Employee Personal file – Importance, Checklist, Process

It’s no more a mere good idea for an employer to maintain a personnel file for each employee but is also a must considering that the decision taken are mostly data based and also need proofs and documentation.

Documentation of employment history, records of contribution and achievement, disciplinary notices, promotions, performance development plans, and much more, belong in a personnel file.

The employer has good reasons to keep several personnel files—some legal and some for employment best practices purposes. Documentation is needed so the employer has an accurate view of an employee’s employment history. Documentation supports the employer’s decisions and may protect the employer in a lawsuit—preserved correctly.

The contents of the personnel file provide a historical overview of the important happenings during an employee’s career. They support the decisions that are made about the employee and his or her career. They demonstrate the employer’s rationale behind hiring, promotions, transfer, rewards and recognition, and firing decisions.

Gone are the days when most of the personal documents and the records were in hard format, which were difficult to maintain, update and on top of that very difficult to access. Also it was difficult to churn out a meaningful report for the employees as a whole in the organisation.

Now a days, most of the companies keep the Employees detail in soft copy and have the records in a HRMS (Human resource management system), Though for small companies, this can be managed in excel sheet as well.

These HRMS are both accessible in web as well as for smaller device in App format. There are some documents which has to be signed and should be kept in hard format apart from data being stored on the HRMS and hence personal files are equally important.

Employees personal file is the most important file when it comes from a perspective of compliance both internally as well as statutory. Also for HR function, its imperative to have this documented evidence for the audit of the department. Personal file is typically prepared at the time of joining of an employee by HR Department and have all personal records kept in place to identify the individual and for governance purpose.

Employees personal file is a file which contain documents throughout from Joining till Exit and have lifecycle documents right from his Resume, Employment documents, Transfer Letter, Appraisal/Increment Letter, Promotion Letter, other documentation related to employment along with Employees Personal Identity Proof, Bank related proof, Qualification documents and previous employment related documents. This also has copies of statutory documents like PF ESIC etc.

What happens if you don’t maintain employees Personal File ?

If you don’t maintain employees personal file, that can lead to loss of huge data of employee records and also makes you legally non-compliant. A well-documented personnel file is a key to protect the employer in audits and lawsuits. Well-managed personnel files allow the employer to properly supervise and to review employees’ performance.

Let’s go through the Document Check list required to maintain a personal file of an employee :

employee :

Name First Name     Middle Name    Last Name
E-code   Date of Joining :
Total Experience  
DOB  
Vertical-Dept./Project   Location :

Personal File – Document Check list :-

Sl.No. Documents Status
1 CV / Employment Form  
2 Pan Card  
3 Aadhar Card  
4 Voter Id Card  
5 Undertaking Sign  
6 Existing PF No. / UAN No./ ESIC  No.  
7 Education Details PGGraduation12th 10thOther
8 Experience Offer LetterAppointment Letter3 months’ Salary SlipReliving Letter           RC          LC-3         LC-2        LC-1
9 2 Photograph  
10 Form – 2 (PF Declaration)  
11 Form 1 (ESIC Declaration)  
12 Form 11(for PF exempted employees)  
13 Form F (Gratuity nomination form)  
14 Income Tax declaration Form  
15 Canceled Check  
16 Receiving of Offer Letter  of your company  
17 Receiving of Appointment Letter of your company  
18 Receiving of Confirmation Letter of your company  
19 Receiving of Increment Letter  Letter of your company  
20 Receiving of Transfer Letter  Letter of your company  
21 Other Documents  

Prepared By:-__________________                                                                              Validated By:- 

Documents checklist Overview :-

CV: The first document of an employee which you receive at the time of Interview. From that you can easily get all the details of an Individual about their previous experience & the personal and Qualification detail.

Employment Form: At the time of Joining, HR ask the employee to fill the Employment form. Duly filled by him/her and is also self-attested, which gives employee personal information in detail. The CV is required by the employee to further tally the information given by the employee at the time of interview matches with the given certificates or not..

Pan Card: Pan card is a mandatory document for Tax purpose and PF KYC.

Aadhar Card: For Identity, Address proof and PF KYC.

Voter ID Card: For Identity & Address proof

Undertaking Sign: This is a declaration form which employee sign in case of non-availability of any document at the time of joining.

Existing PF No. / UAN No./ ESIC No.: To link the pervious UAN and ESIC Number.

Education Documents: You need to collect the educational documents to verify educational details shared with you are correct.

Experience Documents: The purpose of collecting Work experience documents is to verify the information which employee says are correct. Like:

  • Offer Letter: You can check Confirmation of the job of an employee in Previous company
  • Appointment Letter: To check previous company salary structure, designation & confirmed Joining Date.
  • Salary Slip: You can cross check the Salary from their Salary-slip and Offer Letter and can be rechecked with shared details.
  • Relieving Letter: To ensure the working duration of employee in last organization.

Form 1 (ESIC Declaration)/ Mediclaim Form : Purpose for TIC (Temporary ID Card), For Family, nominee and present address nearby ESIC Hospital in your locality. Med claim form helps in medical insurance of the employee and its family where employee also provides detail of Nominee.

Form – 2 (PF Nomination Form): This is a form which employee fill to nominate the blood relative to claim PF in his absence

Form F (Gratuity nomination form): This form is to nominate the blood relative to claim Gratuity in his absence.

Income Tax Declaration Form: To collect investment details for Income Tax deduction.

Cancelled Check/Passbook Front Page: To cross check the bank detail shared by employee is correct.

Acceptance on Official documents: You need to keep acceptance on all document which HR  department release in concern of Employee. Like Offer Letter, Appointment Letter, Confirmation Letter, Increment Letter, Transfer Letter, etc

  • Receiving of Offer Letter of your company:
  • Receiving of Appointment Letter of your Company
  • Receiving of Confirmation Letter of your company
  • Receiving of Increment Letter of your company
  • Receiving of Transfer Letter of your company

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