: Administrative Services
Procedure Number: CA.52.02.121
Effective Date: October 16, 2017

PROCEDURE

The procedure outlined below assists in the maintenance of employees’ information to ensure that legal, regulatory, and procedural requirements have been met.  It provides a basis for making personnel decisions, assists with human resource management, and collects information for statistical Human Resources (HR) reports for senior management and/or the government.

Maintenance of Current Employee Personnel File:

  1. Employee personnel files are stored in the HR department and regular access is restricted to HR staff only.
  2. An employee must be informed of any information forwarded to HR to add to the employee’s official file.  If information is going to be added to the employee’s HR file, a copy must be provided to the employee. 
  3. Confidential information such as banking information, change of benefits, change of beneficiary etc. should be provided directly by the employee to HR.
  4. HR will seek permission from the employee for disclosure of information, where applicable.
  5. Employees are required to provide copies of professional training records to HR.
  6. Paper performance reviews will be added when approved.
  7. Compensation, benefits and pension information will be added periodically when changes occur.
  8. Other general information will be added to the employee’s personnel file as acquired by HR.
  9. HR will maintain an electronic file for employees by keying applicable information in the Human Resources Information System (HRIS).

Access to an Employee Personnel File:

  1. An employee can access or view their file by contacting HR and setting up an appointment.
  2. HR will arrange a date and time to meet with the employee to access and view contents of their personnel file.
  3. An HR representative will be present during the time the employee views their file.
  4. HR will provide copies of any information on file at the employee’s request.
  5. If a manager wants to view their employee’s general or training information, they will contact HR to make arrangements. Managers are not permitted to view Payroll and Benefits information as outlined in the policy. 
  6. HR will confirm date and time to meet and will be present during the time the manager reviews the file.
  7. If the manager requests any general or training information, HR will make a copy to provide to the manager.
  8. If HR is contacted by an external company/individual to disclose any information from an employee’s file, HR will not do so unless there is written permission provided by the employee, or it is required by law.

Maintenance of Former Employee Personnel File:

  1. Upon completion of paperwork confirming the person is no longer an employee, HR will remove file from active employees.
  2. The file will be placed in the terminated files and retained in accordance with the HR record retention schedule.

RESPONSIBILITY:

Management will:

  • Adhere to this  policy and procedure;
  • Ensure that employee’s personal information provided to HR by the manager is accurate, up to date and provided in a timely manner;
  • Provide copies of any documentation that the manager requests be added to the employee’s file to the employee; and
  • Maintain confidentiality/privacy of all employees’ personal information retained for personnel file purposes.

Human Resources will:

  • Ensure the employee personnel files policy is understood and followed by management and employees;
  • Ensure confidentiality and privacy of all employees’ personnel files in both hard copy print and electronic formats;
  • Ensure all personal information kept in the employees’ personnel files is accurate and up to date;
  • Facilitate an employee’s request to view their personnel file;
  • Ensure employees understand the process to access and view their personnel file;
  • Review, address and investigate any dispute from an employee regarding information contained in their personnel files; and
  • Review, remove, convert and/or destroy records as per record keeping retention laws for employee’s files.

Employee will:

  • Adhere to this policy  and procedure;
  • Provide accurate information to HR and their manager to maintain and up to date personnel file; and
  • Understand the process to both access and to dispute an entry in their personnel file if applicable.

REFERENCES AND RELATED FORMS, POLICIES AND PROCEDURES

Corresponding Policy:  CA.52.01.121   Employee Personnel Files
CA.52.01.110  Confirmation of Employment/ Release of Information
CA.30.01.801  Acknowledgement of Receipt of Confidential Information Form
CA.58.01.101  MFIPPA policy
Employment Standards Act, 2000
Human Rights Code

CONTACT FOR INQUIRIES

Manager, Human Resources

APPROVED BY

Interim Director, Administrative Services