FOR many employers, the issue of setting up and maintaining personnel files presents yet another administrative challenge which can become easily overlooked.
The importance of keeping up-to-date records cannot be over-estimated, particularly in the context of Employment Tribunal proceedings.
It goes without saying that any records kept must adhere to the provisions of the Data Protection Act.
Should you be unlucky enough to face a claim from a former, or indeed a current employee, the first thing your advisor will ask for is the personnel file.
The file should include all relevant documents gathered throughout the employee’s time with the company and this will form the basis of a robust defence to any claim.
So what should be included in the personnel file?
At the very start of the employment relationship, the individual should be given a contract of employment to sign or, at the very least, a statement of initial employment particulars, detailing such matters as pay, holiday and sickness entitlement, working hours etc.
If such a document cannot be produced, and the employee succeeds with a claim, he is also entitled to an additional award of up to four week’s pay as a result of your failure.
It is also imperative to keep sickness and disciplinary records for each employee.
Companies which pro-actively monitor sickness absence levels within the business will refer to the employee file frequently and any dismissal on the basis of an employee’s absence from work may be justified if the right information about their absence has been gathered and can be presented.
With regard to disciplinary matters, any conduct dismissal will be supported with evidence showing what action has been taken in the past and what evidence has been gathered in each case.
If an employer can point to a number of correctly administered warnings which were issued prior to any dismissal and has good evidence to support all the action it has taken, it will go some way to supporting the overall decision to dismiss.
If a company is required to defend a discrimination claim, often it can strengthen its position by showing evidence of the steps it has taken to prevent workplace discrimination.
For example, if all employees have signed documents certifying their attendance at “diversity at work” training and if all employees have signed to confirm they have read and understood the company’s equal opportunities policy, the tribunal will acknowledge the steps the company has taken to educate its employees and try to prevent discriminatory acts from taking place.
And finally, a word of warning for those who may be tempted to prepare their own personnel records after the event.
A managing director in Scotland has been jailed for four months after forging his ex-employees signatures on various documents and presenting them as evidence at the Employment Tribunal.
The judge stated that the efforts were a “pre-meditated forgery” and the employee walked away £29,500.00.
