GENERAL PERSONNEL FILES
Personnel files for staff employees are maintained by each employee's Home Department. The personnel file should contain:- Job description
- Hiring documents (application, resume, etc.)
- Personnel Action Notices (PAN's), Personnel Action Forms (PAF's) and other payroll-related documents
- Performance Evaluations (signed originals)
- Time cards for prior year(s)
- Awards, Nominations, other commendation letters
- If applicable, corrective action or disciplinary letters
GRIEVANCE/COMPLAINT FILES
A personnel file should not contain formal Grievances or Complaints filed by the employee.The Home Department should establish a separate filing system for
Grievance/Complaint Files to maintain separate records related to
any grievances/complaints filed by staff employees.
MEDICAL AND/OR WORKERS' COMPENSATION FILES
To protect the privacy of the employee, the Home Department should exclude from the employee's personnel file any document that relates to an injury or disabillity. Information such as material relating to a Workers' Compensation claim, a medical slip, and Family and Medical Leave document should be kept in a file separate from the employee's personnel file. In some circumstances it may be acceptable to keep the medical file in the same file cabinet as the employee's personnel file, as long as unauthorized personnel cannot access the medical files.CONFIDENTIALITY
All staff personnel records should be maintained in a secured and confidential location. Grievance/complaint files should be even more restricted and secured than general personnel files.ACCESS TO PERSONNEL FILES
Access to an employee's personnel file should be restricted to those with supervision responsibilities for the specific employee and/or those with job duties that require access.An employee can request to view or have a copy of his/her personnel file. The request must be made in writing. Different personnel policies and collective bargaining agreements have varying requirements about access to files. Therefore, the Home Department is encouraged to contact one of the following offices for assistance in responding to an access request.
- Staff Employees Employee & Labor Relations: 893- 4119
- Academic/Faculty Academic Personnel: 893-8332
- Subpoenas for Records Business Services: 893-5837
If a staff employee is a finalist for a position in another department, the hiring department may review his/her current personnel file as part of a reference check. The employee's Home Department should make the personnel file available for review, but should not provide copies to the prospective hiring department.
Any requests for access to personnel files or information about staff personnel from persons outside the department or University should be directed to the Coordinator, Public Records Information Office, 893-2089. (note: no web site available) For more information, review Business & Finance Bulletin, RMP-8, Legal Requirements on Privacy of and Access to Information.
TRANSFER OF PERSONNEL FILES
When an employee transfers to another campus department, the personnel file should be hand-delivered to the employee's new home department supervisor. The employee should not deliver the file himself/herself.What should be transferred? All original documents, except timecards, in the general personnel file should be transferred to the employee's new department as soon as possible. The prior home department forwards a copy of the employee's last timecard, but all original timecards are retained by the prior home department. The prior home department may maintain a copy of the personnel file for its own records.
The prior home department retains the grievance/complaint files, if any. These files (or copies of the files) should not be shared with or transferred to the new department.
RECORDS RETENTION
Please consult the Business & Finance Bulletins on Record Managementto determine retention requirements for personnel files, including grievance/complaint files. You may also consult the University's Records Management Disposition Schedules. If you have questions regarding record retention, please contact the Campus Policy and Record Management Coordinator at 893-4212.
QUESTIONS?
If you have other general questions about personnel files and employee records, please contact Human Resources Information Systems.