Dear Patrons,
My topic of discussion today is “Employee Personal File - Resignation of Employee – Under Shops & Establishment Act. 1948”.
I am currently working with IT Company – Joined just in Dec -2021. Due to March ending CA was performing audit of HR Department. They raised a query that “In some of the Employee files those employees who has resigned resignation documents are also not attached.”
Now, My question is related to my today topic. ----- Is it mandatory to keep print of Resignation & Resignation Acceptance copy in Employees files as per S & E Act, 1948? (Region – Gujarat). My management has also given instruction to keep resignation & acceptance of Resignation as print copy.
As, throughout my 10 Years career in HR I haven’t seen any resignation in Physical copy (Always got a mail from Employees personal ID). & now a days in digital era people keen to have Soft copy then hard copy.
So, kindly suggest legal aspects on the subject & revert on this.
Thanks & Regards,
Maulik Dave
From India, Ahmedabad
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32My topic of discussion today is “Employee Personal File - Resignation of Employee – Under Shops & Establishment Act. 1948”.
I am currently working with IT Company – Joined just in Dec -2021. Due to March ending CA was performing audit of HR Department. They raised a query that “In some of the Employee files those employees who has resigned resignation documents are also not attached.”
Now, My question is related to my today topic. ----- Is it mandatory to keep print of Resignation & Resignation Acceptance copy in Employees files as per S & E Act, 1948? (Region – Gujarat). My management has also given instruction to keep resignation & acceptance of Resignation as print copy.
As, throughout my 10 Years career in HR I haven’t seen any resignation in Physical copy (Always got a mail from Employees personal ID). & now a days in digital era people keen to have Soft copy then hard copy.
So, kindly suggest legal aspects on the subject & revert on this.
Thanks & Regards,
Maulik Dave
From India, Ahmedabad
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If you are keeping a personal file of employees (ESR - Employee Service Record) in physical form, it is essential to file and keep everything right from their employment application form (if they have applied against a job advertisement, also include a copy of the advertisement), the company employment application form, interview assessment sheet, copies of internal approvals, the job offer letter, acknowledged copy of the detailed Offer of Appointment letter, supporting documents such as copies of academic/professional/technical qualification certificates, work experience certificates, a copy of the Medical fitness format duly certified by a Doctor, the probationer evaluation form duly filled in and approved, a copy of the confirmation letter duly acknowledged by the employee, the annual appraisal form, salary increase letter, Promotion letter, and so on.
In short, the Personal file or ESR is physical proof of the employee's journey from the date of onboarding in your company until the final exit, whether through superannuation, resignation, termination, etc.
Therefore, it is crucial to keep all papers related to an employee in physical form if you are maintaining a physical personal file.
However, you are also free to maintain a digital copy of the personal file to avoid loss or damage.
From India, Aizawl
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In short, the Personal file or ESR is physical proof of the employee's journey from the date of onboarding in your company until the final exit, whether through superannuation, resignation, termination, etc.
Therefore, it is crucial to keep all papers related to an employee in physical form if you are maintaining a physical personal file.
However, you are also free to maintain a digital copy of the personal file to avoid loss or damage.
From India, Aizawl
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@ P RADHAKRISHNAN NAIR Thanks for the revert, I just want to know that is it legally mendetory to keep print out of Resignation or not?
From India, Ahmedabad
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From India, Ahmedabad
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There is no legal mandate in this regard. As rightly pointed out by RKN Sir, hard copies of these documents are kept in the Personal file; otherwise, there is no need for a personal file at all - everything can be in soft copy. In the eventuality of the computer crashing or some other unforeseen occurrence, considerations on where all such information can be sourced shall be thought of.
From India, Mumbai
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From India, Mumbai
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Under the current regulations, digital copies are adequate for compliance, so long as they are genuine and tamper-proof.
If you are keeping everything in mail, is your mail secure? Will you be able to find it quickly if needed? In case of inquiry or demand by court, will you always be able to show it?
Printing out an email is not secure either because it can be tampered with and changed very easily. Therefore, having an actual document with proof that it was sent by a certain person and signed by that person is required. What will you do if the employee denies having sent the mail and accuses HR or the Manager of sending it from his account? The IT department can change passwords at will.
What if the employee concerned creates fake documents and accuses the employer of malfeasance and manipulation?
Therefore, people keep physical copies, or if they have a good HRMS, then that will provide adequate protection. Alternatively, you need to digitally sign the documents because it is extremely difficult (though not really impossible) to put wrong dates on digital signatures.
In any case, if the management says you need to keep physical documents, then there is no option for you.
From India, Mumbai
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If you are keeping everything in mail, is your mail secure? Will you be able to find it quickly if needed? In case of inquiry or demand by court, will you always be able to show it?
Printing out an email is not secure either because it can be tampered with and changed very easily. Therefore, having an actual document with proof that it was sent by a certain person and signed by that person is required. What will you do if the employee denies having sent the mail and accuses HR or the Manager of sending it from his account? The IT department can change passwords at will.
What if the employee concerned creates fake documents and accuses the employer of malfeasance and manipulation?
Therefore, people keep physical copies, or if they have a good HRMS, then that will provide adequate protection. Alternatively, you need to digitally sign the documents because it is extremely difficult (though not really impossible) to put wrong dates on digital signatures.
In any case, if the management says you need to keep physical documents, then there is no option for you.
From India, Mumbai
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Employee personal file.xls
Employee Personal Information.doc