1. Best Practices in Maintaining Personnel Files
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Human Resources

2. Personnel Files - Content
Policy and procedures for staff personnel records can be found in Personnel Policies for Staff Members 80: Staff Personnel Records and the applicable bargaining unit contract
Personnel files should only contain material that is necessary and relevant to the administration of the staff personnel program
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Human Resources

3. Personnel Files - Content
An employee’s personnel file can contain the following:
Employee Application, Resume, letters of reference, I-9*, State Oath of Allegiance and Patent Agreement, W-4
Notice Regarding Overtime Compensation (non-exempt employees only)
Emergency Contact Information
Performance Appraisals and Position Description forms
* Can be maintained in a central department file
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Human Resources

4. Personnel Files - Content
An employee’s personnel file can contain the following:
Honors and Awards received by the employee
Corrective Action/Disciplinary Notices
Performance-related documents should be signed by the employee if it is placed in the personnel file
Corrective action/disciplinary notices are subject to removal after two years provided the supervisor verifies similar incidents have not occurred during the most recent two year period (see applicable contract/policy)
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Human Resources

5. Personnel Files - Content
Documents related to an employee’s medical condition or a medical condition of the employee’s dependents, must be stored separately from the employee’s personnel file
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Human Resources

6. Personnel Files - Content
An employee’s medical file can contain information regarding
FML forms and supporting documentation
Work-related injury or illness forms and supporting documentation
Disability-related documentation, including any requests for accommodation
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Human Resources

7. Personnel Files - Content
It is recommended that any materials related to a formal grievance be forwarded to Labor Relations to retain in their files.
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Human Resources

8. Personnel Files – Periodic Reviews
Maintaining the completeness and the accuracy of personnel files is important
Periodic reviews or audits can be conducted to ensure that the necessary documents have been completed and filed, and date sensitive documents have not expired
11/15/2018
Human Resources

9. Personnel Files – Periodic Reviews
Types of personnel file/record audits
Conduct an audit to confirm that a particular document is present in the files of all employees
Example: Performance Appraisal form for all employees who have completed their probationary period
Example: Employee Application form for all new hires
11/15/2018
Human Resources

10. Personnel Files – Periodic Reviews
Types of personnel file/record audits
Conduct an audit to confirm that renewable documents/forms are present in the files of all affected employees
Example: Compensatory Time Off Agreement forms for non-exempt employees (dependent on bargaining unit and the discretion of management)
11/15/2018
Human Resources

11. Personnel Files – Content Organization
File contents can be arranged and organized by subject matter
Performance-related
Compensation
Training and education
Benefits
Hiring documents
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Human Resources

12. Personnel Files – Content Organization
File contents can be arranged and organized by subject matter
Advantages
Related documents are grouped together
Easy to identify the history of actions within each separate category
11/15/2018
Human Resources

13. Personnel Files – Content Organization
File contents can be arranged and organized by subject matter
Disadvantages
Requires consistent placement of documents in appropriate category (may require more training for the individual responsible for file maintenance)
Does not provide a complete picture of all actions or activities because the file contents are split between separate categories
11/15/2018
Human Resources

14. Personnel Files – Content Organization
File contents can be arranged by chronological date
Advantages
Easy to maintain
Easy to identify the complete employment history of the individual
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Human Resources

15. Personnel Files – Content Organization
File contents can be arranged by chronological date
Disadvantages
Removal and replacement of file contents require attention to detail
Removal and replacement results is more disruption of the file’s contents if documents spanning several years are required
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Human Resources

16. Personnel Files – Access and Release of Records
File Transfer and Access
The employee’s personnel records should be transferred to the department which the individual transfers to
Exceptions:
Time records shall be retained
Medical file shall be retained
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Human Resources

17. Personnel Files – Access and Release of Records
File Transfer and Access
Once the employee is selected as a finalist for a position within the University, the prospective hiring department has a right to review the personnel file of the individual, prior to making the final offer (except in situations where the candidate is a preferential rehire)
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Human Resources

18. Personnel Files – Access and Release of Records
File Transfer and Access
It is recommended that the prospective hiring department inform the employee of their intent to review the personnel file
Adequate security measures should be taken in all cases where personnel files are physically moved or transferred to ensure that the file’s contents remain confidential
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Human Resources

19. Personnel Files – Access and Release of Records
File Access
Upon request, an employee shall be provided a copy of the employee’s own personnel records within 30 days, unless the records are geographically dispersed or archived, in which the department has 60 days to provide copies of the requested documents
The first copy is provided at no charge
Additional provisions may apply depending on the bargaining unit. Check the applicable contract for specifics
11/15/2018
Human Resources