Standards for public agencies

2020 Edition

Human Resources Management (PA-HR) 5: Personnel Records

The organization maintains a personnel record for each employee.
2020 Edition

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Purpose

The agency's human resources practices attract and retain a competent and qualified workforce that is capable of supporting the agency's mission and strategic goals.
Note: See PA-RPM 5 for more information on appropriately limiting access to personnel records to protect confidentiality.

Note: Please see the Personnel Records Checklist for additional guidance on this standard.
1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
County/Municipality Administered Agency, State Administered Agency (Central Office), or other Public Entity
  • Procedures for maintaining personnel records 
State Administered Agency (Regional Office)
  • A description of regional personnel records contents
No On-Site Evidence
County/Municipality Administered Agency, State Administered Agency (Central Office), or other Public Entity
  • Interviews may include:
    1. HR Director
    2. Supervisory personnel
    3. Personnel at various levels including direct service personnel and support personnel
  • Review personnel records
State Administered Agency (Regional Office)
  • Interviews may include:
    1. Regional HR personnel
    2. Supervisory personnel
    3. Personnel at various levels including direct service personnel and support personnel
  • Review personnel records

 
Fundamental Practice

PA-HR 5.01

Personnel records are updated regularly and contain:
  1. identifying information and emergency contacts;
  2. application for employment including resume;
  3. hiring documents including job postings, interview notes, reference verifications, and documentation of completed background checks when available;
  4. job descriptions;
  5. compensation documentation, as appropriate;
  6. pre-service and in-service training records when training hours are documented in the personnel file; 
  7. health information or reports for annual physical examinations, appropriate to the job position or when required by law; and
  8. performance reviews and all documentation relating to performance, including disciplinary actions and termination summaries if applicable.

Interpretation

An agency may maintain records in separate files according to its own record keeping system and as required by law or regulation. For example, EAP records, health benefits enrollment forms, grievances/complaints and response documents, and EEOC-related records must be kept separately from other personnel records.

 

PA-HR 5.02

Personnel may review, add, and correct information contained in their records, in accordance with applicable law.