Personnel File

What Is a Personnel File?

A personnel file is the collection of employment-related records that an employer maintains about an individual employee. Under California Labor Code Sections 1198.5 and 432, employees have significant rights to inspect and obtain copies of their personnel records. These rights extend beyond just payroll data to include performance evaluations, disciplinary notices, and other documents used to determine qualifications for employment, promotion, discipline, or termination.

California's personnel file access laws are among the most employee-friendly in the nation, providing current and former employees with substantial rights to review the documents that affect their employment.

California Personnel File Access Rights

Employee Rights Under Labor Code 1198.5

Current and former employees have the right to:

Right	Details
Inspect personnel records	At reasonable times and intervals
Copy records	At employee's expense, or free if employer chooses
Receive copies by mail	If employee requests
Designate representative	With written authorization
Access within 30 days	Of written request

Who Can Request Access

Current Employees:

• Full-time employees
• Part-time employees
• Temporary employees
• Seasonal employees

Former Employees:

• Any employee whose employment has ended
• No time limit specified in statute for requests
• Practical limit: records must still exist

Authorized Representatives:

• Attorney representing employee
• Union representative
• Other designated individual with written consent

What Must Be Included in Personnel Files

Records Related to Qualifications and Performance

Employers must make available any records used to determine:

Category	Examples
Qualifications	Job applications, resumes, certifications
Employment	Offer letters, employment agreements
Performance	Performance reviews, evaluations, assessments
Discipline	Warnings, write-ups, corrective action notices
Termination	Termination notices, separation documents
Promotion	Consideration documents, interview notes

Commonly Included Documents

Hiring Documents:

• Job application
• Resume or CV
• Interview notes (if used for decisions)
• Background check authorization and results
• Offer letter
• Employment agreement

Employment Records:

• Job description
• Training records
• Certification documentation
• Attendance records
• Schedule records
• Transfer requests and approvals

Performance Documentation:

• Annual performance reviews
• Quarterly or periodic evaluations
• Goal-setting documents
• Performance improvement plans
• Commendations and awards
• Customer feedback used in evaluations

Disciplinary Records:

• Verbal warning documentation
• Written warnings
• Suspension notices
• Final written warnings
• Investigation reports (if used for discipline)
• Corrective action plans

Compensation Records:

• Salary history within company
• Rate change documentation
• Bonus documentation
• Commission agreements
• Benefits enrollment forms

What Can Be Excluded

Records Employers May Withhold

Certain records are not subject to mandatory disclosure:

Category	Reason for Exclusion
Investigation records	Records relating to possible criminal offense investigation
Reference letters	Letters of reference
Pre-employment records	Records obtained before employment (with exceptions)
Medical records	Governed by separate laws; not part of personnel file
Trade secrets	Information revealing company confidential information
Other employees' information	Privacy protection

Criminal Investigation Exception

Employers may temporarily withhold records if:

1. The records relate to an investigation of possible criminal activity
2. The investigation is ongoing
3. Disclosure would prejudice the investigation

Once the investigation concludes or the need for confidentiality ends, records must be made available.

Letters of Reference

Confidential letters of reference are exempt from disclosure if:

• They were obtained with a promise of confidentiality
• They were made before the employee's employment began
• They were obtained in connection with a job application

Inspection Process Requirements

Employer Obligations

When an employee requests to inspect their personnel file:

Timeline Requirements:

Step	Timeframe
Request received	Start of clock
Records made available	Within 30 calendar days
Copies provided	Within 30 calendar days (if requested)

Location of Inspection:

• At the place where employee works
• At the place where records are maintained
• At an alternative location agreed upon by both parties

Reasonable Times:

• During normal business hours
• At a time that doesn't disrupt business
• Employer may limit to specific appointment times

Making Copies Available

If an employee requests copies:

Method	Requirement
In person	Provide at time of inspection
By mail	Send to employee's designated address
Electronically	If employee consents and records are in electronic format

Cost of Copies:

• Employer may charge employee for actual copying costs
• Cost must be reasonable
• Many employers provide copies free to avoid disputes

Documentation of Requests

Best practices for employers:

1. Log all requests with date and employee information
2. Track 30-day deadline for compliance
3. Document what was provided and when
4. Retain proof of delivery for mailed copies
5. Keep request records for at least 3 years

Penalties for Non-Compliance

Statutory Penalties

Under Labor Code 1198.5(k):

Violation	Penalty
Failure to permit inspection	$750 per violation
Failure to provide copies	$750 per violation
Each subsequent violation	Additional $750

Additional Consequences

Beyond statutory penalties:

• Attorney fees if employee prevails
• Court costs
• Injunctive relief ordering compliance
• Negative inference in related litigation
• Damaged employee relations

PAGA Exposure

Personnel file violations may be actionable under the Private Attorneys General Act:

• Representative actions on behalf of all affected employees
• 65% of civil penalties to state, 25% to employees
• Potential for significant aggregate penalties

Best Practices for Personnel File Management

Creating and Maintaining Files

Organization Structure:

Section	Contents
Hiring	Application, offer letter, agreements
Employment	Job descriptions, changes, transfers
Performance	Reviews, evaluations, commendations
Discipline	Warnings, corrective actions, PIPs
Training	Training records, certifications
Separation	Resignation, termination documents

What to Include:

• Documents signed by or provided to employee
• Records used to make employment decisions
• Any document employee might reasonably request

What to Keep Separate:

Keep Separate	Reason
Medical records	HIPAA and ADA requirements
I-9 forms	Immigration audit requirements
Investigation files	Confidentiality protection
Reference check responses	Third-party privacy
EEO data	Prevent discrimination claims

Handling Inspection Requests

Step-by-Step Process:

1. Receive request - Note date and method of request
2. Acknowledge receipt - Confirm in writing
3. Gather records - Compile all required documents
4. Review for exclusions - Remove legitimately excludable records
5. Schedule inspection - Within 30 days
6. Conduct inspection - With HR representative present
7. Provide copies - If requested
8. Document compliance - Maintain proof

Responding to Disputes

If employee disputes records:

Employee Concern	Employer Response
Record is inaccurate	Review and correct if warranted
Record is incomplete	Add missing documentation
Record should be removed	Evaluate legal basis for removal
Missing documents	Investigate and produce if found

Employee can submit written rebuttal to be included in file.

Personnel Files and Termination

Records to Prepare at Separation

When employment ends, ensure personnel file includes:

• Resignation letter (if voluntary)
• Termination notice (if involuntary)
• Final performance documentation
• Exit interview notes
• Benefits information
• Final pay documentation

Former Employee Requests

Rights continue after employment:

Former Employee Right	Employer Obligation
Request inspection	Make available within 30 days
Request copies	Provide within 30 days
Multiple requests	Must honor each request
Remote access	May mail copies if employee requests

Retention of Former Employee Files

Record Type	Minimum Retention
Personnel records	3 years after termination
Payroll records	3 years after termination
I-9 forms	3 years after hire or 1 year after termination (whichever is later)
Benefits records	6 years recommended
OSHA records	5 years

Personnel Files vs. Payroll Records

Understanding the distinction:

Personnel File (LC 1198.5)	Payroll Records (LC 226)
Performance reviews	Time records
Disciplinary records	Wage statements
Job applications	Pay rates
Training records	Deductions
Promotion considerations	Hours worked
30-day response deadline	21-day response deadline

Employees may need to make separate requests for each type of record.

Technology Considerations

Electronic Personnel Files

Many employers now maintain digital files:

Requirements:

• Must be as accessible as paper records
• Employee must be able to view or obtain printable copies
• Security measures must protect confidentiality
• Audit trail should track access

Benefits:

• Easier organization and retrieval
• Better backup and disaster recovery
• Simplified access management
• Faster response to requests

HRIS Integration

Modern HR information systems can:

• Centralize all employee records
• Track request deadlines automatically
• Generate required documents
• Maintain audit trails
• Control access by role
• Integrate with payroll records

Common Questions

How Often Can Employees Request Access?

California law says "reasonable intervals." Courts have generally held:

• Once per year is definitely reasonable
• More frequent requests may be reasonable depending on circumstances
• During active litigation, more frequent access may be appropriate

Must Employees State a Reason?

No. Employees do not need to explain why they want to see their file. Employers should not:

• Require justification for requests
• Ask why employee wants records
• Delay based on employee's stated purpose

Can Employees Take Documents Out of the Workplace?

Employees can:

• Review documents at the workplace
• Request copies to take with them
• Have copies mailed to them

Employees generally cannot:

• Remove original documents
• Photograph documents without permission (though employer should permit)

What About Electronic Signatures?

Electronic documents and signatures are valid if they:

• Are attributable to the person
• Can be retained and reproduced
• Meet legal requirements for the document type