HR Hotline: How Do We Respond to an Attorney’s Personnel File Request?

Q: We just received a letter from a law firm that represents one of our former employees. It came with an authorization signed by the employee, giving us permission to release any and all records we have on the employee.

The letter says we have 10 days to provide an enormous amount of records, including anything related to the employee’s work, their personnel file, and all wage and time clock records spanning many years. Do we really have to take time away from our work to collect and provide these records?

A: No. Unfortunately, these letters have become increasingly common, and they can be deceptive. 

Connecticut law governs the circumstances under which an employer must provide access to a former employee’s personnel file. But it’s important to understand that, absent a subpoena, the personnel file is the only item an employer must provide. 

It’s thus important to understand what, exactly, a “personnel file” includes.

In Connecticut, the term “personnel file” refers to documents that an employer has used to determine the employee’s “eligibility for employment, promotion, additional compensation, transfer, termination, disciplinary or other adverse personnel action, including employee evaluations or reports relating to such employee’s character, credit and work habits.” 

Note then, the long list of items that are not part of a personnel file, and do not have to be provided. Things like:

• wage records
• records of hours worked
• general emails exchanged with or about the employee if they don’t meet the definition above
• medical records
• recommendations from third parties such as former employers
• materials used to plan for the employer’s future operations
• information contained in separately maintained security files
• test information, the disclosure of which would invalidate the test
• documents which are prepared for use in litigation

Next Steps

Letters from a former employee’s attorney often neglect to clarify which records meet this definition.

They may also fail to mention that an employer has 10 business days, after receipt of a written request, to permit the former employee to inspect and copy their personnel file if such a file exists, and if the employer receives the request within a year of the employee’s termination.

Two important points to consider from this part of the law. 

First, to determine your deadline to respond, count ten business days—not calendar days and not holidays—from the day you received the letter—not the date of the request. 

Connecticut law does not require that employers maintain personnel files.   

The letter may even state an incorrect deadline. Count the days yourself. 

And second, you need only provide a personnel file if one exists. Connecticut law does not require that employers maintain personnel files.   

Keep in mind that, though you’re not required to provide non-personnel file records, you’ll ultimately have to provide them if the case proceeds to litigation. 

If you receive a letter from an attorney requesting a personnel file, it’s likely that the attorney is considering filing suit. 

It’s therefore a good idea to contact counsel as soon as you receive this correspondence. 

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HR problems or issues? Email or call CBIA’s Diane Mokriski at the HR Hotline (860.244.1900) | @HRHotline. The HR Hotline is a free service for CBIA member companies and is intended to provide general information and does not constitute legal advice. Please consult with legal professionals for specific guidance for your specific situation.