Everything you need to know about personnel files
What are personnel files and what are they used for?
In the context of personnel administration, personnel files are one of the most important documents that must comply with a number of mandatory details and rules.
What may be included in the personnel file and what obligations does the employee have? The answers ⤵️
What is a personnel file? - Definition
Personnel files contain documents and records relating to the employee and the employment relationship. The file is kept by the employer for its employees. As a reflection of this, it should provide as complete, truthful and well-maintained a picture as possible of the employee's professional career.
However, there is only a legal definition of the personnel file in the public sector. According to Section 106 (1) of the Federal Civil Service Act, a personnel file includes "all documents, including data stored in files, (...) insofar as they have a direct internal connection with the employment relationship".
Nevertheless, the creation of personnel files is also recommended in the private sector in order to store employee documents in an organised and secure manner, which the employer must submit in accordance with occupational health and safety regulations (Working Hours Act, Employment Records Act or Maternity Protection Act) or to the social insurance institutions and tax authorities.
The form of the personnel file is also not regulated by law. Most companies have abandoned the paper form and now use digital personnel files. However, even with this new form, employee data protection must be maintained.
What goes in the personnel file? - Contents
The content of the personnel file is also not stipulated by law. Employers generally include the following documents and papers:
Personal documents
- Surname, first name
- address
- Date of birth
- Gender
- Nationality
- Photo
- Driving licence
- Declaration of secondary employment
- Work permit
- Medical certificates
Application documents
- Results of the application test
- Employment references and certificates
- Curriculum vitae
- Letter of application
- Notes from the interview
- Proof of further training
Documents relating to the job
- Job description
- Contract of employment
- Contract amendments
- promotions
- Warnings
- appraisals
- Training measures
- Warning letter
Holiday and absence documents
- Applications for leave
- Parental leave
- Maternity leave
Remuneration documents
- Bank details of the employee
- Information on basic remuneration and variable remuneration components
- Advances
- wage garnishments
- Social security card
What must not be included in the personnel file?
The above list is just an example to help you create personnel files. You can, of course, omit certain documents or add other information that you consider relevant.
Only work-related records about the employee belong in a personnel file, i.e. employees' private habits are inadmissible. Accordingly, the following documents must not be included in personnel files:
- Reasons for and reports of illness,
- medical documents,
- private information about the employee, such as social media profiles,
- shift schedules,
- performance notes by the employer, etc.
Rights and obligations
In principle, the employer has no obligation to keep personnel files. However, companies generally keep a file on their employees, as this is in the interests of both parties. This circumstance therefore raises the question of data protection and the retention of files.
Retention
The employer must keep all files carefully as part of the duty of care. Only the employer and authorised HR staff can handle or manage personnel files. Accordingly, a third party cannot view or manage an employee's files. Furthermore, personnel files cannot be made public.
In order to make all personnel files quickly available, the employer can collect and store them in one place. It is important that the storage location can be securely locked, as these personal records must be protected from access by third parties in accordance with data protection laws.
To ensure optimal storage, personnel files can be stored securely in digital form using specialised software, such as HR software. Such software offers many advantages, such as
- Storage: no storage space is required as storage is usually via the cloud.
- Search by keyword: Individual pieces of information can be found in no time at all.
- Mobility: Information (if it is stored centrally) is not only available on a terminal device, but also from a smartphone or tablet.
Data protection
Personnel files contain personal information. Digital personnel files must therefore comply with special requirements regarding data collection, processing and use, which are regulated by the Federal Data Protection Act (BDSG). This means, for example, that the employer must obtain the employee's express consent to the collection, transmission and storage of their data. This can also take the form of a works agreement which, in consultation with the works council, provides for the implementation and introduction of an electronic personnel file for all employees.
Data processing must also be carried out for a specific purpose in order to comply with the data protection principles. According to Section 26 (1) BDSG (new), personnel files can only be processed for specific purposes of the employment relationship, namely for
- the establishment of an employment relationship,
- after the employment relationship has been established, for its implementation,
- the termination of the employment relationship,
- the exercise or fulfilment of the rights and obligations of employee representatives arising from a law or a collective agreement, a works or service agreement,
- the criminal offence of an employee.
If there is no longer a purpose for storage, the documents must be deleted.
However, certain retention periods must be observed with regard to the retention period, e.g. accounting documents on wage payments, files created in accordance with the Working Hours Act or the Maternity Protection Act.
Who may view personnel files?
According to the Federal Constitutional Law, every employee has the right to inspect their personnel file at any time and for any reason. It is therefore advisable for employees to make regular use of this right in order to prevent problems later on. Employees can read their personnel file, take notes or make photocopies of certain documents.
Employees also have the opportunity to comment on the content of their personnel file. They can draw up (written) statements that can be attached to the personnel file in an appropriate place. They can also request that incorrect information be removed from their personnel file. This applies, for example, to factual allegations that could jeopardise the employee's career. If the employer does not comply or does not comply sufficiently, the employee can also enforce their right to amendment or removal in court.
The data in a personnel file must be securely protected and can only be viewed by certain persons. However, a paper personnel file can pass through different hands (HR manager, employer, payroll manager, etc.), which can be problematic as they can easily access personal data. Digital personnel files that are collected and secured in a centralised location can easily circumvent this problem, as each individual employee file is encrypted.
And you, are you already using HR software to store your personnel files? Let us know in the comments box!
Article translated from German