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Published byStanley Bradford Modified over 6 years ago
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Best Practices in Maintaining Personnel Files
11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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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) 11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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Personnel Files - Content
It is recommended that any materials related to a formal grievance be forwarded to Labor Relations to retain in their files. 11/15/2018 Human Resources
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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
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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
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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
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Personnel Files – Content Organization
File contents can be arranged and organized by subject matter Performance-related Compensation Training and education Benefits Hiring documents 11/15/2018 Human Resources
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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
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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
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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 11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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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) 11/15/2018 Human Resources
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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 11/15/2018 Human Resources
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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
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