{"id":11438,"date":"2019-06-18T13:58:07","date_gmt":"2019-06-18T18:58:07","guid":{"rendered":"https:\/\/www.tsl.texas.gov\/slrm\/blog\/?p=11438"},"modified":"2025-02-13T08:46:08","modified_gmt":"2025-02-13T14:46:08","slug":"the-personnel-file-retention-best-practices","status":"publish","type":"post","link":"https:\/\/www.tsl.texas.gov\/slrm\/blog\/2019\/06\/the-personnel-file-retention-best-practices\/","title":{"rendered":"The Personnel File: Retention & Best Practices"},"content":{"rendered":"\n

by Erica Rice<\/em><\/p>\n\n\n\n

\"\"<\/figure><\/div>\n\n\n\n

Every state agency and local government creates and\nmaintains employee records.  Often\nmaintained in individual files for each employee, the personnel file is added\nto regularly throughout its active life, and it may often be consulted during\nits long inactive life.  We create and\nuse personnel records to hire, re-hire, train, evaluate, compensate, address grievances,\nand provide verifications for all employees.<\/p>\n\n\n\n

So here comes the oft-asked question: how long do you\nkeep personnel files?<\/strong>  This is a\ngreat example (one of many!) of a simple records management question that does\nnot come with an easy answer.<\/p>\n\n\n\n

The complicating factor for employee records is that both Local Government Schedule GR<\/a> and the State Records Retention Schedule<\/a> list multiple records series that can be classified as personnel records (located in Part 3 of each schedule).  Most Human Resources departments maintain single personnel files for individual employees, and these files can contain potentially dozens of different records, all with conflicting retention periods.  There is no single record series for the all-encompassing \u201cpersonnel file.\u201d<\/em> <\/p>\n\n\n\n

\"\"<\/figure><\/div>\n\n\n\n

Depending on how your HR department organizes its records, employee\nrecords may be stored all together, in multiple locations\/departments, or in\ndifferent formats.  Consequently, there\nis no one correct way to maintain personnel files, but there are many options available\nto you when it comes to assigning a retention period (or more than one) that\ncomplies with Texas state law, and keeping your records accessible.  We\u2019ll look at some of those options below.<\/p>\n\n\n\n

First, let\u2019s lay out all the records series on the general schedules that can possibly be included in an employee\u2019s personnel record. (Payroll records are not included \u2013 for the sake of brevity \u2013 but some payroll information could end up in employees\u2019 individual folders, depending on your agency).<\/p>\n\n\n\n

Record Series Commonly Found in Personnel Files<\/h2>\n\n\n\n

State Records Retention Schedule<\/strong><\/p>\n\n\n\n

Title<\/strong> <\/td>Code<\/strong> <\/td>Trigger<\/strong>
Event<\/strong> <\/td>		Retention<\/strong> <\/td><\/tr>
Applications for Employment – Hired <\/td>3.1.001<\/td>Termination<\/td>5 Years<\/td><\/tr>
Employee Counseling Records<\/em> <\/td>3.1.006<\/em> <\/td>Event Term<\/em> <\/td>3 Years<\/em> <\/td><\/tr>
Employee Benefits<\/td>3.1.011 <\/td>Termination<\/td>Immediate<\/td><\/tr>
Employment Contracts<\/em> <\/td>3.1.013<\/em> <\/td>Event Term<\/em> <\/td>7 Years<\/em> <\/td><\/tr>
Employment Selection Records<\/td>3.1.014<\/td>X <\/td>2 Years<\/td><\/tr>
Grievance Records<\/em> <\/td>3.1.018<\/em> <\/td>Event Term<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
Performance Appraisals<\/td>3.1.019<\/td>X<\/td>2 Years<\/td><\/tr>
Personnel Corrective Action Documentation<\/em> <\/td>3.1.020<\/em> <\/td>Event Term<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Personnel Disciplinary Action Documentation<\/em> <\/td>3.1.021<\/em> <\/td>Termination<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Personnel Information or Action Forms<\/td>3.1.022 <\/td>X <\/td>2 Years<\/td><\/tr>
Position\/Job Descriptions<\/em> <\/td>3.1.023<\/em> <\/td>US<\/em> <\/td>4 years<\/em> <\/td><\/tr>
Physical Examinations\/Medical Reports<\/em><\/td>3.1.024<\/em><\/td>Termination<\/em><\/td>2 Years<\/em> <\/td><\/tr>
Criminal History Checks<\/em><\/td>3.1.026<\/em><\/td>AV<\/em><\/td>Immediate<\/em><\/td><\/tr>
Training and Educational Achievement Records (Individual) <\/td>3.1.027<\/td>Termination<\/td>5 Years<\/td><\/tr>
Employee Benefits – Other than Insurance<\/td>3.1.031<\/td>Termination<\/td>2 Years<\/td><\/tr>
Performance Bonds<\/em><\/td>3.1.035<\/em><\/td>Event Term<\/em><\/td>7 Years<\/em><\/td><\/tr>
Apprenticeship Records<\/td>3.1.036<\/td>X<\/td>5 Years<\/td><\/tr>
Employee Recognition Records<\/em><\/td>3.1.037<\/em><\/td>Termination<\/em><\/td>5 Years<\/em><\/td><\/tr>
Public Access Option Form<\/td>3.1.038<\/td>Termination<\/td>75 Years<\/td><\/tr>
Ombudsman Records<\/em><\/td>3.1.039<\/em><\/td>Event Term<\/em><\/td>Immediate<\/em><\/td><\/tr>
Former Employee Verification Records<\/td>3.3.011<\/td>Termination<\/td>75 Years <\/td><\/tr>
Work Schedules\/Assignments<\/td>3.3.020<\/td>X <\/td>AV<\/td><\/tr>
Reimbursable Activities, Requests and Authorizations to Engage in <\/td>3.3.023 <\/td>X <\/td>3 Years <\/td><\/tr>
Aptitude and Skills Tests (Test Papers) <\/td>3.3.028 <\/td>X <\/td>2 Years <\/td><\/tr>
Hazardous Materials Training Records <\/td>5.4.007 <\/td>X <\/td>5 Years <\/td><\/tr>
Calendars, Appointment and Itinerary Records <\/td>1.1.013 <\/td>X <\/td>1 Year <\/td><\/tr>
Employment Eligibility, Documentation or Verification of <\/td>3.1.029<\/td>X
or Termination<\/td>		3 Years
1 Year<\/td><\/tr><\/tbody><\/table><\/figure>\n\n\n\n

Italics = Optional Record<\/em>
X = No Trigger Date Other Than Record Creation
Note: If there are multiple retention options for a given series, the longest possible retention period was selected.<\/p>\n\n\n\n

Local Government Retention Schedule GR<\/strong><\/p>\n\n\n\n

\n Title<\/strong>\n <\/td>\n Code<\/strong>\n <\/td>\n Trigger Event<\/strong>\n <\/td>\n Retention<\/strong>\n <\/td><\/tr>
Aptitude and Skills Test Records<\/em> <\/td>GR1050-02c<\/em> <\/td>X<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
Awards and Commendations<\/em> <\/td>GR1050-03<\/em> <\/td>Termination<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Certificates and Licenses<\/em> <\/td>GR1050-04<\/em> <\/td>Termination<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Counseling Program Records<\/em> <\/td>GR1050-06a<\/em> <\/td>Event Term<\/em> <\/td>3 Years<\/em> <\/td><\/tr>
Disciplinary and Adverse Action Records<\/em> <\/td>GR1050-07<\/em> <\/td>Event Term<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
Employee Pension Records <\/td>GR1050-08b(2)(A) <\/td>Termination <\/td>75 Years <\/td><\/tr>
Employee Security Records <\/td>GR1050-10a <\/td>Termination <\/td>2 Years <\/td><\/tr>
Employee Security Records <\/td>GR1050-10b <\/td>US\/Termination <\/td>Immediate <\/td><\/tr>
Employee Selection Records <\/td>GR1050-11 <\/td>X <\/td>2 Years <\/td><\/tr>
Employee Service Records <\/td>GR1050-12 <\/td>Termination <\/td>75 Years <\/td><\/tr>
Employment Applications <\/td>GR1050-14a <\/td>X <\/td>2 Years <\/td><\/tr>
Employment Applications (Transcripts) <\/td>GR1050-14c <\/td>Termination <\/td>5 Years <\/td><\/tr>
Employment Contract\/Collective Bargaining Records<\/em> <\/td>GR1050-15a<\/em> <\/td>Event Term<\/em> <\/td>4 Years<\/em> <\/td><\/tr>
Equal Employment Opportunity Records and Reports<\/em> <\/td>GR1050-16c<\/em> <\/td>Event Term<\/em> <\/td>3 Years<\/em> <\/td><\/tr>
Fidelity Bonds<\/em> <\/td>GR1050-18<\/em> <\/td>Event Term<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Fingerprint Cards<\/em> <\/td>GR1050-19<\/em> <\/td>Termination<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Grievance Records<\/em> <\/td>GR1050-20<\/em> <\/td>Event Term<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
Job Evaluations <\/td>GR1050-21 <\/td>Termination <\/td>2 Years <\/td><\/tr>
Medical and Exposure Reports<\/em> <\/td>GR1050-22b<\/em> <\/td>Termination<\/em> <\/td>30 Years<\/em> <\/td><\/tr>
Personnel Action or Information Notices <\/td>GR1050-24 <\/td>X <\/td>2 Years <\/td><\/tr>
Position Descriptions<\/em> <\/td>GR1050-26a<\/em> <\/td>US<\/em> <\/td>4 Years<\/em> <\/td><\/tr>
Training and Educational Achievement Records <\/td>GR1050-28a <\/td>Termination <\/td>5 Years <\/td><\/tr>
Unemployment Compensation Claims Records<\/em> <\/td>GR1050-29<\/em> <\/td>Event Term<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Work Schedules <\/td>GR1050-31 <\/td>X <\/td>1 Year <\/td><\/tr>
Workers Compensation Claim Records<\/em> <\/td>GR1050-32b<\/em> <\/td>Event Term<\/em> <\/td>50 Years<\/em> <\/td><\/tr>
Financial Disclosure Statements<\/em> <\/td>GR1050-33<\/em> <\/td>Termination<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
Public Access Option Forms <\/td>GR1050-34 <\/td>Termination <\/td>75 Years <\/td><\/tr>
Employee Exit Interviews <\/td>GR1050-35 <\/td>Termination <\/td>2 Years <\/td><\/tr>
Criminal History Checks<\/em> <\/td>GR1050-36<\/em> <\/td>AV<\/em> <\/td>Immediate<\/em> <\/td><\/tr>
Employee Acknowledgement Forms <\/td>GR1050-37 <\/td>Termination <\/td>2 Years <\/td><\/tr>
Applications for Permanent Employment Certification (Eta Form 9089)<\/em> <\/td>GR1050-40<\/em> <\/td>X<\/em> <\/td>5 Years<\/em> <\/td><\/tr>
Outside\/Secondary Employment Authorizations<\/em> <\/td>GR1050-41<\/em> <\/td>Termination<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
License and Driving Record Checks<\/em> <\/td>GR1050-42<\/em> <\/td>Termination<\/em> <\/td>Immediate<\/em> <\/td><\/tr>
Vehicle or Equipment Assignment Records<\/em> <\/td>GR1075-21<\/em> <\/td>Event Term<\/em> <\/td>2 Years<\/em> <\/td><\/tr>
Hazardous Materials Training Records <\/td>GR5750-04 <\/td>X <\/td>5 Years <\/td><\/tr>
Calendars, Appointment and Itinerary Records <\/td>GR1000-45 <\/td>X <\/td>1 Year <\/td><\/tr>
Verifications of Employment Eligibility (Form I-9) <\/td>GR1050-30 <\/td>X
or Termination <\/td>		3 Years
1 Year<\/td><\/tr><\/tbody><\/table><\/figure>\n\n\n\n

Italics = Optional Record<\/em>
X = No Trigger Date Other Than Record Creation
Note: If there are multiple retention options for a given series, the longest possible retention period was selected.<\/p>\n\n\n\n

We can see that some records will apply to all employees, and\nsome will not.  Some records (for\nexample, Grievance Records or Employee Recognition Records) can<\/em> be\nincluded in all employees\u2019 files, but they might not, depending on an\nemployee\u2019s individual performance or achievements.  Retention periods are all across the board,\nand the trigger event (employee termination, end of calendar year, etc.) for\neach series is highly variable.<\/p>\n\n\n\n

So how does an RMO reconcile all these different retention\nperiods and trigger events, in a way that makes disposition simple and\nefficient?  Let\u2019s take a look at some of\nour options\u2026.<\/p>\n\n\n\n

\n\n\n\n

Multiple\nRetention Periods<\/h2>\n\n\n\n

Endgame: All personnel records are classified into\ndistinct record series and dispositioned as soon as their retention periods are\nmet.<\/strong><\/p>\n\n\n\n

If your agency maintains many of these record series in\nmultiple locations and\/or does not utilize a consolidated personnel file, then\nadhering exactly to the minimum retention period for each series may be the\nbest option for you.  Additionally, if\nyou are using a Human Resources Information System (HRIS) or other kind of\nContent Management System to maintain all these records electronically, all\nyour records can be easily auto-classified into the correct series.<\/p>\n\n\n\n

\"\"<\/figure><\/div>\n\n\n\n

RMOs should work with HR departments to ensure that each\nelement of the employee file is being maintained and dispositioned\nconsistently.  This can be accomplished\nby utilizing a pre-determined file structure, which can take the form of a file\ntree.  The file tree should indicate each\npersonnel record series maintained by the agency, as well as the associated\nretention period and location of the record.<\/p>\n\n\n\n

If we use the chart of common personnel records maintained by local governments as an example, and we eliminate some of the optional records, the file tree might look something like this:<\/p>\n\n\n\n

\"\"<\/figure>\n\n\n\n

The file structure can also indicate which records are\nrequired to be maintained, and which are optional.  This may be different for supervisors,\nsubordinates, or specialized job positions.<\/p>\n\n\n\n

\"\"<\/figure><\/div>\n\n\n\n

When it comes time for annual destruction, staff will need\nto go over every record series for each employee to determine if the retention\nperiod for any of the records has been met. \nUsing this method, personnel files need to be revisited every year\nduring active use, as well as at least every year after employee termination\nfor the first 5 years.  The advantage of\ndispositioning these records often is that it creates more free storage space.<\/p>\n\n\n\n

Pros:<\/strong> Most efficient use of storage space; No risk of\nover-retention<\/p>\n\n\n\n

Cons:<\/strong> Most frequent disposition work; More classification work up-front<\/p>\n\n\n\n

\n\n\n\n

Bucketing\n\u2013 Fewer Retention Periods<\/h2>\n\n\n\n

Endgame: Personnel files are bucketed into a manageable\nnumber of subfolders with different retention periods.<\/strong><\/p>\n\n\n\n

\"\"<\/figure><\/div>\n\n\n\n

If it seems like too much work to keep track of all the\ndifferent retention periods for every single record series, then \u201cbucketing\u201d\nmay work for you.  Organizing active\npersonnel records by individual record series may not be feasible in your\noffice due to lack of filing staff or resources.  Bucketing involves grouping together record\nseries with similar functions and retention periods, and then dispositioning\nthem as one giant record series.  As\nlong as the minimum retention requirements are being met<\/strong>, then larger\nbuckets are a great way to consolidate the myriad record series in a personnel\nfile.  A more in-depth look at the\nadvantage and disadvantages of big buckets can be found in this previous\nblog post<\/a>.<\/p>\n\n\n\n

Using the same file tree from the example above, we can see that grouping similar record series together makes the structure of the personnel file a lot simpler and more streamlined.  In this example, the minimum information required for the Employee Service Record is expanded to include a few additional record series that have retentions of 75 years or less.<\/p>\n\n\n\n

\"\"<\/figure>\n\n\n\n

This is only one possible way to bucket personnel\nfiles.  Depending on how and where your\npersonnel records are stored, you can choose to group files based on their\ntrigger events (e.g. all record series whose retention periods begin at\nemployee termination will be retained for the longest retention period of 75\nyears) or comparable retention periods or any other logical sorting method.  Utilizing big buckets allows staff to spend\nless time separating out records ready for disposition.  However, because all record series in a\nbucket are destroyed at the same time, records with shorter retention periods\nmay be retained longer than necessary.<\/p>\n\n\n\n

It is also a good idea to make sure your short-term records are not being placed in buckets with retentions longer than 10 years.  The enhanced electronic storage record requirements in Bulletin B<\/a> kick in at the 10-year mark for local governments; for both local and state agencies, storage costs and potential information loss increase greatly every year records are being over-retained.<\/p>\n\n\n\n

Pros<\/strong>:  Saves on\nstorage space; Less risk of over-retention<\/p>\n\n\n\n

Cons<\/strong>:  Moderate\ndisposition work required; Moderate classification work up-front<\/p>\n\n\n\n

\n\n\n\n

Single\nRetention Period<\/h2>\n\n\n\n

Endgame: All personnel records are maintained in a single\nfile for 75+ years.<\/strong><\/p>\n\n\n\n

Finally, the method that requires the least amount of classification and dispositioning effort involves assigning a single retention period to the entire personnel file \u2013 the Biggest Bucket, if you will.<\/p>\n\n\n\n

\"\"<\/figure>\n\n\n\n

Keep in mind that if two or more records listed in the\nschedule are maintained together and are not severable, the combined record\nmust be retained for the length of time of the component with the longest\nretention period.  The longest\nretention period of any personnel record series on both the State and Local\nGovernment schedules is: Date of Employee Termination + 75 Years.<\/strong><\/p>\n\n\n\n

\"\"<\/figure><\/div>\n\n\n\n

Keeping all personnel records for 75 years after employee\ntermination is an option that satisfies all minimum retention periods with\nminimal effort, but the decision must be weighed carefully against your\nagency\u2019s appetite for risk; over-retaining records can increase storage costs,\nincrease retrieval times for requests, and increased liability in the event of\nany legal discovery.  Additionally,\ncarefully consider which types of employee records contain confidential or personally\nidentifiable information (PII).  Is minimal\ndisposition effort worth the risk of storing and protecting sensitive\ninformation longer than absolutely necessary?<\/p>\n\n\n\n

But wait! There is one neat trick…<\/strong><\/h3>\n\n\n\n
\"\"<\/figure><\/div>\n\n\n\n

The state record series \u201cFormer Employee Verification Records [3.3.011]\u201d and the local government record series \u201cEmployee Service Records [GR1050-12]\u201d provide definitions for the basic information required to be maintained in a summary sheet for each employee post-termination:<\/p>\n\n\n\n